Sie sind auf Seite 1von 128


Department of Justice
National Institute of Corrections


Second Edition
U.S. Department of Justice
National Institute of Corrections
320 First Street, NW
Washington, DC 20534

Morris L. Thigpen

Larry B. Solomon
Deputy Director

George M. Keiser
Chief, Community Corrections Division

J. Richard Faulkner, Jr.

Project Manager

National Institute of Corrections

World Wide Web Site

Second Edition

Robert L. Thornton, M.Ed., Director

Community Corrections Institute, LLC
Eatonville, Washington

March 2003

NIC Accession Number 011356

This document was prepared under Requisition Number RP 0803 from the National Institute of Corrections,
U.S. Department of Justice. Points of view or opinions stated in this document are those of the author
and do not necessarily represent the official position or policies of the U.S. Department of Justice.

Suggested citation: Thornton, Robert L. 2002. New Approaches to Staff Safety. 2d ed.
Washington, DC: U.S. Department of Justice, National Institute of Corrections.
The National Institute of Corrections reserves the right to reproduce, publish, translate, or
otherwise use and to authorize others to publish and use all or any part of the copyrighted
material contained in this publication.

This document contains references to commercial products, vendors, and consultants oper-
ating in the field of professional safety. The references are not intended to be comprehensive.
References to products and sources in this document do not imply endorsement by the
National Institute of Corrections or the U.S. Department of Justice, nor does an absence
of references to others imply nonendorsement.
Ronald G. Schweer Joe S. Barton
Deputy Chief U.S. Probation Officer Supervising U.S. Probation Officer, Retired
U.S. Probation Office P.O. Box 82144
Thomas F. Eagleton U.S. Courthouse Atlanta, Georgia 30354
111 South 10th Street, Suite 2.325
St. Louis, Missouri 63102


Dan Richard Beto Eddie Gonzalez
Executive Director Director
Correctional Management Institute of Texas Nueces County Community Supervision and
Director Corrections Department
Project Spotlight 1901 Trojan Drive
George J. Beto Criminal Justice Center Corpus Christi, Texas 78416
Sam Houston State University
816 17th Street Todd Jermstad
Huntsville, Texas 77340 Staff Attorney
Bell-Lampasas Counties Community
Phillip Bonner Supervision and Corrections Department iii
Administrator P.O. Box 294
Community Justice Assistance Division Belton, Texas 76513
Texas Department of Criminal Justice
209 West 14th Street, 4th Floor Jennifer Pierce
Austin, Texas 78701 Officer
Project Spotlight
Hope Brockway Dallas County Community Supervision and
Supervisor Corrections Department
Tarrant County Juvenile Services 10325 Lake June Road, No. 186
2701 Kimbo Road Dallas, Texas 75217
Fort Worth, Texas 76111
Ron Quiros
Asiano Davila Director of Training
Program Coordinator Texas Juvenile Probation Commission
Project Spotlight P.O. Box 13547
Harris County Juvenile Probation Department Austin, Texas 787113547
7043 Highway 6 South
Houston, Texas 77083

In my 25 years as a criminal justice professional, I have had the privilege of helping develop
and shape various aspects of officer safety programs. What has been most apparent to me as an
administrator is the need for a clear mission statement and a defined scope of employment
before implementing a program.

In many jurisdictions, probation and parole officers are designated as peace officers or having
peace officer authority in addition to their normal duties. This designation is generally made by
statutory authority and supported by agency policy.

If administrators who develop safety programs do not clearly define what the duties and
functions of staff should be, the staff themselves will define their purpose. Likewise, if adminis-
trators dismiss the need for staff safety programs because of the fear of a blurring of the mission,
they jeopardize their staff daily until an unfortunate event occurs. Both approaches can be
equally threatening to the safety of staff and significantly increase the liability of the organization.

Organizations must ensure that their policies, procedures, training, and practices consider the
role of staff safety in the daily operations and duties of a community corrections department.

The need for an officer safety program should never be questioned. Administrators must have
a clear understanding of the responsibilities and duties of all staff and ensure that staff safety v
is the first and foremost concern. A concern for staff safety is not an argument for enforce-
ment versus social work. The issue is whether departments require officers to perform job tasks
where risks to safety are foreseeable.

As administrators we must put our fears and philosophies aside and open our minds to the
real issues at hand. If officers are required to perform functions that may be dangerous, the
department is obligated to provide the skills needed to perform the job in a safe and effective
manner. Are staff given all the tools they need to carry out their daily tasks effectively, or are
they being set up for failure and exposed to great risk and liability?

Also, as administrators we must focus on the safety of all staff through clear policy, practice,
and training before we can address probation, parole, and community corrections mission of
protecting and securing our communities by intervening effectively with offenders.

Kathy Waters
Division Director, Arizona Supreme Court
President, American Probation and Parole Association
Preface and Acknowledgments

The purpose of this project was to update the National Institute of Corrections (NICs) 1993
publication New Approaches to Staff Safety and thereby continue to help community correc-
tions practitioners evaluate training needs related to officer safety. The original publication
describes staff safety training principles and provides concepts and resources the authors
identified as effective in specific training areas.

The review committee, brought together by Dan Richard Beto, Executive Director of the
Correctional Management Institute of Texas at Sam Houston State University and Director
of Project Spotlight, advised that the new edition should focus more attention on current con-
cepts and standards in officer safety training. To accomplish this goal, many programs around
the country were reviewed and officers and administrators interviewed.

An additional goal of this monograph is to describe hazardous duty situations that have
occurred and help agencies choose safety tools and training based on fact rather than rumor
and unsupported opinion. Using this monograph, agencies can better determine their respective
training needs, evaluate the most current information in various safety training areas, and
explore a variety of information and resources to obtain training or help in developing their
own training programs.

This monograph offers community corrections agencies and trainers current information on vii
staff safety training issues. The purpose is not to provide a prepackaged training program but
to identify key issues for training. Each agency has its own policies and procedures around
which dynamic, interactive training can be developed.

My research into staff safety training programs, models, and issues could not have taken place
without the assistance of a number of community corrections professionals across the country.
In 1990, William Parsonage, supported by a grant from NIC, produced a monograph, Worker
Safety in Probation and Parole. This publication discusses the victimization of parole and
probation officers and provides valuable information on how, when, and by whom officers
are victimized. It also describes how the community corrections professionals perceive the
training that has been offered to them and what topics or concerns were yet to be addressed.
Parsonages publication should be reviewed in conjunction with this publication. It inspired
the research for New Approaches to Staff Safety, which has become one of the most requested
documents produced by NIC.

Parsonages work dealt specifically with parole and probation officers. The subsequent safety-
related publication released by NIC, New Approaches to Staff Safety, expanded its focus to
include staff involved in pretrial services, electronic monitoring, and community corrections.
For that reason, the term community corrections officer has been adopted to cover all these
varied job functions.
Staff safety continues to receive growing attention. This project attempts to provide the most
current information available. The resources provided are the result of personal contact with
scores of leaders in the staff safety training field. Although onsite visits were made to various
agencies that have developed innovative safety programs, not all such programs were identi-
fied. This resource is not intended to be definitive. Rather, it should serve as a catalyst to
develop training programs further and share information.

Staff and administrators who were interviewed identified the cost of providing training as a
major concern. Although many programs and types of equipment involve substantial financial
outlay, methods by which effective, dynamic training is provided at minimal cost are identi-
fied. Preventing even one serious injury or death is worth the cost of many hours of training or
the expense of soft body armor for hundreds of officers.

There can be no excuse for lack of attention to personal safety issues. People are the greatest
resource in the criminal justice system. Agencies and officers alike need to share a sensitivity
to staff safety and a dedication to ongoing, dynamic safety training programs.

Rick Faulkner, NIC Project Manager, has continued to champion officer safety, and without his
support and assistance this document would not have been possible. He facilitated important
contacts, obtained resource documents, and helped locate the best sources of safety training
and information.

George M. Keiser, Chief of the Community Corrections Division of NIC, has also been very
involved in staff safety and has begun planning additional projects to bring safety-related
information to the community corrections profession.

Finally, my contributing authors, Joe Barton and Ron Schweer, and I wish to express our
appreciation to the many officers across the country who shared their programs, ideas, and
feelings about staff safety issues with us. Special thanks to those officers, staff, and families
who have looked down the barrel of a gun, suffered assaults, and experienced the resulting
trauma. Their openness and honesty about their experiences and the aftermath provided
invaluable insight into issues that should be stressed in safety training.

Robert L. Thornton



Contributing Authors and Project Advisory Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii

Foreword. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
Preface and Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Use-of-Force Continuum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Crisis Prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Self-Defense and Physical Fitness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Oleoresin Capsicum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Body Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Safety in the Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Protection From Disasters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Arrest, Search, and Seizure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Field Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 ix
Canine Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
Scenario Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
A Critical Incident Program. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Final Thoughts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Appendix A. Model Protocol for Critical Incident and Death Notification . . . . . . . . . . . . . . 93
Appendix B. Helpful Hints on Personal Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
Appendix C. Residential Security Survey Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
Appendix D. Arizona Code of Judicial Administration Firearms Standards . . . . . . . . . . . . . 113
Appendix E. Firearms Training Checklist. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
Appendix F. Additional Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
Exhibit 1. The Use-of-Force Continuum Developed by the Federal Judicial Center. . . . . . . . . 7
Exhibit 2. Continuum of Control Developed by the Arizona Supreme Courts Ad Hoc
Safety Committee for Probation Officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Exhibit 3. Use-of-Force Model: The Use-of-Force Paradigm for Enforcement and
Corrections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Exhibit 4. Recommended Use-of-Force and Levels-of-Resistance Matrix Developed by the
Florida Criminal Justice Standards and Training Commission . . . . . . . . . . . . . . . . . . . . . . . 11
Exhibit 5. Use-of-Force Continuum Showing Assailant Actions and Force Options. . . . . . . . 11
Exhibit 6. Use-of-Force Continuum Showing Great, Intermediate, and Low Force Levels . . . 12
Exhibit 7. U.S. Probation and Pretrial Services Hazardous Duty Statistics, 198499 . . . . . . . 18
Exhibit 8. Color Code of Awareness. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Exhibit 9. Program A Performance Levels, by Age. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Exhibit 10. Preliminary Results of the Adult and Juvenile Probation and Parole
National Firearm Survey, 20012002 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53


This revised edition of New Approaches to The author determined the following areas
Staff Safety helps community corrections to be of the greatest need and importance in
agencies and trainers evaluate current train- developing a total staff safety program.
ing needs relating to officer safety. While Certain areas may not be relevant to all
the information is targeted to officers, many offices; for example, if officers are not
training areas apply to all staff working in a allowed to carry firearms, issues concerning
community corrections setting. firearms training are not pertinent.

In the initial research on staff safety Use-of-force/use-of-control continuum.

described in his 1990 monograph Worker
Safety in Probation and Parole,1 William Crisis prevention.
Parsonage dealt with information obtained Physical fitness.
solely from the parole and probation field.
In the National Institute of Corrections Soft body armor.
(NICs) 1993 followup document, New
Office safety.
Approaches to Staff Safety,2 the authors
included information relevant to a broader Arrest, search, and seizure.
spectrum of community corrections person-
nel, such as pretrial services officers, elec- Firearms training policy.
tronic monitoring coordinators, and halfway 1
Planning an arrest.
house workers. This document continues
that endeavor. Using canines in searches.

Although Parsonages study established the Transporting offenders.

need for safety training and introduced the
concept of officer victimization, the New Communications equipment.
Approaches monograph identified specific Verbal diffusion techniques.
safety training needs, legal issues in safety
training, research on the most effective train- Electronic monitoring.
ing techniques, and resources in the respec-
Critical incident programs.
tive safety training areas. The goal was to
provide information to enable an agency to Self-defense training.
become an educated consumer and better
evaluate the quality of training programs Oleoresin capsicum (pepper spray).
offered or develop its own training package
Identification apparel.
that meets its specific needs. This second
edition continues that goal, bringing updated Office standards.
information, statistics, concepts, and safety
training programs to the reader. Legal issues.
Search teams. contacted about the curriculum and their
perceptions about the training. Onsite visits
Handcuffing. revealed
Contraband management. The quality of the training provided.
Urban versus rural issues. The effectiveness of the curriculum in
Personal protection information. relation to the needs established by the
Methamphetamine labs.
The degree to which skills taught in train-
Line-of-duty-death protocols. ing were retained, as determined through
followup interviews with participating
Each topic area includes a discussion of the staff.
problem, issues to consider in evaluating
or establishing a training program, training How the training could be improved.
resources, and a summary of salient training
issues. This format makes it easy to find top- What additional training was needed in
the opinion of both staff and administration.
ics within the monograph and review impor-
tant training issues. The author visited both urban and rural com-
munity corrections agencies, as their needs
Kicking off the research phase of the project,
in some situations are different.
an article in the Spotlight on Safety section
of the American Probation and Parole Associ- Many safety areas lack training specific to
ation (APPA) quarterly journal Perspectives community corrections. In many cases, law
called for current and innovative community enforcement agencies have addressed the
corrections programs. With the help of Dan training issue for some time and have effec-
Richard Beto, Executive Director of the tive training programs in place. But some
Correctional Management Institute of Texas community corrections personnel feel train-
and Director of Project Spotlight, an adviso- ing is not relevant when it is provided in a
ry group was created to help gather informa- strict law enforcement mode. When the con-
tion and provide further direction. In addi- tent is modified to situations specific to cor-
tion, the professional literature on safety rections, the program is well received and
training programs currently used by commu- viewed as quite relevant. This is especially
nity corrections agencies was reviewed. true concerning the areas of arrest, search,
seizure, communication, and critical incident
The author initiated personal contacts, based
on information gathered from these sources
and from personal knowledge of staff safety Lack of information and failure to share the
trainers. As interviews were conducted, new information that is available are the greatest
programs created since the publication of barriers to finding, evaluating, and providing
New Approaches to Staff Safety in 1993 were quality safety training and developing safety
uncovered. In addition, the author explored policies. Compared with law enforcement,
areas of greatest worker concern and potential far less information is available on current
misunderstanding in depth. training issues and quality training programs
for community corrections officers so that
Once the author identified training pro-
agencies waste many hours reinventing the
grams, both trainers and participants were


The misperception that few incidents of This monograph is a continuing effort to
death or assault occur among community identify and consolidate the current training
corrections officers illustrates the lack of issues regarding
information about this most important issue.
Safety concerns continue to be dismissed by Legal issues in safety training.
some who say a probation officer has never The importance of dynamic versus static
been killed. Parsonage found that a central training.
repository for information on community
corrections officers deaths and assaults did A total approach to staff safetyfor the
not existunlike that for law enforcement. office, field, and personal environments.
NIC, APPA, and the Correctional Manage-
Evaluating training programs.
ment Institute of Texas have each tried to fill
this gap. But, with no legislative mandate, Developing training programs to meet
few agencies where community corrections specific agency needs.
officers work provide information or even
keep their own records. Thus, with the Comparing leading programs in the
exception of a few individuals who are inter- respective training topics.
ested in staff safety, the effort is to no avail. Developing training with little or no funds.
Consequently, although interest in safety
training is increasing, it has not reached the Agencies can select a prepackaged program
same level as in law enforcement. or develop their own. Every agency does not
need to reinvent a training program for each
Again, unlike law enforcement, the commu- topic or skill area. With the most current
nity corrections field has not suffered law- information on safety equipment and other
suits based on its failure to train. When that aspects of safety training, agencies can make
occurs, an even greater push will be made more informed decisions. They can avoid
for safety training. Community corrections expenditures for equipment that is outdated
has a very good track record in the area of or does not fit their specific needs, resulting
use of force, but the challenges ahead are in more efficient use of personnel and funds.
increasing. 3

Use-of-Force Continuum
A use-of-force continuum, also known as a In light of the duties assigned to
continuum of control, subject control policy, specific officers . . . the need for
or subject management policy, is a model by more or different training is so
which an officer can choose appropriate ver- obvious, and the inadequacy so
bal and physical reactions to someones hos- likely to result in the violation of
tile behavior, stop the behavior, and estab- constitutional rights, that the policy
lish controlbut no more. The ultimate goal makers of the city can reasonably
is to control the subject and situation with- be said to have been deliberately
out overreaction. indifferent to the need.6
For many years, law enforcement and correc-
tions agencies have provided training in areas To illustrate this point, the Court cited the
normally covered in a use-of-force continu- specific issue of judgment training:
um, including defensive tactics, impact City policy makers know to a moral
weapons, and firearms. However, agencies certainty that their police officers
often overlook the issue of when to use a par- will be required to arrest fleeing
ticular skill. Cases such as City of Canton v. felons. The city has armed its offi-
Harris,3 Popow v. City of Margate4 (see the cers with firearms, in part to allow
Arrest, Search, and Seizure chapter), and them to accomplish that task. Thus,
Davis v. Mason County5 point to an agencys the need to train officers in the con-
responsibility to adequately train officers. 5
stitutional limitations on the use of
They also address the liability issues of fail- deadly force . . . can be said to be
ing to do so. A use-of-force/use-of-control so obvious that a failure to do so
continuum is a method by which an officer could properly be characterized as
and agency can articulate the reason for a deliberate indifference to consti-
specific level of force. It also is the founda- tutional rights.7
tion for training in verbal intervention, de-
fensive tactics, chemical agents, impact Davis is especially relevant to community
weapons, firearms, legal issues, and report corrections in that it did not relate to the use
writing. of a firearm during an arrest, but to empty-
hand control, which was used by officers
In City of Canton, the plaintiff sued the during an arrest. In this case, the court held
police department for failing to train its per- that the practice of training officers on use
sonnel adequately to deal with arrestees of force falls within the sheriffs policymak-
medical problems. The U.S. Supreme Court ing authority.8 Most deputies involved in the
discussed a circumstance in which a failure case had some type of training in the use of
to train could be construed as a policy by force, even if it was minimal; the issue was
noting that, the adequacy of training. They received no
training on its constitutional limits.
The logical conclusion is that agencies that Realistic training, involving use-of-force
require officers to perform specific job func- option selection by officers, is needed to
tions (arrest, search, field contacts, electron- evaluate their understanding of the depart-
ic monitoring) and authorize them to use ments policies. Realistic simulations rang-
specific equipment (personal defense sprays, ing from low level to high level provide a
batons, firearms) have a training responsibil- solid experience base for officer decision-
ity as well. The base for this type of training making and timely feedback on the instruc-
is the use-of-force continuum. tion given.10

But what about officers who do not perform Darrell Ross11 outlines 10 steps in develop-
searches, arrests, or the like? Do they need ing a use-of-force policy (see Steps in
a use-of-force continuum and policy? The developing a use-of-force/control policy).
answer is yes. Administrators know that offi-
cers roles and functions expose them to sit-
uations where they may need to use force Steps in developing a
to protect themselves. Officers need to be use-of-force/control policy
aware of the degree of force that is appropri- 1. Formulate a policy team.
ate in response to each perceived threat.
2. Develop a work plan.

A safety survey conducted by the National 3. Structure a policy on physical force.

Association of Probation Executives (NAPE) 4. Draft the policy.
in October 1999 found that more than 30 5. Review and revise the policy.
percent of agencies surveyed did not have a 6. Assemble and distribute the policy.
use-of-force continuum. Of those that did,
7. Train staff.
20 percent indicated that it did not describe
8. Implement the policy.
the assailants behavior against which force
could be used.9 To list only the force options 9. Apply the policy, allowing time for officers
to function under the policy.
available is to deal with only one part of the
issue. Officers also need to know the type of 10. Evaluate and revise the policy.

6 behavior to use the respective technique or

safety equipment against.
Many law enforcement and community cor-
It speaks well of community corrections rections agencies, as well as private compa-
that, as of this writing, research has failed to nies, provide training in the skills covered in
discover a successful lawsuit resulting from a use-of-force continuum, such as verbal dif-
inappropriate use of force by a community fusion and defensive tactics. Many agencies
corrections officer during the performance require that an updated use-of-force policy
of his or her duties. At least one lawsuit is be in effect and that each officer sign a doc-
in litigation, however. ument stating that he or she has read and
understood the use-of-force policy. Many
agencies also recommend annual inservice
FORCE/CONTROL POLICY training on the contents and updates of the
Because the use of force or control does not use-of-force policy for all officers.
occur in a vacuum, it should not be taught as
an isolated event. Defensive tactics are often
taught under static conditions, lacking the FORCE/CONTROL MODEL
dynamics of a real confrontation, with the Many training organizations have produced
result that officers may have little confi- use-of-force/control models. These models
dence in the tactics and techniques learned.


typically involve four to five levels of force understand the various models and motivate
or control. The progression starts with offi- their students to play the what if game,
cer presence and moves through dialog, rehearsing (if only mentally) how they will
empty-hand control, impact weapons, chem- respond to various situations.
ical agents, and use of firearms. Steps or
techniques within these categories can be Again, only a few models address the type
used before proceeding to the next level. of individual or situation to which to apply
These models present the control continuums the various levels. Inappropriate application
in a stair-step fashion that some feel implies of a technique can result in either excessive
that the officer must apply one technique or ineffective control. Instruction should
before attempting the next level. For this address not only the levels of control, but
reason, some agencies have developed mod- also the appropriate level of threat. R.E.B.
els with the officer at the center of a wheel. Securitys manual on Cap-Stun weapon
Whatever model is used, it is important that systems states, Sometimes we have put too
all use-of-force options available to the offi- much emphasis on how to apply force and
cer are listed, along with the assailant beha- not enough training into when to apply
viors that trigger these options. force [emphasis added].12

Just as control can escalate, it can also Exhibit 1 contains a use-of-force model
deescalate. When officers have gained con- developed for the Administrative Office of
trol, they must reduce the control level. the U.S. Courts and is a recent modification
Officer safety instructors must thoroughly of the original model developed by the

The Use-of-Force Continuum Developed by the Federal Judicial Center


Aggressors Actions Officers Response

Officers Compliance Open stance

Self-Defense Subject is cooperative Interview stance
Defensive stance 7
Tools without direction.

Questioning and assessment

Presence Resistance
Light control (advise)
Subject is cooperative in Crisis diffusion
response to direction. Heavy control (warning)

Verbal warning
Hand on OC
OC (Pepper Spray)
Present OC
Use OC
Subject is aggressively offensive
Empty-Hand and may cause physical injury.
Control Verbal warning
Defensive stance
Defensive action
Lethal Force
Overt Hostility Verbal warning
Subjects actions will probably Hand on weapon
cause death or serious physical Draw/point weapon
injury. Shoot/strike

Source: Federal Judicial Center, Washington, D.C.

Use-of-Force Continuum
Federal Judicial Center and introduced in These questions should be resolved and
training during the summer of 1993. It written into agency policy, but who will
incorporates varying levels of control with develop the policy? In most cases, it is
varying degrees of resistance. Any use-of- developed by senior administrators within
control model should be brief and straight- the agency. But, agency heads may not have
forward. Officers must be able to recall it the best information and understanding of
easily under the stress of the situation. the concepts, laws, and procedures that
relate to the use of force. Many policies
When asked during training for examples set officers up for injury and legal action
of threats not covered by this model, partici- because they are developed by administra-
pants generally ask about children, or men- tors who, although well meaning and con-
tally disturbed persons, or dogs. Responses cerned about litigation against their agency,
should stress that the sex, size, age, or moti- do not understand the dynamics of con-
vation of the assailant does not matter; what frontations and the appropriate application
matters is the level of threat the assailant of control techniques.
poses to the officer. Although we may be
morally opposed to using lethal force against When developing a use-of-force/control
a woman or a child, it may be justified if the model, each agency needs to first look at
individual poses a threat of serious physical the types of training provided. It does no
injury or death and if a lesser force or control good to have a model that incorporates many
will not stop the threat. skillsverbal intervention, empty-hand con-
trols, OC spray, batons, defensive tactics,
If the assailant is a dog, what level of threat and firearmsunless the agency provides
does it pose? Can a German shepherd or training in each area. As new skills and
Rottweiler that is behaving as if it might equipment are added, the model can be
attack cause serious physical injury or death? revised. An agency must be able to defend
It certainly could, and therefore lethal force whatever model is selected or developed
may be appropriate. A Chihuahua, on the for use.
other hand, may inflict physical damage that
8 justifies a control response, but it probably Many agencies have formed committees of
will not cause serious physical injury or death. individuals representing varied positions
within the organization to develop a use-
Authorities may disagree on what consti- of-force/control policy. Committees must
tutes the various levels of threat and what include individuals who are recognized
levels of control should be used against authorities on use-of-force/control issues.
them. For example, where should oleoresin These subject-matter experts may not be
capsicum (OC) spray, also called pepper members of the department but must be able
spray, be placed on the continuum? Some to educate others on the committee about
authorities advocate the use of OC as the use-of-force/control concepts, issues, tactics,
third level in the continuum, after presence and equipment.
and verbal instruction. The theory is that OC
spray precedes physical contact because it Just such a committee was recently formed
poses less of a chance of either party suffer- by the Arizona Supreme Court. The courts
ing injury. Other authorities, including the ad hoc safety committee was charged with
use-of-force model from R.E.B. Securitys developing a policy regarding the use of
Aerosol Instructor Training Manual, place OC control by probation officers in the State
spray at level four, after passive control such of Arizona (see exhibit 2). The committee
as pain compliance, pressure-point control, was made up of probation administrators,
and escort tactics. probation officers, subject-matter experts,
and a presiding judge. The judge indicated


that, although he had worked with probation will have a common understanding of the
officers for years, he was not aware of many dynamics of confrontations, which will
of their specific job tasks and the dangers minimize the Monday morning quarter-
they face. As a result of his committee work backing that can be so detrimental to both
and meetings with officers and administra- individuals and organizations after a use-
tors, he became an advocate of probation of-force/control situation (see exhibits 36).
officers and their safety and has helped the
agency educate other judges, legislators, and
By understanding the relative force behind
various control options and knowing how Physical force is to be used only in circum-
they potentially affect an adversary, officers stances of justifiable self-protection or the
can better select those best suited to the protection of other persons. This is a com-
physical resistance they face. They can refer mon opening statement of many force/con-
to this framework when they must make trol policies. A manual, however, cannot and
split-second decisions. If officers have both should not attempt to state an accompanying
confidence and skill in the verbal and physi- course of action for every situation an officer
cal components of the control continuum, may encounter. The policy manual should
they will be less likely to resort prematurely provide general guidelines for officers but
to firearms. They can cite the control contin- allow them to use discretion based on the
uum, identify where the situation ranks in perceived threat. An article in a professional
intensity, and articulate the reasons for police journal states, During times of high
selecting one option over another. Through stress when an officer is forced to protect
training, all officers and administrators his/her own life or the life of another, the

Continuum of Control Developed by the Arizona Supreme Courts Ad Hoc Safety


Committee for Probation Officers

Level of Control Officers Actions Subjects Actions
Presence Identification of authority Subject is cooperative.
Interview stance
Defensive stance

Verbal Advise Subject is cooperative only in

Questioning and answering response to direction.

Empty-Hand Control Personal defensive tactics Subjects actions are

Control holds becoming aggressive and
Pressure points may cause physical harm.

Oleoresin Capsicum (OC) OC tactics Subjects actions are

becoming aggressive and
may cause physical harm.

Impact Weapons Batons Subjects actions are likely

Weapons of opportunity to cause physical harm.

Lethal-Force Techniques Potential deadly-force tactics Subjects actions may cause

serious physical injury or death.

Source: Ad Hoc Safety Committee for Probation Officers, Arizona Supreme Court.

Use-of-Force Continuum
Use-of-Force Model: The Use-of-Force Paradigm for Enforcement and Corrections

A D1 D
Actions will probably cause
death or serious physical injury.

Actions will probably

Subjects actions: probable control difficulty/danger

cause physical injury.
Actions are aggressively Ineffective
offensive without weapons.
Active: Movement to avoid
physical control.

Variable Dynamics

Passive: Nonmovement in
response to verbal and other
Variable Positioning/Risk

Subject is cooperative, but


only in response to direction.


Variable Risk
Subject is cooperative Control
without direction.
Variable Distance

B Officers reactions: probable reversibility/control/injury C

Social control: presence of law enforcement representative
Used alone Used with means of physical control
Verbal control: persuasion/advice/warning
Used alone Used with means of physical control

Control modes without weapons

Holding Stunning Mechanical

Firearms and other lethal force modes

Restraining Diffused Direct
pressure mechanics
10 striking against body

Control modes with weapons

Control Impact
instruments weapons


OC/chemical agents

Canine (bite)

Source: Copyright 1983, John C. Desmedt, Protective Safety Systems, Inc. All rights reserved. Adapted with permission.


Recommended Use-of-Force and Levels-of-Resistance Matrix Developed

by the Florida Criminal Justice Standards and Training Commission

6 Aggravated Physical

5 Aggressive Physical

4 Active Physical

3 Passive Physical

2 Verbal

1 Presence

Interview Stance


Verbal Direction


Restraint Devices


Take Downs

Pain Compliance

Counter Moves



Deadly Force
Checked areas represent
suggested, acceptable,
and beginning response
levels. Any response in an Officer Physical Intermediate Incapacitating Deadly
unchecked area requires Presence Communication Control Weapons Control Force
1 2 3 4 5 6

Source: Florida Criminal Justice Standards and Training Commission, Florida Department of Law Enforcement

Use-of-Force Continuum Showing Assailant Actions and Force Options


The amount of force used by the officer is
directly related to the amount of resistance offered.
Assailant Actions



Active resistance

Passive resistance

Force Options

Officer Verbal Soft Oleoresin Hard hand Batons/ Roadblocks/ Deadly

presence persuasion, empty-hand capsicum techniques impact immobilization force
directions, techniques weapons devices

Source: Unknown

Use-of-Force Continuum
Use-of-Force Continuum Showing Great, Intermediate, and Low Force Levels

Great Force

Deadly force applications Calculated to incapacitate (STOP)

Less-than-lethal weapons Likely to produce great bodily
injury or death

Intermediate Force
INCAPACITATION Police canine (bite)
Calculated to control and/or
Impact weapons overcome

No expectation of great bodily

Electronic weapons injury or death
CONTROL Carotid control holds Some probability of injury
Physical control holds Involves some pain/compliance
Chemical weapons High visual impact
Low Force

Firm grip or gesture Calculated to gain compliant

Verbal commands
No expectation of injury
Uniform presence Low visual impact
Source: Unknown

human mind is not searching for the infor- they would be acting as private citizens and
mation of what it is not allowed to do, but is would lose the protection of the agency. In
focusing on what it can or should do. Any other jurisdictions, their intervention would
policy relating to force should empower an be appropriate, if not expected, and officers
officer, offering appropriate responses and would be protected (see Oklahoma officers use
not imposing restrictions.13 their police powers).

