Center for Security Forces

Armed Sentry/Security Reaction Force - Basic

Use of Force and Deadly Force

Lesson Topic 2.2
A-830-0018 (Rev-A, CH-1) 2-2-1
Classroom Policy

2-2-2
 Enabling Objectives
• DEFINE terms involved in the Navy Use of
Force policy.
• STATE applicability and scope of
Department of Defense directives governing
the Use of Force and Deadly Force.
• EXPLAIN the difference between Passive
and Active subject types to the Use of Force
continuum.

2-2-3
 Enabling Objectives
• DISTINGUISH between the levels of the
Use of Force continuum.
• DESCRIBE the Deadly Force Triangle and
policy for use of firearms.
• DESCRIBE the relationship of Non-Lethal
Weapons (NLW) to the Use of Force and
Deadly Force continuum.
• DEFINE when deadly force is authorized.
• STATE definition of Deadly Force.
2-2-4
 Introduction
• In the arming of security force personnel comes the
responsibility to employ lethal and non-lethal force.
– The most significant decision an armed sentry or
security force member will make is whether to
use force and what level force should be used.
– When force becomes necessary, it must be
delivered in an effective and reasonable manner
that falls within acceptable guidelines.
• Use only the minimum force necessary!

2-2-5
 Terms & Definitions
• Force
– To do violence.
– To compel by physical or intellectual means.
– To achieve or win by strength in struggle or
violence.
• Deadly Force
– Force that a person uses causing, or that a
person knows or should know, would create a
substantial risk of causing death or serious
bodily harm.
2-2-6
 Terms & Definitions
• Serious Bodily Harm
– Does not include minor injuries, such as a black
eye or a bloody nose, but does include fractured or
dislocated bones, deep cuts, torn members of the
body, serious damage to the internal organs and
other life-threatening injuries.
• Imminent
– The determination of whether a particular threat or
danger is “imminent” is based on assessment of all
circumstances known at the time.
• Imminent does not necessarily mean “immediate” or
“instantaneous”.
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 “Use of Force” DoD Directives
• CJCSI 3121.01B (Encl. “L”) – Standing Rules
for the Use of Force for US Forces (SRUF)
– Enclosure “L” of this instruction provides operational
guidance and establishes fundamental policies and
procedures governing actions taken by DoD forces
performing civil support missions and routine service
functions (including AT/FP duties) within the U.S.
territory (including US territorial waters).

2-2-8
 “Use of Force” DoD Directives
• SECNAVINST 5500.29C – Use of Deadly
Force and the Carrying of Firearms by Personnel of
the Department of the Navy in Conjunction with
Law Enforcement, Security Duties and Personal
Protection.
– Applies to all DON military and civilian personnel or
contract security forces who carry firearms.
– Used to implement DoD Directive 5210.56 establishing
the Use of Deadly Force policy for DoD military and
civilian personnel performing law enforcement and
security duties, and the arming of those personnel.

2-2-9
 “Use of Force” DoD Directives
• DoD Directive 5210.56 – Use of Force and the
Carrying of firearms by DoD personnel Engaged in
Law Enforcement and Security Duties.
– Applies to all Military Departments, Defense Agencies,
and DoD Field Activities.
– Sets forth policy to limit and control the arming and
carrying of firearms by DoD personnel.
– Establishes parameters and provides guidance for the
arming of law enforcement and security personnel, and
the Use of Force and Deadly Force.

2-2-10
 “Use of Force” DoD Directives
• DoD Directive 3000.3 – Policy for Non-Lethal
Weapons.
– Applies to all Military Departments, Defense
Agencies, and DoD Field Activities.
– Sets forth policy that Non-Lethal weapons,
doctrine and concepts shall be designed to
reinforce deterrence and expand the range of
options available for the Use of Force.

