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Police Student's Guide, NYPD, 2005

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POLICE STUDENT’S GUIDE
Introduction to the NYPD
CONGRATULATIONS!
You have come far in your quest to become one of New York’s Finest, and
you certainly have earned our congratulations and best wishes for your success.
WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW THE MATERIAL IN THIS CHAPTER?
There is an easy answer to this. In this chapter, we try to share with you
some of the most important things you will have to know and do in order to
succeed in the Police Academy and beyond.
This should be a time of great pride. The NYPD is the largest police
agency in the United States, and the most celebrated and highly honored in the
world. Everywhere, in the United States and abroad, people recognize our shield
as the mark of the most competent and distinguished police officers. Although
you are not there yet, you are well on your way to earning our shield. The next
few months will determine whether you succeed in doing so, and your
performance in the probationary period that follows will determine whether you
keep it. Work hard to do so.
This should also be a time of great humility. More than 70,000 NYPD
officers have been trained since the current Police Academy opened its doors in
1965. They have gone on to serve with great distinction, bravery, and brilliance.
In doing so, they have joined the long blue parade of NYPD officers who have
made every sacrifice to protect and serve this City and its people. Enjoy your
studies and work at the Academy, and enjoy your career – but keep in mind that
this is a very serious business that may put you to the ultimate test more than
once. For this reason, the Academy is a very serious and special place. Every
time you walk through the portals and halls of the Police Academy, you walk
where heroes have walked. Make sure you treat the place and your studies here
accordingly.
By now, you have heard the NYPD referred to as a big, extended family.
Certainly, we care deeply about all our people. We encourage personnel at all
ranks to interact cordially and respectfully, and to be concerned about each other.
But the first thing you need to know about the NYPD is that this is not a
democracy. This is a paramilitary institution that is organized by rank and
status. The NYPD is highly disciplined, as it must be if it is to perform its tasks
under the circumstances in which our officers frequently find themselves. The
activities of members at different ranks and positions are governed not only by
federal, state and constitutional law but also a set of internal rules and
procedures. Recruits must follow the same set of internal procedures as other
officers in regards to matters relating to deployment, proper uniform, time off, sick
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leave, and obedience to ranking personnel. At the Academy, when a supervisor
or instructor asks or tells you to do something, it is not to be a matter of debate:
it is to be done just as, once your studies here are complete, you are to follow the
directives and orders of supervisors, commanders, and the Department’s
administration. Outside your working hours, you will find that we also demand
exemplary conduct. Because you will be unarmed during your training, you will be
subject to special rules regarding your responsibilities and actions when off-duty.
You already know that police officers have great powers and authority that
are not available to members of the general public. You also need to know that
the public grants these powers to the police, and that you will be held closely
accountable for using them appropriately and in the public interest. This
Department and this City do not tolerate abuse of police authority, and are
internationally known for coming down hard on police officers who abuse their
powers. Pay close attention to what you are taught here about the limits on police
authority and about the means used to make sure that you stay within them. You
are on your way to earning powers that can do great good for this City and its
people and police officers. But, when misused, these same powers can do great
damage. If you succeed here at the Police Academy, the people of this City
will entrust you with more power – to take their lives and liberty; to restrain
them; to use force against them – than are available to anybody else in
society. Begin right now to appreciate what that means, and to guarantee
that you never abuse these powers.
You also need to know about specific procedures that you will be required
to follow in a variety of personal and professional situations. It is essential that you
learn these procedures in order to function within the department. Intentional or
accidental violations of departmental rules can be costly, resulting in the
possibility of formal disciplinary action. These are explained throughout this
Guide and will be addressed in your training. They also are explained in the
Patrol Guide. But first, you need some information about this Department

ABOUT THE NYPD
This agency is the most storied and highly regarded police department in
the world. Everybody knows what the initials NYPD stand for: they represent
highly sophisticated policing in the city that is the financial, intellectual, and
cultural capital of the world. This department has long set the trends in policing; it
has been the subject of more books – both non-fiction and fiction – than any
other. More radio and television shows and more movies have been set in the
NYPD than in any other police agency. Former New York cops have served as
police chiefs throughout the country. They have restructured the police in postWorld War II Japan; in post-war Korea; in Bosnia and Haiti and, now, in Iraq.

