June 2016

Police use physical force to the extent
necessary to secure observance of the
law or to restore order only when the
exercise of persuasion, advice, and
warning is found to be insufficient.
Sir Robert Peel (1829)

1

Revised Use-of-Force Policy
As officers, we understand that it’s better to gain
voluntary compliance, such as talking someone into
handcuffs, than to use force. There are times, however,
when force is necessary and unavoidable. The
following information, based on newly created Patrol
Guide Series 221 - Tactical Operations, is designed to
consolidate and clarify policies on use-of-force. The
policies apply only to the newly defined levels of force.
Police actions such as grabbing a subject, putting a
subject against a wall, or handcuffing do NOT rise to a
Level 1 use of force, absent injury and, therefore, will
continue to be documented as they have been.
The new policies reinforce the principles that underpin
police actions: the use of objectively reasonable
standards; the value of de-escalation; and the sanctity
of life. Prior use-of-force guidelines and reporting
standards were inconsistent and scattered throughout
the Patrol Guide. Definitions about what constitutes
force were often broad, unclear, or absent. By defining
levels of force, Patrol Guide Series 221 amends NYPD
procedures. There has been no change, however, in
when police officers can or cannot use force.1
The introduction of the Threat, Resistance or Injury
(T.R.I.) Incident Worksheet, designed to collect a wide
range of pertinent data, will, for the first time,
accurately capture how often and in what
1

The only exceptions include the explicit prohibition of force
to prevent a subject from swallowing a controlled /illegal
substance, the forcible removal of said substance from a
subject’s mouth or other body cavity, and the discharge of a
CEW on a subject that is rear-cuffed.
NYPD Use of Force Update – June 2016

2
circumstances officers use force and how often and in
what circumstances it is used against them.

NYPD Use of Force Update – June 2016

3

PG Series 221 – New Definitions (PG 221.01-03)
1. Physical injury: Impairment of physical condition
and/or substantial pain. The following examples
constitute a physical injury:
a. Minor swelling, contusions, and/or abrasions
b. Complaint of substantial pain
2. Substantial Physical Injury or Illness: Any
substantial impairment of physical condition or
substantial protracted pain. This includes:
a. Significant contusion(s)
b. Laceration(s) requiring sutures
c. Any injury or condition, that resulted from
police contact or action, requiring treatment at
a hospital emergency room.2
3. Serious Physical Injury or Illness: Physical injury or
illness which creates a substantial risk of death, or
which causes death or serious and protracted
disfigurement, protracted impairment of health, or
protracted loss or impairment of the function of
any bodily organ or limb.
a. Broken/fractured bone(s)
b. Injury requiring hospital admission
c. Gunshot wound
d. Heart attack, stroke, or other life-threatening,
serious illness or injury
4. De-Escalation: verbal techniques to avoid the use
of force and gain voluntary compliance
5. Excessive Force: use of force deemed by the
investigating supervisor as greater than that which
a reasonable officer, in the same situation, would
2

This does not include the routine deployment of O.C. spray
or a CEW in cartridge mode – and the obligatory medical
attention that is associated with their intended use
NYPD Use of Force Update – June 2016

4

6.

7.

8.

9.
10.

use under the circumstances that existed and were
known to the MOS at the time force was used
Objectively Reasonable Standards: the legal
standard of the reasonableness of force, which is
based on the totality of the circumstances
Passive Resistance: minimal physical action to
prevent arrest (e.g., subject going limp when being
taken into custody)
Active Resisting: physically evasive movements to
defeat a member of the service’s attempt to
control a subject (e.g., bracing, tensing, pushing,
verbally signaling an intention to avoid or prevent
being taken into or retained in custody, etc.)
Active Aggression: threat or overt act of assault
and the ability to carry it out
Chokehold: includes, but not limited to, any
pressure to the throat or windpipe, which may
prevent or hinder breathing or reduce intake of air

New Levels of Force (PG 221-03)
1. Level 1: Physical Force/Less Lethal Device
a. Hand strikes
b. Foot strikes
c. Forcible take-downs
d. Wrestling subject to the ground
e. Use of OC spray (PG 221-07)
f. Use of a Conducted Electrical Weapon
(CEW)3 in cartridge mode (PG 221-08)
g. Use of a mesh restraining blanket
3