2-2-11
 Mental Preparation
• Combat Mindset – Training of mental preparation is
the foundation to a successful outcome in a conflict.
– You must recognize the real dangers inherent
with armed or physical confrontations and the
importance of being mentally prepared.
• Always plan for worst-case scenario.
– Training prepares us to properly react to
situations or violent confrontation, which may
require the Use of Force up to, and including,
Deadly Force.

2-2-12
 Mental Preparation
• Combat Mindset (Cont…)
– Alertness – Remain focused on any possible threat
to avoid surprise; always be prepared for worst case,
and aware of what is around you (i.e., behind you).
• Mentally prepared for a violent confrontation.
• Looking for violent confrontation.
• Expecting a violent confrontation.
• Ready to react to a violent confrontation.

2-2-13
 Mental Preparation
• Combat Mindset (Cont…)
– Decisiveness – Determine a course of action and
follow through with that decision.
• Never hesitate when the “Use of Force” or “Deadly
Force” has been decided upon (Act/React).
– Aggressiveness – Once the decision is made for the
“Use of Force”, don’t stop until you have gained
control of the situation.

2-2-14
 Mental Preparation
• Combat Mindset (Cont…)
– Speed of Action – Your actions should be
deliberate, smooth, and fast; end the action before
the subject (adversary) knows its over.
– Self Control – Stay focused, having a mental
presence of mind to deal with one problem at a time.

• If loss of control occurs; potential for loss of life is great.

• Aggressive force does not mean excessive force.
• Be calm, controlled and precise.

2-2-15
 Mental Preparation
• Combat Mindset (Cont…)
– Determination – Is the ability to use power and
resources without reservation to stop the threat.
• Actions must be IAW rules for the “Use of Force”.
• Once force has been decided upon, don’t be kind, be
tough and determined. Above all…

Be in control!

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 Mental Preparation
• Five Levels of Mindset
= Total Vulnerability
= Nonspecific Alert
= Specific Alert
= Decision made to use Deadly Force
= Shutdown of Mental Faculties

2-2-17
 Mental Preparation
• Five Levels of Mindset (Cont…)
– White:
• State of total vulnerability.

• Unaware of actions happening around you.

• Unprepared to act or react.

• Example – “Staring into headlights look”.

2-2-18
 Mental Preparation
• Five Levels of Mindset (Cont…)
– Yellow:
• State of non-specific alert.
• Aware and alert to everything around you.
» Environment.
» Team Member(s).
» Weapons awareness/retention.
» Potential threats.

2-2-19
 Mental Preparation
• Five Levels of Mindset (Cont…)
– Orange:
• State of specific threat.
• Focus is on possible threat/something suspicious.
» Further evaluation necessary.
» Assess the potential impact on mission objective.
» Pay close attention to your temper/attitude.
» Develop plan of action within guidelines of the Use of
Force continuum and implement.
• Once threat is resolved, return to yellow mindset.
2-2-20
 Mental Preparation
• Five Levels of Mindset (Cont…)
– Red:
• Mentally prepared to use deadly force.

• Criteria for “Use of Deadly Force” has been met.

• LAST RESORT – USE OF DEADLY FORCE

2-2-21
 Mental Preparation
• Five Levels of Mindset (Cont…)
– Black:
• The result of improper mental condition, causing
an individual to experience sensory overload.
• Mental facilities shut down (not prepared).
• Tunnel vision and audio exclusion; freezing up
and general disorientation occurs.
• Not aware of the situation, or no longer in control
of the situation (loss of self-control).

2-2-22
 Mental Preparation
• Judgment
– Most important trait required to effectively employ
the Use of Force continuum is Sound Judgment.
• Capacity to assess situations or circumstances and draw
sound conclusions regarding the application of the “Use
of Force” and/or “Deadly Force”.
– To properly select the necessary level of force
required to compel compliance, members must:
• Recognize their own mindset
• Categorize the type of subject
• Know the Use of Force continuum
2-2-23
 General Types of Subjects
• Personnel may encounter two general types
of subjects:

– PASSIVE - Person does NOT physically resist.