Most community corrections policies dictate What opinion would your attorney general
that corrections officersunlike law and your agency hold? Laws and the powers
enforcement officersshould consider with- of probation and parole officers vary among
drawing from the situation and securing jurisdictions, but everyone should have a
assistance when possible. When the option clear understanding of them before encounter-
to disengage is available, community correc- ing such a situation. It is the obligation of
tions officers must have a clear understand- each agency and its training staff to make
ing of when and against whom they can ini- sure officers are offered specific guidance
tiate a use of control. For example, what regarding their legal authority and the agencys
options does an officer have based on law policy, especially when they conflict.
and agency policy if, when making a home
contact, he witnesses an assault between two
individuals who are not on his caseload? WRITING THE REPORT
Although many officers would feel an obli-
Half of all community corrections officers
gation to intervene, it is against agency poli-
experience a hazardous situation that calls
cy in some jurisdictions. If they intervened,
for the use of force in their careers. When an


officer submits a report on such a situation
in a jurisdiction that has a good use-of- Oklahoma officers use their
force model, will those who review the police powers
report understand the reasons for the actions
taken? Reviewers do not have to agree with In a late afternoon in January 1998, two offi-
cers with the Oklahoma Probation and Parole
the actions taken. They need only find that
Department made a home contact at an apart-
the officers actions were reasonable under
ment complex in Oklahoma City. As the officers
the totality of the circumstances. One use-
spoke with the offender, someone entered the
of-force expert referred to jury instructions
apartment and pointed out a man standing a short
from a federal court case that read, When distance away who was arguing with a woman
you make your decision as to the appropri- and held what appeared to be an assault rifle.
ateness of this officers actions, you must
place yourself into the footprints of the offi- Both officers drew their weapons and
cer, and base your decision only on the facts approached the man. They identified them-
that the officer could have known, or should selves as police officers (probation and parole
have known at that time.14 The expert ex- officers have police powers in Oklahoma) and
repeatedly ordered him to put his gun down.
plained that the only way the court can be
The man, with his back to the officers, refused.
placed into the officers footprints is through
the written or spoken words of the officer. When the officers were 7 to 10 feet away, the
suspect glanced back at them. The officers
Officers involved in a use-of-force situation continued to identify themselves and com-
must create a written report that will let mand him to drop the gun. Moving his hand
readers know what the conditions were, to the forearm of the rifle, he turned, and
physically and psychologically, at the very pointed it at the officers. One officer fired a
instant their decisions were being made. round into the assailants chest, and the sus-
The report must articulate the following pect collapsed and later died.
elements that justified a use of force:
The investigation into the incident concluded
Intent: The assailant had the means and the the next month. The district attorney stated:
officer believed he or she was in jeopardy. Based on the evidence, it is the opin- 13
ion of this office that the use of deadly
Weapon: The assailant had a weapon that
force on January 27, 1998, by the pro-
could cause the officer physical injury or bation officer was justifiable under the
death. (Fists, feet, and other body parts can Constitution and laws of the United
be used as weapons.) States and the State of Oklahoma.
Use of deadly force by officers who
Delivery system (sometimes referred to as are in the performance of their legal
opportunity): The assailant had the means or duties, and when there is a reasonable
opportunity to cause the officer physical belief that it is necessary to protect
injury or death. themselves and others from serious
bodily injury or when such force is
Target: The officer or another person was in necessary to effect an arrest where
proximity to the individual so that, with the there is probable cause to believe a
weapon available to the assailant, that per- deadly weapon has been or will be
son could cause the officer physical injury used, is legal under the laws of the
or death. State of Oklahoma.a
a. Letter from Patrick J. Morgan, 1st Assistant District
The report could also address other issues, Attorney, Oklahoma County, Seventh District, State of
Oklahoma, to Bernard Ward, Supervisor, District 6,
regulations, or policies specific to an agency
Oklahoma Department of Corrections, dated February 3, 1998.
or locale. The officer writing the report

Use-of-Force Continuum
should put himself in the place of the poten- [Y]ou may not see or hear things
tial readers and answer any questions they that happen, or you may see or hear
might have. Experts warn that it may be dif- things that didnt happen. If you start
ficult to recall everything and that no one experiencing such things and dont
should feel compelled to make something know about this phenomenon, you
up. In a high-stress situation, perception could start thinking you are crazy.15
and recall are affected. One officer may
recall the incident one way and a coworker Officers may argue among themselves over
may recall it differently (see Officers dis- what actually happened. Most important,
torted perceptions in deadly force situations). investigators may think an officer is lying
about high-stress events although he is
Because of perceptual distortions, according telling them the truth as he perceived it.
to the authors of Deadly Force Encounters,

Officers distorted perceptions in deadly force situations

The authors of Deadly Force Encountersa surveyed 53 Memory. Sixty-four percent reported memory loss
officers involved in deadly force situations and found for parts or aspects of the event. Sixty-two per-
the following distortions of perception. cent reported memory loss for some of their own
actions. Twenty-one percent reported memory
Sound. Eighty-seven percent experienced diminished
distortion. They saw, heard, or experienced some-
hearing. Some did not hear certain sounds at all,
thing during the event that later turned out not to
including gunfire, shouting, or nearby sirens. Some
have happened.
stated that sounds had an unusually distant, muffled
quality. Fifteen percent reported intensified sounds; Thought. Eighty percent said they went on autopi-
some sounds seemed much louder than normal. lot: a reflex response to threat with little or no con-
scious thought to their actions. Fifty-one percent
Sight. Eighty-three percent experienced tunnel vision:
reported dissociation: moments of strange detach-
an intense focus on the perceived threat and a loss of
ment, as though the event were a dream or they
peripheral vision. Seventy-four percent reported height-
were looking at themselves from outside the action.
ened visual clarity, stating they could see details or
Forty percent experienced intrusive, distracting
14 actions with unusually vivid clearness and detail.
thoughts. Thoughts irrelevant to the immediate tacti-
Time. Seventy percent experienced slow-motion time; cal situation popped up, such as thinking about
events seemed to take longer than they actually did. loved ones or future plans.
Fifteen percent experienced fast-motion time; actions
Movement. Thirteen percent experienced temporary
seemed to happen faster than normal.
paralysis: a brief time of feeling unable to move.

a. Artwohl, Alexis, and Loren W. Christensen. 1997. Deadly Force Encounters. Boulder, CO: Paladin Press.


Crisis Prevention
The public continues to be concerned about officers and offenders increasingly view the
crime, particularly violent crime. Citizens relationship as adversarialeven regarding
have demanded that the criminal justice sys- a task as basic as taking a urine sample. The
tem focus more of its efforts on punishment subsequent potential for aggression and vic-
and control rather than on rehabilitation. timization increases dramatically.
Many jurisdictions have suffered severe
financial losses because courts have ruled As officers and management recognize the
that members of the public were victimized increased threat, the emphasis during train-
because of officers failures to supervise ing on techniques associated with law enforce-
offenders properly. From 1999 to 2001, the ment has resulted in a conflict of roles for
Washington State Department of Corrections some. The acts of surveilling, searching, and
lost almost $53 million in jury verdicts and in some cases arresting offenders cause great
settlements to victims or their families.16 concern and discomfort for some officers
Increased accountability has resulted in and many administrators. Thus, the debate
stricter conditions of supervision and more continues about the role of community cor-
emphasis on enforcement. Programs such as rections. In practice, the jobs that current
Project Nightlight, Project Spotlight, and officers perform range from social work-
Operation Nighthawk provide more intense oriented tasks to law enforcement activities.
supervision of offenders who are at high That is the unique aspect of community cor-
rections work. To meet the needs of all the 15
risk of reoffending. An obvious byproduct
of these new programs and changes in the people they serveoffenders, the public, and
way officers conduct supervision is a greater the courtsthey must be able to function
concern for the personal safety of the officers. appropriately along this continuum.

When officers are asked in training programs

where they see themselves on this continuum,
REHABILITATIVE VERSUS many put themselves in the middle. But, to
PROACTIVE ROLE optimize their effectiveness, they need to be
Under the rehabilitative model, offenders able to move from one end of the continuum
view community corrections officers as bro- to the other when it is appropriate. A well-
kers of treatment services rather than threats rounded officer can lead a counseling group
to their freedom. in the morning and conduct surveillance in
the field and make an arrest if warranted in
With more proactive approaches to commu- the afternoon. Performing all these functions
nity corrections and an increased emphasis effectively presents a challenge not only to
on accountability, officers spend more time officers but also to administrators and trainers.
on surveillance and enforcement. Both
OFFICER VICTIMIZATION not conduct surveillance, searches, and
arrests; thus the threat to officers will be
Most probation and parole officers will be avoided. In reality, however, officers are not
victimized while performing their duties. often killed or seriously injured performing
Victimization, as defined by William these law enforcement functions. Community
Parsonage, is any violence, threat of vio- corrections officers are usually killed per-
lence, intimidation, extortion, theft of proper- forming routine job functions (see Even
ty, damage to ones reputation, or any other routine chores are risky).
act that inflicts damage, instills fear, or
threatens ones sensibilities.17 Most workers Most of these officers were performing gen-
in the criminal justice system, from clerical eral supervision functionsmaking a home
to administrative, consider victimization a contact or office contact to provide a service
serious possibility. Officers see offenders as to the offender. As these tragic events show,
more dangerous than in years past, posing the intent of the officer does not matter;
more of a threat to staff safety.18 Gradually, what matters is the offenders mindset,
the need for training on issues such as intent, or perception of the event.
firearms and body armor has been recog-
Thankfully, most hazardous duty situations
nized. Dealing with verbal aggression, a
do not result in the death of an officer.
common behavior encountered by officers,
Information compiled by Deputy Chief
is more often included in training programs.

Most aggressive incidents involving commu-

nity corrections officers occur either in the
Even routine chores are risky
office or the offenders home. Probation and
parole officers are at considerable risk when Kansas probation officer Paul Weber was
making field contacts. Assailants may decide stabbed to death by an offender under his
when, where, and whom to attack for selfish supervision while making a home contact
or irrational reasons. Individuals who attack with a partner. They were discussing other
generally act alone, without ties to criminal living arrangements because the offenders
or deviant groups. Almost anyone, male or mother wanted him to move. Barry Sutherland,
female, young or old, can attack or assault a New York State parole officer, was shot and
an officer.19 killed at point-blank range while he and two
other officers were trying to take a parole vio-
Because the victimization of community lator into custody. Bjorn Svenson, a proba-
corrections workers is a new phenomenon, tion supervisor in Dade County, Florida, was
researchers have done little to examine the shot and killed by an offender with a rifle as
problem. William Parsonage20 suggests that he came out the back door of his office
the problem is both extensive and pervasive: building. Brian Rooney was shot as he sat
in his car on the streets of New York City
The rates of probation and parole workers
after arranging to meet an offender. It was a
who experience hazardous incidents range
planned execution and the purported meeting
from 38 to 50 percent. The victimization
was a trap. Thomas Gahl, a federal probation
rate is significantly higher for probation and
officer in Indianapolis, Indiana, was murdered
parole workers with direct responsibility for by an offender after he went to the offenders
supervising offenders in the field. residence to see why he had not reported for
a urinalysis. Donald Charley Knepple and
In an effort to avoid such officer victimiza-
a mental health worker were shot and killed
tion and the resulting cost of training and
in the mental health workers office by an
equipping officers who provide more proac-
offender who had asked for the meeting to
tive supervision, some agencies and admin- discuss his supervision.
istrators have decided that their officers will


Ronald Schweer shows the breakdown of 18 percent experienced fear on the job as
hazardous duty situations experienced by an aftereffect.
U.S. probation officers between 1984 and
1999, the last year that hazardous duty sta- 23 percent reported disruption of personal
and family life.
tistics were compiled by the Administrative
Office of the U.S. Courts, Probation Other psychological consequences included
Division (see exhibit 7). lack of self-confidence, reduced trust in
offenders, and reduced sensitivity to offenders.
No central repository exists for the collec-
tion of hazardous duty incidents incurred by Worker-victims had the following opinions:22
community corrections personnel similar to
the one that exists for law enforcement. In 25 percent of the cases, victimization
(The U.S. Department of Justice collects could have been avoided.
and compiles hazardous duty statistics on
In 22 percent of the cases, the agency
commissioned law enforcement personnel.)
could have done something to prevent it.
Because of the wide variance of classifica-
tions of community corrections personnel, In 55 percent of the cases, the agency
many incidents go unreported, and therefore could and should have been better pre-
the dangers posed to these officers are not pared to cope with these events.
known by most people. Although several
entities, such as the National Institute of Agencies are attempting to identify high-risk
Corrections, the American Probation and offenders whose potential for violence is
Parole Association, and the Correctional more obvious. As a result, agencies have
Management Institute at Sam Houston State taken steps such as making team assign-
University, have attempted to compile haz- ments, purchasing body armor and commu-
ardous duty statistics, they have not been nication equipment, and authorizing officers
successful due to the reluctance or failure of to carry weapons. Logistical considerations,
agencies to provide the information. Unless expense, and officer disregard often prevent
legislation is passed establishing a reposito- applying the same precautions to all offend-
ry and requiring agencies to report hazardous ers, particularly those with less documented 17
duty incidents, statistics will be lacking and histories of violence. In reality, an assault
most people will never be aware of the can come at any time, in any place, and
majority of incidents suffered by communi- from anyone.
ty corrections officers.

Statistics, when they exist, provide informa- OFFICERS MENTAL

tion on the hazardous duty experiences of PREPARATION
officers. But the aftereffects of victimization
are often less visibleand perhaps more The officers mental preparation is the ulti-
significant. While 35 percent of the most mate survival tool. In the book The Tactical
serious incidents reported21 involved physi- Edge, Charles Remsberg states, What truly
cal assault, the following conditions also prepared officers can depend on for winning
were reported: violent clashes is this: mental skill75%,
shooting skill5%, physical skill5%, and
56 percent of all worker-victims reported luck5%.23
being shaken up emotionally because
of the incident. For various reasons, the demographics regard-
ing the experience of community corrections
11 percent experienced physical symp- personnel has changed significantly in recent
toms (e.g., stomachache, headache) years. An Arizona survey of both adult and
because of the incident.
Crisis Prevention


U.S. Probation and Pretrial Services Hazardous Duty Statistics, 198499
Part A. Hazardous Duty Incidents

Type of Incident 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999
Animal attack a 6 5 7 12 9 4 8 9 16 14 19 34 11 17 26 31

Armed invasion
(building) - - - - - - - - - 1 - - - - - -
Assault and attempt 5 1 - 2 5 4 2 5 - 12 5 10 5 2 2 -
Auto accident - - - - 6 4 - - - 1 6 9 8 6 6 16
Auto assault - - - - - - - - - - - - - - - -
Auto burglary - - 1 - 3 1 - 1 1 - - - 4 1 - -
accident - - - - - - - - 4 - - - - - - 13
Auto situation - - 2 - - - - - - - - - - - - -
Auto vandalism - - 1 1 - - - - - - - - - - 3 -
Bomb - - - - - - - - - - - - - - 1 -
Bomb threat - - - 2 - - - - - - 1 4 1 2 1 2
Chemical exposure - - - - - - - - - - - - 1 1 - -
Contagious disease
exposure - - - - - - - - - - 2 7 1 8 9 9
b c
Dangerous situation - 4 1 - - - 11 26 52 17 22 26 18 13 29 12
Explosive device - - - 1 1 1 - - - - 1 - - - - -
Gunshot at office - - - 1 - - - - - - - - - - - -
Happening upon
violent crime - - - 1 - - - - - - - - - - - -
Hazardous chemical
(office) - - - - - - - - - 1 - - - - - -
Hostage situation - - - - - - - - - - 1 - - - - -
Hotel burglary - - - - - - - - - - 1 - - - - -
Part A. Hazardous Duty Incidents, continued

Type of Incident 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999
intimidation - - 10 7 17 5 - 9 27 26 21 30 14 14 17 16

Intervention in
altercation - - - 2 - - - - - - - - - - - -
Miscellaneous - - - - 16 33 21 11 - - - - - - - -
Murder of officer - - 1 - - - - - - - - - - - - -
Occupied vehicle hit
by gunfire - - - - - - - - - - 1 - - - - -
Offender physically
restrained - - - - - - - - - 1 - - - - - -
Office security
violation - - - - 2 - - - - - - - 1 - - -
Office vandalism - - - - - - - - - - 1 - - - - -
Personal injury - - - - - - - - - - 1 3 3 - 4 -
indirect threat - - - - - - - - - 18 40 - 37 48 30
indirect threat - - - - - - - - - - - - 27 - -
Purse snatching - 1 - - - - - - - - - - - - - -
Range injury - - - - - - - - - 2 1 1 - 2 3
Robbery - 1 - 3 1 1 - - - - - 1 1 - - -
Robbery/assault - - - - - - - 1 3 - - - - - - -



Crisis Prevention


Part A. Hazardous Duty Incidents, continued

Type of Incident 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999
Situation with
firearm or
edged weapond 4 - 9 9 12 7 10 9 9 14 21 9 14 8 15 18

Threat 33 27 25 16 42 35 21 34 44 40 - - - - - -
firearm discharge - - - - - - - - - - 1 - - - - -
Verbal threat - - -- - - - - - - 20 18 - 16 8 22
Other 5 1 - - - - - - - - - 2 4 1 8 16
TOTALS 53 40 57 57 114 95 73 105 156 127 144f 194 114 126 179g 188
Cap-Stun was used once in 1993 and 1996, twice in 1994, and three times in 1995.
Dangerous situation was referenced in 1985 as Fugitive Apprehensions or Drug/Weapon Confiscations.
Dangerous situation was listed as Rock Throwing in 1986.
Situation w/firearm or edged weapon was referenced in 1984 as Guns (pointed, confiscated, or present); in 1987 as Weapons (in possession, but not used5 knives, 4 guns);
in 1988 as Weapons (11 guns, 1 knife); and in 1989 as Weapons (7 guns).
The types of Threats listed in 1986 were 15 verbal, 6 telephone, and 4 written; 1987 included 10 verbal, 5 telephone, and 1 written; 1988 included 22 verbal, 11 written, and
9 telephone; and 1989 included 24 verbal, 9 telephone, and 2 written threats.
Because some incidents were reported more than 30 days after the end of the quarter, the 1994 total is more than the sum of the totals published for each of the four quarters.
The annual total reported in the News and Views for 1998 was 178; however, the correct sum is 179.
Part B. Hazardous Incident Locations

Location 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999
Office/court - - - - - - - - 24 38 29 - - - - -
Field - - 8 13 - - - - 36 73 72 62 45 43 98 94

Home of defender/
offender 15 17 23 15 - - - - - - - - - - - -
Court - - - - - - - - - - - 14 6 4 13 12
Office 14 11 7 18 - - - - - - - 44 28 36 49 48
Courthouse/jail 9 2 5 8 - - - - - - - - - - - -
Other 15 10 14 3 - - - - - - - 18 8 22 16 34
TOTALS 53 40 57 57 - - - - 60* 111 101 138 87 105 176 188
Note: Location and perpetrator information was not available from the resource cited for the years 1988 to 1991.
* Third- and fourth-quarter figures only (first and second quarters not available).

Part C. Hazardous Incident Perpetrators

Perpetrator 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999
Offender/defendant 30 21 27 25 - - - - 38 63 55 78 46 45 77 74
Other - - - - - - - - 22 48 40 33 18 28 59 56

Unknown 18 14 11 18 - - - - - - 6 - - - - -
Anonymous - - - - - - - - - - - 21 17 18 23 35
Family member 5 3 6 2 - - - - - - - 6 6 14 10 14
Dog - - 7 12 - - - - - - - - - - - -
Inmate or former
probationer/parolee - - 6 - - - - - - - - - - - - -
TOTALS 53 38 57 57 - - - - 60* 111 101 138 87 105 169 179
Note: Location and perpetrator information was not available from the resource cited for the years 1988 to 1991.
* Third and fourth quarter figures only (first and second quarters not available).

Source: News and Views. Administrative Office of the U.S. Courts. Issues 3/25/85 to present.

Crisis Prevention
juvenile probation officers conducted in Developing crisis management and con-
August 2001 found that 56 percent of offi- trol techniques.
cers had served 5 or fewer years in the crim-
inal/juvenile justice system; less than 11 Applying emergency responses when all
else fails.
percent had more than 15 years of experi-
ence.24 Although years of experience does Any safety program should begin with an
not necessarily correlate to safety, it points understanding of an officers mental aware-
out that a significant portion of the commu- ness and the levels to be attained given vary-
nity corrections workforce has not had the ing assault cues. Author and trainer Jeff
benefit of years of experience and under- Cooper developed a color code of awareness
scores the importance of providing training regarding assault cues (see exhibit 8). This
before officers encounter violence on the job. color code has been modified and adopted
by most safety trainers and is the basis for
Community corrections officers who do not
any safety training program, from safe driving
carry firearms and have little or no self-
skills to the use of lethal force. The color code
defense training must rely on their mental
can be combined with the use-of-force contin-
skills as their only survival tool. But safety
uum to help officers know when and how to
tools are useless even when officers have
respond based on an assailants actions.
them if the officers are not mentally pre-
pared. It is known that attacks come with lit-
tle or no warning, that offenders use various
types of weapons, and that offenders are
often in close proximity to officers. If an Fortunately, many situations encountered by
attack cannot be prevented, the officer must officers can be controlled by verbal interven-
identify the threat and control the situation tion: using specific techniques of question-
quickly and effectively. ing and diffusion with potential assailants. In
addition to identifying appropriate verbal and
Many agencies have made great strides at
nonverbal responses to progressive levels of
developing programs to increase the safety
verbal aggression, an effective verbal diffu-
22 awareness of officers and staff. The Federal
sion program includes self-awareness, offi-
Judicial Center has produced a series of
cer self-control, and environmental safety
safety programs and videotapes dealing with
considerations. It also should give partici-
worker safety. Materials relate to safety
pants an opportunity to practice the skill in a
issues in the various environments within
controlled environment. Although various
which officers and support staff function.
courses contain the elements listed previ-
The centers staff safety program includes
ously, few provide specific verbal techniques
training materials on
to diffuse and reduce the intensity of the sit-
Identifying the stages of a crisis. uation. In Arizonas safety survey of adult
and juvenile probation officers, 62 percent
Identifying the workers style in handling of officers felt trained to recognize a dan-
a crisis. gerous situation; however, only 51 percent
felt trained to deal with a dangerous situa-
Comparing conflict management styles.
tion. Any program selected should be evalu-
Learning to deal with a crisis. ated to ensure it not only identifies the levels
of aggression but also teaches effective verbal
intervention techniques.


Color Code of Awareness






The better mentally conditioned officers are, the more likely their level of awareness will match the degree of readiness
needed in a critical incident. Such officers can better detect the early warning signs of a risk or threat and move to
higher levels of awareness if necessary. The Tactical Edge codes the levels of awareness with the use of colors.

Condition White A Mental State of Environmental Unawareness

The officer is oblivious to what goes on around him.
His surroundings are familiar and safe.
His state of mind is relaxed.
He may be daydreaming, on vacation, tired, or preoccupied.
The officer is not ready for a threat in this condition.

Condition Yellow A Relaxed but Alert State

The officer is cautious but not tense.
He is not expecting a threat, but he is aware of the possibility of one.
He can sustain this state of alertness for long periods.
This is the officers minimum level of awareness for the office and field.

Condition Orange A State of Alarm

Confrontation is seconds away.
The officer recalls his plan for dealing with the situation.
He identifies the threat and takes cover.
He cannot sustain this state of alarm for long periods.
It is now impossible to surprise the officer.

Condition Red A State of Combat

The officer focuses on and controls the threat.
His level of alertness allows him to make rational decisions.
He cannot sustain this state of combat for long periods.
The officers mental conditioning helps him respond appropriately.

Condition Black A State of Panic, Frenzy, and Paralysis

The officer cannot react appropriately and becomes a victim.

Source: Jeff Cooper, Federal Probation and Pretrial Officers Association Safety Committee, 1999.

Crisis Prevention
Self-Defense and Physical Fitness
A 1997 U.S. Government Accounting Office Police statistics show that victimization hap-
(GAO) study of offenders sentenced in fed- pens not only in urban areas but in rural and
eral courts predicted that offenders being suburban locations as well. An assailant can
placed on supervision would be far more attack at any time, in any place, and on
dangerous than previously supervised offend- grounds that are totally irrational.26
ers. The same shift is occurring on the local
level. Offenders who previously would have When suspects are arrested, the criminal jus-
been sent to prison are being placed on tice system provides them with all the legal
supervision or being released earlier than manifestations of due process. This is often
they would have been a decade ago. not the case with probationers and parolees.
In response to increasing publicity of events Typically, they are tried not by a jury of
involving victimization of community cor- their peers, but by a reviewing authority such
rections workers, officers have become sen- as the parole board. The board determines
sitive to their own vulnerability. Incidents the case based on a preponderance of evi-
such as the killing of a Dallas probation offi- dence rather than beyond a reasonable
cer and the rape and beating of a state parole doubt. With a diminished chance of freedom
officer in Beaumont, Texas, provoke con- comes an increased chance of resistance.
cern. A review of the statistics involving Furthermore, community corrections officers
assaults to federal law enforcement officers have not historically worn the uniform and
in 2000 reveals that of 528 assaults, 32 per- badge of authority that are so evident in law 25
cent involved personal weapons (i.e., any enforcement.
part of the body, such as the hand, fist, or
Traditionally, community corrections workers
foot, that can be employed as a weapon). In
have been complacent in matters of personal
the same year, 82 percent of the 56,054
safety. They have seen workers retire from
assaults on local and state law enforcement
the system who have never been involved in a
officers involved the use of personal weapons
physical attack or a situation involving the
by the assailant.25
use of physical force. Because the primary
The Federal Probation Officers Association focus in the past was on rehabilitation, it was
studied assaults between 1980 and 1992 and unlikely that an offender would assault some-
found far more physical assaults than deaths: one who seldom represented a threat to his or
14 murders; 101 sexual assaults; 14 slashings her freedom. However, with increased
or stabbings; 46 uses of blunt instruments or emphasis on enforcement and accountability,
projectiles; and 691 incidents of officers the role of the community corrections worker
being punched, kicked, or choked. These has changed. Too often neither workers nor
data represent attacks that were completed; managers have adjusted their thinking or
an additional 733 attempts of a like nature behavior accordingly.
also were reported.
Many agencies expect community correc- been in a physical fight. Many community
tions workers to accept the risk of verbal corrections personnel do not commonly
and physical abuse as part of the job. To encounter physical aggression and therefore
some extent they must. That expectation is are not practiced at responding to it. Thus,
not always made clear to the prospective they must be trained if they are to respond
worker, however. At the organizational level, appropriately and effectively.
historically, administrators have tended to
downplay worker safety as a serious prob-
lem. They are concerned that attention to SELF-DEFENSE TRAINING
such a problem would involve the agency in
Supervisors and administrators often do not
issues of responsibility and liability. A U.S.
participate in hands-on training programs,
probation supervisor once refused to allow
perhaps because they believe that they no
defensive tactics training when he was
longer need to maintain their physical skills
advised that a participant could incur a minor
and technical abilities. The result is that they
injuryalthough all appropriate precautions
tend to lose their understanding of this criti-
would be taken.
cal portion of the field officers job. It quick-
Parsonage states, The cumulative conse- ly becomes difficult, if not impossible, for
quence has been to deny sufficient attention the administrator or supervisor to objectively
to the problems of violent and abusive inci- evaluate an officers use of force or identify
dents involving workers in the line of duty.27 and correct any adverse trends that current
Enough physical attacks have now been training may discover.
documented to prove that such hazards
A study at the Colorado Law Enforcement
exist. Thus administrators have an obligation
Training Academy found that 79 percent of
to provide defensive tactics training to their
officers believed that overly aggressive
behavior by officers indicates a lack of self-
Agency administrators concerned with their confidence. In addition, 86 percent consid-
officers safety sometimes arm their officers ered overly aggressive behavior a result of
before they have even considered safety lack of training. Better training, improved
training, however. Under stress, in a crisis, self-confidence, better hiring standards, and
officers instinctively respond the way they yearly certifications were cited by most
have been trained. If trained only in verbal respondents as solutions to the problem of
skills and then given a firearm, an officer escalation of force.28
will likely first try to control a situation ver-
The study also determined that practice of
bally and then jump to the use of lethal
self-defense skills must occur when students
force. In failing to provide defensive tactics
are in a physical state of stress similar to
training, the agency is failing to provide the
that experienced on the street. If students do
officer with skills to deal with statistically
not achieve sufficient stress levels or their
the largest assailant population: offenders
levels become too high, learning is inhibited.
who use physical assault that requires a
Techniques that have not been repeated suf-
response of less-than-lethal force.
ficiently to become automatic or instinctive
Some administrators and officers believe responses are blocked out by the anxiety that
that a physical response to an attack is a nat- occurs in a real encounter. The increased
ural response by any officer. Again, officers anxiety and lack of proactive response can
respond the way they have trained. Informal lead officers to a fight-or-flight response,
surveys of safety workshop participants causing them to react inappropriately to the
often show that fewer than half have ever threatening situation.29


Any self-defense training should be built on What types of situations should officers train
what officers have already learned through for? That depends on the tasks they are
classroom and other forms of training: asked to perform. If officers make arrests,
increasing awareness, mental preparation, are issued impact weapons and OC, and
assessment of danger, nonviolent aggression carry firearms, defensive tactics should
management, selection of force, defense include physically controlling a noncompli-
considerations in the office setting, defense ant offender taken into custody and the
considerations for female officers, handling an proper use of and defense against impact
emotionally disturbed person, edged weapons weapons, OC, and firearms. If officers carry
tactics, and defense against armed assailants. a piece of safety equipment, they must know
how to retain it and, if taken away, how to
But what type or discipline of defensive tac- defend against it.
tics should be selected? The first question to
ask, as an individual or an agency, is basic: But even if officers have no safety equip-
What do you want the training to accom- ment and agency policy does not allow mak-
plish? Officers can learn tactics to take ing arrests, they still needand the agency
individuals under control, such as handcuff- must train them forthe ability to deal with
ing techniques involving various levels of dangerous situations, such as sexual assault,
resistanceor they can learn the basic sur- empty-hand attacks, and attacks with all
vival skills if attacked. types of weapons, including knives, hand-
guns, and shotguns.
Once the goals of the training are set and a
program is outlined, realistic commitment Both agencies and individuals must be
must be made by agency heads. Many tech- educated consumers. Evaluate any potential
niques are effective, but they require repeat- training as to whether it is realistic and
ed practice to master. Most individuals and taught in a dynamic manner, and whether it
agencies will revisit defensive tactics only includes techniques that will cover the entire
once or twice a year. Thus, any skills taught continuum of force up to and including
must be easy to master and retain, effective, lethal force. Officers have the right to use
and easily recalled under stress. They also lethal force against any attack that may 27
must be applicable to most officers of both cause them serious physical injury or death.
sexes and of varying ages, strengths, and If they do not carry a weapon to deliver that
sizes. Participants must be convinced that level of control, they need to have the men-
the techniques are effective for both the larger tal and physical skills to obtain a weapon of
males in the class and the slighter officers opportunity or use their personal weapons
and under real-life conditions. If students do (hands, feet, etc.) to stop the threat quickly
not believe in the tactics, they will not use and effectively.
them when the time comes.
Generally, an effective self-defense program
During a safety audit of a state probation applicable to the largest range of officers
agency, focus groups of officers evaluated should deal with techniques that are easily
the effectiveness of a training program on taught and easily retained under stress. Most
defensive tactics skills delivered to all their techniques should build on natural human
officers. The focus groups revealed that the responses to physical attack, such as block-
techniques taught were too complicated and ing, striking, and kicking. Something as sim-
no followup training was provided on the ple as movement is not a natural response of
skills taught. The result was that the officers many individuals being attacked. Under the
could not recall the tactics 6 months after stress of an attack, especially a surprise
the program. attack, many individuals freeze up, failing
to move or stop the attack.