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They have been elected Mayor of this City and of others. They have served in
Congress and in state and local legislatures. They have gone on to be
prosecutors and judges; movie actors, producers, and screenwriters; singers;
entrepreneurs; scholars; and best-selling authors. One – Teddy Roosevelt, who
served as New York City’s Police Commissioner – even became the President of
the United States. New York cops have influenced policing, politics,
entertainment, and culture like police no place else.
No matter where you go in the world, people will regard your membership
in this Department as a signal that you are part of an elite corps. James Coan is
an NYPD lieutenant who recently was activated by the U.S. Army Reserve. From
Kuwait, he wrote to the Deputy Commissioner of Training:
Indications are that I will soon be displacing
north to assist in the building of a National Police
Force for the liberated people of Iraq. This will be a
tremendous challenge. There is in this letter a note of
confidence that I am sure you are already aware of
and have probably experienced yourself. That being
the reputation of the NYPD! When it is revealed that I
am a Lieutenant in the NYPD, heads turn. Many of
these heads are General Officers, not just from our
nation but from the coalition. The experience and
reputation that we bring to the table is astounding.
This reputation is internationally recognized. We may
not be the best paid for what we do; but we certainly
are the best at what we do…
As always, be assured of my continued
commitment to be of service to you, the NYPD, and
the City of New York.

Very Respectfully,

James P. Coan
James P. Coan
Major, USA

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The NYPD’s reputation for excellence and competence did not come
easily. It is based on nearly 160 years of leadership, valor, and continued
success in serving the nation’s biggest, most diverse, and most dynamic
population; in confronting the most complex urban problems; in solving the most
heinous crimes; in deterring and catching the most evil offenders; in making this
the nation’s safest big city; and, most recently, in responding to the atrocity visited
on this City on September 11, 2001. Our history is a source of great pride to us,
and we have very little tolerance for officers who do not treat our hard won
reputation with the respect it deserves.
In the lobby of One Police Plaza is the Honor Roll of officers who have
given their lives in service to this City. Take the time to read it, and you will know
the great cost at which this Department’s reputation has been won. But this
reputation also imposes a cost on officers who are living. Because this City is so
diverse, it has many competing interest groups, who monitor us very carefully.
That is as it should be, and is a good part of what makes this City such an exciting
place in which to live and work. But it also means that the community we serve is
far more demanding of the police than is the public in other places, and is far
more conscious of whether we appear to be favoring one group or interest over
another. As a consequence, we must take great pains not only to do our job in a
manner that is fair and objective, but that also avoids any appearance of
favoritism or discrimination. This is not always easy, and is part of the skill of
being a good cop.
Further, because the City is the Nation’s media capital, it is full of reporters
– from Channels 1, 2, 4, 5, 7, 9, and 11; from CBS, NBC, ABC, CNN, and Fox;
from several all-news, all the time radio stations; from the New York Times, Daily
News, Post, Newsday, the Sun, Village Voice, Amsterdam News, El Diario/La
Prensa, and a host of other community and ethnic newspapers who take great
interest in what we do. Their work and their coverage is a good thing for the City
and, therefore, for the NYPD. The great majority of what they write and say about
us is very favorable, and has helped to increase our effectiveness and to cement
our relationship with the community. When things go right in this Department –
when we succeed in reducing crime; when we make spectacular arrests; when we
make dramatic rescues – our actions are described in news reports throughout
the country and across the world, and our officers are treated like heroes. But,
when things go wrong – when officers are caught in scandal, or when they make
some tragic mistake – the same reporters and leaders who are quick to praise us
are quick to condemn us. When this happens, the public often does not
recognize that the problem may be limited to one or only a few officers. Instead,
in the eyes of many people, we all become suspect, and the mistakes and sins of
a few are generalized to all of us. This breeds distrust among the public, and
makes it tougher for all of us to do the job the way we should.