To align with national standards, the Department has
transitioned from the term Conducted Energy Device (CED)
to Conducted Electrical Weapon (CEW)
NYPD Use of Force Update – June 2016

5

2. Level 2: Use of Impact Weapon/Canine/Less
Lethal Device
a. Use of a Conducted Energy Weapon in
drive stun mode 4 (PG 221-08)
b. Impact weapon
c. Police canine bite
3. Level 3: Deadly physical force
a. Firearms discharge (PG 221-04)
b. Physical force readily capable of causing
death or serious physical injury

PG 221-03 – Force Investigations
Immediate Supervisor5 will conduct an inquiry into:
a. Level 1 force
b. Police action resulting in physical injury to any
person
c. Allegations of excessive Level 1 force with no injury
d. Use of a CEW in cartridge mode6
Duty Captain & Patrol Borough Inv. Unit investigates:
a. Level 2 force
b. Any substantial physical injury to any person, which
resulted from police activity
c. Allegations of excessive force with a physical injury
or substantial physical injury
d. Suspected excessive force with a physical injury or
substantial physical injury
e. Attempted suicide by prisoner
4

The Less Lethal/Rescue Equipment Report will no longer be
utilized to document CEW discharges
5
A supervisor at least one rank above member using force
6
Reporting supervisor must be in the rank of Lieutenant, or
above (Sergeants assigned to ESU may report CEW incidents)
NYPD Use of Force Update – June 2016

6
f. Use of a CEW in drive stun mode
Internal Affairs investigates:
a. Level 3 force (except firearm discharge)
b. Allegations or suspected excessive force resulting in
serious physical injury (SPI)
c. Any SPI injury to any person, resulting from police
activity (except if a subject dies or is likely to die)
d. Attempted suicide by prisoner resulting in serious
physical injury
Force Investigation Division investigates:
a. All firearm discharges by UMOS
b. All incidents in which a subject of police action is
seriously injured and likely to die or dies while in
police custody, during apprehension, or
immediately prior to police custody
Supervisory
Responsibility
Immediate
Supervisor
(CEW = Lt or above)

CO, XO, Duty
Captain,
Borough
Investigations

Level
OR
of
Force
Level 1
only

Level 2

Method of
Reporting

Type of Injury
Physical injury only;
alleged excessive (no
injury); CEW in cartridge
mode
Substantial physical injury;
alleged or suspected
excessive (physical
injury/substantial physical
injury), attempted suicide
by prisoner; CEW in drive
stun mode

Internal Affairs
Bureau

Level 3

Serious physical injury;
alleged or suspected
excessive (serious physical
injury); att. suicide by
prisoner (serious physical
injury)

Force
Investigation
Division

Firearm
Discharge

Person dies or seriously
injured and likely to die

T.R.I. Incident
Worksheet
T.R.I. Incident
Worksheet &
T.R.I. Incident –
Investigating
Supervisor’s
Assessment
Report
T.R.I. Incident
Worksheet &
T.R.I. Incident –
Investigating
Supervisor’s
Assessment
Report
T.R.I. Incident
Worksheet &
Typed
Letterhead

NYPD Use of Force Update – June 2016

7

1. UMOS notifies immediate supervisor regarding the
type of force used, the reason force was used, and
injuries to any person(s) involved
2. For each officer who used force, discharged a less lethal
device or firearm, or had force used against them,
UMOS completes applicable portions of a Threat,
Resistance or Injury (T.R.I.) Incident Worksheet7 and
forwards it to the immediate supervisor
3. UMOS also documents any use of force in Activity
Log, Arrest Report, Aided Report, Stop Report,
Medical Treatment of Prisoner Form, as necessary
4. Immediate supervisor completes applicable
captions and documents findings on the T.R.I.
Incident Worksheet and recommends appropriate
follow-up, as necessary. Signs T.R.I. Incident
Worksheet and forwards to Desk Officer
5. Immediate supervisor notifies the Desk Officer,
precinct/police service area/transit district of
occurrence of the level of force and/or type of injury or
illness
6. Desk officer records details of incident in Command
Log, (including T.R.I. incident number) and ensures that