Self-Defense and Physical Fitness

Officers with slighter builds can learn to Because the emphasis on fitness is even
take advantage of the movement of the lower for community corrections workers,
assailant and not attempt to muscle the it can be interpolated that the problem is
assailant into compliance. Although these likely much greater.
skills have long been a part of the martial
arts, only recently have they become a part The ability of an average officer in average
of general self-defense programs. shape to exert maximum effort will last no
more than 20 to 45 seconds. A research pro-
gram in Missouri measured the heart rates of
PHYSICAL FITNESS TRAINING police officers not trained in efficient com-
bat skills during simulated street fights.
Although community corrections personnel When told they were going to fight, the offi-
work in stressful environments, little is done cers average heart rate rose from 75 beats
to mandate physical fitness standards. Most per minute to 85. Placed on mats and given
offenders are younger, more physically the fight rules, the average rate surged to
active, and in better physical condition than 120. After actually struggling with partners
the average community corrections officer. for just 30 seconds, their rates ranged from
Often parolees have spent prison time lifting 185 to 235 beats per minute. The average
weights and otherwise getting into good human heart starts coming apart when over-
physical shape. loaded at 220 beats or more per minute over
Some probationers and parolees have also a period of time. In short, if an officer can-
learned defensive and offensive tactics they not end an encounter quickly, he or she risks
believe will serve them on the streets, such not only severe assault but a heart attack as
as street fighting and disarming techniques. well.31
During routine surveillance, prison authori- Healey32 presents a convincing argument that
ties at various institutions have videotaped management has a fitness responsibility to
inmates practicing techniques for escape and its law enforcement officers and suggests
control while being searched. that physical fitness is a tool. He believes it
28 No universal physical fitness standards exist is unfair to place the burden of quality effec-
for community corrections agencies, and tiveness on the individual. An overall physi-
generally physical fitness is not emphasized, cal fitness program is the joint responsibility
other than what is necessary to participate in of both the worker and the agency. Some
various aspects of training. Little research is community corrections agencies have recog-
available on physical fitness for corrections nized the importance of physical fitness and
workers; generally, most research pertains to have adopted policies that provide on-duty
law enforcement. It is disconcerting that a time for officers to participate in physical fit-
significant number of line-of-duty deaths for ness training. An allotment of 3 hours per
correctional institution workers were due to week is common in these departments.
heart attacks suffered while participating in Fewer agencies have mandated physical fit-
defensive tactics training. ness requirements. It is most common to see
Bracys study of police officer physical fit- mandatory fitness training or standards in
ness found that, due largely to poor diet departments that carry firearms and/or make
and lack of exercise, a significant sample of arrests. The South Carolina Department of
American police officers possessed a body Probation, Parole and Pardon Services has
composition, blood chemistry, and general adopted minimal physical fitness standards
level of physical fitness greatly inferior to for all personnel with the power of arrest.33
that of a similar-sized sample of convicts.30 Their policy states, All personnel holding the
power of arrest will be required to participate


annually in a physical fitness evaluation. good, and 2 points for fair (see exhibit 9).
Personnel have the option of choosing The officer must attempt all three activities
between two fitness programs. Program A in program A or the full walk in program B
consists of a 1.5-mile run, pushups, and regardless of the point total. A passing score
crunches (see exhibit 9). Program B con- for program B is earned by completing the
sists of a 3-mile walk. A passing score for 3-mile walk in 60 minutes or less. Officers
program A equals a total of at least 8 points who fail to achieve a passing score are
from the 3 activities. Scoring is tabulated as rescheduled for another attempt between 90
follows: 5 points for excellent, 3 points for days and 180 days after the last attempt.

Program A Performance Levels, by Age


Men Women
Activity Fair Good Excellent Fair Good Excellent
1.5 mile runtime ranges
2029 12:51 11:41 10:16 15:26 14:24 12:51
3039 13:36 12:20 10:47 15:57 15:08 13:43
4049 14:29 13:14 11:44 16:58 15:57 14:31
5059 15.26 14:24 12:51 17:55 16:58 15:57
60 + 16:43 15:29 13:53 18:44 17:46 16:20

Pushups maximum
2029 29 37 47 23 30 36
3039 24 30 39 19 24 31
4049 18 24 30 13 18 24 29
5059 13 19 25 12 17 21
60 + 10 18 23 5 12 15

Crunch test
2029 3546 4757 5871 3041 4252 5366
3039 2840 4152 5364 2536 3747 4859
4049 2636 3746 4757 2231 3240 4150
5059 2231 3240 4151 1726 2734 3543

Source: South Carolina Department of Probation, Parole and Pardon Services.

Self-Defense and Physical Fitness

Oleoresin Capsicum
Oleoresin capsicum (OC) is an inflammatory The FBI also found that, unlike the tear gas
agent that occurs naturally in cayenne pep- irritants ortho-chlorobenzylidene malononi-
pers. When used as a deterrent spray on trile (CS) and chloroacetophenone (CN)
humans, it inflames mucous membranes, (often sold as Mace), OC particles dissipate
causing coughing, gagging, and shortness from clothing in a short time and the offend-
of breath and making the eyes close. It also er can be transported without affecting the
creates a sensation of intense burning on the officer. Most authorities recommend trans-
skin and mucous membranes inside the nose porting offenders after the spray has dried.
and mouth. Many agencies have authorized,
or are authorizing, the use of OC spray (also
called pepper spray) by their officers. In DECONTAMINATION
1999, OC spray was the second most com- PROCEDURES
mon form of safety equipment authorized by
An enclosed area is decontaminated by
community corrections agencies, according
opening doors and windows for ventilation.
to the National Association of Probation
Generally, all effects completely disappear
Executives (NAPE) survey.34
within 30 minutes for the 1-percent concen-
tration and 45 minutes for the 5-percent con-
FBI tests have found that individuals ex- The subjects face and eyes should be
posed to pepper spray exhibit physical flushed with cool water and a non-oil-based
effects ranging from severe twitching to soap or detergent used to remove the resin
involuntary closing of the eyes.35 Respiratory from the skin. The skin should be patted dry
inflammation caused coughing and shortness with a cloth towel, not rubbed. A wet towel
of breath, as well as gasping with a gagging or ice packs can be applied to affected areas
sensation. Other symptoms included redness to reduce inflammation. Commercial eye
and inflammation of exposed skin that ranged wash should not be used during the deconta-
from a slight to acute burning sensation. mination process.36 If effects persist, medical
Some individuals experienced minor cases attention should be sought.
of nausea and catatonia. No one experienced
long-term effects from OC. Respiratory
functions usually returned to normal within CURRENT USE OF OC
2 minutes after each test. Visual acuity BY AGENCIES
returned within 25 minutes after decontam- Many law enforcement and corrections agen-
ination. Most individuals eyes appeared cies use OC sprays with a high degree of
bloodshot for 1015 minutes after contact success. The FBI study showed that of the
with OC. 42 departments surveyed, only one cited an
example in which OC proved ineffective on by staff, similar to training on any defensive
a subject. A report by the British Columbia tactic or device.
Police Commission stated, In over 93% of
the cases, the spray was totally effective for Specific purchase considerations include
use to incapacitate a subject. Officers sub- The size of the canister.
mitting the reports often included glowing
The percentage of concentration.
comments regarding the spray.
Propellant spray distance and spray pattern.
The report also stated that in 104 applica-
The trigger mechanism.
tions of OC spray, there were no injuries
to suspects or officers arising from the use
of the spray. Contamination was listed Size of Canister
as slight or of no significance in the vast
Many field corrections personnel use a
majority of cases, and the spray appeared
pocket- or purse-size model. The next larger
to work effectively on dogs (two applica-
model can be clipped on a belt or carried in
tions were on dogs).37
a larger pocket, such as a coat pocket. The
size of the canister correlates to the effective
spray distance. Pocket-size models range in
PURCHASE CONSIDERATIONS effective distance from 2 to 6 feet. Belt or
An agency that authorizes the carrying and coat-pocket styles range in effective distance
use of OC sprays should consider the fol- from 4 to 15 feet. If a weapon also is car-
lowing issues when purchasing them and ried, some agencies recommend that the
developing training programs for their use: spray be carried to facilitate use by the weak
hand, leaving the strong hand available for
The identification of psychological and the firearm.
physiological effects of OC spray.

The location of OC spray on a use-of- Percentage of Concentration

force continuum.
Most agencies select the 5- or 5.5-percent
32 The proper stance, body position, and solution (depending on the brand), although
techniques in the use of OC spray. more concentrated solutions are available.
As part of its study of OC, the FBI tested
Verbal directions or commands to non- the 10-percent solution for effectiveness;
compliant subjects before and after using preliminary results suggest that it is not
OC spray. necessarily more effective. To get a more
The recommended number and length of accurate evaluation of the strength, examine
bursts to be used on noncompliant subjects. the number of Scoville heat units (SHU).
(Named after the pharmacologist Wilbur
Techniques for decontamination of indi- Scoville, SHU is a measure of pungency or
viduals in areas exposed to OC spray. heat intensity.) The higher the SHU level,
the more potent the spray.
First aid procedures to administer to indi-
viduals exposed to OC spray.
Propellant Spray Distance and
Reporting procedures to follow after
using OC spray. Spray Pattern
Alcohol is a common propellant used in OC
Training on the use of OC sprays should be sprays. Some companies combine alcohol
consistently updated, reviewed, and practiced


with water. Many agencies prefer the cone- through the effects for a period of time. The
type spray over the direct-stream spray trainers believed that the anticipation of
because it requires a less accurate aim and experiencing the effects of the spray inca-
it is less likely to injure the eyes. The width pacitated them more quickly. Many agencies
and distance of the spray correlate to the now require during OC training that officers
size of the canister, the resulting nozzle flow receive a direct spray and then complete
rate, and spraying pressure (the impact per such tasks as handcuffing a compliant sub-
square inch). ject to help them realize they can still func-
tion after being sprayed.
Trigger Mechanism Because most agencies allow the use of
Issues of accidental discharge and access by lethal force against an assailant armed with
offenders need to be examined when consid- OC spray, the officers must be able to testify
ering the type of trigger. Most of the popular that they are adversely affected by OC spray.
spray brands have a safety mechanism on Some officers have objected to this manda-
the canister or holder. The pocket-size sprays tory exposure and have taken the issue to the
have a guard on the holder or a turn and courts. The courts have ruled that it is permis-
press device. sible for agencies to require direct exposure
to OC as a part of the training.

Training Considerations Many community corrections agencies that

issue OC spray have chosen to expose their
When OC training began, most law enforce-
officers to the spray as part of their certifica-
ment and corrections agencies provided
tion training. Others expose less directly by
information about the effects of OC and then
walking participants through a mist of spray,
exposed officers to the spray, using tech-
applying OC under the eyes with a cotton
niques ranging from direct spray to passive
swab, or spraying the officer in the upper
exposure. Trainers reported that officers
chest area. Whatever the technique, officers
would invariably and quickly succumb to
should experience the debilitating effects of
the spray. Trainers then experimented with
OC so they can testify that they are affected, 33
exposing trainees to the spray first, before
in case they must resort to lethal force to
informing them of the expected response to
protect themselves against an assailant
the spray. With this new strategy, partici-
using OC.
pants were less likely to be immediately
affected by the OC spray and could fight

Oleoresin Capsicum
Body Protection
As field work becomes more proactive and armor classification types and a seventh spe-
precarious, officers need to explore all cial type.40 Most agencies will choose type
options to ensure their safety and survival. IIA and/or type II. The following describes
An incident can occur at any time and at any the four most common levels considered.
location. Officers in the field are particularly
vulnerable to a surprise incident jeopardiz- Type I. Protects against .22 caliber long
ing their safety. A variety of protective pre- rifle, high-velocity lead bullets, .38 special
cautions, including soft body armor, gloves, round-nose lead bullets, and most other
and identification jackets, are generating handgun rounds in .25 and .32 caliber. Most
increasing interest among community cor- bullets used to kill law enforcement officers
rections agencies. in 1991 had a higher velocity of .38 or
.357.41 Thus, type I is probably not enough
SOFT BODY ARMOR Type IIA. Protects against lower velocity
Given all the levels and types of soft body bullets, such as .357 magnum, 9mm, .40
armor available, how do agencies or individ- S&W, .45 auto, and 38+P. As protection
uals select what is appropriate for them? increases, so does the weight of the garment,
The key element to keep in mind is that which uses progressively more material.
body armor is of no use if it is not worn. Type IIA is recommended as the lowest 35
Between 1975 and 1999, more than 1,800 level of protection an individual or agency
law enforcement officers were killed by should consider purchasing.
handguns; however, more than 2,400 officers
Type II. Protects against higher velocity
lives were saved by body armor. An FBI
.357 magnum and 9mm bullets and lower
study shows that the chance of being killed
velocity .41 and .44 magnum rounds. The
by handguns was 14 times greater for officers
armor is heavier and more bulky than type
who did not wear body armor.38 In the NAPE
IIA armor and may not be suitable for full-
survey, 58 percent of the agencies responding
time use in hot and humid climates. Many
reported using body armor, although they did
law enforcement agencies in more temperate
not indicate the extent to which body armor is
areas use type II armor.
available to staff.39
Type IIIA. Protects against higher veloci-
ty .44 magnum bullets and 9mm full-metal-
Threat Level
jacket rounds. Although not suitable for
The National Institute of Justice (NIJ) routine wear, it may be appropriate for
Standard0101.04, Ballistic Resistance special operations.42
of Personal Body Armor, published in
September 2000, establishes six formal More than 90 companies manufacture body
armor worldwide.43 Most major companies
that produce body armor provide ballistic Other Selection Considerations
data and threat level information in their
The administrator of a probation office
brochures. Although manufacturer compli-
failed to obtain adequate information before
ance with the NIJ standard is voluntary,
purchasing body armor. As a result, only
most law enforcement agencies require that
one type IIIA vest was ordered for every
the body armor they purchase meet the NIJ
four officers. Half of the vests did not fit an
standard. Most body armor manufacturers,
average-size male, and none was suitable
therefore, submit their products for testing.
for females. Vests were usually left in the
On average since 1997, 44 percent have
office or in the car trunk. In another agency,
failed NIJ testing.44 Body armor that does
an administrator, when asked about the
comply with the standard is labeled, and the
need for soft body armor in a safety survey,
threat level classification is identified.
revealed, Officers dont need body armor.
The main task is to balance protection with They should never put themselves in a situa-
fit and comfort, which includes considering tion where they would need it.
the climate of the area, situations officers
NIJ recommends that a committee of two or
are likely to encounter, and the level of pro-
three officers become familiar with armor
tection needed to protect against the ammu-
technology and independently assess the
nition they carry. Again, body armor does no
needs of the department (see Resources for
good if not worn.
selecting body armor). They should con-
Although designed primarily for handgun sider the following factors when selecting
assaults, soft body armor also has prevented the appropriate body armor:
serious injuries from traffic accidents and
The threat-level selection.
physical assaults with clubs. It usually does
not protect against knives and other cutting The type of armor.
instruments, although it can lessen the trau-
ma of edged-weapon attacks. Vests specifi- Comfort and fit.
cally designed for edged-weapon attacks are Body coverage.
36 usually worn by institutional staff.
The method of purchase and contract
Suppliers currently offer soft body armor Quality control.
constructed of materials such as Kevlar, Maintenance.
Spectra Shield, a combination of Kevlar and
Spectra Shield, Ultra Shield (which the man-
ufacturer says should not be confused with Policy Considerations
Spectra Shield), and AKSO NOBEL Twaron. After selecting the appropriate soft body
NIJ indicates that various design ideas and armor, an agency should decide whether
combinations of materials are available and requirements for their use should be estab-
advises, If armor has been demonstrated to lished. Many law enforcement agencies
provide the desired level of protection, the require officers to wear body armor while on
user should not be concerned with the design, duty; some community corrections agencies
but should look for proper fit and comfort.45 are considering this policy. However, like


Resources for selecting body armor
The Bulletproof Vest Partnership Grant Act, estab- 25 Questions and Answers About Personal
lished June 16, 1998, pays up to 50 percent of the Body Armor.
cost of NIJ-approved body armor.a Many communi-
NLECTCs Body Armor Testing Program data-
ty corrections agencies have teamed with local law
enforcement to take advantage of this program.
NIJ Standard0101.04, Ballistic Resistance of
The NIJ Technology Assessment Program offers Personal Body Armor, Revision A (2001).
several publications to help agencies make an
informed decision: Testing Program Transition: NIJ
Standard0101.03 to 0101.04.
Selection and Application Guide to Personal
Old Armor Tests as Good as New.
Body Armor (2001).
Body Armor User Guide.c
Model Body Armor Procurement Package
(1990). To obtain these publications, contact:
Police Body Armor Consumer Product List National Law Enforcement and Corrections
Update, Fall 1997 (1997).b Technology Center (NLECTC)
P.O. Box 6000
The JUSTNET Web site, operated by the National
Rockville, MD 20850
Law Enforcement and Corrections Technology
Center (NLECTC) (
Toll-free: 8002482742
bodyarmor.html), offers other resources on its
Ballistic-Resistant Armor page, such as:

a. Bulletproof Vest Partnership Grant Act of 1998, Pub. L. No. 105181, 112 Stat. 512 (1998), as amended by
Bulletproof Vest Partnership Grant Act of 2000, Pub. L. No. 106517, 114 Stat. 2707 (2000) (codified at 42 U.S.C.
3796ll3796ll-2 (2001)). For more information about the Bulletproof Vest Partnership Program, see the World Wide
Web at

b. National Institute of Justice, National Law Enforcement and Corrections Technology Center. 2001. Selection and
Application Guide to Personal Body Armor, NIJ Guide 10001. Rockville, MD: U.S. Department of Justice, NCJ 189633;
National Institute of Justice, National Law Enforcement and Corrections Technology Center. October 1997. Police
Body Armor Consumer Product List Update, Fall 1997. Rockville, MD: U.S. Department of Justice; National Institute of
Justice, Technology Assessment Program. January 1990. Model Body Armor Procurement Package. Washington, DC:
U.S. Department of Justice.

c. National Institute of Justice, National Law Enforcement and Corrections Technology Center. 25 Questions
and Answers About Personal Body Armor. Available on the World Wide Web at
armorfaqs.html; National Institute of Justice, National Law Enforcement and Corrections Technology Center. Body
Armor Testing Program Database. Available on the World Wide Web at;
National Institute of Justice, Law Enforcement and Corrections Standards Testing Program, Ballistic Resistance of
Personal Body Armor: NIJ Standard0101.04 (Revision A) (see note 40); National Institute of Justice, National Law
Enforcement and Corrections Technology Center. May 2001. Testing Program TransitionNIJ Standard 0101.03
to 0101.04. Available on the World Wide Web at; National Institute
of Justice, Office of Science and Technology. 1986. Old Armor Tests as Good as New. Technology Assessment
Program (TAP) Alert 1 (4) (August), NCJ 111390; National Institute of Justice, Technology Assessment Program.
Undated. Body Armor User Guide. Rockville, MD: U.S. Department of Justice. Available on the World Wide Web

any safety device, soft body armor does not the type of protection they want and balance
make the officer invincible. One-fifth of law it with weight and comfort considerations.
enforcement SWAT officers shot and killed
were shot through the armpit. More than half Deaths of and serious assaults to community
(29) of the 47 law enforcement officers slain corrections staff usually have occurred in
with a firearm in 2000 were wearing body routine work situations. For body armor to
armor. Twenty-five officers were within 5 feet be of value, it should be worn during all
of their assailant.46 Officers must consider types of field work. A training program
should be established that addresses the

Body Protection
limits of protection, care and use of the the good guys from the bad guyswhen
products, required inspections, and medical law enforcement assistance is needed, when
procedures after shootings and injuries. high-risk tasks such as searches are being
conducted, and when assignments involve
other agencies. Backup officers should know
KEVLAR GLOVES whos who when problems arise in situa-
tions such as home contacts.
Death and serious injury come not only from
the barrel of a gun; they can also result from
the prick of a needle or the bite of an offend-
er. In 1992, a federal probation officer in
Tacoma, Washington, underwent a series of
nine shots and blood draws after being stuck
by the needle of a syringe taken from an
offender during a search. The two main con-
cerns were HIV and hepatitis B.

Kevlar is now used in the manufacture of

Photo by Robert L. Thornton.

protective gloves that are designed to stop
the puncture or penetration by foreign
objects. Originally developed for surgeons,
Kevlar gloves are effective for searches and
pat-downs. The gloves are extremely flexi-
A jacket with an identification flap.
ble, which allows for dexterity and sensitive
touch, and also are fire resistant. Latex
gloves can be worn underneath for added
The use of jackets with agency identification
protection from fluids.
flaps deals effectively with this problem.
Reports show that Kevlar gloves provide 30 Although they appear to be standard casual
times more protection against cuts and 35 jackets, officers can quickly pull down flaps
38 times more protection against needle punc- to reveal identification. Some jackets also
tures than wearing no hand protection.47 accommodate soft body armor.
Although the gloves will not stop a bite,
Jackets with the agency name stenciled on
they will reduce the risk of penetration.48
the front and back were initially used during
raids. When the need for identification can
be anticipated, that style works well. But
agencies often cannot anticipate when they
CLOTHING will need backup officers wearing identifica-
An issue discussed in law enforcement but tion. Many officers do not want to do rou-
largely ignored by corrections is identifying tine field work with Probation/Parole sten-
officers in the field. Law enforcement offi- ciled across their backs. Some corrections
cers have been mistakenly shot by other offi- agencies, with local police permission, use
cers because they could not be identified. the standard term Police instead of
Everyone at the scene should be able to tell


Corrections or Probation/Parole to avoid
confusion to bystanders.

With the advent of special units, many agen-

cies are instituting a standard form of identi-
fication, ranging from polo-style shirts to
jumpsuits. The Bexar County (Texas)
Probation Department has issued fatigues
and jackets with embroidered identification
for its gang and Spotlight units. A juvenile

Photo by Robert L. Thornton.

Spotlight officer noted in an interview that
the number of physical altercations with
juveniles decreased after he began wearing
the uniform with identification.
Special units may be uniformed.


Body Protection
Safety in the Office
An officer who anticipates difficulty with Creating a secure environment for all staff
offenders often arranges for them to come is of paramount importance.
into the office on the assumption that the
office is safer than the field. Although being
on home ground may provide some com- SAFETY SURVEYS
fort, failure to attend to personal safety in
The NAPE survey found that office safety
the office can result in serious incidents (see
training ranked first among safety training
No refuge from danger).
issues.49 In Texas, a safety subcommittee
But officers are not the only ones at risk surveyed parole officers on their experiences
from offenders. Support staff are usually the with intimidation, threats, and assaults and
first employees offenders contact when they solicited their opinions on various safety
report to the office (see Support staff are at issues. More than one-third (38 percent)
risk too). said they had been intimidated by offenders
in the office.

The New York State Division of Probation and

No refuge from danger Correctional Alternatives,50 with the Council
of Probation Administrators, representatives
In October 1990, an emotionally distraught of the local department, various probation
person with a history of mental disorders 41
officer associations, the Division of State
threatened a U.S. probation officer with a
Police, and the Civil Service Employees
loaded weapon in the Western District of
Association, surveyed probation staff and staff
Kentuckys Owensboro office. The officer was
working with alternatives-to-incarceration
able to press a panic button, which alerted
programs to discover how dangerous they
the court security officer. The security officer,
responding to the duress alarm, saw the pro-
perceived their work to be. More than half
bation officer being held at gunpoint by the (51 percent) were fearful while in the office
offender. In the resulting struggle, the proba- due to the following factors:
tion officer and the court security officer sub-
The lack of emergency communications
dued the offender and took possession of the
and exits.
weapon. A shot was fired during the struggle,
but no one was injured. Offenders wandering through the halls.
Although the probation officer was author- Tension in office meetings with proba-
ized to carry a weapon, he had left it home tioners.
that day because he planned to be in the
office, where, like most officers, he thought The lack of armed guards or defensive
he was safe. weapons.
Support staff are at risk too
Community corrections agencies are increas-
The first federal probation employee to be ingly implementing safety procedures rec-
killed by an offender was not an officer; she ommended by various safety task force
was a secretary in a federal probation office committees to improve officer safety and
in West Virginia. In December 1966, a 48- security in the office. Many agencies have
year-old female offender came into the pro- felt little control over safety equipment and
bation office, shot the secretary five times,
office configuration because they are in
and then took her own life. It appears that
leased space. In reality, configuration and
she intended to kill her probation officer, but
safety equipment can be negotiated in lease
when she learned he was not in, she took the
agreements with minimal expense. Agencies
life of the secretary.
must take a position that safety is a nonnego-
tiable item and be willing to go elsewhere
if a prospective landlord is unwilling to
In the 2001 Arizona Safety Survey,51 the
accommodate safety requirements.
lowest scoring safety item was adequate
weapons checks when entering the building. A well-planned and -maintained office should
Overall, office safety was rated at 2.25 on a be a safe and pleasant place to conduct busi-
scale of 1 to 4, with 4 being the highest level. ness. Besides being a credit to the communi-
ty, it should be a dynamic example of the
The aftereffects of victimization from office
ability to improve safety design from work
assaults are less apparent but perhaps more
experience. Many agencies, like the Florida
significant than the events themselves. They
Department of Corrections, have developed
include emotional distress, physical symp-
office appearance standards that consider
toms, fear on the job, lack of self-confidence,
design, size, location, and the use of space.
reduced trust in offenders, reduced sensitivity
to offenders, and disruption of personal life. After the shooting of a parole supervisor
in Norristown, the Pennsylvania Parole
Workers felt their agencies could have
Department convened a task force to establish
42 avoided many victimization events had pre-
guidelines for safer offices. The Allentown
ventive measures been taken. Such measures
and Reading offices are examples of how
include designing offices to address safety
safety can be addressed while maintaining
considerations, carefully controlling the
a reasonable square-foot price.
movements of offenders and visitors, and
training support staffoften the first line The planning of security systems can be
of contact with hostile offendersto defuse divided into two areas: perimeter and interior
aggressive behavior. In addition, personal security. Perimeter security includes consid-
offices can be designed with safety in mind, erations of site location, parking, personnel
with potential weapons secured and escape security, lighting, access control at building
routes and plans for dealing with emergency entrances, and intrusion detection/alarm sys-
situations devised. An accountability plan tems. Interior security includes personnel
should be in effect for staff working alone in security, security of property and documents,
the evenings and on weekends. access control to interior spaces, personnel
movement and circulation controls, security
Clearly, safety should begin in the office,
aspects of spatial arrangement, biohazard
where most workers spend a significant
control, and coordination of security and fire
portion of their time.
safety requirements.


Leaving the office:
The situations illustrated in Leaving the A vulnerable moment
office: A vulnerable moment, though differ-
ent in location and motivation of the attack- In February 1998, a probation officer for a
er, point to the importance of securing or small county in the Midwest worked late and
monitoring parking areas for staff. was the last person left in the building. At
10:30 p.m. she gathered her things and, with
Before entering or exiting the office, arms full, exited the building, locking the door
workers should visually check the outside behind her. As she concentrated on locking
of the building to be sure that nothing is the door, she was hit on the side of her head
abnormal. Doors providing access to staff with a bat. She fell to the ground still con-
work areas should be locked and access scious but incapacitated by the strike.
controlled. All entry and exit doors should
Two males took her keys, unlocked her car,
be constructed of solid core materials
put her in it, and left the area. Still dazed by
and always be locked unless under visual
the injury to her head, she could do nothing
to resist her attackers. Handcuffs were
Reserved parking spaces should not be placed on her, and the attackers drove to an
identified with individuals names. area on the edge of town. After she was vio-
Parking areas should be close to the lently assaulted for more than 5 hours, she
was thrown out of the car naked into the
office and well lit.
snow to die.
All offices should have a policy for issu-
The morning after the attack, she was found
ing and returning keys. Keys should be
by a young boy and his father, who was a
distributed only to those who need them.
paramedic. When he saw that she was still
Additionally, a procedure for handling
alive, he rushed her to the local hospital. The
lost or misplaced keys or key cards
officer underwent an extended period of
should be developed and arrangements mental and physical therapy and incurred
for duplication specified. speech problems and the loss of the use of
one arm as a result of the blows to her head. 43
Offenders/Defendants and In a southern California city, another proba-
Visitors tion officer left her office and proceeded to
There should be only one designated the parking lot, where she was struck in the
entrance and exit for offenders and head and body and suffered extensive
In Tucson, Arizona, three probation officers
Waiting areas should be located away from
exited the back door of their office, escorting
secretarial work areas, if possible. Valuables
an offender they had just arrested. They were
such as purses and money should not be left
accosted at gunpoint by a friend of the
in public view. All offenders and defendants offender in the parking area. The offender
should be escorted to and from the reception attempted to break away from one of the offi-
area by the supervising officer. The offender cers, but was taken to the ground while the
or defendant should always precede the offi- other officers drew their weapons and took
cer and should never be unattended. Appro- cover. Confused, the assailant ran to his vehi-
priate lighting should be used in entrance cle and left the area.
and waiting areas.

Safety in the Office

Support Staff victimization and may also reduce the pos-
sibility of injury to others.
Agencies must recognize that support staff
are the first line of defense in dealing with Access to packages, purses, and bags beyond
office safety. To that end, careful considera- the security door should be limited.
tion should be given when staffing the front
desk, especially if security screening duties
are involved. Scenario training that takes Personal Offices
support staff through dangerous situations Officers should be aware of everything in
should be provided. Like officers, only their personal work area. They should be
through realistic training will support staff selective in choosing items to keep in the
be able to handle the many safety issues that office, particularly those items normally
can confront a community corrections agency. located on a desk. Family photographs
should not be displayed for viewing by the
Support and clerical staff should have sepa-
offender. Keys and other personal items
rate, secure work areas to reduce the possi-
should never be accessible to the public.
bility of being harmed by hostile, aggressive
Files, desks, and supplies should be secured
individuals. Signs limiting access to clerical
when not in use.
work areas should be clearly displayed. The
receptionist should be separated from the Office doors should be kept open whenever
waiting area by a secured door, bullet-resistant an offender is in the office. If the door must
glass, and a wall that contains bullet-resistant be closed, the officer and offender should be
materials. The entrance to the inner office visible to others through windows or glass in
should have a sign advising that no weapons the office door.
or contraband are permitted and that persons
and belongings are subject to search.
Physical Arrangement of Office
Abusive or obscene telephone calls should Increasingly, agencies are creating a sterile
not be tolerated. The caller should be office, with no objects on desks or pictures
advised that verbal abuse is not acceptable displayed that could be used by potentially
44 and must cease immediately, or the call will hostile offenders. The Adult Parole Department
end. Ongoing harassment calls should be in Pennsylvania explored a variety of practi-
investigated. cal approaches that could fit the resources,
Clerical and support staff should not be circumstances, and environment of agency
expected to deal with abusive or unruly visi- offices, both state-owned and in leased space.
tors. They should be well versed in office Furniture should be arranged to allow access
emergency procedures and should have to the door for easy exit if needed. Desks
access to an alarm button. Officers should should be arranged so they are not a barrier
advise clerical staff of anyone they believe to escape in the event of a hostile situation.
to be a potential problem. In addition, cleri- The officers chair should be closest to the
cal staff should be trained to recognize and door. File cabinets, desks, and chairs should
report potentially aggressive behavior or not impede an escape route from the offi-
other problems. cers chair to the door. Consider placing
In the event that they cannot avoid a crisis an obstacle between the visitors chair and
with an offender, support staff should be the door.
trained in techniques for defusing aggressive Officers should be aware of potential
behavior. These skills may prevent personal weapons available to visitors in the office,


including letter openers, pens, picture frames,
and note spindles. A plan should be in place
for handling an aggressive or violent proba-
tioner/parolee, and all staff should be familiar
with it. Officers should have an alarm system
or panic button to summon assistance.

Emergency telephone numbers should be

readily available. Officers should not rely on
their memories in emergency situations. All

Photo by Robert L. Thornton.

staff should know emergency code words
and procedures.

Working Alone in the Office An example of a sterile office.

Officers should advise building security per-
sonnel of their presence on weekends or dur-
ing extended work hours. Officers who plan With the added security measures and the
to work late in the office (or arrive alone on change in officer work space design, the cost
weekends) should move their cars to a park- for new construction was approximately
ing place nearest the building. The outer or $14.50 per square foot (according to quotes
entry door should be opened only to people obtained in 2000 in Pennsylvania), which is
known by staff. All entrances and windows much less than the square foot costs of many
should be locked. offices with the standard design.

When working alone, officers should inform As offices begin to expand their security
someonea supervisor or a spouse, for using devices for metal detection, many
instanceof their location and estimated time questions may arise. The National Institute
of departure. A system of regular telephone of Standards and Technology booklet A
checks should be established. Answering Measurement System for Characterizing the
Detection Performance of Metal Detectors: 45
devices, such as message recorders, should
be used. Workers should listen and call back Design and Operation can help answer those
immediately if necessary. questions.52

Safety in the Office

Protection From Disasters

EMERGENCY PERSONNEL and then congregate just outside the build-

ing. Some agencies announce the type of
Each building or office should have a person, threat with, for example, code F for fire, or
usually an administrator, who is responsible code B for bomb. Others choose not to iden-
for the coordination of emergency services tify the threat, only advising personnel to
and evacuation of the building. At minimum, exit the building and gather at predetermined
that person should have the names and num- points away from the structure. Exit routes
bers of those individuals or agencies respon- from the building should be clearly posted
sible for and known to personnel. The main issue is
Fire control. that designated staff ensure that all person-
nel are notified and exit and move away
Electrical outages. from the building.
Emergency medical services.
In areas susceptible to natural disasters, per-
Responding law enforcement. sonnel must have clear direction on where
Fire/security alarm services. to gather, as going outside might not be the
Fire extinguisher services. best thing to do.
Building maintenance.