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In short, we work under a microscope unlike that experienced by police
officers anyplace else. We are watched carefully, and need to behave
accordingly. As you proceed through your career in this Department, you will no
doubt receive congratulations, trust, and respect from people for the actions of
other cops in which you were not involved at all. But you will also receive some
dirty looks and hostile comments because of what some other cop has done.
Make certain that you carry yourself in a manner that brings only respect to
yourself and to your brothers and sisters in this Department.
NYPD History
The history of the NYPD is so colorful that no fiction writer could have
made it up. The Department has its roots in Old Dutch and English watchman
systems, and was formally established as the NYPD in May of 1845. Originally,
its officers did not wear uniforms because, it is said, they did not want to be
recognized. Over time, however, this changed, and the police were issued
distinctive uniforms that, it was believed, made their presence a deterrent to crime
and other misbehavior. The NYPD was this country’s first preventive police
service, and relied on the highly visible presence of its officers to prevent crime
rather than solely to investigate it after it occurred. Prevention remains our major
strategy: certainly, it is important to investigate and solve crime, but it is even
better to do everything possible to see that it does not occur in the first place.
Importantly, however, police uniforms did not resemble those of the
military. It certainly was necessary that officers be recognizable, but nobody
wanted the public – or police officers themselves – to confuse the police with
soldiers. At that time in our history, the military were distantly removed from the
population, and accomplished their job by using as much force as possible. The
police, however, were encouraged to regard themselves as a part of the
community, rather than apart from the community, and to do their job by using no
more force than was absolutely necessary.
During the early Nineteenth Century, for example, there were serious food
riots in New York City. The rapid growth of the City combined with the lack of a
decent road or rail system made it impossible to get food to all of the population.
In protest, the poor rioted. Because the NYPD did not yet exist, the military was
called in to suppress the riots, and did so by shooting rioters. This was
unacceptable, so that a major reason for establishing the police here was to
create a humane mechanism for putting down disorders. The police certainly did
that and, originally, they were not armed. Over time, however, it became apparent
that police officers needed guns to do their job and, with some reluctance, the
NYPD’s officers began carrying revolvers at work.

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But, you might ask, if nobody wanted the police to be confused with the
military, why are we organized like the military? We have sergeants, lieutenants,
and captains, rather than supervisors, foremen, and branch managers. You are in
a company and a squad, rather than a class; and when you leave the Academy,
you will work in platoons, rather than shifts; you’ll salute the people you work for,
and will give military courtesies to the flag and to dignitaries. Why?
The answer is simple. The first preventive police in the world were the
London Metropolitan Police, organized in 1829. At the time, there was great
resistance to creation of a police force because, like New Yorkers, Londoners are
not all that happy about being told what to do by government officials. To win the
respect of the British public, the London Met, or Scotland Yard, as it is commonly
known, were organized just like the military because the British military were that
country’s most successful and most widely admired organization. The British
military, after all, had turned that little country into the world’s major colonial
power.
New Yorkers took a lesson from that. If the British military were
successful and widely admired, our military was even better, because we had
whipped the British in both the Revolution and the War of 1812. If it worked in
Britain, it would also work in New York, and our police were modeled closely on
the London system developed by Sir Robert Peel, the man for whom the London
Bobbies were named.
The Department began to distinguish itself almost immediately. Its officers
were successful in preventing crime and catching crooks, and in suppressing
riots. Because the Department’s precinct station houses were spread all over the
City, they served multiple purposes. Until the end of the Nineteenth Century, the
station houses served as the City’s homeless shelters and as distribution centers
where the poor came to get food and coal.
The Draft Riots. During the Civil War, the NYPD won great praise for
putting down the Draft Riots of 1863. At the time, the City was heavily Democratic
and working class, and its young men were prime candidates for a military draft
conducted by the Republican administration of Abraham Lincoln. The draft was
extremely unpopular not only because many people regarded the Civil War as a
Republican war, but also because the wealthy were excused from it: anybody
who could pay the government $300 was deemed to have made his contribution
to the war efforts, and was exempt from the draft. In protest of the draft, young
men – typically Irish immigrants – rioted, singling out for special attention black
people who were deemed to be the cause of the war. This race riot result in
deaths estimated as high as 3,000; many buildings including, incredibly, the
Negro’s Children’s Orphanage – were burned to the ground; and police stations