– ACTIVE - Person who physically resists.

2-2-24
 General Types of Subjects
• Passive Compliant
– Will follow task directions.
– Subject is cooperative and complies.
– Likelihood of a physical response is low.
– Controlled through presence & verbalization.
• Passive Resistor
– Will not follow task direction; non-responsive/uncooperative.
– Passively or defensively resists; but, shows no physical
actions to interfere (i.e., dead weight/peaceful protest).
– May require physical contact to elicit compliance.

2-2-25
 General Types of Subjects
• Active Resistor
– Will not follow task direction.
– Physically resists; but DOES NOT ATTACK.
• Active resistance and/or aggression.
– Subject exhibits physical defiance and is
attempting to interfere with security force actions.
• Inflicting pain or physical injury to security
force member without a weapon or object.
» Bracing, pulling away, kicking, scratching, etc.

2-2-26
 General Types of Subjects
• Active Aggressor
– Will not follow task direction; Physically Attacks.
– Assault or Threat of Assault:
• Subject assumes a fighting stance and/or charges.
• Verbally/physically indicates intent to commit assault.
– Life Threatening Assault:
• Commits an attack using an object/weapon.
• Commits an empty hand assault, wherein the security
force member reasonably believes the assault will result
in serious physical injury and/or death.

2-2-27
 Levels of Use of Force Continuum
M-9 PISTOL

PASSIVE MACH M-16 RIFLE

TAKEDOWN
SUBJECT TECHNIQUE
BATON
SHOTGUN
OC-SPRAY 6. DEADLY
MWD
EMPTY FORCE
ESCORTS HAND 5. INTERMEDIATE
STRIKES WEAPON
HANDCUFFS
4. HARD
FLEXI-CUFFS CONTROL
PERSONAL
COMMS
SKILLS
UNIFORM ACTIVE
2. VERBAL
U.S. FLAG
COMMANDS SUBJECT
1. PRESENCE

2-2-28
 Levels of Use of Force Continuum
• Level 1 – Presence
– Display of Authority – Interview stance

– Physical presence compels compliance (e.g., body

language, demeanor, and manner of approach).

– Uniform appearance (armed watch-stander).

– Warship presence (U.S. Flag)

– Non-verbal communications skill.

2-2-29
 Levels of Use of Force Continuum
• Level 2 – Verbal Commands
– Voice commands given by an individual in an
attempt to control a situation.
(e.g., personal communication skills).
– Always include Consequences for non-
compliant personnel with instructions.
(i.e., “If you don’t …, I will be forced to …”)
– Be reasonable in your commands.
– Use a clear, authoritative voice.
– Commands should be easily understood.
2-2-30
 Levels of Use of Force Continuum
• Level 3 – Soft Control (Restraining/Detaining)
– Soft Control Techniques are intended to bring a
subject under control with a low probability of
causing soft or connective tissue damage,
lacerations of the skin, or bone fractures.
– Examples may include:
• Laying hands on a subject to gain control; an escort
position or control hold (joint manipulation).
• Application of restraints; flexi-cuffs, leg restraints, and
steel handcuffs.

2-2-31
 Levels of Use of Force Continuum
• Level 4 – Hard Control (Compliance Techniques)
– Hard Control techniques are intended to bring a
subject under control with a probability of
causing soft or connective tissue damage,
lacerations of the skin or bone fractures.
– Examples may include:
• OC-Spray, MACH takedown techniques and/or empty
hand punches, strikes, kicks, etc.
• May involve an intermediate weapon in control type
configuration (i.e., MACH Baton Technique).
» NOT as an impact weapon!
2-2-32
 Levels of Use of Force Continuum
• Level 5 – Intermediate Weapons
– Intermediate weapon techniques are intended to
bring a subject under control with a high
probability of causing soft or connective tissue
damage, lacerations of the skin or bone fractures.
– Examples may include:
• Expandable Baton
• Military Working Dog (MWD)

2-2-33
 Levels of Use of Force Continuum
• Level 6 – Deadly Force
Last Resort!

