U.S. Geological Survey Manual
CHAPTER 9. LAW ENFORCEMENT AND GUARD SERVICES
1. Law Enforcement Protection. The FPS Officers and local law enforcement officers, where a response agreement is in effect, have primary responsibility for responding to criminal occurrences, incidents, and life threatening events at USGS facilities under the custody and control of GSA. FPS is also responsible for the security and protection of Federal Government employees in and visitors to Federal buildings and for the buildings themselves. Under the provisions of FPMR 101-20.103-3, occupants of facilities under the custody and control of GSA are responsible for promptly reporting all crimes and suspicious circumstances occurring on GSA-controlled property to the regional FPS Division (see Chapter 3, Paragraph 10 for incident reporting procedures and Appendix D for the address and phone number of FPS Regional Offices).
A. Jurisdiction. Jurisdiction is defined, for law enforcement and protection purposes, as the legislated authority or delegation of legal power, in a defined territory, to perform law enforcement functions such as investigating criminal acts, making arrests, and prosecuting individuals for criminal violations. Jurisdiction confers legal power and all such power not delegated to the United States by the U.S. Constitution rests with the States. The States, in turn, may delegate such power to counties and municipalities. The jurisdiction over the Federal lands within the States is defined below.
(1) Exclusive Jurisdiction.
(a) This term is applied when the Federal Government possesses, by whichever method acquired, all the authority of the State, and in which the State concerned has not reserved to itself the right to exercise any of the authority concurrently with the United States except the right to serve civil or criminal process in the area for activities that occurred outside the area.
(b) This power is usually confined to military reservations, airports, and other exclusively Federal or State installations.
(2) Concurrent Jurisdiction.
(a) This term is applied to those instances wherein the Federal Government has been granted, for exercise by it over an area in a State, certain of the State’s authority, but where the State concerned has reserved to itself the right to exercise, by itself or concurrently with the United States, other authority constituting more that merely the right to serve civil or criminal process in the area.
(b) In concurrent jurisdictions, there is usually an agreement, often in written form such as a Memorandum of Understanding, as the manner in which the powers will be shared. For example, the agency with primary (or original) authority, i.e. county or State, usually will reserve the right to enforce major crimes such as murder and rape. Lesser crimes, and crimes pertaining to Federal personnel and property, are usually investigated by criminal investigators of the FPS, e.g., assault and theft of Government property.
(3) Partial Jurisdiction. This term is applied to those instances wherein the Federal Government has been granted , for exercise by it over an area in a State, certain of the State’s authority, but where the State concerned has reserved to itself the right to exercise, by itself or concurrently with the United States, other authority constituting more than merely the right to serve civil or criminal process in the area (e.g., the right to tax private property).
(4) Proprietorial Interest Only. This term is applied to those instances wherein the Federal Government has acquired some right or title, to an area in a State, but has not obtained any measure of the State’s authority over the area.
(5) Delegations of FPS Authority. In facilities where GSA has delegated its authority to the occupant agency, the FPS may also delegate most or all of its enforcement powers. In all known USGS cases, FPS has reserved its investigative and prosecutive powers. When jurisdiction is delegated by the FPS, an agreement must be negotiated with the local police to provide law enforcement responses.
(6) Special Police Commissions. Members of a guard force may be granted a special police commission by State or local police. This commission allows the guard to exercise certain law enforcement authority that is specified in the commission. If special police officers are employed by a proprietary guard force, they must be specifically assigned the authorities stipulated by the commission and be trained and certified in accordance with the requirements of the commission. If special police officers are required as part of a contract guard force, the contract Statement of Work must stipulate that need, must assign liability for the exercise of police powers by guards under the contract, and must provide for the requisite training and certification. The jurisdiction of the special police commission is generally limited to the reference facility.
B. Other Pertinent Law Enforcement Organizations.
(1) FBI. The FBI investigates for the Department of Justice all allegations of violations of Federal laws with the exception of those concerning matters, which by legislative enactment or other directions are within the investigative jurisdiction of another Federal agency. Included with the responsibilities of the FBI are investigations relative to espionage, sabotage, treason, and other matters pertaining to the internal security of the United States. See Chapter 3, Paragraph 10.B, for incidents that are required to be reported to the FBI.