This information also should be readily RESULTS OF 9/11 47

available to others in the office, such as a As concerns rise regarding terrorist attacks,
duty officer and reception staff. Many agen- personnel focus on how to minimize risks
cies then break down emergencies into at work. As discussed previously, those
response teams with special training in how charged with building managementand all
to handle such situations as personnelmust assess the threats to the
Occupant emergencies. work environment. Trained and motivated
staff are as important as technological
Assessing bomb threats. advances. The following standard precau-
Responding to biohazards. tions apply to most buildings.
Responding to fires.

Other team members are responsible for

individual floors of an office or building, Access to shipping and receiving areas must
with a primary responsibility of making sure be controlled. All deliveries should be regis-
everyone is evacuated in an emergency. tered, screened, and logged in before being
accepted. Personnel should be trained in
Many offices have only one alarm for both techniques to identify bombs and other sus-
fire emergencies and a bomb threat. In such picious packages (see Listening to gut
cases, staff hear the alarm, exit the building, feelings).
Listening to gut feelings Large planters, sculptures, and fountains can
An alert receptionist thwarted a pipe bomb
be strategically placed around the building
when she noticed that the delivery man was to keep cars and trucks at a distance.
not dressed normally. She listened to her gut
Since the 9/11 terrorist attack, greater atten-
feelings and called security. A pipe bomb
tion is being placed on screening devices.
was found in a bouquet of flowers being
Soon key cards will be replaced by finger-
delivered to one of the female staff. It turned
out that the intended recipient was involved
print, iris and retinal pattern, and facial
in a love triangle. scanners. These devices will help eliminate
human error.

Ground-Floor Vents
Street-level air intakes should be sealed and STRIKES HOME
moved to higher floors to prevent sabotage.
High-efficiency particulate air (HEPA) filters Most officers agree that it is unsettling when
can remove airborne pathogens and other hazardous situations occur at work. But
contaminants at fresh-air intakes. HEPA fil- when the threat or attack transcends to
ters on vents remove and prevent from circu- home, it is even more unnerving. Not just
lating almost 100 percent of particulates the officer is affected, the whole family is
larger than one micron in size. affected. Family members lives are never
quite the same, even if they are fortunate
enough to avoid an attack (see Vigilance
Security Cameras at home).
Cameras around the building can provide
Officers and their agencies can effectively
constant surveillance and should be set up
respond to such attacks with the right infor-
with a video recording system. Although
mation and planning. Having an emergency
they offer deterrence, they are only as good
48 response profile on hand helps alleviate con-
as their human backup.
fusion and saves time. An example is includ-
ed in the model protocol for critical incident
Safer Windows and death notification (see appendix A). With
Consider moving windows to 6 feet or higher this information readily available, the agency
above ground level. Shatterproof or bullet- can notify family members and move to
resistant glass also makes windows safer. But establish protection for them when the situa-
what is around the glass? Thousands of dol- tion warrants it.
lars were spent to install bullet-resistant Helpful Hints on Personal Security, from
materials around the window casings of a the U.S. Marshals Service publication Offsite
recently built federal courthouse after rounds Security Booklet for Judicial Officers, lists
from a drive-by shooting entered the build- steps to protect officers personal information
ing. Window placement should consider the and make it more difficult for others to gath-
view angle available from the street. er pertinent information about them and
their families (see appendix B).53
Trash Bins
Your home is your castlethat is what
Trash bins are hiding places for bombs and people like to think. The reality is that, espe-
should not be placed outside the building. cially in an urban setting, service people


move around and in private homes, and contracts taken out on his lifetwo by the
little thought is given to who they are, whether same individual. He is well aware of the
they are convicted felons or drug abusers, effect such threats have on both the officer
and whether their jobs have brought them and the officers family.
there. The Residential Security Survey
Guidelines in appendix C list considerations, How can someone differentiate between a
improvements, modifications, and other real threat and a threat with little chance
steps that can be taken to increase the safety of harm? Although no studies exist on threats
and security of officers and their families in to community corrections personnel, studies
their homes.54 on threats against those in related profes-
sions can provide general information and
help officers separate the real from the bluff.
WHEN WE ARE THREATENED As Gavin de Becker explains in his best-
About half all of community corrections selling book, The Gift of Fear:
officers will receive some type of threat or
It is a tenacious myth that those
endure an actual assault during their career.55
who threaten public figures are the
The author of this report has had three
ones most likely to harm them. In
fact, those who make direct threats
to public figures are far less likely
Vigilance at home
to harm them than those who com-
One morning in January 1999, Washington municate in other inappropriate
State Community Corrections Officer Tom ways (lovesickness, exaggerated
Perrine got up and took the family dog out- adoration, themes of rejection, the
side, just as he had done many times before. belief that a relationship is meant
As he and his dog reached the corner of the to be, plans to travel or meet, the
house, his dog went to investigate a box belief that the media figure owes
lying in the driveway. Officer Perrine called them something, etc.). Direct threats
his dog away, put him in his kennel, and are not a reliable pre-incident indi-
returned to see what was in his driveway. As
cator for assassination in America, 49
he reached down to pick up the box, it
as demonstrated by the fact that not
exploded. Both of Officer Perrines legs were
one successful public-figure attack-
injured in the blast, one severely. Months of
er in the history of the media age
pain, uncertainty, and rehabilitation followed.
For a time, his family moved to a secret loca-
directly threatened his victim first.56
tion while he stayed in the hospital under an
Most people who make threats do not carry
assumed name. As a result of the blast, he
them out.57 Conversely, most people who do
lost some of his hearing and the end of an
harm do not make threats. Studies show (and
index finger and had back muscles removed
are confirmed by cases of community cor-
so that they could be transplanted into his
leg. He also will quite likely have vision prob-
rections officers killed in the line of duty)
lems in the future. that those who cause or attempt to cause
physical harm are not likely to verbalize
A thorough investigation by local and federal their intent to do so.
authorities determined that the bomb had
been placed at his residence at the direction Frederick S. Calhoun labels potential
of one of his long-time offenders who was assailants as either hunters or howlers.58
facing his second revocation as a result of Howlers verbalizeeither directly, in writing,
drug use and failure to attend treatment. or through an informanttheir feelings for
the targets of their anger and, many times,

Protection From Disasters

what they intend to do. Hunters gather infor- or she posed a far greater threat. In rating
mation about their intended targets and seek the seriousness of threats, Calhoun found
them out with no verbalization or warning. that 42 percent were specious, 18 percent
Mr. Calhoun categorizes threats by their were enhanced, and 41 percent were violent.
possible outcomes: specious, enhanced, and When the actions of the assailant escalated
violent, as follows: from inappropriate communication to action
directed specifically toward the victim, the
Specious threats have the ring of truth or danger greatly increased.61
plausibility but are ultimately proven falla-
cious because no evidence is found of an Those who wrote or telephoned or spouted
effort to carry out the threat. Simple state- off to an informant signaled that they pre-
ments, however delivered, such as Ill kill ferred to maintain physical distance between
you or Youre a dead man, were rated themselves and their victim. In that instance
specious if no evidence indicates that the lay the victims safetyand the howlers.62
threatener went beyond the statement to The hunters, who truly intended harm, took
action. action, most often without warning.

Enhanced threats are accompanied by an None of the community corrections officers

action such as a visit to the courthouse, a mentioned in this publication who were
strange car prowling around the victims killed in the line of duty were threatened or
neighborhood, or a threatening object left warned before the attack, according to offi-
for the victim to find. The suspect takes a cial records. Thus, although the threats offi-
step beyond the initial contact. cers receive can be unnerving, most will not
result in a physical attack. But should they
Violent threats involve physical injury be ignored? Certainly not. Law enforcement
and/or property damage and might include authorities should be contacted and, hopeful-
the assassination of judges, fire bombings, ly, they will use devices created by de
showing up at the courthouse with a Becker, the U.S. Marshals Service, the U.S.
weapon, muggings, and burglaries.59 Secret Service, and others to evaluate the
50 In a study of the threats to federal judicial threat and guide the victim. As Calhoun states:
officials between 1980 and 1993, 2,996 Most importantly, the victim is
threats contained enough information to advised of any steps he or she can
assess an outcome. Of these, 92 percent take to lessen the risk, regardless of
were specious: They contained no evidence how low the rating. As de Becker
of any attempt to implement the promised well understands, the one aspect of
harm. However, in the remaining cases, two the situation the victim entirely
federal judges were assassinated. Four per- controls is his or her own response.
cent of the cases were enhanced: Court offi- A simple exercise of reasonable
cials were assaulted or involved in cases in caution goes a long way to frustrat-
which others were assaulted. The remaining ing even the most determined
4 percent of cases were violent: Judicial threatener.63
officials risked injury or harm when the
individuals threatening officials tried to As research and the experiences of commu-
implement their threats.60 No one particular nity corrections officers show, the most seri-
area of the country accounted for a signifi- ous attacks come without warning. Thus, vig-
cantly greater number of threats. ilance must become a way of life, and the
steps outlined here should be implemented
When the assailant (the authors term, not so that officers will live not in fear but with
Calhouns) left a threatening symbol in or a heightened level of awareness.
around the victims home, for example, he
Arrest, Search, and Seizure
As their role expands, probation officers will
make more arrests and be involved in more When arrest powers would
searches and seizures. Obstacles that prevent have helped
officers from performing these tasks effec-
In February 2002, a federal offender reported to
tively can result in dire consequences (see
his probation officer for a scheduled contact. The
When arrest powers would have helped).
offender was on supervision for bank robbery and
In the National Association of Probation had a lengthy record, including previous arrests
for probation violations. The probation officer
Executives (NAPE) survey, 77 percent of
planned to have him arrested for an additional
responding probation and parole agencies
violation when he arrived and had requested
reported that their officers possess arrest another warrant from the sentencing judge.
powers. The report also indicated that many However, because the judge was in trial, the
jurisdictions do not utilize these powers as a warrant was not issued in time for the meeting.
matter of policy or practice. Only 53 percent
of responding agencies reported that their The offender had been told to wait but
became suspicious and left. The warrant
officers actually made arrests.64 If the pro-
was issued by the court the next day, but the
bation officer in the example had been
offender, knowing he had violated the terms
allowed to execute the warrant and make the of his supervision, absconded from his home.
arrest, as outlined by Congress, the two Within 2 days, the offender hijacked a car driv-
women would not have been victimized. en by a woman in a nearby city and assaulted 51
Probation and parole officers in many juris- and robbed another woman in the parking lot
dictions have the power to make arrests with of a shopping mall. Several months later, the
or without a warrant but are constrained offender was apprehended two states away
from doing so by agency policy. by U.S. Marshals as he slept in the car he
had stolenwhile in the company of a proba-
Another county probation agency has a tioner. The investigation has not yet deter-
special absconder unit, but its officers are mined whether he supported his travels by
allowed only to locate offenders; they must committing other criminal acts.
ask law enforcement authorities to make Title 18 of the U.S. Code, Section 3606,
physical arrests. This policy does not sit states, A probation officer may make such
well with many probation officersor with an arrest wherever the probationer or releasee
the police officers who are called to do a is found, and may make the arrest without a
job that probation officers are authorized to warrant. a In this particular district, however,
do. In jurisdictions where such policies the administration did not allow probation
exist, a common reason given for not officers to make arrests without warrants.
Furthermore, even if warrants had been
allowing officers to make arrests is that
obtained, law enforcement officers, rather
they are not trained. The obvious solution
than probation officers, were to execute them.
to this problem is to train them (see
Search powers extended to officers in a. 18 U.S.C. 3606 (2001).
Arrest powers bring
With arrest responsibility comes increased
added risks
risk. In 2000, 51 law enforcement officers
were killed in the line of duty, up from 42 in On January 2, 1999, U.S. marshals attempt-
1999. Of the 51 officers, 12 were killed in ed to serve a supervised release violation
arrest situations, which is second only to the warrant to a felon on supervision for pos-
number killed in traffic pursuits and stops sessing a firearm. While on absconder sta-
(13).65 Arrests by community corrections tus, he had also been involved in a home
agencies have not resulted in a statistically invasion robbery in another state. As they
significant increase in the number of assaults. approached the residence where the violator
However, as arrests increase, an increase in was, he left the house and got into his truck.
A sheriffs deputy who was with the marshals
hazardous duty incidents can be expected,
agreed to stop him with his marked patrol
especially if training is not provided (see
car and take him into custody. As the deputy
Arrest powers bring added risks).
pulled in behind the offender, he increased
Such encounters can be expected when try- his speed and a chase ensued. The offender
ing to apprehend offenders. More and more began firing, and one of the bullets came
through the deputys window while he was
police have been told the offender they are
talking on the radio. The bullet from the 9mm
seeking has made the statement that they are
handgun blew off the end of one of the
not going back to prison. U.S. Department
deputys fingers as he held the microphone
of Justice statistics reveal that arrests were
to his mouth, and lodged in the microphone.

The marshals continued the chase, with

shots going back and forth between vehi-
Search powers extended to
cles. Both the offenders truck and the mar-
officers in Missouri shals vehicle were hit numerous times,
Probation officers in the U.S. Probation although neither the offender nor the mar-
Office for the Eastern District of Missouri, shals were hit. After a 15-mile chase, the
which is headquartered in St. Louis, histori- offender lost control of his truck, crashed
52 into a residence, and was taken into custody.
cally had not been permitted to perform
searches. A new administration changed that
position and hired consultants to train the
staff on search and seizure law, policy devel-
opment, and search techniques. The admin- the leading situational factor in deaths
istration then presented a search policy to among law enforcement officers (33 percent)
its judges, received approval, and trained its and the second highest factor in assaults on
officers using scenario-based methods. them (22 percent) between 1991 and 2000.66
Even when community corrections officers
The agency uncovered a significant quantity
are not charged with making arrests, they
of methamphetamine and seized $5,000 in
may be called on to participate in an arrest
cash in its first search. In its second search,
which involved a sex offender, officers found
with law enforcement, or the arrest may
five garbage bags filled with pornography, occur in the community corrections office.
restraint devices, and other bondage equip- Clearly, the arrest procedure and all that it
ment. The agencys change to a proactive entails becomes an adversarial action. The
approach to supervision has allowed it to likelihood of resistance is greater then than
uncover ongoing criminal activity and protect at any other point in the officer-offender
the community. relationship.


An Oregon state parole officer told a reporter and the environment change. The APPA
that one of his parolees, a convicted murder- reported the first comprehensive study of the
er, put the job of the parole officer into good number of armed agencies in its National
perspective. The offender told the officer, Firearm Survey 20012002 (see exhibit 10).67
Jack, this whole thing between you and me
is a game, but we can die playing it. In the Arizona Supreme Court survey con-
ducted in August 2001, 77 percent of respon-
dents believed adult probation officers should
ARMED OR UNARMED? be allowed to carry firearms and 68 percent
believed juvenile officers should be allowed
The issue of whether probation and parole to carry firearms. At the time of the survey,
officers should carry weapons is one of con- only 1 of Arizonas 15 counties allowed
siderable debate. It reflects how the role of either adult or juvenile officers to carry
the officer is perceived, even while the role firearms.68

Preliminary Results of the Adult and Juvenile Probation and Parole National Firearm Survey,


Adult Probation1
Number of jurisdictions in which some or all officers carry firearms 38
Number of jurisdictions in which carrying firearms is limited to special duty officers 3
Of the jurisdictions where officers carry firearms, the number that are optional and mandatory 22 optional/13 mandatory
Number of jurisdictions in which no officers carry firearms 16

Adult Parole2
Number of jurisdictions in which some or all officers carry firearms 41
Number of jurisdictions in which carrying firearms is limited to special duty officers 2
Of the jurisdictions where officers carry firearms, the number that are optional and mandatory 20 optional/20 mandatory
Number of jurisdictions in which no officers carry firearms 12 53

Juvenile Probation3
Number of jurisdictions in which some or all officers carry firearms 12
Number of jurisdictions in which carrying firearms is limited to special duty officers 3
Of the jurisdictions where officers carry firearms, the number that are optional and mandatory 8 optional/1 mandatory
Number of jurisdictions in which no officers carry firearms 40

Juvenile Parole4
Number of jurisdictions in which some or all officers carry firearms 10
Number of jurisdictions in which carrying firearms is limited to special duty officers 2
Of the jurisdictions where officers carry firearms, the number that are optional and mandatory 4 optional/4 mandatory
Number of jurisdictions in which no officers carry firearms 41

Includes information from 50 states, the District of Columbia, U.S. Probation and Pre-Trial Services, Guam, and the Virgin Islands.
Includes information from 50 states, the District of Columbia, Guam, and the Virgin Islands.
Includes information from 50 states, the District of Columbia, and Guam.
Includes information from 50 states and the District of Columbia.

Source: Reprinted from the American Probation and Parole Associations Adult and Juvenile Probation and Parole National
Firearm Survey, 20012002.

Arrest, Search, and Seizure

As the possibility of violence by the offend- FIREARMS TRAINING
er increases, so does the need to provide
adequate measures to keep officers safe. In Training and certification, integral to a
1948, the number of police officers was firearms policy, raise many questions:
three times the number of violent crimes. In Who should be authorized to carry
1992, the number of police officers was half firearms?
the number of violent crimesa sixfold
decrease of police officers in proportion to What training should they receive?
violent crimes.69 Nearly half of the homes in
the United States have at least one firearm, How often and by what methods is their
and in rural homes the presence of a shotgun proficiency reviewed?
or rifle is even more common.70 When is the use of firearms authorized?
Agencies develop various strategies to deal What are the legal ramifications and lia-
with these issues. Many agencies, such as bilities of using firearms?
the Washington State Community Corrections
Department, conduct searches, make arrests, In many corrections agencies, firearms train-
transport prisoners, and give officers the ing traditionally has consisted of firing
option of being armed. Other jurisdictions rounds from varying distances at static tar-
arm only special units that deal with high- gets. Many authorities believe that these
risk offenders, such as drug abusers or gang methods will no longer meet the legal test.
members. However, most incidents occur The Arizona Ad Hoc Safety Committee
during routine duties, such as office or field developed firearms standards (see appendix D)
contacts, as shown in a review of cases that list the elements needed for a compre-
where community corrections personnel hensive firearms program that meets the
were seriously assaulted or killed. legal challenge.74

Research has identified several issues sur-

rounding the safety of officers carrying Popow v. City of Margate
54 firearms.71 Particularly during an arrest, the Popow v. City of Margate,75 a federal court
potential dangerousness of the offender needs case filed under the Civil Rights Act, Title
to be considered when making the decision 42, Section 1983 of the U.S. Code, involved
whether to carry firearms. Unfortunately, a shooting in Margate, New Jersey, that has
violence cannot be predicted with great had a significant impact on inservice firearms
accuracy. Attacks that seem totally irrational training for many law enforcement depart-
and indiscriminate occur.72 For example, in ments. Popow is the case most often cited
February 2002, U.S. Marshals attempted by plaintiffs experts when examining the
to serve a probation violation warrant on a relevance of police firearms training.76
46-year-old woman in a credit card fraud
case. After they entered the apartment, In Popow, two police officers were pursuing
pushed back a chair blocking the door, and an apparent kidnaping suspect on foot. An
walked 10 paces down a hall, she fired 2 officers stray bullet killed an innocent
shots. The marshals retreated and called for bystander, Darwin Popow, as he came out of
backup. The woman surrendered after his house in response to the commotion. In
almost 3 hours.73 deciding the case, the U.S. District Court in
New Jersey evaluated the firearms training
received by the police officers by determin-
ing its relevance, realism, and recency.


In rendering its decision against the city of Exposure to realistic shooting situations
Margate and its officers, the court concluded under stress.
the training given the officers was grossly
inadequate. Its evaluation revealed that no Before training can begin, policies must be
training or instruction had been given on created and guidelines established. Appendix
shooting at moving targets, nor had any sim- E lists issues to be addressed when consider-
ulation been provided that would teach officers ing arming officers; the checklist can be used
when to shoot.77 Due to the low number of as a self-test for local firearms programs. In
shootings involving field corrections person- addition, Rick Faulkner and staff of the
nel, no similar challenge in corrections could National Institute of Corrections compiled
be found. a list of suggested issues to be addressed in
firearms policy and training (see NICs
firearms policy and training issues).
Elements of Effective Training
More training hours are spent on the use of When Should Firearms
firearms than on any other area of training,
Be Issued?
which is appropriate considering the serious-
ness of using a weapon. However, agencies Not all of the items from the checklist need
and officers should not be led to believe that to be in place before the agency issues
shooting holes in paper targets at a range firearms. Consider which of the items ought
constitutes adequate training. A well-rounded to be resolved, especially those related to
training program involves liability issuesor the agency may be
unnecessarily exposing itself to liability.
Mental preparation.
Because effective training programs can be
Instruction in the proper use of force. costly, most corrections agencies use local
law enforcement training facilities. Many
Involvement in mock shooting situations.
progressive agencies, such as the Pima County


N I C s f i r e a r m s p o l i c y a n d t r a i n i n g i s s u e s
Agency mission statement. Weapons security in the office and field.
Training requirements. Shooting review boards and panels.
Physical requirements. Arrest, custody, and transportation.
Psychological implications. Communication.
Use-of-force model. Teamwork approach.
Type of weapon authorized. Gender issues in training.
Type of ammunition authorized. Instructors authority regarding firearms.
Purchase of weapons. Discharge-of-weapon policies.
Secondary weapons. Display and presentation of firearms.
Self-defense training. Personal weapons.
Body armor. Off-duty policies.
First aid training. Weapons inspection.
Incident reporting procedures. Statutory authority.
Employee assistance programs. Interstate compact.
Legal liability issues. Labor-management issues.
Local police department protocols.

Arrest, Search, and Seizure

(Arizona) Adult Probation Department and unable to simultaneously signal his hand to
the South Carolina Department of Probation, let go of the pen.
Parole and Pardon Services, have established
dynamic training programs on arrest, search Many officers have been trained to stand and
and seizure, and the appropriate use of shoot at the 7-yard line. But officers must
firearms. Many law enforcement agencies also be taught to think about moving to
have been meeting legal challenges for some cover and out of the line of fire while shoot-
time and can help design or adapt programs ing. This technique, called tactical thinking,
to fit community corrections officers needs. categorizes the elements of combat shooting
The key is to provide training on a regular as tactics40%, accuracy30%, power
basis, focusing on specific skills that come 20%, and speed10%.
under the broad umbrella of firearms train- What happens when an officer is shot? Read
ing. To adequately address legal concerns, the following statement and fill in the blank
any firearms training program must consider with the first word that comes to mind.
the issues of relevance, realism, and recency.
During a bank robbery today, two
Relevance. Relevant shooting situations can people were shot and __________.
be shown by using professional or in-house
videos or Hogans Alley-type mock situa- Most people insert killed, forgetting injured
tions. Officers should try to duplicate the or wounded. In fact, more people survive
real environment as closely as possible. gunshot wounds than die from them. Of all
Using todays digital technology, agencies shooting victims reported, 6070 percent
can produce their own scenarios designed survive. When victims reach the hospital alive,
specifically for community corrections, they have a 90-percent chance of survival.78
which can be integrated with simulation
training such as that designed by the IES Realism. Students attending training should
Interactive Training Systems Range 2000 wear the same type of clothing they wear on
used by the Pima County Adult Probation the job. If they wear body armor in the field,
Department. No longer must the trainer they should wear it during training. Verbal
56 depend on reproduced training videos. commands to the assailant and other auditory
Scenarios can be created and modified to and visual stimuli found in real-life situations
maintain continuity with the local depart- should be used.
ments policies. Light conditions and structural settings of
Studies at various police academies nation- the training should correspond to the situa-
wide have shown that officers, when con- tions officers are likely to encounter on the
fronted with a deadly threat, are generally street. Sixty percent of shootings involving
unable to return fire quickly and effectively law enforcement officers occur in low-light
while holding other objects in their hands. or nighttime settings.79 Because community
The first author of Officer Down, a train- corrections officers mostly work in the field
ing resource for law enforcement officers, during nonstandard work hours, visibility
told of an officer who confronted a deadly issues must be addressed when designing
threat while holding a pen in his gun hand. firearms training. Examples of training tech-
Without dropping the pen, he drew his niques include low-light indoor ranges and
revolver and fired several rounds. Because low-light indoor shoot/dont shoot situations.
the pen altered the way the gun fit his hand, The NAPE survey showed that only 43 per-
none of the rounds hit the intended target. cent of the agencies that allowed the carry-
His brain focused on the threat and was ing of firearms included shooting scenario


training on the use-of-force/control decision.80 Psychological and physiological aspects
Interactive video training, such as Firearms of shooting incidents.
Automated Training Systems (FATS), pro-
vides opportunities for officers to train in Legal issues for FBI agents involved in
shooting incidents.
shoot/dont shoot situations. However, FATS
generally uses law enforcement scenarios, Guidelines for FBI supervisors and man-
and therefore corrections personnel may agers who conduct administrative inquiries
feel this training is not relevant to their into shootings that involve agents.
work. By using products like the IES
Interactive Training system, trainers can Guidelines for supervisors and managers
simulate situations that require the officer to who report the results of administrative
choose the appropriate level of force. Other inquiries into shootings that involve
training issues, such as the use of oleoresin agents.81
capsicum (OC) aerosol, commonly called
pepper spray, also can be incorporated. Why Armed Officers Face
Training benefits not only officers, but judges, More Hazards
attorneys, and citizen groups as well. They William Parsonages study on victimization
quickly realize the complexity of the situations found that armed officers had a higher
officers face and the stress and speed under occurrence of hazardous duty incidents than
which decisions must be made. officers who were not armed.82 Although at
face value this finding is alarming, certain
Recency. The training should focus on the
factors may explain it. Did armed officers
officers total responsehis or her thinking
work with a more dangerous group of
(decisionmaking) process, feelings (physical
offenders? Were armed officers required to
reactions under stress), and actions (overall
perform more dangerous tasks, such as
performance in shooting situations). Does
arrests, surveillance of more violent offend-
the officer give appropriate verbal com-
ers, and searches? Did armed officers per-
mands, seek appropriate cover, avoid audito-
form their jobs differently because they were
ry and visual shutdown, and respond to 57
changes in the environment, such as the
actions of other individuals? Because of differences among jurisdictions,
it is difficult to establish one set of rules or
Scheduling long hours of training sporadi-
guidelines on how community corrections
cally is not the best way to increase profi-
officers should perform their duties. Each
ciency with firearms. Skills are best learned
agency must set its own policies and proce-
and retained when they are practiced for
dures and make sure that staff clearly under-
shorter periods of time and more frequently.
stand the agencys expectations. Unlike law
Building confidence in an officers ability to
enforcement, community corrections officers
use equipment effectively and make the appro-
usually are more ableif not expected by
priate use-of-force decision is the ultimate
their agencyto first try to disengage from a
goal. This sums it up: If you face one oppo-
hazardous situation. Although this is an easy
nent and doubt yourself, youre outnumbered.
principle to understand, it goes against the
Agency policy should include guidelines for natural instinct of many officers.
response to shooting incidents. The FBI
In conducting supervision, the officer is by
developed a 26-page document, Shooting
definition attempting to determine the activi-
Incidents: Issues and Explanations for FBI
ties of the offender and, when possible,
Agents and Managers, which includes

Arrest, Search, and Seizure

reduce risk to the public and deter further USE OF SEARCH TEAMS
criminal activity. When officers uncover
criminal conduct, it is often a situation that In conducting searches, community correc-
develops quickly and calls for split-second tions officers often face situations that
decisions regarding whether to stay and require special training. Unlike the police,
attempt to take control or disengage and take many community corrections personnel have
another form of action. no greater powers of arrest than ordinary cit-
izens. When confronted with resistance from
Many officers have not trained for the type individuals other than those under supervi-
of situation described. Without training, sion, the actions the officers can take may be
they tend to react emotionally, rather than limited. In addition, court rulings in many
thoughtfully evaluating the situation and jurisdictions are unclear as to the amount of
responding effectivelyand in keeping with force they can use without a search warrant.
agency policy.
The NAPE survey stated that almost 85%
Officers must be taught that of the jurisdictions report the authority to
conduct searches and 67% actually utilize
A firearm is a piece of safety equipment
this power in the field.83 Recognizing the
to be used when the officer perceives that
unique problems and potential dangers of
there is, or is likely to be, a threat of seri-
conducting searches, some departments use
ous physical injury or death.
special search teams of officers trained in
Officers should not do anything because all aspects of conducting arrest, search, and
they have a firearm that they would not seizure activities. These officers may or
do if they did not have a firearm. (An may not carry a caseload.
exception to this would be the perform-
ance of certain law enforcement functions.) The Washington Division of Community
Corrections developed an extensive training
The effective use of a firearm requires tacti- program in arrest, search, and seizure tech-
cal planning and training. In community cor- niques for officers. The multiphase program
rections, the use of a firearm calls for split- consists of three 2-day training sessions and
second evaluation of the entire situation addresses the following topics:
the offender, the environment, and the skill
Phase 1 teaches basic search, handcuff-
and training of other officers who may be
ing, and seizure techniques.
Phase 2 describes the development of the
To a greater degree than law enforcement,
arrest plan and coordination with local
community corrections officers tend to work
law enforcement officials.
with coworkers who have more varied expe-
riences and mental attitudes that affect their Phase 3 suggests ways to deal with hos-
ability to respond to hazardous situations. tile and resistant offenders.
For many officers, the realities about using The training recognizes a major mistake
firearms on duty have not been considered often made in searches: Officers start search-
previously. These new concepts and mental ing before they properly control the area and
attitudes cannot be learned by typical lec- its occupants. The importance of teamwork
ture-type training. Only repeated, dynamic and the proper use of law enforcement is
training and experience will help incorporate emphasized. Each phase of the training pro-
them into each officers daily actions and gram involves 1 day of classroom instruction
thoughts. and 1 day of practical exercises. Participants
practice the skills learned during various


scenarios and receive feedback from each A briefing before the arrest provides team
other and the instructors. members with the information needed to
conduct the arrest safely and effectively.
Duties are assigned, including who will
PLANNING AN ARREST talk, who will provide cover, and who
will perform specific tasks, such as the
Officers can maximize the potential for a
arrest and the search. There should be no
safe and successful arrest by planning it
question of who is in charge. After the
thoroughly. The individual or committee arrest or search, a debriefing is held to
evaluating or developing an arrest, search, evaluate the strengths and weaknesses of
and seizure program should ensure that it the incident.
covers the following issues:

The arrest plan identifies who or what is

the target, when the arrest should occur, APPROACH, ENTRY, AND
where it should take place (e.g., the CONTROL
supervision office or field), and how it Before conducting an arrest, the search
will be conducted. The plan includes team should carefully observe the following
information about other occupants of the
home (in a residential arrest); the layout
of the target; the landlords name and 1. Visually check the target. Be alert for
telephone number (if applicable); and the warning signs of a high-risk arrest,
offenders telephone number, work and including excessive foot traffic, apparent
living schedules, and photographs. substance abuse, watchdogs, or heavily
secured or barred entrances.
The arrest is coordinated with appropriate
local law enforcement personnel. Although 2. Position team members to maintain visual
the extent of their involvement may vary, or radio contact. Communication through-
at a minimum they are informed of the out the arrest process is vital to success
plan. In instances in which the offender and safety.
poses sufficient risk or individuals not 59
under supervision are present, law en- 3. Approach from the direction least visible
forcement participates in the arrest. to the target.

The following factors are considered 4. Make the arrest teams identification,
when selecting a search team: the gender such as badges and department insignia,
of the offender (e.g., if the offender is clearly visible when gaining entry.
female, how the frisk search will be con-
ducted), the special needs of the offender Searching Techniques
or situation (e.g., a history of violence,
the need for involving child protective Periodically, search techniques need to be
services), language barriers, and the train- reviewed and new issues and hazards dis-
ing and experience of the team members. cussed. Training that simulates stress condi-
tions and realistic situations is the most
Necessary documents or equipment are effective.
included in the arrest plan, such as an
order for arrest, a transportation vehicle, Whether targeting individuals, residences,
handcuffs, search kits, and body armor. offices, or vehicles, a search follows con-
sistent procedures, such as breaking the
The arrest team conducts visual surveil- search target into quadrants and searching
lance of the target before the arrest. each quadrant thoroughly.