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were stormed and destroyed. Through this, the NYPD behaved with great honor,
preventing far more death and destruction than would otherwise have occurred.
Police and Politics. Despite their unquestioned heroism in times of
crisis, many Nineteenth Century New York cops were no angels. For generations,
the Department was the tool of local politicians: its precincts were based upon the
City’s political wards, and the City’s ward leaders appointed precinct
commanders, supervisors, and officers – usually for a price. These officers
remained in office only as long as their political sponsors kept winning elections,
so that the police had a major interest in seeing to it that the vote turned out their
way.
Further, these officers were in a compromised position. The laws they
were to enforce reflected many values shared by rural state legislators – closing
businesses on Sundays; limiting the sale of alcohol; outlawing most forms of
gambling – that were very unpopular with the new immigrants to the City who
elected the local officials who appointed the local police. Because most of these
folks saw nothing wrong with these so-called victimless crimes, they put great
pressure on their politicians to look the other way at these offenses. The
politicians, in turn, let their officers know that they should not enforce these laws
and, in fact, cut them in on great amounts of graft that was being spread among
lawmakers and law enforcers.
Probably the most notorious police officer of this period was Alexander
“Clubber” Williams, who was the captain of the Times Square precinct, the
“tenderloin,” where graft was the greatest. Williams lived in a mansion on
Gramercy Park, right down the street from the Police Academy. He kept a steam
yacht in the 23rd Street Boat Basin, and used it on weekends to cruise out to his
waterfront estate in Connecticut. At work, he extorted, stole, and used the club
that gave him his nickname to beat anybody who resisted his authority. He was
able to do this because, at the time, there was a great market for the gambling,
illegal drinking, and prostitution he allowed to flourish in the neighborhood he
supposedly policed. Indeed, he was popular enough so that, in uniform, he
refereed several of World Heavyweight Champion John L. Sullivan’s bouts in
Madison Square Garden.
Still, in times of crisis and day in and day out, the NYPD’s officers
performed with unquestioned heroism whenever required, and were a major
presence in every community of the City.

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Turn of the Century Reform. As the Nineteenth Century ended,
progressive politicians, officials, journalists, and clergymen – like Theodore
Roosevelt, Jacob Riis, and Reverend Charles Parkhurst – joined forces to expose
the corruption of the City and the police, and to begin the long process of change.
State Senator Clarence Lexow convened the Lexow Committee, which held public
hearings and showed the extent to which the Department had been corrupted by
its connections to crooked politicians and racketeers. Its star witness, Max
Schmittberger, testified that he had paid $300 to become an officer and $12,000
to become a captain. The usual price, Schmittberger testified, was $10,000, but
he had to go higher because another officer was bidding against him.
Appalled at this, the City’s decent citizens reduced the impact of corrupt
politicians by creating the civil service system, which guaranteed that the jobs of
police officers could not be given and taken away by corrupt politicians. A merit
system was created to govern promotions; the Police Academy was established,
and officers began to receive real training for their jobs. The Department began to
apply technology to its work, creating fingerprint files and a crime laboratory, and
won acclaim for fighting the mafia, which had come to New York and victimized
the new Italian immigrant community.
In 1904, there occurred one of the greatest tragedies in the history of New
York City. The General Slocum, an excursion steamship filled with 1,350 people
from the Lower East Side on a cruise to a Lutheran Church picnic, caught fire in
the East River. The wind quickly caught the flames and began incinerating
passengers, most of whom were mothers with their children. Police officers raced
to the scene and, diving into the water, saved many, but more than 1,000 died.
Despite his dubious past, Max Schmittberger, who had been redeemed and had
become a leader in the Department’s reform efforts, led the rescue effort, as well.
1910-1933. By this time, the Department had taken its first steps toward
professionalism, but they were not easy. Another corruption scandal erupted in
1912, when the Curran Commission exposed ties between police and racketeers,
resulting in criminal indictments against eight Inspectors. In 1914, the Department
hired Samuel Battle, its first black officer and, in 1917, introduced its first radio
patrol cars. Things seemed to be moving along well- the end of the First World
War brought many young veterans into the Department, and the Department’s
reputation was growing.
The Department’s progress, however, changed with the advent of
Prohibition. In 1919, the Vollstead Amendment to the United States Constitution
was ratified and made illegal the sale, manufacture, or transportation of alcoholic
beverages anywhere in the United States. This created an enormous illegal
market for liquor, led to the development of the speakeasy, thousands of illegal
bars and clubs sold liquor throughout the City and across the country, and helped