(2) Immigration and Naturalization Service (INS). The INS administers the immigration and naturalization laws relating to the admission, exclusion, and deportation of aliens and the naturalization of aliens who are lawful residents in the United States. It investigates alleged violations of those laws and makes recommendations for prosecutions. The INS patrols the borders of the United States to prevent illegal entry of aliens and registers and fingerprints aliens residing in the United States.
(3) United States Marshals. Marshals enforce orders of the United States District Courts to which they are attached; maintain order in courtrooms; have custody of prisoners of the court; and, through its Special Operations Groups, prevent civil disturbances and restore order in riot and mob-violence situations.
(4) Drug Enforcement Administration (DEA). The DEA is the lead Federal agency in enforcing narcotics and controlled substance laws and regulations.
(5) Bureau of Alcohol, Tobacco and Firearms (ATF). The objectives of the ATF law enforcement activity are to eliminate illegal trafficking, possession, and use of firearms, destructive devices, and explosives; impact interstate arson schemes; suppress the traffic in illicit distilled spirits; and suppress the interstate trafficking in contraband cigarettes.
(6) United States Secret Service. The principal duties of the Secret Service are to protect the President and Vice President of the United States and their immediate families; to detect and arrest offenders of counterfeiting coins, currency, stamps, and other obligations or security of the Untied States; and to detect and arrest offenders of law pertaining to electronic funds transfer frauds, credit and debit card frauds, false identification documents, and computer access fraud.
(7) United States Postal Service (USPS). Through its Inspection Service, the USPS protects the mail, postal funds, and property; investigates internal conditions and needs that may affect its security and effectiveness; apprehends those who violate the postal laws; and audits financial and non-financial operations.
(8) State, County, and Municipal Agencies. Each State maintains agencies for the enforcement of its laws within its jurisdiction.
(a) State Police. State police enforce certain penal laws and traffic regulations.
(b) State Highway Patrol. Highway patrol enforce State highway traffic laws; they may enforce penal laws
(c) State Bureaus of Investigation. These bureaus investigate matters relative to State penal law.
(d) County Enforcement Agencies. The sheriff’s office in each county normally has the responsibility for enforcing county laws and, in cooperation with State and municipal agencies, certain State penal laws, such as the State criminal code.
(e) Municipal Agencies. Cities, towns, and townships normally provide local police services for the protection of property; regulation of highway traffic; enforcement of local penal laws; and, in cooperation with State agencies, enforcement of certain State penal laws, such as the State criminal code.
2. Guard Services.
A. Determining the Need.
(1) Introduction. A guard force is an effective and useful component of a facility’s physical security program. The effectiveness of alarm devices, physical barriers, and intrusion detectors depends ultimately on a response by a skilled guard force. Guard services can be provided by FPS Federal Protective Officers, a private company under contract to FPS or USGS, or employees of the USGS.
(2) Criteria for Determining Need. As cited in Appendix B, “Department of the Interior Facility Security Standards,” evaluating a facility for security guard requirements to include a security guard patrol is desirable for security Level II facilities, may be a standard based on a Building Security Committee facility evaluation for security Level III facilities, and is a minimum-security standard for Level IV facilities. The number of guards at any given time will depend on the size of the facility, the hours of operation, and current risk factors. Guard services are recommended under, but are not limited to, the following circumstances.
(a) At security Level III and IV facilities to meet visitor control and screening requirements.
(b) The mission of the facility is particularly critical.
(c) There is a high level of sensitivity of information handled at the facility, e.g., national security information.
(d) An in-house response capability is needed, e.g., the facility contains alarmed vaults or other sensitive operations, and off-site guards or police are not close enough for quick response.
(e) The facility is vulnerable to theft or damage, e.g. a facility location in a high crime area.
(f) Pedestrian or automobile traffic is heavy or congested and requires special controls.
(3) Cost Factors.
(a) As with any expenditure of funds for security, the annual costs of guard services normally should not exceed the monetary value of the protected items.
(b) A substantial expense for guard services may be required for crowd or traffic control, for safeguarding highly classified or sensitive information, or for protecting material or functions which have high intrinsic rather than monetary value. This is especially true as applied to the safety of employees since it is impossible to put a dollar value on human lives or peace of mind. A guard post in a high crime area may yield substantial benefits in terms of improved safety, higher employee morale, increased productivity, and a better image of the USGS.
