U.S.
Department
of
Justice
Office
of
the Deputy Attorney General
The Deputy Attorney General
Washington, D.C.
20530
September
13
, 2021
MEMORANDUM
FOR
ACTING DIRECTOR, BUREAU OF ALCOHOL, TOBACCO,
FIREARMS & EXPLOSIVES
ADMINISTRATOR, DRUG ENFORCEMENT
ADMINISTRATION
DIRECTOR,
FE
DERAL BUREAU OF INVESTIGATION
DIRECTOR, FEDERAL BUREAU OF PRISONS
DIRECTOR, UNITED STATES MARSHALS SERVICE
INSPECTOR GENERAL, OFFICE OF INSPECTOR GENERAL
HEADS OF LITIGATING COMPONENTS
DIRECTOR, EXECUTIVE OFFICE FOR UNITED STATES
ATTORNEYS
UNITED STATES ATTORNEYS
-
tD
FROM: THE DEPUTY ATTORNEYGENERAL
{u~
'y}t~
SUBJECT: CHOKEHOLDS & CAROTID RESTRAINTS;
KNOCK & ANNOUNCE REQUIREMENT
As
members
of
federal law enforcement, we have a shared obligation to lead by example
in
a
way that engenders the trust and confidence
of
the communities we serve.
As
part
of
that
obligation, we are updating our Department
of
Justice policies
on
certain physical restraint
techniques and on the execution
of
certain types
of
warrants.
In the wake
of
a number
of
recent tragedies, law enforcement around the nation is reexamining
the way it engages with individuals who come into contact with the criminal justice system. The
Department
of
Justice has undertaken a similar review and determined that the Department did
not have consistent written policies across its law enforcement components
on
the use
of
"c
hokeholds" and the "carotid restraint" technique to subdue resisting suspects, or on the use
of
"no
knock" entries when executing a warrant. Therefore, I am directing the Department's law
enforcement components to revise their policies to explicitly prohibit the use
of
chokeholds and
the carotid restraint technique unless deadly force is authorized, and to limit the circumstances in
which agents may seek to enter a dwelling pursuant to a warrant without complying with the
"knock and announce" rule.
Memorandum from the Deputy Attorney General
Page2
Subject: Chokeholds & Carotid Restraints; Knock & Announce Requirement
Chokeholds and Carotid Restraints
The use
of
certain
ph
ysical restraint techniques - namely chokeholds and carotid restraints - by
some law enforcement agencies to incapacitate a resisting suspect has too often led to tragedy.
Chokeholds apply pressure to the throat
or
windpipe and restrict an individual's ability to
breathe.
The
carotid restraint technique restricts blood flow to the brain causing temporary
unconsciousness.
It
is important that Department law enforcement components have an
articulated policy in this area because these techniques are inherently dangerous.
It
is a long-standing Department policy that "[l]aw enforcement officers and correctional officers
of
the Department
of
Justice may use deadly force only when necessary, that is, when the officer
has a reasonable belief that the subject
of
such force poses an imminent danger
of
death
or
serious physical injury to the officer
or
to another person." Policy Statement Use
of
Deadly
Force, Approved by the Attorney General July 1, 2004. Given the inherent dangerousness
of
chokeholds and carotid restraints, and based
on
feedback from
our
law enforcement components
on
these techniques, Department law enforcement agents and correctional officers are hereby
prohibited from using a chokehold or a carotid restraint unless that standard
of
necessity for use
of
deadly force is satisfied. Accordingly, Department law enforcement components will revise
their policies to reflect this guidance prohibiting the use
of
chokeholds
or
carotid restraints by
Department law enforcement agents and correctional officers, including federal task force
officers, unless deadly force is authorized. Component heads will also ensure that personnel
receive notice
of
this policy and that it is appropriately incorporated into training.
"No Knock" Entries
Federal agents are generally required to "knock and announce" their identity, authority and
purpose, and demand to enter before entry is made to execute a warrant
in
a private dwelling.
