415

THE CITY OF NEW YORK
DEPARTMENT OF CORRECTION

DIRECTIVE
PC]

•

[ ] INTERIM

NEW

EffECTiVe DATE

11 / 17 /86
CLASSIFICATION

# 5003

[ ] REVISED
-TERMINAtiON OATE

I

/

SUBJECT

lOn'lORING USFS OF RKE

/
DATED

SUPERSEDES

RECOMMENDED FOR APPR VAL BY REVIEW BOARD MEMBER

SI6

I.

II.

PURPOSE
A.

To assist Facility Commanders in monitoring uses of
force, and allegations of uses of force, by
uniformed members of the Department.

B.

To provide system-wide guidelines and procedures to
monitor the total number of uses ~f force, and
allegations of uses of force, by individual uniformed Department personnel.

c.

To assist Facility Commanders in pursuing appropriate remedial action, if necessary. once a
uniformed member of the Department has been identified as using force on a prescribed number of
occasions. It should be recognized that all forms
of corrective action (see Fart IV. C., below) are
remedial in nature, not disciplinary.

D.

To ensure that an agency-wide training program on
the use of force is regularly prOVided.

POLICY
A.

It has always been ~~ policy of the Department of
Correction that while on occasion the use of force
by uniformed members 1s necessary and unavoidable.
it is to be used only as B last resort to control
and terminate any violent and/or unlawful conduct.

B.

The use of force by B uniformed member of the
Department should be reported without undue delay to
a Supervisory Officer. and written reports regarding
such uses of force should be handed in to Commanding
Officers (See Directive 15002- Use of Force.)

"TURE

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416
~FFECTIVE

DATE

11 / 17 /86

SUBJECT
~

USES OF roRCE

CLASSIFICATION

#

5003

DISTRIBUTION

A

II.

PAGE

2

OF

9 'AGES

(continued)
C.

Facility Commanders should be aware of the extent of
th~ use of force at their lacilities, and should be
aware of individuals under their command who, for
whatever reason, hsve found it necessary to use
force, or have been accused of using force, in
disproportion to other uniformed personnel at their
facility.

D.

Where a Facility Commander is cognizant that a uniformed member of the Department has used force or
has been accused of using force on three or more
occasions, the Facility Commander should investigate
and determine whether such occurrences were the
result of an individual's method of handling
confrontational situations or dealing with a
particular assignment. Should.the Facility Commander
determine that either of the latter is the cause of
an excessive number of uses of force, the Facility
Commander should take appropriate remedial action as
outlined in Part IV. C•• below.

E.

Nothing in this Directive shall be construed to
limit a Facility Commander from taking appropriate
disciplinary action in accordance with current
Department policy.

F.

The training of uniformed membera of the Department
in the use of force should be an on-going process
throughout an individual's tenure with the
Department. Supplemental training in conflict
resolution is especially appropriate for personnel
assigned to special housing areas and response
teams. or any other area of a facility where there
is a heightened risk of confrontation.

.0116

EFFECTIVE DATE

11/ 17 /86
CLASSIFICATION

SUBJECT

MONITORING USES OF FORCE

# 5003
DISTRIBUTION

PAG£

3

OF

9 PASES

A

III. GTJTDRLtNES

IV.

A.

In order to effectively monitor uses of force, the
Facility Commander of each institution will maintain, in either his or her office or the office of
the Deputy Warden for Security, a computerized file
as described in Part IV. A., below, and generate
quarterly summaries of all file entries as described
in Part IV. B•. , below.

B.

An entry will be made in the computer file for each
member of the Department whose name appears as being
involved in a use of force as reported on Form 1426A
(Use'of Force- Part A).

C.

Where 8 Use of Force Report has not been filled out
and there is an allegation, from whatever source,
that a member of the Department has used force (or
1f there is an allegation that there has been a use
of force in excess of that reported), such allegations shall also be entered in the computer file.
For the purposes of the reporting pro~edures
outlined in Part IV., below, the Ucode" to be
entered in the file when the use of force is based
on an allegation is "A".

PROCEDURES
A.

Computer File
1.

In accordance with a computer program distributed to each Facility Commander contemporaneously with the issuance of this
Directive, 8 computer file in either the

.~-

:

0416

EFFECTIVE DATE

11 / 17 /86
CLASSIFICATION

.