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to create the modern version of organized crime. It corrupted police everywhere,
including here in New York, and made household names out of thugs like Al
Capone, Lucky Luciano, Legs Diamond, and Dutch Schultz. In order to be visible
to their customers, the City’s speakeasies also had to be visible to the police. To
assure that they could continue to operate and profit under the noses of the police
and political leaders, they simply put the police and politicians on their payrolls.
The Great Depression. By the time Prohibition ended in 1933, the nation
was deep in the Depression, and the NYPD was just coming out of another of its
20-year cycle of corruption scandals, this time exposed by the Seabury
Commission in 1931. These three forces combined to change the NYPD forever
and, in the view of many historians, are among the major factors responsible for
the modern NYPD. The end of Prohibition meant that the flow of illegal liquor, and
the graft that went with it, had come to stop. The Seabury Commission
disclosures had many consequences, most notably the election of Mayor Fiorello
LaGuardia, a great reformer who vowed to clean up City government. The advent
of the Depression, and of Mayor LaGuardia and his Police Commissioner, Lewis
Valentine, who had won a reputation for great integrity throughout the NYPD’s
worst times, meant that the police job suddenly became very attractive. Highly
qualified and well-educated people, who would never in the past have considered
becoming cops, now did so, and set about professionalizing the NYPD.
In June 1940, this movement hit its peak. The NYPD hired a class of just
over 200 recruits, who were at the top of a civil service list that resulted from a
police entrance exam taken by more than 100,000 candidates. Almost all of these
people were college graduates; their ranks included many lawyers; teachers; and
social workers. There were airline pilots and other accomplished people among
them and, in the years to come, they changed the NYPD – and policing – forever.
One, Michael Murphy, became an NYPD Police Commissioner. Another, Robert
R.J. Gallatti, established the New York State information and Intelligence System.
Another, Charles O’Hara, wrote the book that, for half a century, was the best and
most comprehensive criminal investigation manual. Another, Sanford Garelik,
who had graduated from college at 19 years of age, became the Chief of the
Department and the President of the New York City Council. Another, Gertrude
Schimmel, a Phi Beta Kappa graduate of Hunter College, joined with a colleague,
Felicia Spritzer, and challenged the Department’s policy of not permitting women
to compete for promotion. Eventually they beat the City, and Schimmel went on
to become the Department’s first female sergeant; lieutenant; captain, deputy
inspector; inspector; and deputy chief. This class of 1940 – which Mayor
LaGuardia called The Class of the Stars – brought real professionalism to the
great and unquestioned heroism that, regardless of the Department’s other
problems, had always been a part of its tradition.