U.S. Const., amend. IV;
18
U.S.C. ยง 3109; see Hudson v. Michigan, 547 U.S. 586 (2006). Once
that announcement is made, agents must wait a reasonable amount
of
time based
on
the totality
of
the circumstances to permit the occupant to open the door before making entry into a
dwelling. See United States v. Banks, 540 U.S.
31
(2003). The Supreme Court has recognized,
however, that there are certain situations where
it
is not constitutionally necessary to "knock and
announce" before entering a dwelling- namely, where the officer has reasonable grounds to
believe that knocking and announcing would create a threat
of
physical violence, likely result in
destruction
of
evidence, or be futile. See Hudson, 547 U.S. at 589-90. Because
of
the risk posed
to both law enforcement and civilians during the execution
of
"no knock" warrants, it is
important that this authority be exercised only in the most compelling circumstances.
Memorandum from the Deputy Attorney General
Page 3
Subject: Chokeholds & Carotid Restraints; Knock & Announce Requirement
Today, I
am
announcing that law enforcement agents
of
the Department of Justice, including
federal task force officers, will limit the use
of
"no knock" entries
in
connection with the
execution
of
a warrant in the following
wa
y
s.
First, an agent
ma
y seek judicial authorization to conduct a "no knock" entry only
if
that agent
has reasonable grounds to believe at the time the warrant is sought that knocking and announcing
the agent' s presence would create an imminent threat
of
ph
ysical violence to the agent and/or
another person. Prior to seeking judicial authorization for a "no knock" entry, an agent must first
obtain approval from both the Criminal
Chief
of
the relevant U.S. Attorney's Office (or a Deputy
Chief
in
a Main Justice litigating component) and an Assistant Special Agent in Charge
or
Chief
Deputy Marshal
in
the district. Once judicial authorization is obtained, agents may proceed
without "knocking and announcing" their presence unless they learn
of
facts that negate the
circumstances that justified this exception to the "knock and announce" rule.
Second,
if
an agent did not anticipate the need for a "no knock" entry
at
the time the warrant was
sought, the agent
ma
y conduct a "no knock" entry only
if
exigent circumstances arise at the
scene such that knocking and announcing the agent's presence would create an imminent threat
of
physical violence to the agent and/or another person.
If
the agent relies
on
this exigent-
circumstances exception in executing the warrant, the agent shall immediately notify his/her
Special Agent in Charge or United States Marshal and provide written notice to the United States
Attorney
or
relevant Assistant Attorney General.
Because this policy limits "no knock" entries to
in
stances where there is an imminent threat
of
physical violence, it is narrower than what is permitted by law - for example, agents must
"knock and announce" even when they have reason to believe that doing so could result
in
the
destruction
of
evidence. In setting the policy this way, the Department is limiting the use
of
higher-risk "no knock" entries to only those instances where physical safety is at stake
at
the
time
of
entry. Should
an
exceptional circumstance arise (e.
g.
, in a national security matter)
where no imminent threat
of
physical violence is present but an agent believes the evidence is so
significant, and the risk
of
its destruction so pronounced, that a "no knock" entry is warranted,
judicial authorization for a "no knock" warrant can be s
ou
ght
if
approval is first obtained from
the head
of
the law enforcement component and
th
e United
St
ates Attorney
or
relevant Assistant
Attorney General, with notice provided to the Office
of
the Deputy Attorney General.
Memorandum from the Deputy Attorney General Page 4
Subject: Chokeholds & Carotid Restraints; Knock & Announce Requirement
Policy Revisions by Department Law Enforcement Components
The Department's law enforcement components shall immediately revise their policies to reflect
this guidance prohibiting the use
of
chokeholds and the carotid restraint technique unless deadly
force is authorized, and limiting "no knock" entries. Law enforcement component heads shall
also report quarterly to the Deputy Attorney General regarding the number
of
"no knock" entries
their agency executed during the prior quarter.