SUBJECT

MONITO~ING

USES OF FOkCE
--I

# 5003
DISTRIBUTION

PAGE 4

9

A

IV.

OF
PAGES

(continued)
Facility Commander's Office or the Office of the
Deputy Warden for Security will be maintained
with entries for each uniformed member of the
Department assigned to the facility who,
beginning with the effective date of this
Directive, has been involved in a use of force.
All information contained in this file shall be
kept confidential.
2.

If an .individual is transferred out of the
facility. a printout of his file, if any, will
be sent to the Fac~lity Commander of the
facility to which the individual is transferred
and should be input in that facility's computer
file, and 8 copy of such printout will be kept
in a "closed" file at -the original institution.
The data for a transferred individual should
then be deleted from the transferring facility's
computer.

3.

Each file will contain
mation:

t~e

following infor-

a.

Department memberts name (last name first);

b.

Rank;

c.

Shield number;

d.

Appointment date; and

e.

Date assigned to current facility.

.'

41b

EFFECTIVE DATE

SUBJECT

11 / 17 /86
CLASSIFICATION

# 5003
DISTRIBUTION

PAGE

9 PAGes

A

IV.

OF

(continued)
This information needs only to be input once, at
the time the Department member 1 s file is
established, but should be updated whenever
necessary.

4.

5.

For each reported use of force, the following
information is to be entered:
a.

Date of incident;

b.

Description of type of incident requiring
force (~., inmates fighting, assault on
staff r refusal to lock-in, etc.);

c.

CCC number (if any): and

d.

Facility File number or Log number
(whichever will best indicate where the
paperwork concerning the incident can be
located).

For each allegation of use of force, the
following information is to be entered:
a.

Date of alleged use of force (if no date
given, then enter the date complaint made);

b.

Code;

c.

Nature of allegation (e.g., allegedly
assaulted inmate X. allegedly pushed inmate
X. etc.); and

d.

Facility File Dumber or Log number

:::
411.

EFfECTIVf DATE

11 /17 /86

SU8J£Cl

MONITORING USES OF FORCE

CLASSJFlCATION

# 5003

DISTRI BUTION

6

Of

9 PAGES

A

IV.

PAGE

(continued)
(whichever best indicates where paperwork
concerning complairit can be found).
B.

Quarterly Summaries
1.

On a quarterly basis (January-March, April-June,
July-September, October- December) and within
two weeks after the end of each quarter, a
summary sheet (consisting of the four most
recent quarters) shall be generated, on 14-inch
continuous feed paper, by a designee of the
Facility Commander based on the information
compiled in the computer file maintained in
accordance with Part A, above.

2.

The summary sheet will consist of an alphabetical listin~ of each uniformed member of the
Department (and rank and shield number) assigned
to the facility who has been involved in one or
more uses or alleged uses of force since the effective date of this Directive, regardless of
whether such use of force occurred during the
preceding four quarters.

3.

For each use of force or allegation of use of
force during a quarter, an entry will appear in
the appropriate column of the chart next to the
Department member's name. The following information will be included on the summary sheet~
a.

Date of incident; and

b.

Code (if any).

~Ib

IrE?'r~ jT

S6

SUBJECT

CLASSIFI CATION

4#

5003

DISTRIBUTION

PAGE

7

OF

9 PNiES
A

IV.

(continued)

c.

4.

In a column next to each individual's shield
number labeled "history," the computer will
. automatically generate an "X" if that individual
has amassed three or more uses of force or
alleged uses of force since the effective date
of this Directive.

5.

A copy of the completed quarterly report shall
be submitted forthwith to the Facility Commander
who sball then forward copies to the Chief of
Operations, the appropriate Supervising Warden
and the Inspector General for review.

Appropriate Remedial Action
1.

When a file maintained for 8 uniformed member of
the Department contains three uses of force, the
Facility Commander should review the
investigative reports of the pertinent incidents
and interview the individual involved to
ascertain whether the force used WBS necessary
to control the environment or whether a pattern
of inappropriate behavior has emerged.

2.