Arrest, Search, and Seizure

When conducting a search, officers use assets are seized as a result, the probation
a grasping motion rather than patting to office may be able to share in the asset for-
avoid accidental needle sticks or contact feitures. K-9 programs also help develop
with other potentially dangerous objects. positive relations with law enforcement and
Protective gloves should be used, if avail- the community. The dog handlers demon-
able. strate the dogs abilities at local schools and
use dogs to search jails, juvenile halls, and
Some departments advocate searching
halfway houses for contraband.
with a baton instead of hands, even when
protective gloves are worn. As officers The Santa Barbara County Probation K-9
become comfortable with the baton, they unit found 180 kilos of cocaine and 18
can discern objects that would be normal- pounds of marijuana in 1 year. In one inci-
ly felt by a manual search without endan- dent, officers told a probationer that a dog
gering themselves. would search his vehicle, prompting the pro-
bationer to spontaneously retrieve three
Whenever possible, an offender should be
searched by an officer of the same gender. doses of heroin concealed in the engine
This helps prevent potential claims of compartment. The cost of their K-9 program
misconduct. is more than recovered by asset forfeitures.

If a house or business is to be searched,

search assignments should be part of the
Contraband Management
arrest plan. The agencys contraband management policy
should outline the following practices:
Many agencies direct officers to search a
house or business only when the offender The search team has a prearranged plan
is present. Alternatively, in the offenders to handle any confiscated property or evi-
absence, an adult who lives or works at dence. The plan includes identification of
the house or business or the owner and/or the evidence officer and his or her loca-
manager of the house or business should tion. A separate officer may be needed to
be present. photograph or videotape the scene and

Using Canines in Searches The evidence officer is well versed in

In many jurisdictions, technical violations the departments policies and procedures
of the conditions of probation or parole may regarding the chain of evidence, including
not be enough to authorize local law enforce- handling contraband.
ment to conduct a search of a parolees or The lead arrest officer has ensured that
probationers residence. Community correc- sufficient evidence kits are available
tions officers consequently cannot always before the arrest.
rely on law enforcement canine (K-9) units
for assistance. Increasingly, probation The evidence officer describes confiscat-
departments are developing their own K-9 ed materials without attempting to ana-
programs and using search clauses in proba- lyze their contents. (Specialists test and
tion orders to ensure that offenders comply identify the materials.)
with the law.

K-9 programs can provide other benefits as Handcuffing

well. When local law enforcement uses a The importance of proper handcuffing tech-
probation departments dog on a search, and niques cannot be overstated. Hundreds of


law enforcement officers have been injured Maintain control of the prisoner and keep
or killed because an individual appeared to him or her off balance.
be cooperative and harmless, and therefore
they did not apply handcuffs as a routine Search the prisoner thoroughly.
practice. Agencies should establish policies Handcuff prisoners with their hands behind
that address who should be handcuffed and their backs and palms facing outward.
why, when, and how handcuffs should be used.
Double-lock the handcuffs.
Agency handcuffing policies also should
emphasize these points: Test the handcuffs by slightly pulling or
pushing the handcuff jaw.84
A subject under arrest should be held in
handcuffs (and other restraints, if avail- Because few probation agencies use belly
able and approved by the agency) until chains, they handcuff offenders in front for
placed in a secure facility. their comfort while being transported. Two
Florida detectives recently lost their lives as
The greater the potential for violence a result of that mistake. Never handcuff in
exhibited by the offender, the greater the front without the use of a waist chain or belt!
need to place the offender in a disadvan-
taged position (e.g., standing, kneeling, or Current training techniques maximize posi-
prone). tioning, balance, and speed. Officers are
instructed to order an offender to place his
Officers should practice handcuffing in or her hands in the desired position, rather
dynamic training situations with subjects than reaching over or around the person and
of different sizes, genders, and levels of
exposing themselves to danger. The same
instruction applies when removing handcuffs.
Many defensive tactic training programs
An article in a safety newsletter published
incorporate handcuffing techniques. Hand-
by the U.S. Probation Office in Sacramento,
cuffing training may seem unnecessary,
California, suggests that before an officer
especially to the more experienced officer.
arrests, handcuffs, or transports an offender, 61
However, the art of safely and effectively
he or she should be able to answer the fol-
applying restraints brings together the skills
lowing questions:
of verbal diffusion, nonverbal communica-
tion, proper use of physical force, and the What will you do if the prisoner resists
role restraints occupy in the use-of-force cuffing?
continuum. Handcuffing skills training can
be integrated into simulations that call for What will you do if the prisoner physically
the use of various techniques with different attacks you?
types of offenders. Most important, officers What will you do if the prisoner becomes
should know how to apply handcuffs on violent while being transported?
individuals who exhibit varied levels of
resistance. Where will you take a prisoner who has a
medical emergency while being transported?
The U.S. Marshals Service training manual
states that officers must follow these safe- What will you do if others interfere with
guards to apply handcuffs properly: the arrest?85

Remain alert to unexpected moves. The National Institute of Justice Technology

Assessment Program publishes various
Approach the prisoner from the rear or
the side.

Arrest, Search, and Seizure

reports on handcuffs and standards (e.g., NIJ Nor should they be insulted if another officer
Standard0307.01).86 Traditionally, three searches the offender again.
types of handcuffs have been available: chain-
link, hinge, and disposable models. Guidelines for safely transporting prisoners

Transporting an Offender The offender and the vehicle, including

agency vehicles and shield cars, are
In Sacramento, California, a deputy U.S. searched before conducting a transport.
marshal placed his weapon under the front
seat of his vehicle before entering the jail Only official vehicles are used. Many
to pick up a prisoner. When he returned safety, liability, and insurance premium
with the prisoner, he forgot to retrieve the issues arise when privately owned vehi-
weapon. It subsequently slid back where the cles are used for official transport.
prisoner was sitting. The prisoner, hand-
Offenders are restrained during transport.
cuffed with his hands in front, grabbed the
weapon, ordered the deputy to pull over, At least two officers are involved in trans-
and escaped. porting an offender. An officer maintains
constant contact with, and surveillance of,
Between 1991 and 2000, 12 percent of assaults
the offender throughout the transport.
on and 4 percent of deaths of law enforcement
officers occurred during transport.87 On Offenders are not allowed unscheduled
December 15, 1923, David W. Burns of the stops or telephone calls after the transport
Kansas Department of Corrections, the first process has begun.
recorded parole officer killed in the line of
duty, was shot and killed while transporting Everyone in the transport vehicle is
two offenders when one of them obtained a required to wear safety belts throughout
gun from an accomplice. Officers responsible the transport.
for transporting an offender should not depend Only officials know the exact route and
on others to search the vehicle or the offender. final destination of the transport.


Field Work
The rehabilitation of offenders is difficult at A Bureau of Justice Statistics report on
best, and many offenders commit additional recidivism of felons on probation between
crimes. In the 1990s, the total correctional 1986 and 1989 found that within 3 years
population increased 49 percent. Almost 6.5 after sentencing and while still on probation,
million men and women were under some 43 percent of felons were rearrested for
form of correctional supervision in 2000, another felony. Half of the arrests were for
which is 1 of every 32 adults. (In 1990, the violent crime (murder, rape, robbery, or
ratio was 1 of 43 adults.) Fifty-two percent aggravated assault) or a drug offense. Within
of probationers had been convicted of a 3 years after sentencing, 46 percent of all
felony, 46 percent were misdemeanants, and probationers had been sent to some form of
24 percent violated drug laws. In addition, custody or had absconded. Among those
15 percent of probationers and 42 percent of under intensive supervision, 39 percent had
parolees discharged from supervision were a prior felony conviction and 75 percent
reincarcerated because of a rule violation or were drug abusers.91 Consequently, the
new offense.88 demand for intensified supervision increased
as reflected by the advent of proactive
Among parolees, 84 percent reported drug supervision programs.
or alcohol involvement at the time of their
current offense, and 21 percent committed
their offense to obtain money for drugs. 63
Fourteen percent were mentally ill.89 Saved by the rain in Arizona
Most serious assaults to community correc- In Arizona, a female adult probation officer
tions officers occur in the fieldand during responded to a call from the husband of a
what they perceive as routine duties (see probationer. On her way to the probationers
Saved by the rain in Arizona and A regu- home, it started to rain heavily and the officer
lar visit turns deadly). decided to go home. The next day, she was
horrified to learn that the person she was to
meet had been arrested for raping and killing
a church volunteer who had responded to the
DEMAND FOR INTENSIFIED husbands plea for a food box. She also
SUPERVISION learned that she was the intended target of
The public is concerned with ever-increasing the attack, but the rain interrupted his plans.
costs of incarceration, widespread substance The murderer admitted to police that he knew
abuse, social unrest, gang activity in inner the probation officer would come to his
home, as she always did when he asked for
cities, and a rash of particularly heinous
help, and that he wanted to know what it was
and violent crimes. Citizens are demanding
like to choke the life out of someone.
through their legislatures that prisons inca-
pacitate and punish offenders rather than
attempt to rehabilitate them.90
INCREASED FIELD DANGERS wounded, two clubbed, three slashed with
a knife, one abducted, eight shot at (but not
Some jurisdictions have largely suspended wounded), and two held hostage in separate
field contacts in certain high-risk areas. incidents.
Although this decreases the risk to the offi-
cer, it all but provides sanctuary to offenders These statistics and examples emphasize that
who live in certain neighborhoods or are attacks can come at any time, anywhereeven
particularly dangerous. In response to the in the parking lot of a sheriffs office (see
killing of Indiana probation officer Charlie An attack in the sheriffs office parking
Knepple in the local mental health office by lot). Safety is not something that officers
his offender, the court stated that officers put on or carry in their pockets. It must be
should not contact offenders outside the part of their total beingtheir thinking, feel-
office. This approach also places the very ing, and doing. It is a way of life.
existence of probation and parole in jeop-
Support from other officers has proven to
ardy. How can agencies explain to the media
be one of the best deterrents to attack. The
and the legislative bodies providing their
chance of assault is reduced by 70 percent
funding that high-risk parolees and probation-
with the addition of a partner and by 90 per-
ers are not being supervised because they
cent with the addition of two people. Most
pose too great a threat to officers?92
corrections agencies do not have the staffing
The threat is real, however. A preliminary to allow officers to consistently work in
report on assaults on community corrections teams, however. When a threat is known, as
officers released in 1992 by the Federal with specific high-risk cases, officers can
Probation and Pretrial Officers Association pair up. But, because not all attacks occur
revealed that, in 28 reporting states, 1,025 when dealing with known high-risk offend-
physical assaults occurred against state and ers, officers working alone should be able to
local probation, parole, and pretrial services summon assistance when needed.
officers since 1980.93 In these assaults, eight
officers were murdered, one raped and
64 murdered, one firebombed, three shot and POLICE-PROBATION/PAROLE
As previously mentioned, many jurisdictions
A regular contact turns deadly are responding to the needs of intensified
supervision and officer safety by establishing
On August 30, 1986, Detroit juvenile probation programs that team community corrections
officer Mary Fine went to the home of a truant personnel with law enforcement. These pro-
juvenile under her supervision and knocked on
grams, commonly referred to as Nightlight,
the front door. When no one answered, she
Spotlight, or Nighthawk, enhance supervision
walked around to the back yard. Two hours
while increasing the safety of the officers
later, her partially clothed body was found by
neighbors between the houses back steps
involved. However, as the programs place
and a chain-link fence, where she had been
officers in greater contact with offenders and
beaten, sexually assaulted, and strangled. other law violators, they carry with them
Neighbors reported that Officer Fine had been intrinsic dangers and safety training issues.
coming to the offenders house every Thursday
The first prerequisite for a successful pro-
for several months.
gram is that everyone clearly understands
the powers of all parties involved. Questions


on the following topics must be discussed Once these issues are resolved, attention can
and clear guidelines established: focus on safety training. Ideally, community
policing and partnership programs train all
The search authority of police officers. participants together. When police and cor-
Police powers of corrections staff. rections officers consistently work together
as a unit, communication among the officers
Roles of all parties when resistance is is improved and feelings of trust and cohe-
met, third-party issues arise, and contra- sion grow. Of special value is simulation
band is observed. training, in which officers are put into situa-
tions they are likely to encounter on the job.
These guidelines vary from jurisdiction to
They work through difficult situations in a
jurisdiction depending on the peace officer
controlled environment and explain their
powers given to community corrections per-
actions in a debriefing. It is important, howev-
sonnel in the particular location and the poli-
er, to obtain instructors who are experienced
cies of the particular department or agency.
in such training and who create scenarios
As previously discussed, the law and agency
that allow officers to succeed rather than set
policies may be in conflict. Many times, the
them up to fail.
legal issues are much more clear and more
easily defined than the procedural issues. Both police and community corrections offi-
cers should have their full complement of
Officers in partnership programs, including
safety equipment before they go into the
community corrections officers, want to
field. It is both a safety issue and a moral
learn more about their legal liabilities and
issue if one officer has all his or her safety
protections on the job relating to the use of
equipment and the other officers do not.
force (especially with those not under super-
Although differences exist regarding whether
vision) and shooting incidents. What do
to arm community corrections staff with
the community corrections agency, police
guns or safety equipment common to police,
department, and police officers expect in a
minimally, community corrections officers
use-of-force situation? Some jurisdictions
should have body armor, a flashlight, and
expect community corrections officers to
clothing or a badge to readily identify them- 65
disengage and let the police handle the situ-
selves to other responding officers.
ation, while others authorize community
corrections officers to back up police offi-
cers just as other police officers would.
Although urban and rural environments are
An attack in the sheriffs different, good safety techniques are the
office parking lot same for both. Planning, preparation, and
In December 1991, while a U.S. probation appropriate techniques increase safety
officer parked his government vehicle in the regardless of the environment. Working in a
Broward County, Florida, sheriffs district rural area does not make an officer any more
station parking lot, three armed men attacked or less safe; an officer working in New York
him. They forced him to the ground and struck City can be just as alone when help is need-
him on the head with a handgun. After robbing ed as one working in the mountains of
him of his personal belongings, the assailants Colorado. The key to safety is mental prepa-
escaped in the vehicle. ration and the maximum use of available
resources (see Consider even how you
park your car).

Field Work
Consider even how you YOU NEED?
park your car
Sitting on an airplane, Rick Faulkner, correc-
On May 27, 1992, a Missouri state probation tional program specialist with the National
officer received a report that gunshots had Institute of Corrections, could see from his
been heard coming from the woods around vantage point the captain and the first officer
the rural home of a 63-year-old man on pro- as they systematically performed their pre-
bation for felony charges of assault and armed flight check. The fact that each of them proba-
criminal behavior. The probationer had failed to bly had logged thousands of airborne hours in
report for an earlier meeting with the officer, the cockpit was irrelevant. Their checklist
who decided to investigate and asked a local
eliminates the probability of either of them
deputy to accompany him.
forgetting something important. What some-
When the offender did not respond at his resi- times seems trivial at ground level may prove
dence, the officers returned to their cars. A to be crucial at 30,000 feet, and the checklist
gut feeling told the probation officer not to ensures that all the bases are coveredeven
get back into his car; instead, he got into the the potential for human error.
deputys car to discuss the situation. The
offender came from behind the house and Later, Faulkner suggested to Jimmy Burgess,
began shooting, hitting the probation officers Training Officer for Virginia Adult Community
car five times. The officers retreated down the Corrections, the idea of a preflight check-
road leading to the house and called for backup. list for probation and parole officers: a sys-
tematic list of what officers should take into
Police officers arrived, surrounded the house, the field to ensure that they are ready to
and instructed the offender to come out
deal with dangerous situations. Officers
unarmed. When he failed to respond, officers
might consider creating such a checklist
fired tear gas into the house. A short time
because they will not have time to go back
later he came out the back door and lay
down in the grass about 10 feet from the
and get that special piece of safety equip-
house. Believing the probationer was giving
ment when the need arises.
66 up, officers moved in. As they got close, he
lifted an AK-47 semiautomatic rifle and began
firing at them. They returned fire, and the pro- CLANDESTINE
bationer was fatally shot. None of the officers METHAMPHETAMINE LABS
were hurt.
A threat to officers, in both urban and rural
The probation officer heeded the warnings environments, is the alarming growth of
from the locals with whom he had taken the clandestine methamphetamine labs found in
time to establish rapport. He took a police everything from homes to utility trailers.
officer with him when he was given informa- Because of the ease of making methamphet-
tion that caused him concern. He listened to amine, labs are easy to construct. But they
his instincts. He planned, he prepared, and he also are potentially deadly to officers who
is alive. unknowingly come near one. How do offi-
The officer later said, I dont care how macho cers know when they have found one? What
you are; its not something you forget. In his are some signs that it may be present? The
16 years as a probation officer, he had not Drug Enforcement Administration and other
given much consideration to something similar drug task forces have listed the following
happening. Afterward, he believed that when signs that may indicate the presence of a lab:
making field contacts, there are lots of things
to consider, even how you park your car. Strong chemical odors in the area and/or
complaints from neighbors about strange
smells coming from the property.
Heavy fortification, such as bars on the Those involved in the processing of the lab
windows. should follow fundamental rules of chemical
safety to prevent injury, illness, and death
Suspicious auto traffic and visitors to (see Safety rules for processing metham-
the site.
phetamine labs).
Chemical cans or drums in the yard.

People leaving the building to smoke COMMUNICATIONS

Surveys in New York, Pennsylvania, Texas,
Once an officer determines that it is a meth and Virginia ranked two-way communica-
lab, the safest approach is to exit the area tions as a high priority for enhanced safety.94
immediately, secure it, and contact the near- In many areas, a communications device is
est law enforcement drug unit. When people the only safety tool an officer has. The NAPE
enter the area, they must be aware of traps survey indicated that cellular telephones were
set to injure or kill intruders. the most common type of safety equipment
issued to officers, with 83 percent of the

Safety rules for processing methamphetamine labs

Read and abide by all labels and warnings Make first aid kits, fire extinguishers, and medical
on chemical containers. assistance readily available.
Use all protective equipment available, such An officer who encounters a driver transporting
as gloves and protective air masks. possible meth lab materials should not smoke or
allow the driver to smoke and neither one should
Do not smoke or eat in or near the lab.
touch or move the vehicle or the chemicals inside.
Do not touch your eyes, nose, mouth, or
other mucous membranes. The presence of these items can indicate that a
stopped vehicle may be carrying materials to or from
If possible, summon a chemist to the scene a meth lab:
to answer questions about the chemicals you
have encountered and to point out hazardous Lab glassware. 67
conditions. Mason jars.
Do not turn anything on or off. Even the Heating elements.
minor friction of flipping a light switch can
Drain openers.
trigger an explosion of highly flammable
chemicals used in meth labs, such as ether. Red phosphorous.

Do not unplug anything. Again, friction or Denatured alcohol.

even the smallest electrical charge can trig- Starter fluid.
ger an explosion.
Hydrogen chloride.
Do not discharge firearms near a lab.
Muriatic hydrochloric acid.
Do not use tools that cause sparks or
generate friction. Anhydrous ammonia.

When photographing evidence, do not use Coleman fuel.

standard flashbulbs. Instead, use strobe Watch for the names of these chemicals on contain-
flash equipment. ers. An important note about transporting chemicals
Do not mix chemicals. Some mixtures from a meth lab: Be sure no chemicals are dripping
can release dangerous gases or cause on the tailpipe of the vehicle used for transport.
explosions. When the tailpipe heats up and chemicals are on it,
an explosion could easily occur.
Do not taste, touch, or directly smell any

Field Work
responding agencies reporting their use. The Dispatch
survey also reported that police-type radios
Another consideration is with whom the
were used by 61 percent of responding
officers will communicate. If radios are cho-
sen, will the agency have its own base sta-
Understanding Wireless Communications tion and frequency or will it use another law
in Public Safety, a publication of the enforcement dispatcher and frequency? If an
National Law Enforcement and Corrections agency has its own base station and frequen-
Technology Center in the Rocky Mountain cy, radios can be used for many transmissions
Region (NLECTCRocky Mountain),96 that would normally occur by telephone, such
addresses virtually every topic connected as from officer to office, and can include
with selecting a communications system. It distress buttons.
discusses planning, funding, purchasing the
The Pima County (Arizona) Adult Probation
right equipment, wireless communications
Department has its own dispatch facility,
technology, characteristics of radio systems,
which includes mapping capabilities that
the FBI National Crime and Information
record not only the location of officers but
Center (NCIC) 2000 system,97 and wireless
the residence location of offenders. The
data systems.
Yuma County (Arizona) Probation Office
Decisions about portability, transmission, also has its own dispatch and requires that
dispatch, and training must be made when officers call in before every stop concerning
selecting communications equipment. an offender. Officers responded positively
when they were asked during a ride-along
what they thought about having to call in
Portability before each stop and clear with dispatch
Portability is a concern when considering when they were through. Without exception,
the use of two-way radios or cellular tele- they did not mind calling in each time
phones. Evaluations of field incidents have because they felt safer knowing that some-
shown that a communications device mount- one knew where they were.
ed in the car is not as useful as a portable
68 Radios with scanning ability provide added
unit. Most hazardous situations take place
safety benefits to officers. Officers can com-
on the street or in a residence.
municate with numerous agencies and also
can monitor police communications, where
Transmission approved. Radios with scanners help officers
When deciding what type of communica- stay aware of safety issues in the communi-
tions equipment to purchase, an agency must ty, such as gang activity, shootings, and
first determine such issues as the frequency it other situations into which they might other-
will use, the type of terrain in which it will wise walk blindly. Officers working in rural
be used, and the distance to a repeater for areas can program their radios to communi-
broadcasting. Agencies should consider the cate with, for example, forest service per-
weakest link regarding potential transmis- sonnel or game wardens who may be avail-
sion problems and select a communications able for emergency assistance when other
device that will meet that need. For exam- law enforcement officials are not.
ple, many rural areas do not have coverage
for cellular telephones. The main concern is Training
to provide communication that is available
Like any tool, radios and, to a lesser degree,
when needed, including when the officer is
cellular telephones require that personnel be
not in the car.


trained regarding their appropriate use, espe-
cially in stressful situations. Initially, many The perils of electronic
officers are reluctant to use communications monitoring
devices, especially when they connect to a
law enforcement agency. They can be intim- An offender pleaded guilty to the charge of
idated by the speed of transmissions and possession with intent to distribute cocaine in
federal court in Brooklyn, New York, and was
codes that they hear. But like body armor,
convicted of purchasing kilo-size quantities of
radios or telephones do no good if they are
cocaine. As a result of his substantial assistance
not used. to the government and because he had no pre-
vious criminal record, he was placed on 5 years
Training exercises should include the use
probation with 6 months home confinement
of radios or cellular telephones to call for under electronic monitoring. He was treated as
assistance or to report hazardous situations. a high-risk case with intensive supervision and
Officers should practice being aware of their was allowed to leave his home to go to work.
location or current address in case they need He worked from 4:00 p.m. to midnight and usu-
to call for assistance. When crises occur, offi- ally arrived home between 1:15 and 1:30 a.m.
cers do not have time to look for street signs.
Officers had previously responded to the pro-
In a review of an actual shooting involving bationers home on three occasions when the
police officers, one officer left cover, leaned equipment indicated there were problems.
They suspected that he may have continued
into the police car while putting down his
his drug involvement while on probation.
empty weapon, and used the car radio to call
for assistance. The officer could have used the At 12:30 one morning, two armed men entered
portable radio he was wearing. Its repeater his residence, tied up his wife, and left her in an
unit made it just as effective as the car radio. upstairs bedroom. They also took the telephone
Assistance calls should be covered as part of off the hook. The probationers brother-in-law
firearms and safety training. and his girlfriend also arrived at the residence
and were bound. At 1:30 a.m., the probationer
arrived home and was met at the door by the
armed men and not allowed to enter. The intrud-
ELECTRONIC MONITORING ers asked if he had the money and, when he 69
Electronic monitoring of offenders has said no, they shot him several times and fled.
brought new problems and concerns to the At 1:34 a.m., the monitoring center was alerted
issue of field safety. In many jurisdictions, after a routine monitoring call determined that
electronic monitoring of out-of-area sig- the phone was off the hook. The staff at the mon-
nals requires an immediate response to an itoring center attempted to remedy the problem
offenders residence. The offender knows he for 30 minutes before paging the supervising
or she is in violation and that an officer is probation officer, who did not immediately hear
approaching. Others in the area, in addition the page. When he later responded to the pager,
the probation officer was told that the police
to the offender, can also pose a threat (see
were at the scene. The probation officer went
The perils of electronic monitoring).
to the scene, retrieved the monitoring unit from
When an electronic monitoring coordinator the home, and went to the morgue to remove
the transmitter from the probationers ankle.
(EMC) is notified of a violation, every effort
should be made to resolve the situation by If the probation officer had heard his pager
telephone. The EMC calls the offenders initially, he would have called another officer
home or alternate numbers, checks office and gone to the offenders home to determine
answering machines that receive emergency the cause of the monitoring device signal. He
calls, and contacts the telephone company might have walked in on the incident and
become a victim himself.

Field Work
to determine whether service has been inter- person who is responsible enough to respond
rupted for reasons beyond the control of the to the offenders home, day or night, and
offender. If the EMC decides that it is an verify the offenders presence.
equipment problem and it is after hours,
repair can usually wait until the next day. Important to any officer, but especially to
an EMC, is the issue of his or her own tele-
If a home contact is needed, officers always phone security. EMCs should consider the
have a backup, either another field corrections following security issues:
officer or local law enforcement. Whether
responding alone or with a partner, an officer Whether to be listed in the telephone
notifies a police dispatcher or someone who book.
can summon assistance if the officer does not If listed, whether to list only a name and
report within a given period of time. telephone numberwithout an address.
In rural areas, a contact person or agency Whether caller ID is available in the area.
can check on the offender when distance
makes immediate response by the probation If using caller ID, whether to block
or parole officer impractical. This may be access to home numbers.
local law enforcement, a neighbor, or another



Canine Considerations
Increasingly, more businesses and individu- A dogs anatomy can offer strong resistance
als, including offenders, are using dogs for both to firearms and survival knives. The
protection. Because most offenders are pro- bony, sloping head may deflect or absorb
hibited from possessing firearms, dogs are rounds before they reach the brain. In a
becoming a more common means of protec- large dog, the carotid arteries are buried
tion. In various areas, some judges hearing deep under muscle99 and are hard to cut. The
probation cases are setting conditions of more easily reached jugular veins may not
probation that prohibit offenders from living bleed out in time to prevent harm to the offi-
with a dog (see Dogs as weapons). cer being attacked.

A Kansas officer who was forced to kill an Corrections agencies should consider pro-
attacking 130-pound rottweiler summarized viding officers with the training and infor-
his concerns: A vicious dog doesnt really mation necessary to understand canine
care about your command presence, your behavior and respond appropriately in case
uniform, or often even your weapon. In of an attack (see Techniques for avoiding
fact, dogs are sometimes trained to attack dog bites). The following resources for
at the sight of a firearm. As reflected in the training can be found in most communities:
hazardous duty statistics cited in a recent
article from Federal Probation,98 dogs are Canine units within law enforcement agen-
involved in one of the most common haz- cies can provide information on handling 71
dogs and may provide limited training.
ardous duty situations.
Military K-9 units can provide informa-
tion on handling and training dogs.

Humane societies usually provide infor-

Dogs as weapons mation on handling dogs and offer obedi-
ence classes that can give some insight
A New York City detective searching a social into dealing with potential dog attacks.
club for four drug suspects surprised four
other occupantsthree Doberman pinsch- Several tactics are available for defending
ers and a German shepherd.a The shepherd against a dog attack:
attacked and the detective shot him twice
at point-blank range, but the dogs gnashing Defense tactics: Because many commu-
jaws did not let up. Before the animal died, nity corrections officers do not carry
it had chewed the officers thigh, forearm, sidearms, this option is probably the best.
and knee.
Chemical deterrents: Law enforcement
a. Remsberg, Charles. 1992. The Tactical Edge. and probation agencies report that OC
Northbrook, IL: Calibre Press, Inc.
(pepper spray) is effective in deterring
dog attacks.
Sidearms: Despite the handicaps, a PRESERVING THE SCENE
sidearm may ultimately be the most effec-
tive defense in stopping an attack, espe- Community corrections officers across the
cially at distances where OC spray is not country often have been faced with the need
effective. With large, savage dogs, it may to use force to protect themselves. Officers
take several body shots to be effective. should preserve the scene and protect them-
When firearms are used, however, issues selves both physically and legally by
such as ricocheting bullets, trajectory, and
Securing all weapons.
penetration need to be considered.
Securing the scene.
Given the increased frequency of dog
attacks, officers should receive information Contacting medical authorities.
on handling them as part of a safety training
program. Community corrections officers Contacting their agency.
should, at a minimum, know how to work in
Contacting local law enforcement.
support of a K-9 unit. Lack of familiarity
and training can diminish the effective use Limiting their initial statement (for their
of dogs in searches, as well as endanger own protection) to the following: My
the officer. name is [name of officer]. I am a [name of

Te c h n i q u e s f o r a v o i d i n g d o g b i t e s
Recognize that any dog is a potential biter. Letting the dog bite something in your hand
rather than you.
Look for signs of a dogs presence before entering
a yard or residence. Not running, unless you think you can beat the
dog to the exit.
Do not surprise a dog. Try
Defend against a dog attack by
Maintaining a side position to the attack.
Tapping on a fence or other object.
72 Yelling to both attract assistance and startle the
Calling out. dog.
Approach the dog by Shielding your neck and face with your arm.
Taking off sunglasses. Extending your arm as a target and retracting it
Standing still and letting the dog approach. at the last possible moment when the dog is in
the air.
Standing sideways.
Trying to knee the dog in the chest or deliver a
Speaking softly.
hard kick.
Not staring at the dog.
Offering the dog a notebook or other article on
Observing the dogs body language. which it can concentrate to buy time to escape.
Protect yourself by Knowing the parts of a dog that are vulnerable
to blows: the nose, throat, and rib cage.
Not turning your back on the dog.
Source: Personal Development Consultants. 1995.
Commanding the dog in a firm voice to sit or stay Personal Safety Training Manual. Tacoma, WA: Personal
if he acts threatening. Development Consultants.


agency] probation/parole officer. There has they hear it on the news (even if the offi-
been a [describe the use of force; e.g., use cer is not injured).
of pepper spray, shooting, injury] at [loca-
tion]. I have nothing more to say until I Who will take family members to the
have contacted [agency legal counsel]. hospital if an officer is injured.