OP
Y
LT

PO
BI
12 Ga
1 2

R
Shotgun

TU
PA

N
CA

M-9 Pistol

IT
M-16 Rifle

Y
INTENT
3 2-2-34
 Deadly Force Triangle

• For the use of deadly force to be appropriate,

three conditions must exist:
– Opportunity
– Capability
– Intent

2-2-35
 Deadly Force Triangle
• Capability – The ability or means to inflict death
or serious bodily harm, or the “hands-on” ability to
place or attach explosives on vital assets, or High
Value Assets (HVA).
– A hostile, dangerous or suspicious person possess
the actual ability to inflict death or serious bodily
harm to another person; such as…
GUN KNIFE CLUB
– Or, an object which can be utilized in a manner
resulting in death or serious bodily harm to
personnel, or damage to vital assets.
2-2-36
 Deadly Force Triangle
• Opportunity – Is established when a weapon or
explosive device is in effective range to cause death
or serious bodily harm to DoD personnel or
designated assets; i.e.,
– U.S. Navy personnel, another service member or
High Value Asset (HVA) is in the effective range
of a weapon, weapon system, or IED.

2-2-37
 Deadly Force Triangle
• Intent – Demonstrated through aggressive actions or lack
of compliance the desire or willingness to cause death, serious
bodily harm or damage to vital assets; i.e.,
– A hostile, dangerous, or suspicious person demonstrates
through aggressive actions or display of a weapon in a
threatening manner the willingness to cause death or
serious bodily harm.
– Indicators that may help in determining hostile intent;
• Intelligence reports
• Failure to respond or react to hails/warnings
• Evading Security Forces
• Driving at high speed toward HVA or ECP
• Displaying weapons
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Deadly Force Triangle

2-2-39
 Guidance for Carry & Use of Firearms
• Personnel shall NOT use, carry, or possess
personal weapons while in performance of
assigned duties.
• Government-owned weapons shall not be
carried when in an off-duty status;
– They shall NOT be kept in private residences.
– Weapons will only be stored in approved security
containers or armories.
– Only ammunition obtained through Navy supply system
shall be used in government-owned weapons.

2-2-40
 Guidance for Carry & Use of Firearms
• Authority to arm personnel is vested in CO.
– Personnel engaged in force protection and security duties
shall be armed & weapons shall be loaded.
• Weapons shall not be carried unloaded; except for
safety reasons, while participating in training
exercises, or as directed by the CO.
– Authorization to carry firearms shall be in writing.
• OPNAV Form 5512/2
– Must have NO conviction of Domestic Violence.
• Must complete DD Form 2760 to carry firearms.

2-2-41
 Guidance for Carry & Use of Firearms

• In case of holstered weapons, a weapon should not

be removed from the holster unless there is
reasonable expectation that use of the weapon may
be necessary.
NOTE: Drawing the weapon (although drawn
with reasonable expectation of use) does not
mean the individual MUST use the weapon.
– Anytime your weapon is drawn, it must be
document and reported IAW the unit’s “Rules,
Regulations, and Procedures (RRP).

2-2-42
 Guidance for Carry & Use of Firearms
• When a firearm is discharged, it will be fired with the
intent of rendering the person(s), at whom it is
discharged, incapable of continuing the activity or
course of behavior prompting the individual to shoot.
• Shots shall be fired only with regard for the safety of
innocent bystanders.
– Shots will NOT be fired if likely to significantly
increase the danger to innocent bystanders.

2-2-43
 Guidance for Carry & Use of Firearms
• Warning Shots
– Warning shots are not authorized within U.S.
Territory (including territorial waters); EXCEPT…
• In the appropriate exercise of force protection of U.S.
Navy & Naval Service Vessels.
» Unit commanders or designated tactical weapons
release authority shall establish procedures for
weapons employment, to include warning shots.
» The CO, giving consideration to avoid fratricide &
collateral damage, will designate gun mounts or posts
authorized to fire warning shots.