In determining whether corrective action needs
to be taken, the FaCility Commander should take
into special consideration the following
factors:
a.

whether the Department member involved was
assigned to B PROBE Team when the force was·
used;

410

EFFECTIVE DATE

11/ 17 /86
CLASSifiCATION

SUBJECT

M:m'lORlNG

usm

OF roRCE

#5003
DISTRIBUTION

PAGE

8

OF

9 PAGES

A

b. whether the Department member involved was
assigned to a special housing area or other
area of heightened risk of confrontation
when force was used; and
c. the nature of the behavior to which the individual responded and the magnitude of the
response.
3.

Appropriate remedial action shall include,
but not be limited to:
a.

supplemental trainingi or

b.

reassignment within the command; or

c.

transfer; or

d~

a combina~ion of (a) and (b) or (a) and (c)

4.

After each use of force by a Department member
who bas already accumulated three uses of force,
the Facility Commander should review the reports
of the incident when force was used and
determine whether another interview or other
remedial action is appropriate.

5.

By the fifth day of each month,

the Facility
Commander will submit to the Chief of Operations
and appropriate Supervising Warden, a list of
those individuals who during the preceding ~0!1th
have been interviewed as a result of having
accumulated three (or more) uses of force.
Such
list will indicate what action has been taken by
the Facility Commander pursuant to subsections

·.-

SUBJECT

:;

~USESOF~E

PAGE 9

OF

9

IV.

PASES

(continued)
1-4
above. (E.g_, "Otficer sent to Academy
·for special. training. tt)
6.

D.

Nothing in this Directive shall be construed to
limit a Facility Commander from taking
'appropriate disciplinary action when indicated.

Trainins
1.

Facility Commanders will be responsible for
ensuring that all uniformed members of the
Department assigned to their facility will
receive in-service training in the use of
force.

2.

All uniformed personnel permanently assigned to .
either a special housing area or PROBE Team
will receive supplemental training at the
Academy in conflict resolution t mediation and
inter-personal relations.

3.

By the fifth dai of each month; the Facility
Commander will submit to the Chief of
Operations and the appropriate Supervising
Warden'a list of personnel who pursuant to
subsection (2) above received supplemental
training at tb~ Academy.

~

1. -Di:YeCtive #5002- USE OF FOR:E
2.

Meumalldum, dated Novenber Ij,1986- DIR&:l'IVE #5003
OF FOla"): APP.LICABlLITY OF REft)RI.'l!'G PRXEXJR!S

"

.

(IIKJn'lORIN3 USES

.~~.;

THE CITY OF NEW YORK
DEPARTMENT OF CORRECTION
100 CENTRE STREET
NEW YORK. N.Y. 10013-4393

THOMAS

RICHARD J. KOEHLER
COMMISSIONER

K B H 0 R A B D U K

DATE:

November 17., 1986

TO:

Reads of Facilities aud Divisions

PROII:

Thomas W. Murray. Chief of Operations

w.

SUB,J'ECT: DIRECTIVE 5003 ("MONITORING USES OF FORCE"):
APPLICA»ILITY OF REPORTING PROCEDURES
-------------~----------------------------------------

------

1)
Por purposes of recording and reporting data
pursuant to Directive 5003 ("Monitoriu~ Uses of Force"). all
uses of force and allegations of uses of force in the court
divisions will be input in the computer at. and by. the
respective borough facility.
(b&,. A use of force at the
»rooklyn Court Pena will be entered in the Brooklyn R.D.H.
computer and reported in the »rooklyn R.D.M. quarterly
report.) Wardens at the borough houses will also be responsible for interviewing all personuel assigned to the court
pens who have accumulated three or more USBe of force, and
for taking appropriate remedial action. if necessary.
Executive officers of the court divisions shall be responsible
for insuring that copies of 811 use· of force reports and any
allegations of uses of force for incidents occurring at the
court pens are expeditiously forwarded to the Deputy Wa~deu
for Security at the appropriate borough facility.

2)
Directive 5003 applies to all facilities
(inclUding the hospital prison wards) as well as to the
Transportation Division and Rikers Island Security Division.

Thomas W. Mur y
Chief of Ope atious
TWM:jr

MURRAY

CHief OF OPERATIONS

I REVISION'::'NoitiCE

!
415

L. _ _ ..•.• _ ..

_

.' _

•

_~..

..•

.

_

.

_.