B. Guard Duties. In making a decision about whether to utilize a guard force of any size, consider the following duties that guards may properly perform:
(1) Entrance Control. Operate and enforce a system of access control, including inspection of identification and packages.
(2) Roving Patrol. Patrol routes or designated areas, such as perimeters, buildings, vaults, and public areas.
(3) Traffic Control. Direct traffic (vehicular and pedestrian), control parking, check permits, and issue citations.
(4) Key Control. Receive, issue, and account for certain keys to the building and its internal areas.
(5) Security and Fire Systems. Monitor, operate, and respond to intrusion and fire alarm systems or protective devices.
(6) Utility Systems. Monitor, record data, or perform minor operations for building utility systems.
(7) Lost and Found. Receive, receipt for, and store found items.
(8) Flying of the United States Flag. Observe flag flying procedures.
(9) Reports and Records. Prepare reports on accidents, fires, thefts, and other building incidents.
(10) Response to Emergencies. In case of any emergency, such as fire, bomb threat, assault or civil disturbance, respond, summon assistance, administer first aid, and assist public safety personnel.
(11) Law and Order. Maintain law and order within the area of assignment.
(12) Hazardous Conditions. Report potentially hazardous conditions and items in need of repair.
C. Personnel Requirements.
(1) Manpower. The number of full-time guard posts for a facility is determined by the FSO and the site manager. The decision should be based on a comprehensive physical security survey such as described in Chapter 3. The number of guard posts will be determined by the local crime rate, number of entrances, alarm systems to respond to, and other factors peculiar to each facility. The FSO must calculate the total number of posts and hours of coverage. The bidding contractor will be responsible for calculating the total number of guards required, taking into account the number and duration of shifts, reliefs, sick leave, and other administrative factors.
(2) Armed Guards.
(a) Guards operating magnetometer and X-ray screening devices are required to be armed in order for the guards to appropriately respond to all possible threats and volatile situations. At Level IV facilities, the use of magnetometer and X-ray screening devices at public entrances is a mandated standard.
(b) If guards are armed for a deterrent effect, i.e., to prevent crime or other unauthorized activity, responsible officials must weigh that advantage against such disadvantages as the danger to innocent personnel if a firearm is used by a guards; the possibility of an accidental discharge; and the possibility, no matter how remote, of irrational behavior on the part of a guard in a weak moment or under pressure.
(c) Firearms may be used only defensively, and only for the protection of life and property.
(d) When making a decision as to whether guards at a facility should be armed, the senior facility manager and the FSO should give strong consideration to the factors below. If contracting, every possible effort should be made to include requirements in the contract Statement of Work that will task the contractor with providing properly selected and trained personnel and maintaining appropriate performance and conduct standards. These factors apply whether hiring guards directly or dealing with a contractor.
(a) Supervision is required for all guard posts and is usually requested at a ratio of one hour of supervision for each eight productive hours on post.
(b) On small contracts with three or fewer posts or at isolated sites, the use of roving supervisors may be the only practical or cost-effective method of supervising the contract.
(c) At sites where there will be eight or more posts, an on-site supervisor should be required, at least during the hours of heaviest traffic and greatest productive hours on posts. After-hours supervision can be performed at the one to eight ratio by roving supervisors. Large forces and facilities generally require more supervision; a contract with thirty or more shifts per week should have full-time supervision.
(1) In many facilities owned, operated or leased by GSA, the guard force may be the FPS, a cadre of trained federal employees who are commissioned as Special Police Officers and whose authority is confined to Federal installation and the routes between them.
(2) FPS officials will work with the FSO representing the prime tenant (agency with the greatest number of employees in a building or facility) to accommodate the security needs of the tenants.
(3) FPS has developed a formula to determine the extent of guard services required for a given building or facility based on a number of factors including building size and population, sensitivity of operations, and crime rate in the building and the surrounding area. The agency pays FPS for the determined amount of protective services as a percentage of the Rent for the facility. In other words, the agency pays FPS a certain cost per year, per square foot of usable space, for basic protective services. Additional protective services must be reimbursed by the requesting agency. See Chapter 3, Paragraph 5, for facility protection in GSA-owned or leased facilities.
E. Responsibilities by Facility Type.
(1) GSA Owned, Operated or Leased Facilities.