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Post World War II. When Word War II ended, returning veterans filled
the ranks of the NYPD. Still, women were essentially locked out of the
Department. They could not compete for promotion, and generally served as
secretaries, youth counselors, and jail matrons. No policewomen worked on
patrol, a job reserved for patrolmen, and only a few had crime-related jobs as
detectives. In the 1950s, yet another corruption scandal broke when a Brooklyn
gambler was found to have been bribing officers. The City also began to change
very dramatically. Large numbers of whites left for the suburbs, and were
replaced by Black and Latino newcomers. Crime rates remained relatively low
throughout the 1940s and 1950s, and the Department’s leaders came to believe
that what they were doing was controlling crime.
The 1960’s. This view began to change in the 1960s, when crime rates
suddenly began to rise dramatically in New York City and across the country. The
police began seriously to question whether their old strategies – which consisted
largely of simply putting patrol officers on the street to deter crime and assigning
detectives to investigate crimes after they occurred – were as effective as
everyone had previously believed. Gradually, it began to dawn on everybody that
crime rates had been low during the 1940s because most of the people in the
gender and age groups that account for most crime – young men – were off
fighting a war. Crime rates remained low throughout the 1950s for several
reasons. First, the percentage of young people in the population was very small.
To be between 16 and 24 years old during the 1950s, one would have been born
during the Depression of the 1930s but in those hard years, few people were
having kids. In the 1960s, however, the great wave of Baby Boomers born in the
years immediately after World War II started to hit their teens, and drove up crime
rates. This also happened in New York during the 1960s. Homicides in New York
jumped from 390 in 1961 to 637 in 1964, and other crimes increased comparably.
Other things also happened in the 1960s to put the NYPD to the test. The
Civil Rights Movement began in earnest, and people of color became increasingly
vocal in protesting their second-class status. In 1964, the shooting of a 15-yearold black boy by an off-duty white police lieutenant started a series of disorders in
Harlem and Bedford-Stuyvesant. There had been riots in Harlem in the past, in
1935 and 1943, but this one was different. It spread from Harlem to BedfordStuyvesant and, the following summer, it became apparent that the unrest in
Harlem was only the first in a series that spread across U.S. cities every summer
during the 1960s. Watts, in Los Angeles, exploded in 1965 and, in subsequent
summers, riots tore apart Detroit, Newark, Cleveland, and Washington DC. Each
of these riots seemed to be worse than the other. In 1964, two people were killed
in the New York disorders; by the late 1960s, death tolls in the 30s were common
in riots in other places.

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This all led the federal government to look closely at the riots and their
causes, and many people were surprised to find that one of the major grievances
of residents of the riot-torn areas was the conduct of the police. The police were
seen as insensitive, unfeeling, and brutal, and they certainly did not look much like
the people they policed. Indeed, the great black writer James Baldwin may have
been the first to call inner-city police an occupying army. According to Baldwin, it
would not matter whether the police of the time were smiling, friendly, and happy,
and spent their time giving lollipops to kids. They would still be resented, Baldwin
wrote, because they were a very visible symbol of white power in neighborhoods
of color that were suffering from racial and economic discrimination.
Several federal commissions also reported that, with the exception of riots
that followed the assassination of Martin Luther King (most notably in Washington
DC), virtually every riot of the 1960s came as a reaction to some controversial
police action – a shooting in New York; an attempt to arrest a drunk driver in Los
Angeles; attempts to arrest in Detroit; raids on after-hours clubs in Newark and
Cleveland. When scholars looked closely at these incidents, they found that
police in many places were poorly trained and that, except for the criminal law,
there were few rules to guide their decisions on the street. In other words, if what
an officer did was not a crime, it had been regarded as acceptable.
New York officers have always been well trained. In the 1960s, when the
President’s Commission on Law Enforcement and Administration of Justice
reported that the average U.S. police officer had received less than 200 hours of
training, NYPD’s Academy was providing recruits with about 800 hours of training.
But, like police in other places, NYPD officers have not always enjoyed internal
administrative policies that helped them to make decisions in the street. Instead,
they were often left to decide what to do on their own, in the middle of crises and
emergencies, when it was very likely that their hasty decisions would later be
regarded as mistakes. This had not mattered much in the 1940s and 1950s,
when rates of crime and disorder were low, when the City was not very diverse,
and when few people in powerful positions paid much attention to what the police
did or to complaints about them. In the 1960s, this stopped because of fears that
riots, racial divisions, and distrust of government, helped by resistance to the
Vietnam War, would tear apart New York and the rest of America.
NYPD and the City responded by trying to change both police operations
and the way the Department was perceived. In 1964, Captain Lloyd Sealy was
appointed as the first black commander of Harlem’s 28th Precinct. The
Department vigorously recruited in non-white communities and changed training
to include components on the City’s racial and cultural differences. The Youth Aid
Division was created and staffed with college-educated officers whose job was to
work with kids to prevent their involvement in crime. The Deputy Commissioner