7

Only one TRI Incident number will be used for each incident
regardless of the number of officers who used force or had
force used against them
NYPD Use of Force Update – June 2016

8
the T.R.I. Incident Worksheet is entered into the
FORMS – T.R.I. application by the Command Clerk.
7. Desk officer must notify the Patrol Borough command,
Operations Unit, and IAB (obtain log number) if a level
2 or 3 investigation is required.
8. Desk officer will ensure a criminal history check is
completed for every subject arrested for Resisting
Arrest and/or Assault on a Police Officer. If the subject
has been arrested for either offence two or more
times in the previous five years, they will be deemed a
Resisting Recidivist. All arrests involving a Resisting
Recidivist will be enhanced by the Precinct Detective
Unit.

Threat, Resistance or Injury (T.R.I.) Incident
Worksheet
The Threat, Resistance or Injury (T.R.I.) Incident
Worksheet is required to be completed whenever:
a. A subject or any non-member sustains a physical
injury or dies as a result of a police action or while
in custody;
b. A member of the service sustains a physical injury
or dies as a result of apprehending or attempting
to apprehend a subject or control an individual or
individuals;
c. A prisoner attempts or commits suicide;
d. Any level of force, as described in PG 221-03
“Reporting and Investigation of Force Incident or
Injury to Persons During Police Action” is used by a
member of the service, whether or not an injury is
sustained

NYPD Use of Force Update – June 2016

9
e. Any level of force, as described in PG 221-03
“Reporting and Investigation of Force Incident or
Injury to Persons During Police Action” is alleged or
suspected, whether or not an injury is sustained
f. Force, as described in P.G. 221-06, “Member of the
Service Subjected to Force While Performing
Lawful Duty,” is used against a member of the
service, whether or not an injury is sustained;
and/or
g. A member of the service discharges OC pepper
spray, a Conducted Electrical Weapon, or firearm,
regardless of whether an injury was caused. (e.g.,
accidental discharges, discharges against animals,
etc.).
The T.R.I. Incident Worksheet is the primary method
used by the Department to gather intelligence
information regarding incidents which are life
threatening.
T.R.I. Incident Worksheet Sections to be Completed
Part A = MOS using force*
Part B = Immediate Supervisor of MOS using force
*In instances when a member claims that no force was
used, the immediate supervisor will be responsible for
completing Part A of the T.R.I. Incident Worksheet
normally completed by the reporting MOS.
Supervisors on scene are required to make a prompt
assessment of the circumstances and to categorize the
force level for the purposes of appropriate reporting
and/or investigation. The IAB Command Center may be
contacted for assistance. The initial determination may
change as additional information becomes known.
NYPD Use of Force Update – June 2016

10

Use of Force Considerations
1. All MOS are responsible & accountable for the
proper use of force
2. The application of force by an MOS must be
consistent with existing law and NYPD policies,
even when NYPD policy is more restrictive
than state or federal law
3. Federal and state laws provide for criminal
sanctions & civil liability against MOS when
force is deemed excessive, wrongful, or
improperly applied
4. Reasonable Force may be used to:
a. Protect self or a third person
b. Arrest/Custody
c. Prevent escape
5. Deadly Physical Force (DPF)
a. Only to protect from imminent SPI or death
6. Verbal de-escalation
a. When time & circumstances permit
o Cover & distance provide time
b. Safety is paramount
c. Goal is voluntary compliance
7. Non-Compliance (contributing factors)
a. Medical condition
b. Mental impairment
c. Developmental disability
d. Physical limitation
e. Language barrier, and/or
f. Drug interaction
8. Factors for Force Reasonableness
a. Subject
NYPD Use of Force Update – June 2016

11

1. Actions (passive vs active resisting,
threatening posture)
2. Weapon(s)
3. Number of subjects
4. Size (large v. small)
5. Age (adult, youth, elderly)
6. Condition (disability, impairment)
7. History (if known)
b. Nature/severity of crime or situation
c. Objective level of threat to:
1. MOS
2. Public
3. Subject
d. Environmental Factors
1. Hostile Crowd
2. Low Visibility and/or Lighting
3. Dangerous Conditions
i. Stairway
ii. Roadway
iii. Waterway
iv. Bridge
v. Confined space