(a) In some facilities owned, operated, or leased by GSA, FPS officials may have decided to contract for guard services. In such cases, a Contracting Officer (CO) of the appropriate FPS regional office will procure and maintain guard services for each facility. The contract will normally be managed by a Contracting Officer’s Representative (COR), usually a FPS official with physical security expertise who maintains contact with the prime tenant’s security officials to determine their needs and execute the terms of the contract.
(b) In many larger facilities, a representative of the prime tenant agency, an Agency Technical Representative (ATR) may work directly with FPS’s CO and COR to develop the contract, write post orders, and monitor performance of the contract. FPS periodically offers guard contract management training for ATR’s.
(c) FPS officials are responsible for security and suitability processing, as well as training and certification. It is advantageous for the ATR to work closely with FPS officials to provide input as necessary and to monitor the required processing.
(2) USGS Facilities with FPS Delegations of Authority. In USGS facilities where FPS has delegated protection authority to the agency or prime tenant, some protection responsibilities are transferred to the agency, including procurement and management of guard contracts. Normally, FPS will retain responsibility for physical security surveys, mobile patrols, monitoring of alarms, response to incidents, and requests for criminal investigations. FPS will provide such services at no charge to the agency beyond the protection portions of the Rent. Under the delegation, the accepting agency is responsible for providing the following services formerly administered by FPS:
(a) Procurement and Management of Guard Services. This is the responsibility of the senior facility manager, in consultation with the FSO, who should work in concert with the appropriate contracting officials.
(b) Security Clearances. If the contract is to be classified, i.e., the guards will require security clearances, the clearance request procedures are spelled out in the Defense Industrial Security Program regulation, as implemented by SM 440.3.11.
(c) Crime Prevention Assessments. The senior facility manager may elect to request FPS or a local law enforcement agency to conduct these assessments.
(d) Maintenance and Response to Security Systems in Place. Local contractors are generally available to perform such maintenance and response, or FPS may be able to provide such services on a reimbursable basis in metropolitan areas.
(e) Reporting of all Serious Criminal Incidents to FPS. FPS requires that all such incidents be reported to the cognizant FPS Office (see Chapter 3, Paragraph 10, for incident reporting procedures).
(3) USGS Owned and Leased Facilities. In USGS owned and leased facilities to include leased space from other Federal agencies, many protection responsibilities are transferred to the agency. In addition to those items listed above in 9.2.E(2), the USGS will also be responsible for physical security surveys and monitoring of alarms. Normally, FPS will retain responsibility for mobile patrols, response to incidents, and requests for criminal investigations. Many security services may be provided by FPS on a reimbursable basis. Contact your regional FPS office as cited in Appendix D, FPS Regional Offices, for additional information.
F. Guard Services Contracting. After the decision has been made to contract for guard services and the nature and extent of required guard services has been determined, the COR develops a Statement of Work (SOW), which describes the contract effort required. The SOW will usually contain the following elements:
(1) Scope of Work. A general description of the contract, e.g., guard services, the premises, and the management and equipment required.
(2) Contract Effort Required. A detailed description of productive man-hours and supervisory man-hours.
(3) Services Required. Basic duties of guards, by post, and work scheduling procedures, i.e., nature of coverage and duration of shift and relief assignments.
(4) Supervision. Duties of project manager, on-site supervisor, and key contract personnel.
(5) Authority and Jurisdiction. Permits and licenses required, weapons permits, bonding, and liability.
(6) Use of Force Policy. Include a “use of force” policy in your Statement of Work. For a sample, contact the Security Management Office.
(7) Regulations and Procedures. FPS and agency procedures for protection, including the following:
(a) Officer Duty Book. A separate loose-leaf binder containing the complete duty instruction for all posts involved, to include instruction for emergency procedures.
(b) Rules and Regulations Government Public Buildings and Grounds (FPMR 101-20.3) These rules and regulations are posted in all buildings under the charge and control of the GSA and are applicable to all persons entering in or on such property.
(c) FPS Uniformed Force Operations Handbook (PBS P 5930.17). This handbook contains the basic procedures and forms to be used during the course of the contract.
(d) Contractor Guard Information Manual. This handbook contains the course of instruction, which the contractor must teach to contract guards.
(8) Equipment, Uniforms, and Materials.
(a) Items to be furnished by the Government, such as electrical and mechanical equipment, furniture, safes and weapons cabinets, telephones, computers, lockers, building utilities, and books and supplies.