The probation/parole agency should also Who will be assigned to stay with the
have a plan detailing the following: officer after the incident until (and, if
need be, after) he or she gets home.
Who will respond to the scene.
How the agency deals with officers involved
Who will respond to questions from the in use-of-force incidents has a great impact
media? not only on the officers involved and their
families but also on the office as a whole.
Who will contact family members to
advise them of the officers status before


Canine Considerations
Scenario Training
Scenario training, or safety simulation train- CREATE A REALISTIC SETTING
ing, is a comprehensive approach to safety
training that developed as a continuation of The realistic setting can be as elaborate or
previously offered lecture and interactive simple as the trainers want it to be. The
training packages. A quality scenario training main objective is to create realism while
program provides practical safety training on being concerned with safety issues (see
issues relevant to the participants. It also gives Simple, fatal carelessness).
agencies the opportunity for an ongoing dia- Creating a realistic setting allows both offi-
log among all parties regarding safety issues cers and trainers to get a true reading on
and continued safety training development. how an officer might respond in an actual
Regardless of how much classroom training
officers have received, one of the best meas-
ures of their learning is whether they can Simple, fatal carelessness
apply what they have learned to the real
world. This does not minimize the impor- On June 27, 1996, probation officer David
tance of what takes place in the classroom. Seymour was assisting local law enforce-
On the contrary, it is critical to the success of ment with scenario training. The officers
any scenario-based program to thoroughly were using their duty weapons, which had
explain and discuss concepts so that students been unloaded. The training was taking place 75
outdoors, and when it began to rain they
have a framework to assess a situation, decide
decided to stop. The officers loaded their
on a course of action, and act. The concepts
weapons to return to work. While they were
that are described in an academic setting
getting ready to leave, the weather broke,
must be applied in a practical setting and
and they decided to continue the training
with a dynamic approach. Scenario training and act out another scenario.
aims to
David played the role of an assailant during
Create as realistic a setting as possible for a traffic stop. As he got out of the car and
each scenario. came at the officer, the officer drew his
weapon and fired. He had failed to unload
Strive to create win-win situations to
his weapon again after the training resumed.
facilitate learning.
David died from a gunshot wound to the
Constructively critique performance with- chest. Safety cannot be stressed enough.
out being judgmental.
situation. The realistic setting also creates The Officer-Participants
a certain amount of stress for the officers,
Scenario-based training can create a fairly
which is also a realistic and desirable
high level of anxiety for some participants.
This anxiety can be displayed in many ways.
When conducting scenario-based programs, Some may refuse to participate. Others may
the degree of realism experienced depends participate but not take the training serious-
on three factors: the setting, the actors used ly. Still others who participate may be so
in the scenarios, and the officer-participants. overcome with anxiety about the training
that they may make mistakes in the exercises
they otherwise would not make. Trainers
The Setting must prepare to deal with these and other
Although the physical setting for the scenar- possible outcomes when they undertake sim-
ios does not need to be elaborate, it is helpful ulation training. Participants must be allowed
to include enough props to give the appear- to conduct themselves during an exercise
ance of realism. If the setting is an offenders without any coaching from the trainers. It is
home, obtain furniture that can be found in a the trainers responsibility to sit back,
home. The main issue is to create a setting observe, and critique at the end of the simu-
that resembles the officers work environ- lation. It is also the trainers responsibility to
ment, whether it is an office, residence, or ensure that no one is injured during the exer-
another location in the community. cises. If the situation gets out of hand, the
trainer must step in and stop the action.

The Actors Trainers should also be alert for any officers

Many law enforcement and community correc- who may seem to be strongly affected by a
tions agencies that have conducted scenario- scenario. Should an officer make a mistake
based training use other officers, preferably during an exercise that, in a real-life situa-
not known to the participants, as role players tion, would result in an injury or a hostage
for these programs. Other officers understand situation or would turn fatal, the trainer
the purpose behind this type of training and, should make a note to review what happened
because they have a frame of reference for the with the officer and make certain that his or
type of situations depicted, they can usually her self-confidence has not been shaken.
bring a good deal of realism to the role. At the end of each exercise, trainers should
Trainers should be alert, however, to several make sure that they have identified all of
concerns that need to be addressed when the positive, not just negative, behaviors dis-
selecting actors for these programs. played by the officers. The purpose of the
One of the most important points to convey scenario training is to reinforce the informa-
to anyone who will be playing a role during tion discussed in the lecture. If a trainer
the exercises is that they are also trainers. emphasizes the negative, that is what the
This means that their ultimate goal is to con- officer will remember.
tribute to the officers learning. They should Scenario-based trainers must understand that
not embarrass or humiliate anyone. This is their role is different from that needed for
not the time for role players to show off more traditional training. They, of course,
their knowledge and expertise at the expense must be subject-matter experts so that they
of participants.


can teach on a given area at a moments widow talks about safety). Simulations that
notice and do it unscripted. They also must are win-win situations simply have built-in
know how to provide constructive feedback opportunities for the officer to succeed. Few
and be able to think on their feet. would argue that the chance for a successful
outcome exists in almost any situation an
officer could encounter, so why not build
STRIVE FOR WIN-WIN this characteristic into the exercises? It
SITUATIONS would be a mistake to design a scenario that
guarantees success; it would likewise be a
Sometimes people assume that striving for
mistake to design a simulation that guaran-
win-win situations means that simulations
tees failure. Either condition interferes with
should be designed to ensure success. This,
learning and defeats the purpose of scenario
they argue, is not realistic. Guaranteed success
is not, however, what this goal implies (see A

A widow talks about safety

On September 22, 1986, U.S. Probation Officer enable the officer to anticipate perilous situations
Tom Gahl was shot to death by a probationer while and respond with appropriate action. Although I
attempting a home contact. His death, like many dont think that this could have prevented Toms
assaults and killings of field corrections personnel, death, if it saves the life of just one other probation
came without warning. Toms wife, Nancy, shares officer, it is well worth all the time and effort.
her thoughts about her familys loss.
Knowing the fears that have at times consumed
My husband was the first United States Probation and paralyzed our family because of our tragedy,
Officer to be killed in the line of duty by an offend- and realizing that probation officers may be living
er. He was only 38 years old, had two boys, 4 and with these same fears daily, I would hope that cri-
8, whom he dearly loved, and was the president sis counseling would be available for officers who
of our church congregation, a Little League have experienced a threat or a loss, or who are
coach, and an active civic volunteer. He had every trying to cope with the everyday stress of the job.
reason to live, yet on the morning of September
At the time of Toms death, probation officers from
22, 1986, he was shot twice in the head with a
across the country, including Puerto Rico and the
sawed-off shotgun, and our lives were changed
Virgin Islands, responded to us with an over-
whelming outpouring of compassion and concern.
Tom was a very conscientious, thorough probation I am glad to have this opportunity to thank you
officer who loved his family too much to take once again for all of your love, your prayers, and
chances. On occasion, he had taken a U.S. your generous contributions to the boys fund. That
Marshal with him if he felt he would be in a threat- was not a one-time happening for us, for it has
ening situation. But on the morning of the 22nd he never been forgotten, and your genuine concern has
was going to do a routine urinalysis and was shot comforted us and sustained us through the years.
before any reasoning or weapon could have Occasionally we re-read your letters and we see your
saved him. names, and we continue to feel a part of the larger
family of probation officers. You have given us
No one knows better than todays probation officer
good memories, and we thank you for that.
how much violence pervades our society, and we
realize that no one is immune from it. With routine It is our fervent hope that none of you will have
home contacts and regular time spent in the field, to suffer the tragedy that we did, and we pray
the officer may be faced often with potentially life- that God continues to keep all of you in His
threatening situations. I believe that the value and safekeeping.
importance of staff safety training cant be overstat-
Many blessings to you,
ed. Learning to deal with mentally ill patients, drug
Nancy Gahl
users, and all other violent crime offenders may

S c e n a r i o Tr a i n i n g
It also is easy for trainers to design situa- of videotaped training allows the trainer to
tions that are not realistic. In one program, provide instant review and feedback to the
trainers got carried away and had bad participants while the simulation is fresh in
guys coming out of manhole covers. everyones minds. The old adage that cam-
eras do not lie is especially true and helpful
in this situation, as many of the participants
CONSTRUCTIVELY CRITIQUE will have experienced the auditory and visu-
PERFORMANCE al focusing and other distortions common to
all in stressful situations. By use of video-
Trainers should know how to highlight the
taping, the trainer can minimize the excuses
positive aspects of someones performance
for ineffective performance and allow effec-
and comment on the negative aspects in a
tive self-analysis.
positive way. Providing constructive feedback
also means that the trainer should be able to Scenario training provides effective, realistic
fully explain why a particular response was safety training in a controlled environment,
positive or negative. This means that trainers which maximizes learning potential. It also
must work through as many of these issues helps meet the legal challenges that dictate
ahead of time as they can, striving for clari- that lecture-type training is not enough
ty of thought and purpose. If it is not clear to when issues of performance under stress are
the trainers why a certain response would be involved. Agencies can develop training that
effective or ineffective, how can it be clearly is specific to their needs and best helps par-
articulated to the participants? ticipants retain their skills.

Videotaping can be a key element for suc-

cessful scenario training. Immediate playback



A Critical Incident Program
Each day thousands of probation, parole, to the incident.100 The inability to respond
and community corrections officers travel may also affect the home environment.
the streets and highways of our nation and
its territories to conduct investigations and
enforce conditions of supervision. It should COMMON SYMPTOMS
not be a surprise to anyone working in the
Following a traumatic incident, the victim
field of community corrections that the pos-
officer may experience symptoms that affect
sibility of one day being confronted with a
the cognitive, physical, emotional, and
hazardous duty encounter might become a
behavioral aspects of normal functioning.
reality. Officers should ask themselves
The officer may become confused in his
whether they are prepared for the encounter.
thinking or have difficulty making decisions
The likelihood of surviving a critical inci-
(cognitive symptoms). He may sweat exces-
dent is quite good, particularly in view of
sively, have dizzy spells, or experience an
the large number of reported incidents each
increased heart rate and rapid breathing
year. But those who are not in top shape,
(physical symptoms). He may feel angry,
therefore not prepared for a life-altering
depressed, hopeless, or helpless (emotional
encounter, may one day find themselves at
symptoms). He also may undergo changes in
the mercy of another personor animal.
eating habits, become careless about person-
How can they help themselves recover from
al hygiene, or withdraw from others (behav- 79
a critical incident? Who will take care of
ioral symptoms).
them? This final chapter provides both offi-
cers and managers with information essential It is important for the organization and fel-
to processing critical incidents and helping low officers to recognize the early warning
victims recapture a normal life following crit- signs when a victim officer appears unable
ical incidents. to regain control over his life. Flashbacks,
traumatic dreams, memory disturbances,
persistent recollections of the trauma, self-
WHAT IS A CRITICAL medication with drugs and alcohol, anger,
INCIDENT? irritability, hostility, panic attacks, persistent
depression, and withdrawal are signs that
Many agencies have developed crisis inter-
professional intervention may be needed.101
vention programs in response to critical inci-
dents or in preparation for the likelihood of In any crisis situation, these signs and symp-
a critical incident. An event becomes a criti- toms are normal reactions to an abnormal
cal incident when an individuals emotional situation. Helping people regain normal
defenses rapidly break down, overwhelming functioning strengthens their efforts to
the individuals ability to cope and respond recover from a traumatic incident.
CRITICAL INCIDENT STRESS A comprehensive CISM program incorpo-
MANAGEMENT rates the processes of debriefing, defusing,
and demobilization.
Critical incident stress management (CISM)
is a comprehensive, organized approach to
reducing and controlling the harmful aspects Debriefing
of stress related to crises and disasters.102 Critical incident stress debriefing (CISD)
CISM aims to maintain health and produc- and defusing use group meetings to discuss
tivity, prevent and mitigate the effects of a traumatic event or series of traumatic
stress, restore the persons normal function- events. Both processes are solidly based in
ing, facilitate a speedy recovery from stress, crisis and educational intervention theory.
and enhance the overall environment in They are designed to mitigate the psycho-
which the person works and lives. Support logical impact of a traumatic event, prevent
of personnel within an organization, from the subsequent development of a posttrau-
line staff to top management, is a key com- matic stress syndrome, and identify early on
ponent of a successful CISM approach to a individuals who will require professional
critical incident and should be a matter of mental health services following a traumatic
accepted policy within the organization. event.
Such a network of resources helps the indi-
vidual focus on recovery and allays the fear A persons 2- to 3-hour CISD experience
associated with losing control over his or her starts with his or her rational examination of
life. For example, if an employee has diffi- the trauma (the introduction and fact stages)
culty returning to the office where an inci- and moves through cognitive to emotional
dent took place, management can offer flexi- reactions (the thought stage). It continues
ble work hours or an alternative office loca- with a strong emotional reaction (the reac-
tion. Coworkers can help the employee with tion stage) and then a transition stage (the
household chores, childcare, or work assign- symptom stage) to coping and closure
ments. By working together, management (teaching and reentry stages).
and coworkers can have a significant impact The formal CISD process is a seven-stage
80 on how quickly victimized employees regain intervention (see The critical incident stress
their productivity. debriefing process).

The critical incident stress debriefing process

Stage Objective
1. Introduction To introduce intervention team members, explain the process, and set expectations.
2. Fact To describe the traumatic event from each participants perspective on a cognitive level.
3. Thought To allow participants to describe cognitive reactions and move to emotional reactions.
4. Reaction To identify the most traumatic aspect of the event for the participants and describe
emotional reactions.
5. Symptom To identify personal symptoms of distress and move back to the cognitive level.
6. Teaching To educate about normal reactions and coping mechanisms, such as stress management,
and to provide a rational basis for actions.
7. Reentry To clarify ambiguities and prepare for termination.


A debriefing is a structured discussion of the avoiding substances like alcohol; and
traumatic event and does not substitute for emphasizes the value of resting and enjoy-
therapy. The goals of a debriefing are to ing family life, recreation, and exercise.
lessen the impact of the event and accelerate
normal recovery processes in people who
are experiencing normal reactions to abnor-
mal events. Both peer support and the men- A 30-minute demobilization offers large
tal health perspective are essential to the work teams (more than 100 personnel) rest
success of a debriefing. The presence of a and information immediately after they have
mental health professional is required and been released from a major incident and
all team members must be trained in CISD before they return to their normal duties. It
regardless of background and other types of serves a secondary function as a screening
training. opportunity to ensure that individuals who
may need assistance are identified early after
the traumatic event. Customarily, a CISD
Defusing team member leads a 10-minute information
A defusing is a shortened version of a session, followed by 20 minutes for food
debriefing. Usually 20 to 45 minutes in and rest. The most recent examples of large-
length, a defusing is best applied within 8 scale demobilization followed the attacks on
hours (if possible, within 12 hours) of an September 11, 2001, in New York City and
incident. A defusing mitigates the impact of at the Pentagon.
the event, accelerates the recovery process,
and reduces cognitive, emotional, and physio-
logical symptoms. It is also helps determine PROCEDURES FOR
the need for debriefings and other services. ESTABLISHING CISD TEAMS
The components of a defusing include the The first step is to determine the need for a
following: team. If the number of major events that
had a serious emotional impact on personnel
Introduction. The facilitator introduces the in the past 5 years averages five or more a 81
team, states the purpose and goals of the year, a team is probably needed. Fewer than
defusing, sets the rules including those on five events a year can probably be handled
confidentiality, and describes the process. by a regionally based team. If a CISD team
He or she also motivates members to partici- is needed, the following procedure should be
pate in and finish the process, offers addi- considered.
tional support, and makes it clear that the
process is not investigative. Gain support from the administration to
investigate the need for a team in the
Exploration. The facilitator asks participants administration area. If the chief adminis-
to describe the critical incident, express trator can be convinced to support a team,
their experiences and reactions, and assess it will be easier to put together.
their need for more help. The facilitator also
reassures participants, as necessary. Talk to local mental health professionals
and determine whether they are interested
Information. The facilitator accepts and in this type of community service project.
summarizes the participants explorations;
explains that they are normal reactions; Form a task force of peer support person-
teaches survival skills for dealing with stress; nel and mental health professionals to
discusses a good diet and recommends develop the team.

A Critical Incident Program

Gather information about CISD team devel- Review CISD incidents to determine the
opment and learn what other communities need for improvement.
have done. Try to avoid reinventing the
CISD wheel. As with any process, how the elements are
applied may have an impact on the success or
Solicit financial support from agencies failure of the intended goals. The International
and the private sector to cover the costs Critical Incident Stress Foundation offers
of training the team. explanations for the failure of a CISM
response (see The top 10 reasons a CISM
Send out applications for team member-
response fails).
ship. (Several states already have an
application process. Review theirs and see
if it fits your needs.) Separate profession-
al and peer support applications may be
necessary. Creating awareness among management of
the need for intervention is the first step in
Review applications and select individu- negating many harmful effects of a critical
als who have the best potential to work
incident. Educating management and
on the team. Do not promise anyone a
developing a critical incident action plan as
place on the team until initial training
a pre-incident guide will undoubtedly save
is complete.
considerable time and trouble if an incident
Arrange for training of the team. (Some- occurs in the organization. Educating
times this is done much earlier in the pro- employees on the value of intervention will
cess to ensure timely startup of the team.) lessen their apprehension about participating
in the CISM process. Developing procedures
Provide a minimum of 2 days of training to activate the intervention and identifying
identical to the training provided to the support services in the organization and
other CISD teams. community also expedites the decisionmaking
Establish leadership on the team. process if the agency experiences a critical
Develop written operating procedures for
the team. A model protocol for critical incident and
death notification was developed by Ronald
Continue to train the newly formed team Schweer, Deputy Chief U.S. Probation
with items not covered in the initial training. Officer for the Eastern District of Missouri
in St. Louis (see appendix A). It can be modi-
Hold regular team meetings to maintain
fied to meet the needs of a particular agency.
interest and ensure proper dissemination
of information.


The top 10 reasons a CISM response fails
10. Acting or speaking insensitively. Showing trained to recognize specific signs, symptoms,
respect and concern in a bad situation builds and behaviors exhibited by individuals trau-
trust and an atmosphere of open communica- matized by a critical incident. A mental health
tions, which sets the stage for successful professional can determine whether further
interaction. intervention is necessary and expedite a refer-
ral to an appropriate resource following the
9. Breaking confidentiality. To break confiden-
tiality implies a violation of a trust. To speak
openly or in secret with others who are not 3. Not using peers for emergency, hospital, mili-
directly related to the incident can easily make tary, or other operational groups. CISM teams
the victim officer feel abandoned and angry. have been part of emergency medical servic-
However, confidentiality is not absolute. If es, hospitals, the military, and law enforce-
something is said in confidence that presents ment for many years. These teams include
a risk to anyone and may be litigated, the peers from within the profession, combined
CISM team leader must make it clear that liti- with mental health professionals who have a
gationand therefore disclosureis possible. working knowledge of operational groups.
A successful intervention can be conducted if Community corrections professionals know
the team leader keeps the group focused on the expectations, stressors, and dangers
the process rather than assessing blame. associated with assigned duties and responsi-
bilities in their field. Using community correc-
8. Not identifying when followup is needed.
tions peers who are trained in CISM helps
Those involved in a critical incident experience
participants work through the debriefing
varying degrees of emotional responses that
process and facilitates recovery.
may require a followup referral for additional
assistance. Failing to identify the need for 2. Not taking time to learn about the situation.
additional assistance for a victim officer, and Like taking a test without being prepared,
thus not providing it, presents both a moral walking into a debriefing without knowing the
and ethical dilemma that can result in disaster. facts of the critical incident results in failure.
Members of the CISM team should take time
7. Failing to make a referral when it is needed.
to find out what happened, who was involved,
The victim officer needs to know what servic-
and the level or exposure experienced by the
es are available, how long they are available
participants. Easing into the situation will allow
(e.g., the number of visits to a treatment
the CISM team to better understand the emo-
provider paid by the agency), and the confi-
dentiality of services.
tions and reactions exhibited by the partici- 83
pants in a debriefing. Doing homework can
6. Not working the process from cognitive to pay dividends in processing the situation and
affective and back to cognitive. The CISM helping participants work through the effects
technique is a sequential process. Changing of a traumatic event.
the order of the elements or omitting an ele-
1. Turning CISM into psychotherapy. The most
ment derails this process and reduces the
profound mistake made in the CISM process
chance of success in helping participants
is turning it into something it is not. The CISM
return to some degree of normal living.
process is not psychotherapy and should not
5. Using responders untrained in CISM. Like any be treated as such. If a victim officer or CISM
profession, training is an essential element participant exhibits behaviors that imply a
toward development and growth. Using need for the services of a therapist, the team
untrained responders could easily impede the leaderin cooperation with management
CISM process and cause irreparable harm in within the organizationshould ensure this
an atmosphere where the lessening of pain is done.
and suffering is a primary concern.
4. Not using mental health professionals in a
debriefing. Mental health professionals are

A Critical Incident Program

Final Thoughts
That which can be foreseen can be determine what needs to be done in their
prevented. agencies. The resource individuals and agen-
cies listed in this document and the authors
Dr. Charles H. Mayo, circa 1928 stand ready to answer your questions and
Establishing a safe office and overall work- provide assistance.
ing environment appears to be a daunting As Vice President Dick Cheney stated after
task. But many fellow probation and parole the terrorist attacks of September 11, 2001,
professionals have already created this Its not a question of if, but when. There
wheel. Individual agencies simply need to will be more assaults on officers and staff,
select the one that works best for them. and more officers will give their lives in the
It is the job of administrators, middle man- line of duty. It is everyones job to keep
agers, line officers, and support staff to eval- those numbers as low as possible by being
uate their own working environments and proactivenot reactive.

1. Parsonage, William H. 1990. Worker 11. Ross, Darrell. Undated. A Model Policy
Safety in Probation and Parole. Washington, on the Use of Nondeadly Force in Corrections:
DC: U.S. Department of Justice, National Based on a Comprehensive Analysis of
Institute of Corrections, NCJ 125704, NIC Correctional Nondeadly Force Policies
008501. Available on the World Wide Web at Nationwide. Paper prepared as coursework for Ph.D., Michigan State University.

2. Thornton, Robert L., and John H. 12. R.E.B. Security Training, Inc. 1991.
Shireman. 1993. New Approaches to Staff 1991 World-Wide Aerosol Instructor
Safety. Washington, DC: U.S. Department of Training Manual. Stoddard, NH: R.E.B.
Justice, National Institute of Corrections, Training International, Inc.
NCJ 147936, NIC 011356. Available on the
World Wide Web at 13. Faulkner, Samuel D. 2001. Use of
pubs/1993/011356.pdf. Force: Response to Anothers Action of
Resistance. Ohio Police Chief (Winter): 13.
3. City of Canton v. Harris, 489 U.S. 378
(1989). 14. Faulkner, Samuel D. December 2001.
Use of Force. Presentation at the
4. Popow v. City of Margate, 476 F. Supp. Controlled F.O.R.C.E. Seminar, Las Vegas,
1237 (D.N.J. 1979). Nevada.
5. Davis v. Mason County, 927 F.2d 1473 15. Artwohl, Alexis, and Loren W. Christensen.
(9th Cir. 1991). 1997. Deadly Force Encounters. Boulder, CO:
Paladin Press.
6. City of Canton v. Harris, 489 U.S. at 396
(see note 3). 16. Duran, Sarah. 2002. Putting a Price on
Suffering. Tacoma (WA) News-Tribune. Jan.
7. Ibid. 13. Available on the World Wide Web at
8. Davis v. Mason County, 927 F.2d at
148081 (see note 5). suffering.asp.

9. McCoy, Tana. 2000. Probation Officer 17. Parsonage, William H., and W.
Safety: The Results of the National Association Conway Bushey. 1988. The Victimization
of Probation Executives Probation Safety of Pennsylvania Probation and Parole
Survey. Executive Exchange (Summer): 56. Workers in the Line of Duty: A Survey.
University Park, PA: The Pennsylvania
10. OLinn, Missy K. 1992. The Gaps in State University.
Use of Force Policies and Training. The
Police Chief (February): 5254.
18. Ely, Richard E. August 15, 1989. Report 30. Bracy, D. 1988. The Decline of the
on the Safety Concerns of Probation and Vaccination Model: Criminal Justice
Alternatives to Incarceration Staff in New Education for a Changing World. The
York State. Albany, NY: New York State Americas 1(2): 1.
Division of Probation and Correctional
Alternatives, Bureau of Policy, Planning, 31. Remsberg, The Tactical Edge (see note 23).
and Information (hereinafter Report on 32. Healey, D. 1981. The Aerobic Cop.
Safety Concerns). Police Chief 48 (1) (February): 6770.
19. Adams, Ronald J., Thomas M. McTernan, 33. South Carolina Department of Probation,
and Charles Remsberg. 1980. Street Survival Parole and Pardon Services. 2001. Agency
Tactics for Armed Encounters. Northbrook, Fitness Standards. Columbia, SC: South
IL: Calibre Press, Inc. (1989 ed.). Carolina Department of Probation, Parole
20. Parsonage, Worker Safety in Probation and Pardon Services. February 28.
and Parole (see note 1). 34. McCoy, Probation Officer Safety (see
21. Ibid. note 9).

22. Ibid. 35. Weaver, Wayne, and Monty B. Jett.

Undated. Oleoresin Capsicum Training and
23. Remsberg, Charles. 1992. The Tactical Use. Quantico, VA: FBI Academy, Firearms
Edge. Northbrook, IL: Calibre Press, Inc. Training Unit: 8.

24. Arizona Supreme Court, Administrative 36. Cap-Stun Weapon Systems. 1991. Cap-
Office of the Courts. 2001. Safety Awareness Stun Weapon Systems Aerosol Training
Survey. Phoenix, AZ: Arizona Supreme Court. Introduction. Bethesda, MD: ZARC
25. Federal Bureau of Investigation, Uniform
Crime Reports. 2000. Law Enforcement 37. British Columbia Police Commission.
Officers Killed and Assaulted. Washington, 1991. Oleoresin Capsicum (Cap-Stun)
88 DC: U.S. Department of Justice. Available on Spray Evaluation. April 22October 22.
the World Wide Web at Vancouver, BC: Ministry of Public Safety
ucr/killed/00leoka.pdf. and Solicitor General.

26. Adams, McTernan, and Remsberg, Street 38. National Institute of Justice, National
Survival Tactics for Armed Encounters (see Law Enforcement and Corrections
note 19). Technology Centers. 2000. Surviving a
Shooting: Your Guide to Personal Body
27. Parsonage, Worker Safety in Probation Armor. Washington, DC: U.S. Department
and Parole (see note 1). of Justice. Videotape. Available on the
28. Federal Bureau of Investigation, World Wide Web at
Uniform Crime Reports. 1990. Crime in videos/justnet.html#surviving.
the United States. Washington, DC: U.S. 39. McCoy, Probation Officer Safety
Department of Justice. (see note 9).
29. Nicoletti, John. 1990. Training for 40. National Institute of Justice, Law
Deescalation of Force. The Police Chief Enforcement and Corrections Standards
(July): 3739. Testing Program. June 2001. Ballistic
Resistance of Personal Body Armor: NIJ
Standard0101.04 (Revision A). Washington,


DC: U.S. Department of Justice, NCJ 51. Arizona Supreme Court, Administrative
183651: 2. Available on the World Wide Office of the Courts, Safety Awareness
Web at Survey (see note 24).
52. Larson, D.R., R.H. Palm, and N.G.
41. Federal Bureau of Investigation, Uniform Paulter. June 2000. A Measurement System for
Crime Reports. 1992. Law Enforcement Characterizing the Detection Performance of
Officers Killed and Assaulted. Washington, Metal Detectors: Design and Operation.
DC: U.S. Department of Justice. Gaithersburg, MD: U.S. Department of
Commerce, National Institute of Standards
42. National Institute of Justice, Law and Technology, NISTIR 6530.
Enforcement and Corrections Standards
Testing Program, NIJ Standard0101.04 53. U.S. Marshals Service. March 1999.
(Revision A) (see note 40). Offsite Security Booklet for Judicial
Officers. Arlington, VA: U.S. Department
43. National Institute of Justice, National Law of Justice.
Enforcement and Corrections Technology
Centers, Surviving a Shooting (see note 38). 54. The information in appendix C is taken
from U.S. Marshals Service, Offsite Security
44. Ibid. Booklet for Judicial Officers (see note 53),
45. Ross, A Model Policy on the Use of Non- and adapted for use by law enforcement offi-
deadly Force in Corrections (see note 11). cers in general.

46. Federal Bureau of Investigation, Uniform 55. Parsonage, Worker Safety in Probation
Crime Reports, Law Enforcement Officers and Parole (see note 1); Parsonage and
Killed and Assaulted (see note 25). Bushey, The Victimization of Pennsylvania
Probation and Parole Workers (see note 17).
47. Jurasz, Dennis F. 1992. Med Armor
GlovesThe Frisker. The Police Marksman 56. De Becker, Gavin. 1997. The Gift of
(May/June): 47. Fear: Survival Signals That Protect Us From
Violence. Boston and New York: Little, 89
48. For more information on gloves that are Brown and Company: 117.
pathogen (biohazard) resistant, cut resistant,
puncture resistant, or a combination there- 57. Ibid: 103.
of, see National Law Enforcement and 58. Calhoun, Frederick S. 1998. Hunters and
Corrections Technology Centers. October Howlers: Threats and Violence Against
2001. A Comparative Evaluation of Protective Federal Judicial Officials in the United
Gloves for Law Enforcement and Corrections States, 17891993. Arlington, VA: U.S.
Applications. Bulletin. Washington, DC: U.S. Department of Justice, U.S. Marshals
Department of Justice, National Institute of Service.
Justice. Available on the World Wide Web at 59. Ibid.
html or
glovesbltn 2001.pdf. 60. Bigger, Philip J. 1993. Officers in
Danger: Results of the Federal Probation
49. McCoy, Probation Officer Safety (see and Pretrial Officers Associations National
note 9). Study on Serious Assaults. Perspectives 17
(4) (Fall): 1420.
50. Ely, Report on the Safety Concerns of
Probation (see note 18).

61. Calhoun, Hunters and Howlers (see 90; Keve, Paul W. 1979. No Farewell to
note 58). Arms. Crime and Delinquency 25 (4)
(October): 425435; Sigler, Robert T. 1989.
62. Ibid. Role Conflict for Adult Probation and
63. Ibid. Parole Officers. Journal of Criminal Justice
16 (2): 121129.
64. McCoy, Probation Officer Safety (see
note 9). 72. Adams, McTernan, and Remsberg, Street
Survival Tactics for Armed Encounters (see
65. Federal Bureau of Investigation, Uniform note 19).
Crime Reports, Law Enforcement Officers
Killed and Assaulted (see note 25). 73. Taus, Margaret. 2002. Woman,
Husband Arrested After Police Standoff
66. Ibid. in Issaquah. Seattle Post-Intelligencer.
February 26. Available online at
67. During June and July 2001, the American
Probation and Parole Association (APPA) 59819_standoff.shtml.
conducted a survey to determine current poli-
cies and practices for arming adult and juve- 74. Arizona Code of Judicial Administration,
nile probation and parole/aftercare officers. Section 6-113, Firearms Standards (2002).
The jurisdictions surveyed included 50 states,
the District of Columbia, U.S. territories, 75. Popow v. City of Margate, 476 F. Supp.
and the U.S. Probation and Pretrial Services 1237 (D.N.J. 1979) (see note 4).
System. See Fuller, Karen. March 2002. 76. Grossi, David M. 1992. Popow vs. City
American Probation and Parole Associations of Margate, Revisited: Have We Met the
Adult and Juvenile Probation and Parole Challenge? Police Marksman 17.
National Firearm Survey, 20012002.
Lexington, KY: American Probation and 77. Popow v. City of Margate, 476 F. Supp.
Parole Association. Available on the World at 1246 (see note 4).
Wide Web at
90 information%20clearing%20house/ 78. Federal Judicial Center, Division of
firearmssurvey01/firearms.pdf. For Continuing Education. 1993. Officer Safety.
additional information, contact Karen Strategies for Survival (Lesson Plan).
Fuller; telephone: 8592448196; fax: Washington, DC: Federal Judicial Center.
8592448001; e-mail: 79. Ibid.
68. Arizona Supreme Court, Administrative 80. McCoy, Probation Officer Safety (see
Office of the Courts, Safety Awareness note 9).
Survey (see note 24).
81. Firearms Training Unit, FBI Academy.
69. Remsberg, The Tactical Edge: 355 (see Undated. Shooting Incidents: Issues and
note 23). Explanations for FBI Agents and Managers.
70. Ibid. Quantico, VA: Federal Bureau of Investigation.

71. Lozito, F., and R. Zinsmeyer. 1988. The 82. Parsonage and Bushey, The Victimization
Gun Debate. Texas Journal of Corrections of Pennsylvania Probation and Parole Workers
14 (6): 313; Jones, Justin, and Carol (see note 17).
Robinson. 1989. Keeping the Peace. 83. McCoy, Probation Officer Safety (see
Corrections Today 51 (1) (February): 88, note 9).