NYPD Use of Force Update – June 2016

12

MOS often have a choice to either
Escalate or De-escalate the situation
Emotional v. Rational
When an individual is emotional or under the
influence, their ability to be rational is diminished.
By lowering their emotional state through deescalation, you may be able to appeal to their
rational mind, which may enhance the probability
that the subject will voluntarily comply.
Signs of Emotional Distress or Agitation
1. Voice & Language
a. Raised, High-pitched, Rapid
b. Angry, Abusive, Vulgar
2. Movement & Posture
a. Erratic, Pacing, Fidgeting, Shaking
b. Fighting Stance, Aggressive Posture,
Balled fists
c. Excessive hand gestures
3. Excessive sweating

NYPD Use of Force Update – June 2016

13

Distance and/or Cover provide Time for
De-Escalation Techniques
1. Isolate and contain (maintain zone of safety)
2. Introduce Self
“I am [name] and I’m here to help”
3. Active Listening (80% listen/20% talk)
Listening may decrease subject’s emotional
state & enhance subject’s rational state
Identify what the subject wants so you can
determine solutions that incorporate the
concerns of the subject
Use open ended questions
4. Paraphrasing
“You seem to be saying [insert]”
5. Emotional Labeling
“You seem [insert appropriate emotion]”
6. Minimal Encouragers
brief phrases to show you are listening and
allow the other person to continue talking
“I see”; “OK”; “Yes”; Head nod
7. Establish Rapport & Trust
8. Express Empathy – not Sympathy
9. Honesty – False statements undermine rapport

For more information on De-Escalation Techniques
reference Crisis Intervention Team (CIT) training
NYPD Use of Force Update – June 2016

14

Force/Restraint Prohibitions
As per PG 221.01, MOS will NOT:
1. Employ a chokehold
2. Use force:
a. to punish, retaliate or coerce
b. on handcuffed subjects, unless to prevent:
i. injury
ii. escape or overcome resistance or
assault8
c. to prevent from swallowing contraband
d. to remove contraband from subject mouth
3. Connect or tie rear-cuffed hands to cuffed or
restrained ankles or legs
4. Transport subject facedown
5. Discharge firearm:
a. When unnecessarily endangers public
b. In defense of property
c. To subdue a fleeing suspect, unless suspect
presents threat of serious physical injury or
death to MOS or other person present
d. Warning shots
e. To summons assistance, unless emergency
situation and no other reasonable means
available
f. At or from a moving vehicle, unless deadly
physical force is being used against MOS or
another person present, by means other
than the moving vehicle

8

There is an absolute prohibition on the use of a CEW on a
subject that is rear-cuffed
NYPD Use of Force Update – June 2016

15
g. At dog or other animal, except to protect
MOS from imminent physical injury and no
opportunity to retreat or other reasonable
means to eliminate threat
h. Cock a firearm (double action only)

All MOS will:
1. Protect human life
a. Self & other MOS
b. Members of the public
c. Persons in custody
2. A T.R.I. Incident Worksheet must be completed if
a MOS uses or is alleged to have used Level 1
force or higher OR if force is used against a MOS
a. If a MOS is unable to do so, the immediate
supervisor will complete the T.R.I. Incident
Worksheet
3. Immediate supervisor will make a prompt
assessment of the circumstances and categorize the
force level for the purposes of appropriate reporting
and/or investigation
4. Use de-escalation techniques, when possible
a. De-escalation techniques may diminish the
need to use force
b. Cover and distance increase the time
necessary to use de-escalation techniques
c. Avoiding use of force via de-escalation
increases safety for MOS & public – you can’t
lose the fight that you don’t have
5. Request medical assistance for any person
involved in any incident in which any level of
force was used when requested or required
6. Notify IAB when you observe another MOS:
NYPD Use of Force Update – June 2016

16

a. use excessive force
b. fail to obtain medical assistance when
requested or required

NYPD Use of Force Update – June 2016