(b) Items Furnished by the Contractor.
(9) Qualification of Personnel. To be eligible to perform under a guard services contract, each contract guard should satisfy the following education, experience, and medical requirements:
(a) Possess a high school diploma or equivalency and have two years of experience demonstrating:
(b) Contractor employees should be well proportioned in height and weight, and in good general health without physical or mental disabilities that would interfere with the performance of their duties. Physical fitness should be evidenced on a SF Form 78, Certificate of Medical Examination, by a medical examination administered by a licensed physician. The medical examination should indicate that guards have:
(10) Suitability Requirements. The contract should contain suitability standards and instructions regarding forms to be submitted and procedures for processing and providing suitability determinations (See Chapter 3, National Security Position Handbook (440-7-H)).
(a) For contracts where no security clearance is required, background checks conducted by the FPS should be used in accordance with the provisions contained in Paragraph 3, Chapter 3, National Security Position Handbook (440-7-H).
(b) If a security clearance is required, the suitability processing is covered in the Defense Industrial Security Program regulations as implemented in SM 440.3.11
(11) Special Requirements for Supervisors. Supervisors must be individuals of unquestionable integrity who have demonstrated exceptional qualities of maturity and judgment, with at least two years of field experience in supervision.
(12) Training. The contract should specify in detail training to be provided by the contractor to its employees, to include the following:
(a) General duties, such as conduct, appearance, use of radios and equipment, first aid, and emergency duties.
(b) Physical protection, such as crime prevention, patrol techniques, and responses to alarms.
(c) Enforcement, such as laws and regulations, search and arrest techniques, and preservation of evidence.
(d) Special problems, such as bomb threats and searches, hostage situations, or civil disturbances.
(e) Crimes, including criminal and civil law, burglary, robbery, arson, and responses to crimes in progress.
(f) Firearms, including safety, judgment shooting, and a detailed specification of qualification standards to be met. The contractor is responsible for obtaining all required training and certifications.
(g) Special training for supervisors in addition to basic training should include techniques for issuing written and verbal orders, uniform clothing and grooming standards, post inspection procedures, and employee motivation.
(h) Special requirements of the facility, such as operation of access control systems, special response procedures for sensitive areas, and the emergency evacuation plan.
(13) Reporting Work. The contract should specify in detail the procedures for recording and verifying the contractor’s hours of work and a schedule of penalties or deductions for failure to perform the required work.
(14) Removal from Duty. The contract should include the Government authority to request the immediate removal of any contract employee from the work site upon a determination that the individual has been disqualified for suitability or security reasons, or who is found to be unfit for performing security duties.
G. Guard Force Orders.
(1) Guard force orders are instruction to the guard force. They are to be developed by the COR. They should be reviewed by the project manager and/or site supervisor for concurrence or suggested revisions. The orders should be reviewed quarterly to be certain that they remain complete and correct.
(2) There are three types of guard force orders: general orders, post orders, and special orders.
(a) General orders specify policies, procedures, and other basic information that applies to all posts.
(b) Post orders list the particular duties at each individual post.>
(c) Special orders are short term or limited-scope instructions, which cover special subjects such as temporary posts, special event coverage, and unusual or non-recurring duties.
H. Guard Force Management. Successful operation of a guard contract requires constant and careful supervision to assure that all aspects of the contract continue to run smoothly. After initial negotiations to procure the contracted services, the COR should perform the following services on a continuing basis:
(1) Maintain liaison with FPS officials, e.g. contracting officers, and officials of the contract firm, including project managers and other on-site officials.
(2) Monitor the performance of supervisors to assure that post assignments are timely and efficiently made, that time sheets are kept accurately, that property is being accounted for, that post orders are up to date and properly distributed and read, and that all provisions of the contract are being met.
(3) Monitor the contractor’s compliance with contract requirements for training of employees including weapons training, special agency or facility systems and unique requirements, and for guards to carry the proper identification and certification of training.
(4) Monitor the performance of all guards on posts, including roving patrols, to assure coverage of all alarmed areas and other sensitive features of the facility, and to assure emergency response procedures are followed swiftly and accurately.
(5) Assess penalties for non-performance or shortcomings in the contract, such as discrepancies in claimed hours of service, services not performed or posts not manned, guards sleeping, eating, or misbehaving on posts, etc.