84. U.S. Marshals Service. Undated. 91. Langan, P.A., and M.A. Cunniff. 1992.
Operations Manual. Arlington, VA: U.S. Recidivism of Felons on Probation, 198689.
Department of Justice, U.S. Marshals Special Report. Washington, DC: U.S.
Service. Department of Justice, Bureau of Justice
Statistics, NCJ 134177.
85. U.S. Probation Office, Eastern District
of California, Safety Committee. 1992. 92. Ibid.
Trading Insights Motivating Everyone to
Overcome Unsafe Tendencies. TIME OUT 93. Bigger, Officers in Danger (see note 60).
Newsletter 1(1) (November). 94. Parsonage, Worker Safety in Probation
86. National Institute of Justice, Technology and Parole (see note 1).
Assessment Program, Law Enforcement 95. McCoy, Probation Officer Safety (see
Standards Laboratory. 1982. Metallic note 9).
Handcuffs: NIJ Standard0307.01. Rockville,
MD: U.S. Department of Justice, NCJ 96. Imel, Kathy J., and James W. Hart.
82981. For information about handcuffs August 2000. Understanding Wireless
that meet NIJ Standard0307.01, see Communications in Public Safety: A
National Institute of Justice, National Law Guidebook to Technology, Issues, Planning,
Enforcement and Corrections Technology and Management (rev. ed.). Denver, CO:
Center. 1998. Metallic Handcuffs Consumer U.S. Department of Justice, National Institute
Products List (6th ed., rev.). Rockville, MD: of Justice, National Law Enforcement and
U.S. Department of Justice. Available on the Technology CenterRocky Mountain, NCJ
World Wide Web at 180211.
testing/handcuffscpl.html. For more infor-
mation about handcuffs testing in general, 97. NCIC 2000 is an information system
see the National Law Enforcement and available to federal, state, and local criminal
Corrections Technology Centers Web site at justice agencies that includes search capabil- ities on names, fingerprints, mugshots, pro-
bation/parole records, sex offender reg-
87. Federal Bureau of Investigation, Uniform istries, and lists of federal prisoners. More 91
Crime Reports, Law Enforcement Officers information about NCIC 2000 is available at
Killed and Assaulted (see note 25).

88. Bureau of Justice Statistics. August 98. Small, Shawn E., and Sam Torres. 2001.
2001. Probation and Parole in the United Arming Probation Officers: Enhancing
States, 2000. Press Release. Washington, Public Confidence and Officer Safety.
DC: U.S. Department of Justice, NCJ Federal Probation 65 (3) (December):
188208. 2428. Available from the Administrative
Office of the U.S. Courts Web site at
89. Hughes, Timothy A., Doris James Wilson,
and Allen J. Beck. October 2001. Trends in 2001decfp.pdf.
State Parole, 19902000. Washington, DC:
U.S. Department of Justice, Bureau of Justice 99. Remsberg, The Tactical Edge (see note 23).
Statistics, NCJ 184735.
100. Concerns of Police Survivors, Inc.
90. Smith, Albert G. 1991. The California 2002. The Traumas of Law Enforcement.
Model: Probation and Parole Safety Training. Regional Training Seminars. Camdenton,
Perspectives 15 (4) (Fall): 3841. MO: Concerns of Police Survivors, Inc.

101. Mitchell, Jeffrey T., and George S. 102. The International Critical Incident
Everly, Jr. Undated. International Critical Stress Foundation (ICISF) offers training
Incident Stress Foundation, Inc., Training and information in the management of stress
Seminar. Ellicott City, MD: International created by critical incidents. Its Web site is
Critical Incident Stress Foundation. at



Appendix A.
Model Protocol for Critical
Incident and Death Notification

A. PROTOCOL FOR officer, department liaison, officer, and ben-

CRITICAL INCIDENT AND efits coordinator.
DEATH NOTIFICATION An explanation of each of these responsibili-
ties follows. An employee may be called
I. Purpose on to perform more than one role and does
not necessarily need to be an officer.
The purpose of this protocol is to establish
procedures that will ensure the proper sup- This protocol is based on guidelines suggested
port and emotional care for an employees in the handbook, Support Services to Surviv-
family following a line-of-duty death, on- ing Families of Line of Duty Deaths, by
duty death, serious injury, or critical incident. Suzanne F. Sawyer, the Executive Director of
Concerns of Police Survivors, Inc. (C.O.P.S.),
located in Camdenton, Missouri. Her tele-
II. Protocol
phone number is 5733464911.
It is the protocol of the (name of agency)
to provide liaison assistance to the immedi-
ate family of a staff member who is involved IV. Procedures and 93
in a critical incident, on-duty death, or line- Responsibilities
of-duty death. The agency also provides
clarification and notification of benefits to A. Notification Officer
victims, family members, and other staff 1. It shall be the responsibility of the man-
members. agement team to properly notify the next of
kin of an employee who has suffered severe
III. Discussion injuries or is dead. If at all possible, notifi-
cation should be done by the designated per-
Coordination of events following the line-of-
son as noted on the notification form previ-
duty death, on-duty death, or critical inci-
ously completed by the employee.
dent is an extremely important and complex
responsibility. Professionalism and compas- 2. The name of the severely injured or
sion must be exhibited at all times as an deceased employee must never be released
obligation to the employees survivors and by the agency before the immediate family
to the staff. In order to provide the best pos- is notified.
sible services and support for the employ-
ees family, specific tasks may be assigned 3. If there is knowledge of a medical prob-
to selected members of the office. Their lem with an immediate survivor, medical
titles are notification officer, family liaison
personnel should be available at the resi- 9. The deceased or severely injured employ-
dence to coincide with the notification. ees parents should also be afforded the
courtesy of personal notification if they live
4. Notification must always be made in per- in the same geographic area. If the parents
son and never alone. The chief, clergy, close are from out of town, a request for a personal
friend, or other staff member could appro- death notification from the public safety
priately accompany the notification officer. agency in that area should be completed.
However, if the aforementioned persons are
not readily accessible, notification should 10. The chief, deputy chief, or supervisor
not be delayed until these people can gather. should go to the residence or the hospital to
If there is an opportunity to get to the hospi- meet with the family as quickly as possible.
tal prior to the demise of the employee, do
not wait for the delegation to gather. The fam-
B. Assistance for Affected Staff
ily should learn of the death from the office
first, not from the press or other sources. If 1. Employees who were present or who
immediate survivors are from out of town, arrived moments after an employee was
a request for a personal death notification critically injured or died should be relieved
from the public safety agency in that area of duty or removed from the situation as
should be completed. quickly as possible.

5. Never make a death notification on the 2. All staff who may have been emotionally
doorstep. Ask to be admitted to the house. affected by the serious injury, death, or
Inform family members slowly and clearly critical incident will attend a critical inci-
of the information that you have. If specific dent stress defusing and/or debriefing held
details of the incident are known, the notifi- by a trained mental health professional or
cation officer should relay as much informa- debriefing team.
tion as possible to the family. Be sure to use
the employees name during the notification. C. Support of the Family During the
If the employee has died, relay that informa- Wake and Funeral
94 tion. Never give the family a false sense of 1. A member of the management team will
hope. Use such words as died and dead meet with the employees family at their
rather than gone away or passed away. home or other location set by the family
to determine their wishes regarding the
6. If the family requests to visit the hospital, agencys participation in the preparation of
they should be transported, by the notifica- the funeral or memorial services. All possi-
tion officer. It is highly recommended that ble assistance will be rendered by the agency.
the family not drive themselves to the hospital.
If the family insists on driving, an employee 2. The family will be advised by the chief as
should accompany them in the family car. to who will be the department liaison officer
and benefits coordinator.
7. If young children are at home, the notifi-
cation officer must arrange for babysitting
needs. This may involve enlisting coworkers D. Family Liaison Officer
spouses, transporting children to a relatives 1. The selection of a family liaison officer is
home, or a similar arrangement. a critical assignment. An attempt should be
made to assign the staff member designated
8. Prior to departing for the hospital, the
on the employees notification form. This is
notification officer should notify the hospital
typically someone who had a close relation-
staff that a family members are en route.
ship with the employee and his family.


2. This is not a decisionmaking position; presented to the family so as not to jeop-
rather, this is a role of facilitator between ardize subsequent legal proceedings.
the family and the office.
3. In the case of a critical incident or injury,
3. The responsibilities of the family liaison the department liaison officer shall
officer include the following:
a. Assign another employee to be with
a. Ensure that the needs of the family the involved staff member at all times.
come before the wishes of the agency.
b. Provide a portable cellular telephone
b. Assist the family with funeral arrange- to the employee.
ments and make them aware of what the
agency can offer. c. Provide all affected staff members
with a critical incident defusing and/or
c. Apprise the family of information con- debriefing and followup referral for
cerning the death and the continuing services as needed.
d. Provide the chief with a status report
d. Provide as much assistance as possi- on the affected employee to help the
ble, including overseeing travel and lodg- chief prepare before making a telephone
ing arrangements for out-of-town family call to the employee or employees family.
members, arranging for food for the fam-
ily, and meeting child care and trans- e. Coordinate a briefing by the chief to
portation needs. all staff to provide as much information
as possible about the incident.
e. Be constantly available to the family.
4. In the case of a line-of-duty death, the
f. Notify Concerns of Police Survivors department liaison officer shall
(C.O.P.S.), whose members are available
to provide emotional support to surviving a. Obtain an American flag. If the family
families (telephone: 573346491l). wishes to have a flag presentation by the
chief, notify the chiefs office.
g. Carry a pager and/or cellular tele- 95
phone at all times. b. Arrange for the delivery of the
employees personal belongings to the
family in an appropriate container and at
E. Department Liaison Officer a time approved by the family.
1. This position is normally assigned to a
c. Brief the chief and staff concerning all
supervisor because of the need to effectively
funeral arrangements.
coordinate resources throughout the agency.
d. Ensure that surviving parents are
2. The responsibilities of the department afforded recognition and that proper
liaison officer include the following: placement is arranged for them during
a. Work closely with the family liaison the funeral and procession.
officer to ensure that the needs of the e. Assign an officer to remain at the fam-
family are fulfilled. ily home during the wake and funeral.
b. Help the chief, who is the designated f. Maintain a roster of all districts and
media contact person, handle the news departments sending personnel to the
media. This includes screening questions

Appendix A. Model Protocol for Critical Incident and Death Notification

funeral and include the following infor- and retirement benefits, the employees
mation: remaining paychecks, and payment for
the employees remaining annual and
Name and address of the responding compensatory time.
c. Gather information on all benefits and
Name of the agency head. funeral payments that are available to the
Number of officers attending. family.

Number of officers attending the d. Prepare a printout of the various bene-

reception after the funeral. fits and funeral payments that are due to
the family, listing named beneficiaries,
Number of vehicles. contacts at various benefits offices, and
when they can expect to receive pay-
g. Assist in making the necessary accom- ment.
modations for food and lodging.
e. Meet with the surviving family several
h. Acknowledge visiting and assisting days after the funeral to discuss the ben-
departments. efits they will receive. Give a copy of the
i. Arrange for routine residence checks prepared printout and any other related
by staff members and particularly local paperwork to the family at this time.
law enforcement of the survivors home (1) If there are surviving children from a
for 6 to 8 weeks following the funeral. former marriage, the guardian of
This service is necessary because large those children should also receive a
amounts of money will pass through the printout of the benefits the children
residence and the survivors will spend may receive.
much time away from the home dealing
with legal matters. (2) Attention should be given to the
revocation of health benefits. The
majority of health benefit providers
96 F. Benefits Coordinator
allow a 30-day grace period before
1. The benefits coordinator (or human canceling or imposing monthly pay-
resources specialist) gathers information on ments on survivors.
all benefits and funeral payments available
to the family. The benefits coordinator has f. Meet with the family monthly for the
the agencys full support to fulfill this next 6 months to make sure that they are
responsibility to the survivors and is respon- receiving benefits.
sible for filing the appropriate benefit paper- g. For a line-of-duty death, the benefits
work and following through with the family coordinator files the necessary papers
to ensure that these benefits are received. with the Bureau of Justice Assistance,
U.S. Department of Justice, in accor-
2. The responsibilities of the benefits coordi-
dance with the Public Safety Officers
nator include the following:
Benefits Act.
a. File Workers Compensation claims
and related paperwork.
G. Continued Support for the Family
b. Contact the appropriate individuals at 1. Members of the agency must remain sen-
the administrative office without delay to sitive to the needs of the survivors long after
ensure that the beneficiary receives death


the employees death. The grief process has 6. The family liaison ensures that close con-
no timetable and survivors may develop a tact is maintained between the office and the
complicated grief process. More than half of survivors and that their needs are met for as
surviving spouses can be expected to devel- long as they feel the need for support.
op a posttraumatic stress reaction to the
tragedy. 7. If no court proceedings surround the cir-
cumstances of the officers death, the family
2. To help survivors continue to feel a part liaison relays all details of the incident to
of the community corrections family, they the family at the earliest opportunity.
should be invited to agency activities.
8. If criminal violations surround the death,
3. Members of the office staff are encour- the family liaison should:
aged to keep in touch with the family. Close
friends, coworkers, and officials should a. Inform the family of all new develop-
arrange with the family to visit the home ments prior to a press release.
from time to time as long as the family b. Keep the family apprised of legal and
expresses a desire to continue these contacts. parole proceedings.
4. The chief should observe the employees c. Introduce the family to victim assis-
death date with a short note to the family tance specialists of the court.
and/or flowers on the grave.
d. Encourage the family to attend the
5. Holidays may be especially difficult for trial and accompany them whenever pos-
the family, particularly if small children are sible to the court hearing and trial.
involved. Increased contact with the sur-
vivors and additional support is important e. Arrange for investigators to meet with
at these times. the family at the earliest opportunity
following the trial to answer all their


Appendix A. Model Protocol for Critical Incident and Death Notification


Name: ______________________________________________________________________
Last First Middle

The information you provide on this form will be used only in the event of a critical incident
or your serious injury or death. Please take the time to fill it out accurately because the informa-
tion you provide will be of great comfort to your family and the staff in fulfilling your wishes.

Home address: _______________________________________________________________

City: _______________________________________________________________________
State: ________________ ZIP Code: ____________________________________________
Home telephone number: (_____) ________________________________________________
Alternate telephone number: (_____) _____________________________________________

Family Information

Spouses name: _______________________________________________________________

Address and telephone number if different from above: _______________________________
Spouses employer: ____________________________________________________________
Work address: ________________________________________________________________
Telephone number: ____________________________________________________________
Spouses supervisor: ___________________________________________________________

I choose not to provide any information on this form.

Signature: _________________________________________ Date: _____________________

Names and date of birth of children (DOB):
1. _______________________________________________ DOB: _____________________
School or daycare: _________________________________________________________
Telephone number: _________________________________________________________

2. _______________________________________________ DOB: _____________________

School or daycare: _________________________________________________________
Telephone number: _________________________________________________________

3. _______________________________________________ DOB: _____________________

School or daycare: _________________________________________________________
Telephone number: _________________________________________________________


4. _______________________________________________ DOB: _____________________
School or daycare: __________________________________________________________
Telephone number: _________________________________________________________

5. _______________________________________________ DOB: _____________________

School or daycare: _________________________________________________________
Telephone number: _________________________________________________________

If you have been divorced, do you want an office representative to contact your ex-spouse(s)?
( ) Yes ( ) No
If so, please provide information about your ex-spouse(s).
Name: _______________________________________________________________________
Address: ____________________________________________________________________
City: _____________________ State: _____________ ZIP Code: ______________________
Telephone: Home (_____) ___________________ Work (_____) ______________________

Please list the names, addresses, and telephone numbers of your children who live outside the
family home and key relatives (parents, siblings, in-laws, etc.) below:

1. Name: _________________________________ Relationship: ______________________

Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: _______________________
Home telephone: ______________________Work telephone: _______________________

2. Name: _________________________________ Relationship: _______________________

Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: ______________________
Home telephone: _______________________Work telephone: ______________________

3. Name: _________________________________ Relationship: ______________________

Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: ______________________
Home telephone: ______________________ Work telephone: ______________________

4. Name: _________________________________ Relationship: ______________________

Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: _______________________
Home telephone: ______________________ Work telephone: ______________________

5. Name: _________________________________ Relationship: ______________________

Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: ______________________
Home telephone: ______________________ Work telephone: ______________________

Appendix A. Model Protocol for Critical Incident and Death Notification

6. Name: _________________________________ Relationship: ______________________
Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: ______________________
Home telephone: ______________________ Work telephone: ______________________


Please list the persons you would like an office representative to contact in the event of your
serious injury or death while on duty. Begin with the first person you would like notified.

1. Name: _________________________________ Relationship: ______________________

Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: ______________________
Home telephone: ______________________ Work telephone: ______________________

2. Name: _________________________________ Relationship: ______________________

Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: ______________________
Home telephone: ______________________ Work telephone: ______________________

3. Name: _________________________________ Relationship: ______________________

Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: ______________________
Home telephone: ______________________ Work telephone: ______________________

4. Name: _________________________________ Relationship: ______________________

100 Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: ______________________
Home telephone: ______________________ Work telephone: ______________________

5. Name: _________________________________ Relationship: ______________________

Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: ______________________
Home telephone: ______________________ Work telephone: ______________________

6. Name: _________________________________ Relationship: ______________________

Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: ______________________
Home telephone: ______________________ Work telephone: ______________________


Is there anyone you would like to accompany the notification officer when your immediate
family is notified? If you name someone other than a coworker, please include his or her
address and telephone number.

1. __________________________________________________________________________
2. __________________________________________________________________________
3. __________________________________________________________________________
4. __________________________________________________________________________
5. __________________________________________________________________________

Is there anyone not listed above who you would like contacted to assist your family or to
assist with funeral arrangements or related matters? This person should be knowledgeable
concerning matters such as your life insurance representative and the location of your will.

1. Name: _________________________________ Relationship: ______________________

Address: _________________________________________________________________
City: __________________ State: _____________ ZIP Code: ______________________
Home telephone: ______________________ Work telephone: ______________________

2. Name: _________________________________ Relationship: ______________________

Address: _________________________________________________________________
City: __________________ State: ____________ ZIP Code: ______________________
Home telephone: _______________________ Work telephone: ______________________

Please list members of your family who have health concerns that the office should be
aware of:
Name: ___________________________________ Health concern: _____________________
1. __________________________________________________________________________
2. __________________________________________________________________________

Additional Information

Please list any preferences you may have regarding funeral arrangements:
Funeral home: ________________________________________________________________
Church or synagogue: _________________________________________________________
Cemetery: ____________________________________________________________________

Appendix A. Model Protocol for Critical Incident and Death Notification

Are there any special requests or directions you would like followed upon your death?

Preferences for Staff Assistance

Please indicate your preferences in assigning staff to the following positions in the event of
your involvement in a critical incident:

Notification Officer:
1. __________________________________________________________________________
2. __________________________________________________________________________
3. __________________________________________________________________________

Family Liaison Officer:

1. __________________________________________________________________________
2. __________________________________________________________________________
3. __________________________________________________________________________

Signature: _______________________________________ Date: ______________________

Initials: ________________________ Reviewed/updated date: _________________________


Appendix B
Appendix B.
Helpful Hints on Personal Security

RESIDENTIAL ADDRESS AND 5. Avoid completing product warranty or

RESIDENTIAL TELEPHONE registration cards, consumer surveys, pre-
ferred buyer promotions, and the like, except
NUMBER for products such as childrens car seats and
1. On personal checks, use a post office box cribs, where it would be vital for you to
address or business address and a business receive recall information. Avoid using pre-
telephone number. ferred shopper, store discount, or check-
cashing cards. These cards generally permit
2. Request that your residential telephone the retailer to compile personal information
number be unpublished (not printed in the (e.g., the number, ages, and sex of people in
directory and not available from directory the household; your income level, etc.),
assistance) or unlisted (not printed in the which is then used to compile mailing lists
directory but available from directory assis- that are sold for marketing purposes.
tance). CDROMs that contain nationwide
listings of telephone directories are readily 6. Avoid completing surveys, signing up for
and cheaply available, and nationwide direc- free promotions, and ordering products or
tories are posted on the Internet. If your services through online services (e.g.,
telephone number and address are in a America Online) or via the Internet. New 103
directory, they are widely available. technology allows online services to monitor
online usage and search patterns, which can
3. Do not complete forms that request your be compiled for marketing purposes.
street address for a commercially published
directory other than a telephone book. 7. Block the caller ID function to prevent
your telephone number from being dis-
4. Avoid ordering products or services by played.
telephone. If you do, inform the merchant
that you do not want your name, address, 8. In general, avoid giving out your residen-
and telephone number given to others. Not tial address and telephone number. Use a
only do the national catalog retailers capture post office box or business address and a
and store your personal information, but business telephone number whenever possi-
local retailers such as pizza delivery services ble. If you do provide your residential
capture your phone number and generally address and phone number, ask how it
have your name and address displayed on will be used and how you can restrict any
their screen. further use.
SOCIAL SECURITY NUMBER ChoicePoint (formerly Equifax)
Marketing Decision Systems, Inc.
1. Avoid providing your Social Security P.O. Box 740123
number to private businesses unless it is Atlanta, GA 30374
required for governmental purposes. Some
businesses, such as utilities, may require Toll-free telephone number:
another form of identification or even a 8006851111 or 8885678688
deposit if you do not give them your Social Toll-free opt-out telephone number:
Security number. Government agencies may 8885OPTOUT (8885678688)
have a legitimate need for it: Title 42 of the
U.S. Code, Section 405, describes when the World Wide Web address:
use of your Social Security number by gov-
ernment agencies is required for purposes
of identification, including tax records and
TransUnion Name Removal Option
driver licenses. Under the Privacy Act of
P.O. Box 97328
1974, all local, state, and federal govern-
Jackson, MS 392887328
ment agencies must include on any form that
requests your Social Security number a dis- Toll-free telephone number:
closure statement indicating whether or not 8008512674 or 8885678688
your number is required to be given and how
it will be used. Toll-free opt-out telephone number:
8885OPTOUT (8885678688)
2. Do not include your Social Security num-
World Wide Web address:
ber on checks, business cards, or other iden-
tifying documents. The combination of your
Social Security number and additional iden-
tifying information increases the risk of
The Direct Marketing Association (DMA)
3. Do not use your Social Security number maintains lists of individuals who do not
as your drivers license number, if possible. want to receive telephone solicitations, junk
mail, product offers, and catalogs. If you
are concerned about unwanted mail or tele-
CONSUMER CREDIT phone solicitations, contact the DMA at
REPORTING AGENCIES these addresses:
Experian (formerly TRW)
Mail Preference Service
Experian Consumer Opt Out
Direct Marketing Association
601 Experian Parkway
P.O. Box 9008
Allen, TX 75013
Farmingdale, NY 11735
Toll-free telephone number:
Telephone Preference Service
8004224879 or 8003530809
Direct Marketing Association
Toll-free opt-out telephone number: P.O. Box 9014
8885OPTOUT (8885678688) Farmingdale, NY 11735
World Wide Web address:


The following are examples of personal Metromail Corporation (now part of
information directories available to the pub- Experian)
lic on the Internet. You can check these Web
sites to confirm the information available on National Fraud Center
you or your family.
Online Professional Electronic Network
TransUnion Corporation For additional information, visit the lRSG
Web site at

Companies called individual reference serv-
ices provide information to identify or locate
Public Records
individuals. Such information might be used
to locate witnesses to crimes or parents Private entities that compile and resell pub-
delinquent in child support payments, to lic records generally do not have procedures
detect fraud, or for other governmental for the removal of data and will not remove
or business functions. On December 15, accurate public record data from their data-
1997, the leading companies in this industry, bases. Databases of public records are use-
in conjunction with the Federal Trade ful and valuable only to the extent they are
Commission, agreed to a set of principles accurate and complete. Accordingly, changes
governing the collection, use, and distribu- can be made only when initiated by the offi-
tion of nonpublic information. The princi- cial public recordkeeping office. 105
ples represent good practices that the com-
If you have a compelling privacy or security
panies agree to support as part of their oper-
issue, you may wish to contact the official
ations, in response to heightened interest in
custodians of those public records that con-
the industry. The signatories to this agree-
tain sensitive information about you, such
ment are:
as your countys land records office, to
Acxiom Corporation determine how to remove your information
from the public record. State and county
CDB Infotek, a ChoicePoint Company record offices will have varying procedures
and standards for the filing of individual
DCS Information Systems
requests to seal public records. Public records
Database Technologies, Inc. that are placed under seal will not be made
available to commercial sources. This is a
Equifax Credit Information Services, Inc. matter to pursue at your own discretion and
Experian with careful consideration because of possi-
ble adverse consequences, such as difficulty
First Data Solutions, Inc. in obtaining credit or tax implications. If
you have a public record sealed, you should
Information America, Inc.
contact the database providers that include

Appendix B. Helpful Hints on Personal Security

these records in their online services and credit reporting companies: Experian (for-
request that these records be removed from merly TRW), ChoicePoint (formerly Equifax),
their databases. and TransUnion. Information America is not
a consumer credit reporting agency and it
does not compile mailing lists or consumer
Publicly Available Information marketing data. It does not maintain any
Private entities that collect and resell pub- databases of nonpublic individual financial
licly available information (e.g., direct mar- information, such as individual credit reports,
keting associations and credit reporting tax records, or bank information. Although
companies) generally have procedures that Information America offers access to tele-
permit individuals to opt out of certain uses phone directories, if an individual has a non-
of the data, such as direct marketing. Note, published telephone number, that number
however, that these companies have no legal will not appear in these databases.
obligation to remove the information. To
request that publicly available information Information America does not provideand
about you or members of your family be does not plan to providenonpublic infor-
deleted from these vendors compilations, mation to the general public. Customers
you must contact vendors directly. that may access this information include
law firms, commercial lenders, government
To the extent information is available as agencies, and law enforcement personnel.
public records, it most likely will continue These customers must sign a written agree-
to appear in these databases. Many commer- ment with Information America that restricts
cial vendors use as their sources both pub- their use of the data. Social Security num-
licly available information and public bers are displayed only to certain govern-
records. Deletion of information from one ment agency customers.
source may not eliminate it from commer-
cial compilations if the information remains Information America is creating a notifica-
in public records. tion list of individuals who are interested
in opting out of its databases. In the event
106 Information America makes nonpublic infor-
WESTLAW AND LEXIS-NEXIS mation available to the general public, it will
send the individuals on this list information
Westlaw and Lexis-Nexis both provide on the planned product as well as how to
online access to public records and publicly have their information removed from the
available information compiled by third par- product. To be included on this list, send a
ties from published telephone directories written request, including the full name and
and business information sources such as address, to:
Dun and Bradstreet. The procedures for
removing personal information from these Information America, Inc.
services vary. Nonpublic Information Notification List
Marquis One Tower
245 Peachtree Center Avenue, 14th Floor
Westlaw Atlanta, GA 30303
Westlaw obtains information for its public
records, people finder, and assets databases Additional information about Information
through Information America, Inc., a sub- America, Inc. and topics such as privacy,
sidiary of West Group. public records, and protecting your personal
data can be obtained from its Web site,
The sources of information compiled by
Information America include the three major


Lexis-Nexis quarter, Lexis-Nexis reloads updated PTRAK
records and repeats the removal of names of
Lexis-Nexis has three files of publicly avail-
those individuals who previously requested
able information on U.S. residents derived
removal. Please note that even after a record
from information provided by the major
is removed from PTRAK, a persons name
credit reporting companies: PTRAK (infor-
can reappear if the individual applies for
mation obtained from TransUnion), PFIND
credit using, for example, a differently spelled
(information obtained from Metromail, now
name or a new address.
part of Experian, and PSEEK (information
obtained from Experian). In addition, Lexis- To ensure continued removal from PTRAK,
Nexis created an EZFIND file, which an individual should repeat the request
allows searching through the three afore- process periodically. In addition, to achieve
mentioned files. a more comprehensive removal of personal
information from the various people finder
The information in the PTRAK, PSEEK
files, an individual should contact each of
and PFIND files is readily available from
the major credit reporting companies direct-
sources such as telephone directories and
ly, as discussed above.
public records maintained by government
agencies. The only information displayed More information on privacy and the Lexis-
is the name of the individual, his or her Nexis databases can be found on the Lexis-
current address, and up to two previous Nexis Web site at
addresses and telephone numbers. In some
cases, the individuals maiden or alias name
may appear, as well as the month and year DEPARTMENT OF MOTOR
of birth. These services are marketed to the VEHICLES RECORDS
legal community for use by legal practition-
ers and law enforcement agencies. Department of motor vehicles (DMV)
records for 27 states and the District of
Currently, Lexis-Nexis has procedures estab- Columbia are available on Westlaw and
lished for the removal of personal informa- Lexis-Nexis. The vendors provide this infor-
tion from its PTRAK file only. Individuals mation in accordance with the provisions 107
who want to have their names removed from of the federal and state Drivers Privacy
the PTRAK file can send their full names, Protection Acts (DPPAs). Users who access
complete addresses, and telephone numbers DMV records through Westlaw or Lexis-
by any of the following methods: Nexis must agree to the DPPA terms prior to
obtaining access to the DMV records. For
example, DPPA requires users to agree that
they are accessing the records in connection
P.O. Box 933
with litigation or judicial proceedings.
Dayton, OH 45401
Fax: 8007327672 DMV records of the following states are
E-mail: available: Arkansas, Colorado, Delaware,
the District of Columbia, Florida, Illinois,
World Wide Web: A request form is avail-
Indiana, Louisiana, Maine, Maryland,
able at
Massachusetts, Michigan, Minnesota,
Removal of the name occurs approximately Mississippi, Missouri, Montana, Nebraska,
90 days after receipt of the request, and a Nevada, New York, North Carolina, Ohio,
letter of confirmation is sent upon removal. Oregon, South Carolina, Tennessee, Texas,
This information is used solely to remove Utah, Wisconsin, and Wyoming.
names from the PTRAK database. Each

Appendix B. Helpful Hints on Personal Security

Appendix C
Appendix C.
Residential Security Survey Guidelines

WINDOWS above the top of the door. To prevent sliding,

place a piece of metal or wood in the track
Double-hung windows should be pinned to of the closed door.
prevent them from being pried open. All
windows should be kept secured, especially
at night or when occupants are away from GARAGE
home. Curtains or blinds should be used at
night to prevent viewing of occupants and An automatic garage door opener should be
valuables from the outside. Basement win- in place. Occupants should enter and exit
dows, often hidden by bushes or trees, pro- vehicles within a closed garage. Some new
vide intruders with an ideal place to work garage door openers prevent coders from
unobserved. These windows should be determining the code to the garage door
replaced with polycarbonate or reinforced and opening it. If you have the old type of
with decorative security bars. Bars and locks garage door opener, consider upgrading to
should be installed on skylights. Glass doors a system that will not allow the code to be
and ground-floor windows should have inte- obtained. The garage should be lockable and
rior release mechanisms that cannot be kept secured when not in use. When resi-
dents travel, the garage and any side doors 109
reached from the outside.
should be locked. Vehicles should always
be kept secured within the garage. If a car is
DOORS stolen and the automatic garage door opener
is in it, the thief has access to the residence.
Entry doors should be a solid core or metal Notify police and use extra caution when
with a one-way, wide-angle lens peephole. returning home. Change the garage door
Keyed locks with 11/2-inch deadbolts should code immediately.
be installed on all outside doors. The dead-
bolts should be double cylinder locks, espe-
cially if the door is near windows. If chil- INTERIOR AND PERIMETER
dren are present in the home, a safe location LIGHTING
for the keys should be identified. Outside
hinges on access doors should be replaced Timers should be used to turn lights on at
with nonremovable hinges. Three-inch predetermined times when residents are
strike-plate screws should be installed for all away or at home. Outside motion detector
entry doors. Sliding glass doors are vulnera- lights can be installed to automatically turn
ble to lifting and sliding. To prevent lifting, on inside lights, giving the impression that
insert screws along the upper track of the someone has just entered a room. Consider
door. The head of the screws should be just installing timers for televisions for the same
reason. Good lighting is a deterrent to night the U.S. Postal Service to be screened before
crime and is inexpensive. A 60-watt bulb it is delivered to you or your family.
burned from dusk to dawn only costs a few
cents. All entrances should be lit from dusk 4. Personally destroy all envelopes or other
to dawn. Motion detector lights are an inex- items that reflect your name and official
pensive way of providing perimeter security position.
throughout the property and surrounding 5. Develop friendly relationships with
area. All areas of the yard should be covered neighbors.
by outside lighting without any shadows.
6. Arrange for an unpublished or unlisted
home telephone number so that your address
SECURITY SYSTEMS will not be readily available.
A monitored security system should be 7. Be alert to public utility crews or any
installed to help prevent unauthorized entry workers requesting access to your residence;
into the residence. Basic security systems check their identities through a peephole
should cover all doors, basement portals, before allowing entry. Call their agency or
windows (especially ground-floor and base- department if you are uneasy. Check the
ment windows) and the garage. Magnetic references of service personnel, domestics,
contacts should be installed on all doors. childcare providers, and other employees
who have routine access to your residence
or property.
8. Write down license plate numbers of sus-
The residents name should not be displayed picious vehicles and note a description of
on the mailbox. Three-inch reflective num- the occupants.
bers should be displayed on both sides of
the mailbox to aid quick response by police 9. Refuse unordered packages.
officers and firefighters. This is especially
important in rural areas. 10. Never eat candy or other foodstuffs that
110 are delivered to your residence from an
unknown source.
ADDITIONAL 11. Treat inquiries concerning the where-
RECOMMENDATIONS abouts or activities of other family members
1. Restrict the possession of house keys. with suspicion.
Change locks if keys are lost or stolen 12. Install heat sensors and smoke detectors
or if you move into a previously occupied throughout the home. These should be hard-
residence. wired into the home electrical system and
2. Lock all entrances at night, including the have a battery backup.
garage. Keep the house locked, even if you 13. Maintain proper fire extinguishers
are at home. throughout the home, especially in the
3. Change your mailing address to your work kitchen.
address. This may allow anything sent through 14. Do not answer the telephone with your
name or official title.