2-2-44
 Guidance for Carry & Use of Firearms
• Training requirements for personnel required
to be armed in the performance of security
and law enforcement duties.
– Weapons qualified IAW OPNAV 3591.1E
– Non-Lethal Weapons
– Use of Force and Deadly Force
– Rules of Engagement (ROE)

2-2-45
 Guidance on “Use of Non-Deadly Force”
• Force is to be used only as a last resort;
– Force used should be the minimum necessary to
compel compliance.
• The use of force must be reasonable in intensity,
duration and magnitude based on the totality of
circumstances to counter the threat.
– Escalation of force must be consistent with the
lowest level of force required to control a situation.
– Use force only when it is necessary to effectively
discharge or execute assigned duties.

2-2-46
 Guidance on “Use of Non-Deadly Force”
• Use of force must be applied in a progressive
and sequential manner where possible.
– You need not attempt to gain control over an
individual by use of the lowest level of force when
reason dictates otherwise, and you can articulate
that a higher level of force is reasonable.
– Skipping steps within the continuum may be
appropriate given the resistance or circumstances.
• De-Escalation – When time and circumstances permit;
individual should be warned and given the opportunity
to withdraw or cease the threatening action.
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 Relationship of NLW to Deadly Force
• NLW capabilities provide “the lesser means” that
could be considered prior to using deadly force.
– Traditionally, military power to resolve crisis has
involved the Use of Deadly Force or implicit threat of the
Use of Deadly Force.
– A military force armed only with traditional weapons has
only two options for enforcing compliance; threatening
deadly force and applying deadly force.
• This limitation creates a critical vulnerability that
belligerents may quickly discern & use to their
advantage.

2-2-48
 Relationship of NLW to Deadly Force
• Non-Lethal capabilities provide a wider range of
options that augment, but do not replace traditional
means of deadly force.
– The option to resort to deadly force must always remain
available when believed appropriate to the situation.
• The use of NLW does not mean that there is no
chance of producing fatalities or permanent injuries.
– This mindset must be avoided; fatalities and permanent
injuries can always occur anytime when employing Non-
Lethal Weapons or self-defense tactics.
– Use of NLW is not required to have a ZERO probability
of producing fatalities or permanent injuries.
2-2-49
 Relationship of NLW to Deadly Force
• Use Proportional Force
– When “Use of Force” is necessary to control a
situation;
• The nature, duration, and scope of the
engagement should not exceed that which is
required to decisively counter the hostile act or
the demonstrated hostile intent, and continue
protection of U.S. forces or other protected
personnel/property.

2-2-50
 Guidance on “Use of Deadly Force”

• Deadly force:
– Is justified only under conditions of
extreme necessity, and when lesser means
have been exhausted, are unavailable, or
can NOT be reasonably employed.

2-2-51
 Guidance on Use of Deadly Force
• Deadly Force-Conditions:
– Self-Defense and Defense of Others.
– Assets Vital to National Security.
– Assets NOT Involving National Security but
Inherently Dangerous to Others.
– Serious Offenses Against Persons.
– National Critical Infrastructure
• Protect Public Health or Safety.
– Escape.
– Arrest or Apprehension.

2-2-52
 Review and Summary
• Terms Related to Use of Force/Deadly Force
• “Use of Force” DoD Directives
• Mental Preparation
– Mindset
– Five levels of mindset
– Judgment
• General Types of Subjects (Passive/Active)
• Levels of the “Use of Force Continuum”

2-2-53
 Review and Summary
• Deadly Force Triangle
– Capability
– Opportunity
– Intent
• Guidance for Carrying and Use of Firearms
• Guidance on “Use of Non-Deadly Force”
• Relationship of NLW to Deadly Force
• Guidance on “Use of Deadly Force”
– Deadly Force-Conditions
2-2-54
Questions

2-2-55