. _

THE CITY OF NEW YORK
OEPARTMENT OF CORRECTION

DIRECTIVE :"
•

fC]

[ ] INTERIM

[ ] NEW

*TERMINATION DATE

EFFECTIVE DATE

5 /22 / 89
CLASSIFICATION

# 5003

REVISED

f SUPERSEDES

/

SUBJECT

M:NrroRING USES OF FOla

/
DATED

RECOMMENDED FOR APPROVAL BY REVIEW BOAAD MEMBER

1.

This Revision Notice amends section IV, paragraph C,
"Appropriate Remedial. Action", of Directive #5003 MONITORING USES OF FORCE, dated 11/17/86.

2.

xt is not the intent of this order to impose these
provisions on minor uses of force incidents. These
provisions are being implemented primaril.y to address
those situations where the circumstances are sufficiently
serious to effect such action.

3.

New sub-division "e " is added to sub-paragraph 3, page 8.
e.

)

In instances where a member has used force which
could be construed as unnecessary force, excessiv~
force, or force of a serious nature as to warrant
immediate suspension, or where there is a presumption
that suspension will be imminent (within twenty-four
(24) hours), or where a Memorandum of Complaint is
being prepared incidental to the above, the member
concerned shall not be assigned to a probe or
response team.
i.

after the matter has been resolved, the member
may be reassigned as a probe or response team
member.

ii.

If supplementary training is part of the
remedial action taken, the member shall not be
reassigned until completiQn of the training or
other sanction imposed.

EFFECTIVE DATE

SUBJECT

5 / 22 /89

I-C:::iLA;-:-::::SS~IF~IC::;":A~T~IO:'tN~1 MErroRlNG USFS OF FORCE

# 5003

DISTRIBUTION', ~)

··<A.'··:

PAGE

2!

OF'·

2

PAGES

iii.

Commanding officers shall ensure that proper· records
are maintained and that appropriate supervisory staff
are apprised of which member is under this
restriction.

iv.

Within twenty-four (24) hours of permitting a member
to be reassigned to a probe or response team,
telephonic notification shall be made to the
Investigation and Discipline Division. If lAD
determines to deny such reassignment, IAD shall
notify the commandi~g officer .

.

The aforement1,.oned provisions are not intended to
prec1ude the submission of written reports as
required by Departmenta1 regulat.ions. Neither is it
intended to rescind any provision contained in
Directive '5003 or Direct.ive 'S002R.

AR/msj

I

F~b~:.
Td :

CHI EF' 5 ORDERS

HSG#: 98-90018347
SENT: 11/17/98 06:98 PH

PRIORITY: 2

SUBJ: se82-9
---------------------------.-----~------------.-------------------------------~-

T.

~TYPE

ORDER NO. 5062- e
NOVEMBER 17, 1998

TO

COKKANDING OFFICERS, FACILITIES AND DIVISIONS

FROM

SHEILA M. VAUGHAN, CHIEF OF ADMINISTRATION

SUBJECT

COMPLIANCE WITH DIRECTIVE .se83 AND OPERATIONS ORDER .12/98

1.
IT HAS COKE TO THE ATTENTION OF THIS OFFICE THAT CERTAIN FACILITIES
ARE NOT IN FULL COMPLIANCE WITH THE PROVISIONS or DIRECTIVE #se03, ENTITLED
"MONITORING T"BE USE OF FORCE", DATED 11/11/86 (AS AMENDED) AND OPERATIONS
ORDER _12/98, ENTITLED "STAFF ASSIGNMENTS TO O.B.C.C." DATED 8/7/98.
THIS PRACTICE SHALL CEASE IMMEDIATELY.

2. THE FOLLOWING INFORMATION IS PROVIDED FOR YOUR INFORKATION,
GUIDANCE AND STRICT COKPLIANCE:
A)

WHENEVER A MEMBER OF SERVICE IS IN INVOLVED IN A USE OF
FORCE INCIDENT, OR AN ALLEGATION OF USE OF FORCE HAS BEEN
LODGED AGAINST A KEHBER OF SERVICE, THAT INFORMATION SHALL BE
ENTERED INTO THE FACILITY COMPUTERIZED FILE FOR TRACKING USE
OF FORCE INCIDENTS.