15. Mark or engrave valuables with Social SECURITY RECOMMENDATIONS
Security numbers and the state. Take photos WHILE AWAY
or videos of all valuables, record their serial
numbers, and keep the information in a safe 1. Notify the local police department when
place. you will be away from home for extended
periods of time.
16. Post emergency and business numbers for
the local police, fire department, and hospi- 2. Stop mail and paper deliveries.
tal on or close to the telephone. Although
3. Set interior lights, radio, and television
911 is always available, some people are
on timers.
reluctant to use it if they are not sure that
the situation presents a real threat. Having 4. Ask neighbors to check the house for
the business number of the police may fliers, newspapers, or other items on the
encourage family members to make a call porch or in the yard.
that they ordinarily would not have made.
5. Mow the yard and shovel snow regularly.
17. Participate in a neighborhood watch
program. 6. Leave contact information with a neigh-
bor and police in case of emergency.


Appendix C. Residential Security Survey Guidelines

Appendix D.
Arizona Code of Judicial
Administration Firearms Standards

ARIZONA CODE Life-threatening circumstances means

actions which may cause serious bodily
injury or death.
Low light condition means firearms
Part 6: Probation training conducted in situations either nat-
ural or simulated, designed to expose offi-
cers to situations they may encounter
Chapter 1: General Administration while working at night or in reduced light
Section 6-113: Firearms
Standards On duty means the time period during
which the officer is involved in perform-
ing the officers respective probation
A. Definitions. In this section the following
duties, or functioning at the direction of
definitions apply:
the officers respective probation depart-
Certified firearms instructor means an ment.
individual trained by a recognized agency 113
Off duty means the time period during
in accordance with national law enforce-
which the officer is not involved in per-
ment firearms training standards and
forming the officers respective probation
approved by the Administrative Office of
duties or functioning at the direction of
the Courts (AOC).
the officers respective probation depart-
Firearms automated training system ment.
means a system which visually presents
Officers means both adult and juvenile
situations the officer may encounter in the
probation and surveillance officers.
officers duties and requires the officer to
make use-of-force decisions relating to Tactical condition means a training
the use of a firearm. which involves the officers appropriate
use of a firearm in training involving the
Immediate threat means the subject
use of distance, shielding and movement,
poses a risk of instant harm or attack with
and other issues the officer may encounter
the elements of jeopardy, opportunity and
during the course of duty.
B. Applicability. Officers of the probation E. Request for Authorization to Carry
departments with the authority of peace Firearm.
officers pursuant to A.R.S. 12-253,
13-916, 8-205 and Arizona Code of 1. Officers wishing authorization to carry
Judicial Administration (ACJA) 6-105, a firearm or who desire training on
may carry and use firearms while on firearms shall submit a written request
duty only if authorized by the chief pro- to the chief probation officer or direc-
bation officer or director of juvenile tor of juvenile court and submit to the
court and under the terms and conditions following screening and testing
specified in this section. requirements.

C. Purpose. To govern the administration 2. The chief probation officer or director

and authority of officers to use firearms. of juvenile court shall confirm that the
requesting officer has done the follow-
D. General Policy. Officers shall use a ing prior to granting authorization:
firearm for defensive purposes only,
under the following conditions: a. Completed a psychological evalua-
tion by a psychologist or psychia-
1. Officers shall not carry any firearm trist selected by the department;
on the officers person, or have any
firearm in the office or job location b. Completed a criminal history
or in the officers vehicle, while on records check;
official business except with prior c. Completed the Committee on
approval and authorization of the chief Probation Education (COPE)
probation officer or director of juve- approved firearms qualification
nile court. program with a minimal standard
2. Chief probation officers or directors of score of 80% conducted by an
juvenile court may require that certain AOC certified firearms instructor
job assignments are staffed by an with the firearm intended for use;
armed officer. Examples include, but d. Successfully completed a COPE
are not limited to, warrants teams or approved competency test and
specialized caseloads. training course on ACJA Firearms
3. Chief probation officers or directors of Standards 6-113 and Use of Force
juvenile court shall determine when 6-112, department policies and
officers authorized to carry a firearm legal issues relating to firearms;
are restricted from carrying in certain e. Completed and demonstrated pro-
job assignments or in the performance ficiency in all required defensive
of certain duties. tactics training;
4. Chief probation officers or directors of f. Submitted an AOC approved med-
juvenile court shall not order a staff ical evaluation form completed by
member to be armed. Chief probation a licensed physician which indi-
officers or directors of juvenile court cates whether the officer has a list-
may require the transfer of an unarmed ed medical, or health condition
officer to another job assignment if the including a physical disability
current assignment requires an armed which substantially impairs the
officer. officers ability to responsibly
carry a firearm or interferes with


the safe use of or handling of a conjunction with the probation depart-
firearm; and ment certified firearms instructors.

g. Submitted an AOC approved form 2. The certified firearms instructor shall

to be completed by the officer provide firearms training that meets
attesting; the following minimum standards.

1) The officer has no medical, psy- a. Annual training in:

chological, or health condition
including a physical or mental 1) Low light conditions;
disability which substantially 2) Tactical conditions; and
impairs the officers ability to
responsibly carry a firearm or 3) Firearms automated training
interferes with the safe use of system.
or handling of a firearm.
b. The certified firearms instructor
2) The officer is not addicted to shall provide all required instruc-
alcohol or prescription drugs. tion on the safe and effective use
of department firearms.
3) The officer does not use unlaw-
ful narcotics or drugs. 3. Departments shall provide range
equipment including eye and ear
4) The officer agreed to submit to protection for use during training
random drug tests if authoriza- and qualifications.
tion is granted.
4. Officers shall comply with all direc-
5) The officer will abide by all tives of the certified firearms instruc-
department policy regarding tor concerning firearms training and
firearms. safety.
3. The chief probation officer or director 5. The certified firearms instructors
of juvenile court may require that the shall prepare and submit a quarterly 115
requesting officer submit to an AOC firearms qualification report in a for-
approved polygraph examination. mat specified by the AOC to the chief
4. Within 30 days, the chief probation probation officer or director of juve-
officer or director of juvenile court nile court and AOC.
shall act on the request for initial 6. An officers direct supervisor may
authorization by initiating arrange- authorize the officer to use the depart-
ments for the probation officer to ment issued firearm for practice while
undergo the necessary tests, evalua- off duty on a departmentally approved
tions, checks and training. range.
F. Required Firearms Training And 7. The certified firearms instructor shall
Qualifications. confiscate and take control of the
1. COPE shall approve a uniform, stan- firearm of any officer who exhibits
dardized and statewide firearms inappropriate or unsafe behavior while
qualification program and annual on the range, or of any firearm deter-
requalification that is developed by the mined to be unsafe.
AOC probation safety specialist in

Appendix D. Arizona Code of Judicial Administration Firearms Standards

G. Procedures for Authorization or 1) The conviction of a felony or an
Denial. offense which would be a
felony if committed in this
1. The chief probation officer or director state;
of juvenile court may deny authoriza-
tion at any point in the screening and 2) The commission of any offense
testing process based on the criteria involving dishonesty, unlawful
stated in G(4)(a-t). sexual conduct, physical vio-
lence or domestic violence;
2. The chief probation officer or director
of juvenile court shall approve or dis- 3) The violation of A.R.S. 13-
approve the request in writing within 3112, concealed weapons per-
30 days after the officer satisfactorily mit or statutes governing
completes all requirements stated in firearms, or lethal and non-
E(2)(a-g). Reasons for denial shall be lethal weapons; and
provided to the officer in writing.
4) The commission of a misde-
3. The chief probation officer or director meanor involving the carrying
of juvenile court or designee shall or use of a firearm.
place the original request and the
approval or reasons for denial in the e. The violation of departmental poli-
officers personnel file, and provide cy or ACJA relating to the carrying
copies to the officer, and to the offi- or use of firearms;
cers supervisor. The certified firearms f. Carrying, exhibiting or using a
instructors shall receive a copy of all firearm in an unsafe or careless
approvals. manner;
4. The chief probation officer or direc- g. Disciplinary charges pending or
tor of juvenile court shall not deny, action taken that relate to the fit-
revoke or temporarily suspend authori- ness to carry a firearm;
zation to carry a firearm except for the
following reasons: h. Any use of alcoholic beverages on
duty, or excessive use of alcoholic
a. Results from the psychological beverages off duty that affects per-
evaluation that indicates unfitness formance of job;
to carry a firearm;
i. The administrative reassignment of
b. The officer is currently diagnosed officers as a result of a certified
by a licensed mental health profes- stress related disorder or post trau-
sional with a mental illness that matic stress disorder as diagnosed
may affect the use of firearms; by a licensed mental health profes-
c. The denial or revocation of a per- sional that may affect use of
mit to carry a concealed weapon firearms;
by the State of Arizona; j. A medical, psychological, or
d. A result from a criminal history health condition including a physi-
record check indicating any or all cal, or mental disability which
of the following: substantially impairs the officers
ability to responsibly carry a


firearm or interferes with the safe t. Failure to successfully complete
use of or handling of a firearm; the annual re-qualification pro-
gram and participate in required
k. The addiction to alcohol, or pre- practice sessions.
scription drugs that would interfere
with the safe use of a firearm and 5. All screening and testing records shall
render the officer unfit to carry a be maintained in the officers person-
firearm; nel file and be confidential as required
by law.
l. Officers shall not have illegally
used dangerous drugs or narcotics 6. The presiding judge shall hear all
for any purpose within the past appeals to the denial, revocation or
seven years; suspension and the judicial decision
is final and not appealable.
m. Officers have not illegally used
marijuana for any purpose within 7. Officers wishing to have their authori-
the past three years; zation reinstated after revocation may
submit a written request to the chief
n. Transfer or reassignment of offi- probation officer or director of juve-
cers to an assignment or unit nile court after one year. This written
where carrying a firearm is not request shall clearly state the reasons
authorized pursuant to D(3) of this why the authorization should be rein-
code section; stated. The presiding judge or judicial
o. The authorization was based solely designee shall hear any appeals to the
upon a specific personal risk to denial of reinstatement.
officers and the risk is determined H. Authorization.
to no longer exist;
1. Officers granted authorization to carry
p. Arrest for an offense punishable a firearm shall acknowledge and sign
as a felony or for a misdemeanor an authorization document, indicating
involving the carrying or use of a the officer understands the terms and 117
firearm; conditions contained in the code and
q. Discharge of a firearm by an offi- any department policy regarding the
cer in violation of any municipal, use of firearms. The authorized officer
county or state law, regulation or shall also agree to adhere to all state
policy; laws regarding the carrying and use of
firearms. This includes all laws relat-
r. Drawing a firearm or use of a non- ing to the use of force.
lethal defensive weapon in viola-
tion of any municipal, county or 2. Officers failing to comply with regula-
state law, regulation or policy; tions and limitations are subject to
disciplinary action and loss of firearm
s. Any other circumstance temporary authorization.
or permanent which leads the chief
probation officer or director of 3. Officers granted authorization to carry
juvenile court to believe that the a firearm shall successfully complete
arming of the officer could place the annual re-qualification and partici-
that officer, other staff, probation- pate in all required practice sessions.
ers or the public in jeopardy; or

Appendix D. Arizona Code of Judicial Administration Firearms Standards

4. The chief probation officer or director 7. When engaged in official travel out
of juvenile court may order an author- of state unless written permission is
ized officer to submit to an evaluation obtained from the chief probation offi-
by a licensed or certified professional cer or director of juvenile court.
when it is apparent that the officer
manifests behavior that indicates J. Authority To Unholster, Draw and
physical, medical, psychological or Display Firearms.
psychiatric condition that indicates 1. Officers shall only draw their duty
unfitness to carry a firearm. weapon from its holster, or display
I. Restrictions For Carrying Firearms. it in public, under the following
Officers authorized to carry and use a
weapon on duty are prohibited from car- a. In compliance with department
rying department issued firearms under policy regarding firearm conceal-
the following conditions: ment or exposure;

1. While in a condition resulting from the b. The circumstances surrounding the

use of alcohol or medication where the incident create a reasonable belief
officers motor skills, reflexes, or judg- that it may become necessary to
ment could be adversely affected, or use the firearm in the performance
while displaying evidence of mental or of probation supervision duties or
emotional instability; for self defense;

2. While injured or in a physical condi- c. When a law enforcement officer

tion causing inability to use a firearm requests assistance from an officer
properly, for example, broken hand or in a life-threatening situation; and
an eye injury causing uncorrected d. For maintenance, inspection and
impaired vision. This is not intended training purposes.
to limit an authorized officers ability
to defend self during the incident, or 1) Officers shall ensure that the
others when injuries are incurred in a weapon is empty of ammunition
life threatening situation; prior to cleaning or inspection.

3. While on disciplinary or investigative 2) Whenever using the weapon in

suspension; an approved training course,
practice session or qualification
4. While on leave, short term or extend- with the certified firearms
ed, with or without pay, or other peri- instructor.
ods of unpaid absence from the
department; K. Required Reporting Of Firearm
Unholstering, Drawing, Or
5. When the chief probation officer, Displaying Of Firearm In Course
director of juvenile court or other Of Duty.
superior directs the officer not to carry
a firearm; 1. Officers who unholster, draw, or dis-
play but does not discharge, a firearm
6. When the chief probation officer or while on duty, other than to secure the
director of juvenile court revokes the weapon or when requested by the cer-
authorization to carry; and tified firearms instructor for mainte-
nance, inspection, or training purposes,


shall submit an incident report to their officer reasonably believes to be
supervisor no later than the next busi- the use or imminent use of
ness day. deadly physical force.

2. Officers who witness this behavior 2) To effect an arrest . . . of a per-

shall submit an incident report to their son whom the peace officer rea-
supervisor no later than the next busi- sonably believes:
ness day.
(a) Has committed, attempted to
3. The supervisors shall immediately commit, is committing or is
send the incident report through the attempting to commit a
departmental chain of command to the felony involving the use or
chief probation officer or director of threatened use of a deadly
juvenile court. weapon.

4. Failing to comply with reporting (b) Is attempting to escape by

requirements may be subject to disci- use of a deadly weapon.
plinary actions.
(c) Through past or present con-
L. Authority To Discharge Firearm. duct of the person which is
known by the peace officer
1. An officer shall determine that deadly that the person is likely to
force is warranted under the circum- endanger human life or
stances provided by statute before inflict serious bodily injury
using deadly force in the performance to another unless apprehend-
of the officers duties. ed without delay.
a. A.R.S. 13-410(A)(1) provides: (d) Notwithstanding any other
The threatened use of deadly physi- provision of this chapter, a
cal force by a person against anoth- peace officer is justified in
er is justified pursuant to 13-409 threatening to use deadly
physical force when and to 119
only if a reasonable person effect-
ing the arrest ... would believe the the extent a reasonable offi-
suspect ... is: cer believes it necessary to
protect himself against anoth-
1) Actually resisting the discharge ers potential use of force or
of a legal duty with deadly force deadly physical force.
or with the apparent capacity to
use deadly physical force. 2. Officers are prohibited from perform-
ing the following acts:
b. A.R.S. 13-410(C)(1)(2)(a)
(b)(c)and(d) provides: a. Drawing or displaying a weapon
unless the situation poses a threat
The use of deadly force by a peace that may warrant the use of the
officer against another is justified weapon;
pursuant to 13-409 only when the
peace officer reasonably believes b. Firing warning shots;
that it is necessary: c. Firing in the immediate direction
1) To defend himself or a third of a crowd;
person from what the peace

Appendix D. Arizona Code of Judicial Administration Firearms Standards

d. Firing into buildings or through d. Record exactly what is done with
doors or windows, when the sub- the firearm and report it to the
ject is not clearly visible; investigating law enforcement
agency; and
e. Using firearms to protect property;
e. Secure the weapon in the trunk of
f. Discharging firearms to apprehend a vehicle until it is surrendered to
a fleeing offender; investigating officers.
g. Firing at a moving vehicle unless 3. The responding officer shall immedi-
it is necessary to protect oneself or ately give all information gathered to
others against immediate threat of the site commanding officer of the
death or serious physical injury; or shooting inquiry team and incident
h. Firing at an animal unless justified investigator of the law enforcement
in preventing substantial harm to agency conducting the investigation.
oneself or another. 4. The probation department shall assign
3. Officers may use firearms on an a staff member to aid and assist the
approved range, or during other officer if the discharge of the officers
approved training, practice or qualifi- firearm results in the wounding or
cation when supervised by the proba- death of a person or persons.
tion department certified firearms 5. The chief probation officer or director
instructor or other department- of juvenile court shall ensure that
approved training. when the officers weapon is held as
M. Investigation of Discharges And part of an investigation, a replacement
Call-Out Procedures. firearm is issued as soon as is reason-
able unless authorization to carry a
1. Departments and the appropriate law firearm has been revoked or temporar-
enforcement agency shall investigate ily suspended.
any discharge of a firearm. The
120 6. AOC shall review each departments
improper use of a firearm may result
in sanctions or criminal or civil action. policies and procedures for the investi-
gation of all firearm discharges or
2. In an administrative investigation of firearm involved incidents. Which
weapons discharge the first non- shall include at a minimum:
involved responding officer shall:
a. Direction as to who should be
a. Preserve the firearm in a condition notified;
as close as possible to the condi-
tion when the discharge took b. Direction as to who should be
place; called to the scene;

b. Take care not to destroy or add c. Notification to AOC and appropri-

fingerprints; ate law enforcement;

c. Work the mechanisms of the d. Notification to county and state

firearm only enough to render it to risk management;
a safe condition; e. Notification to county attorney and
attorney general;


f. Establishment of a critical incident e. The AOC probation safety specialist.
response team;
4. The shooting inquiry board shall
g. Notification of a critical incident review the investigation of the shoot-
response team representative or ing, and determine the facts surround-
representatives; and ing the incident, interview witnesses,
and when necessary, request the chief
h. Procedures to place an officer on probation officer or director of juve-
administrative leave following a nile court to assign investigators.
shooting or discharge.
5. The board shall issue a written report
7. The chief probation officer or director to the chief probation officer or direc-
of juvenile court or designee shall tor of juvenile court at the conclusion
handle all media and family inquiries. of its review, containing the following:
N. Shooting Inquiry Board. a. A brief summary of the incident,
1. The chief probation officer or director as determined by the facts present-
of juvenile court shall appoint a shoot- ed to the board;
ing inquiry board within 20 days of b. The boards opinion of whether the
the incident. discharge complied with depart-
2. The shooting inquiry board shall con- ment policy and ACJA;
vene for the purpose of revealing the c. Determination if the action of the
facts in each instance of a discharge. officer was reasonable, safe, and
3. The shooting inquiry board shall con- necessary;
sist of: d. Any minority opinion of a mem-
a. Two members of the probation ber, in the event that the boards
department not involved in the opinion is not unanimous; and
incident, appointed by chief proba- e. The signature of each board member.
tion officer or director of juvenile 121
court; 6. The chief probation officer or director
of juvenile court shall have the author-
b. One member of a law enforcement ity to administer any discipline or
agency, not the investigative offi- remedial measures according to the
cer, appointed by the chief proba- local judicial merit system.
tion officer or director of juvenile
court; 7. The chief probation officer or director
of juvenile court shall forward a copy
c. One representative of the officer of the shooting inquiry boards report
from the department, not involved to the AOC probation safety specialist
in the incident; along with the actions taken by the
d. One representative not involved in chief probation officer or director of
the incident, appointed by the pre- juvenile court.
siding judge, from either inside or
outside the probation department;

Appendix D. Arizona Code of Judicial Administration Firearms Standards

O. Authority To Carry And Use a. The certified firearms instructor
Concealable Firearms While shall record the firearm serial
Off Duty. number with the probation depart-
1. Officers authorized to carry and use
issued firearms and ammunition on b. The department shall maintain
duty may request in writing separate records of all firearms carried by
authorization from the chief probation on duty officers.
officer or director of juvenile court to
carry and use the issued firearm and c. Officers shall only alter the firearm
ammunition off duty. Approval or with personalized grips or grip
denial of a request to carry off duty adapters. Only probation depart-
shall be in writing and placed in the ment approved armorers shall
officers personnel file and shall be make adjustments to the firearm.
based on a specific personal risk or d. All safety devices on the firearm
need to immediately respond based provided by the manufacturer shall
on assignment. be intact and functioning at all
2. Officers authorized to carry and use times.
firearms while off duty shall comply e. Officers may use another offi-
with all laws and regulations and cers firearm in the case of a life-
ACJA code sections concerning the threatening emergency.
carrying of firearms.
f. Officers may only use another
3. Officers who are carrying off duty firearm on the range, under the
without written authorization pursuant direct supervision of a certified
to this code section, shall be deemed firearms instructor.
to be acting outside the course and
scope of employment and to be acting 2. The chief probation officer or director
completely independently from the of juvenile court shall approve hol-
122 county or state. sters for the authorized firearms. The
department shall issue holsters that
a. The county and state assume no meet the following guidelines:
responsibility or liability for those
actions. a. Readily concealable;

b. Any liability arising from such b. Properly fit the firearm;

possession or use of a firearm shall
be the sole, individual liability of c. Contain a thumb break; and
the officer. d. Contain a trigger guard.
4. Officers shall not carry department 3. Officers shall qualify with the
issued firearms while working second- approved holster or holsters prior to
ary employment. initiating use and upon re-qualifying.
P. Authorized Firearms, Ammunition 4. The certified firearms instructor shall
and Holsters. ensure that only factory ammunition is
1. Officers may only carry and use the used. The use of reload ammunition is
firearms and ammunition that is prohibited.
approved by the AOC as their duty 5. Officers shall only carry the approved
weapons. and authorized firearm.


6. Officers shall have in their possession a. Officers shall not keep firearms in
their department issued badge, identi- the office overnight unless secured
fication card and firearms authoriza- in a department approved firearms
tion card whenever carrying a firearm. storage unit.

7. Officers shall ensure that the firearm b. Officers shall not store firearms
is fully loaded when it is carried or overnight in any vehicle.
c. The department shall issue a trig-
8. The chief probation officer or director ger lock for all department issued
of juvenile court may grant approval firearms.
for an officer on official business to
carry an issued firearm when travel- d. Officers shall ensure that firearms
ing. If permission is granted, the offi- are kept in a secure and safe place
cer shall follow all federal, state and where it is not accessible to other
local laws and regulations. The officer individuals, particularly children.
shall also comply with the carriers e. On-duty armed officers not want-
requirements. Any such approval must ing to carry a firearm into a resi-
be in writing with a copy carried by dence or public building, shall
the officer while traveling. temporarily store the firearm in a
Q. Firearms Safety and Storage. locked automobile trunk or glove
1. Officers authorized to carry firearms
shall observe and practice the follow- 1) Officers shall ensure that the
ing safety regulations: automobile is locked if the
firearm is stored in a glove
a. All firearms shall be handled safe- compartment or if the trunk is
ly and treated as a loaded firearm accessible through the passen-
until the handler has personally ger area.
proven otherwise;
2) Officers shall exercise care that 123
b. Officers shall only dry-fire, clean, the placement of the firearm in
exhibit, load or unload in a safe the glove compartment or trunk
manner and environment; is not observed by the public.

c. Officers shall ensure that any 3) The chief probation officer or

unholstered firearm that is brought director of juvenile court may
into a probation department facili- approve alternative arrange-
ty is unloaded; and ments, such as secure lock
boxes under the seat.
d. Officers shall ensure that firearms
equipped with safety devices are f. Officers shall follow facility proce-
carried in a safe position. dures for safekeeping and tempo-
rary storage of their firearm,
2. Officers shall ensure that the holstered ammunition and other prohibited
firearm and ammunition are stored in items at all correctional and court
a designated safe and locked place, facilities.
that is not accessible to unauthorized
persons when not carrying or wearing
the firearm.

Appendix D. Arizona Code of Judicial Administration Firearms Standards

3. Officers failing to comply with the officer who is found negligent in the
safety and storage regulations may loss of their department issued weapon.
result in disciplinary action which The discipline shall minimally consist
may include the loss of authorization of a letter of reprimand.
to carry a firearm.
5. Officers shall reimburse the county or
R. Stolen Or Lost Firearm. state in the event that a probation
department firearm and related
1. Officers shall immediately file a report equipment is lost or damaged through
with local law enforcement upon dis- negligence.
covery that a firearm is missing.
S. Firearm Care and Maintenance.
2. Officers shall immediately report a
stolen or lost firearm to the supervisor, 1. Officers shall be responsible for clean-
who will in turn notify the chief pro- ing and inspection of their issued
bation officer or director of juvenile firearm.
2. Officers shall not clean firearms in the
3. Officers shall provide a written report probation department.
to the supervisor no later than the
close of that business day. The super- 3. Officers shall present the firearm to
visor shall review the report and for- the certified firearms instructor for
ward it to the chief probation officer inspection upon the instructors
or director of juvenile court. request.

4. The chief probation officer or director

of juvenile court shall discipline an

Effective June 25, 2002

Adopted by Administrative Order 200270


Appendix E
Appendix E.
Firearms Training Checklist

Administrative Authority Essential Functions and

_____ Defined philosophy Responsibilities
_____ Testing
_____ Defined purpose
_____ Written
Officers _____ Psychological
_____ Statutory classification
_____ Pharmacological screening
_____ Jurisdictional authority
_____ Medical screening
_____ Arrest powers
_____ Agility/physical screening
_____ Authority to carry firearms and other
_____ Requirement to notify the agency of
physical and pharmacological condi-
tions that affect the ability to perform 125
_____ Arrest policy and procedures
job functions
_____ Cooperation with other law enforce-
ment agencies _____ Frequency and type of inservice
training requirements

Search and Seizure

_____ Authority
_____ Process for selection of equipment
_____ Control of third parties
_____ Administration of equipment
_____ Use of force to enter
_____ Ammunition _____Shooting a moving vehicle

_____ Badges and other forms of _____Multiple hits


_____ Communication devices Training

_____ Administrative authority, policies,
_____ Ear protection
and procedures
_____ Expended cartridge cases and unused
_____ Safety awareness
_____ Street survival tactics
_____ Eye protection
_____ Use-of-force model
Firearms and Associated _____ Legal liabilities
_____ Verbal deescalation
_____ Type
_____ Firearms familiarization
_____ Amount of extra ammunition to carry
_____ Defensive tactics
_____ Targets
_____ First aid and CPR
_____ Flashlights
_____ Exposure control
_____ Holsters
_____ Impact instruments
_____ Restraining devices
_____ Chemical agents
_____ Protective handwear

_____ Soft body armor

Records and Testing
126 _____ Duties and responsibilities of trainers
_____ Duties and responsibilities of officers
_____ Force definition
and staff
_____ Purpose of force
_____ Inservice training curriculum
_____ Use-of-force model
_____ Remedial training policies
_____Use-of-force test
_____ Requalification periods
_____Use-of-force considerations
_____ Qualification attempts
_____Reasonable control guidelines
_____ Failure to qualify
_____Deadly force definition
_____ Dim light course
_____Serious bodily injury definition
_____ Stress combat course
_____Deadly force policy
_____ Judgment tactical skill course
_____Warning shots


Procedures _____ Preliminary investigations
_____ Handling of firearms _____ Administrative reviews
_____ Storing firearms _____ Debriefings
_____ Lost or stolen firearms _____ Formal investigations
_____ Firearms aboard aircraft _____ Departmental review board
_____ Incidents or allegations of use of a _____ Incidents involving the chief
weapon or director
_____ Discharge of a weapon
Handling of Critical Incidents
Departmental Investigations _____ Guidelines for survival writing
_____ Statement of purpose _____ Critical incident protocol
_____ Types and uses _____ Critical incident resource team
_____ Incident reports _____ Critical incident weapon shooting
protocol checklist
_____ Garrity rule (from Garrity v.
New Jersey (1966))


A p p e n d i x E . F i r e a r m s Tr a i n i n g C h e c k l i s t
Appendix F.
Additional Resources
Community Corrections Institute, LLC
Robert L. Thornton, Director Community Corrections Institute, LLC
31615 44th Avenue East Robert L. Thornton, Director
Eatonville, WA 98328 31615 44th Avenue East
Telephone: 2538475732 Eatonville, WA 98328
E-mail address: Telephone: 2538475732
E-mail address:
PPCT Management Systems, Inc.
Bruce and Sandy Siddle The Verbal Judo Institute, Inc.
500 South Illinois Street, Suite 3 P.O. Box 1132
Milstadt, IL 62260 Westcliffe, CO 81252
Telephone: 6184763535 Toll-free telephone: 8004481042
World Wide Web address: World Wide Web address:

Protective Safety Systems 129

10108 Baileysburg OC SPRAY
Nokesville, VA 20181
Telephone: 7037540682 Chemical Agent Instructors
World Wide Web address: Training Manual
J. Richard Faulkner, Jr., Correctional
Program Specialist
VERBAL DIFFUSION SKILLS National Institute of Corrections
320 First Street, NW
Crisis Prevention Institute, Inc. Washington, DC 20534
3315-K North 124th Street Toll-free telephone: 8009956423, ext. 40100
Brookfield, WI 53005 E-mail address:
Toll-free telephone: 8005588976
World Wide Web address:
Guide for the Selection of Chemical Agent South Carolina Department of Probation,
and Toxic Industrial Detection Equipment Parole and Pardon Services
for Emergency First Responders Mike Nichols
National Institute of Justice 2221 Devine Street, Suite 600
810 Seventh Street, NW P.O. Box 50666
Washington, DC 20531 Columbia, SC 29250
Toll-free telephone: 8008513420 Telephone: 8037349220
World Wide Web address: E-mail address:
pubs-sum/184449.htm Virginia Academy for Staff Development
Jimmy Burgess, Criminal Justice Training
Crozier, VA 23039
Joe S. Barton Telephone: 8047846865
P.O. Box 82144 E-mail address:
Atlanta, GA 30354
Telephone: 4046334747
International Critical Incident Stress
10176 Baltimore National Pike, Unit 201
Pima County Adult Probation Department Ellicott City, MD 21042
George W. Baum, Jr., Training Officer Telephone: 4107509600
2695 East Ajo Way Emergency telephone: 4103132473
Tucson, AZ 85713 Fax: 4107509601
Telephone: 5207404800
Mark Maggio, Ph.D.
744 Evergreen Road
TRAINING Toll-free telephone: 8004880171, ext. 4139

Community Corrections Institute, LLC Ronald G. Schweer

Robert L. Thornton, Director Deputy Chief U.S. Probation Officer
31615 44th Avenue East U.S. Probation Office
Eatonville, WA 98328 Thomas F. Eagleton U.S. Courthouse
Telephone: 2538475732 111 South 10th Street, Suite 2.325
E-mail address: St. Louis, MO 63102
Telephone: 8662449866
E-mail address: ronald_schweer@