B)

WHENEVER A KEMBER OF SERVICE IS TRANSFERRED (INCLUDING FOR
PURPOSES OF PROMOTION) A PRINT OUT OF THE HEMBER'S USE OF
FORCE FILE, IF ANY, SHALL BE SENT TO THE COKKANDINC OFFICER
OF THE MEMBER'S NEW ASSIGNMENT. THE DIRECTIVE #see3 PRINT
OUT SHALL BE INCLUDED IN THE PERSONNEL FILE OF THE TRANSFERRED
KEMBER. THE INFORKATION SHALL BE INPUT IN THE NEW·FACILITY'S
COMPUTER FILE.
A COpy OF THE PRINTOUT SHALL BE MAINTAINED
IN A "CLOSED" FILE AT THE ORIGINAL FACILITY AND THE KEMBER
DELETED FROM THAT COMPUTER.
-

C)

TO ENSURE A REVIEW OF THE USE OF FORCE COMPUTER IS COMPLETED,
WHENEVER A KEMBER IS TRANSFERRED AND THERE IS NO USE OF FORCE
PRINT OUT, A NEGATIVE REPORT·VERIFYING THE COHPUTER WAS CHECKED
SHALL BE FORWARDED TO THE COMMANDING OFFICER OF THE MEMBER'S
NEW ASSIGNMENT.

D)

THE PERSONNEL FILE FOR A TRANSFERRED MEMBER SHALL NOT BE ACCEPTED
BY THE NEW ASSIGHKENT WITHOUT A DIRECTIVE _see3 PRINT OUT OR
NEGATIVE REPORT.
IF THE IHFORMATION IS NOT INCLUDED THE ENTIRE
PERSONNEL FILE, INCLUDING THE TIME CARDS, SHALL BE RETURNED TO
THE ORIGINAL FACILITY.

E)

WHENEVER A HEKBER OF SE~VICE IS REFERRED FOR TRAINING AS A
RESULT OF DI~ECTtVE #s~e3, A COPY OF SUCH REFERRAL SHALL BE
FILED IN THE MEHBE~'S PERSONNEL FILE.
"

F)

EFFECTIVE IMMEDIATELY, WHENEVER AN EHPLOYEES PERFORMANCE
SERVICE REPORT (22~) IS COMPLETED ON A KEMBER OF SERVICE FOR
ANY REASON, THE PERSONNEL FILE "SHALL BE REVIEWED FOR ANY
INDICATION THAT THE KEMBER WAS REFERRED FOR TRAINING AS A RESULT
OF DIRECTIVE #5003. ALL INSTANCES OF REFERRAL FOR TRAINING AS
A RESULT OF DIRECTIVE .see3 SHALL BE RECORDED.IN THE "REMARKS"

I

..

SECTION OF THE 22R.

G)

WHENEVER THE COKPUTERIZED USE OF FORCE FILE 15 INOPERABLE~ A
MANUAL BACKUP LOGBOOK SHALL BE MAINTAINED. THE INFORMATION
SHALL BE ENTERED INTO THE COMPUTER AS SOON AS IT IS OPERABLE. IN
THE EVENT THE INFORMATION CONTAINED IN THE COMPUTER CANNOT BE
PRINTED WHEN A MEMBER IS TRANSFERRED, THE INFORMATION ON THE
SCREEN SHALL BE MANUALLY TRANSCRIBED AND PLACED IN THE
MEMBBR'S PERSONNEL FILE AND A COPY IN THE "CLOSED" FILE.

3. MEMBERS OF SERVICE ARE REMINDED THAT FAILURE TO COMPLY WITH THE
PROVISIONS OF DIRECTIVE _sea3 AND/OR O,ERATIONS ORDER .12/98 IS A VIOLATION
OF DEPARTMENT PQOCEDURES AND KAY RESULT IN DISCIPLINARY CHARGES.

4. COMMHANDING OFFICERS OF FACILITIES ARE TO PROMULGATE COMMAND LEVEL
ORDERS BASED ON THE PROVISIONS OF THIS TELETYPE ORDER. A COpy OF THE COHMAND
LEVEL ORDER IS TO BE FORWARDED TO THE OFFICE OF THE CONCERNED BUREAU/ASSISTANT
CHIEF.

AUTHORITY:
OFFICE OF THE CHIEF OF DEPARTMENT
H~/RG