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for Community Affairs worked closely with local groups and representatives to
reduce tensions.
The 1970’s. As the 1970s began, yet another corruption scandal erupted,
when the New York Times published strong evidence developed by Officer Frank
Serpico and Sergeant David Durk that officers in the Plainclothes Division – the
vice squad – were involved in widespread corruption involving payoffs from
gamblers. Another investigation – conducted by the Knapp Commission –
confirmed this, and showed that extended corruption also existed among
uniformed officers. When this had been discovered in the past, the typical
reaction had been to punish officers, but to leave in place the poorly supervised
system of enforcing laws against the victimless offenses – gambling, prostitution,
unlicensed liquor sales, construction regulations – that had most often been
associated with corruption. This time, Police Commissioner Patrick V. Murphy
introduced systematic changes in the enforcement of these laws and in the way
they were supervised that, to this day, seem to have made widespread corruption
impossible. He also set about writing policies to guide officers’ decisions in use of
force, whether to pursue vehicles, handling domestic disputes and emotionally
disturbed persons, and other sensitive areas that caused problems between
police and the community. His policies, and great changes in the way officers
were deployed, have served as models for the nation.
The NYPD changed in even more significant ways during the 1970s. A
series of court decisions and civil rights laws changed the rules for hiring police
officers and, in 1973, resulted in the Department’s first hiring of women on the
same basis as men. The old patrolman and policewoman titles were merged into
the police officer rank, and women were assigned to patrol in the same way that
men were. Former hiring standards – minimum heights, maximum ages, physical
tests that required applicants to lift dumbbells and perform other activities that had
little relationship to the police job also were eliminated. The result was a much
more diverse police department that more closely reflected the community.
At the same time, supervision of officers’ conduct was changed in ways
that also have served as national models. Supervisors and commanders became
accountable for formally evaluating their personnel and for assuring the integrity of
the people who worked for them. For the first time, officers wore nametags to
identify them to the public. The detective rank was expanded to include trainers
and highly skilled specialists, as well as criminal investigators. Promotional
testing was changed and training was greatly expanded among in-service officers
and ranking personnel. Thousands of civilians were hired and, for the first time,
freed up uniformed officers for enforcement-related duties.

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In 1975, however, the City went broke, and laid off its junior 3,000 officers.
The fiscal crisis that caused this had profound effects on the City and the
Department and eventually reduced the Department’s strength from 32,000
officers in 1975 to 21,500 in 1979: The NYPD hired no officers between
November 1974 and November 1979.
The 1980’s and Beyond. The City’s financial condition improved
dramatically during the 1980s. Each year during that decade, thousands of
officers were hired – and have been becoming eligible for retirement in this
decade, creating new opportunities for you. To reflect changes in the City’s
population and politics, the Department’s precinct boundary lines were realigned,
resulting in the present 76 patrol precincts. In 1983, Benjamin Ward was
appointed as the Department’s first African American Police Commissioner. Prior
to his appointment, Ward had served as a career NYPD officer, sergeant, and
lieutenant, and as Deputy Commissioner for Community Affairs. He had also
been the Corrections Commissioner for New York State and then New York City.
During the1990’s, Raymond Kelly, the current Police Commissioner, was
appointed to the first of his two terms in that office. Also during that decade, the
Department began a series of innovations that have had enormous effects on
crime and public order. Thousands of new officers were hired, and were assigned
in response to computer analyses of crime and other police problems. The
COMPSTAT system of holding commanders accountable for responding to crimes
in their areas of responsibility was developed, and has been emulated across the
globe. To increase efficiency, the formerly independent Housing and Transit
Police Departments were merged into the NYPD. Crime rates dropped
dramatically and the City’s statistics and the vitality of its streets showed that it
had become the nation’s safest big city, a position it continues to hold.
The 21st Century. No event has ever tested the will of this City and its
police department like September 11, 2001. The atrocity of that day brought war
home to all New Yorkers, and strengthened the resolve of all this Department’s
members to assure that nothing like it will ever happen again. It has put all of us –
including you – on the cutting edge of a new kind of policing that is responsible
not only for providing traditional police services and dealing with traditional crime
and disorder, but also for becoming a real and vital part of the nation’s defense
against enemies from abroad. You deserve special recognition for joining the
Department at this point in history, and should be reminded that the work you will
do over your career will be as historic as anything ever done in policing, here or
anyplace else in the world. In years to come, you will look back at your decision
to join this Department with great pride and satisfaction that you did the right thing
when you could instead have done the easy thing. Your commitment is
outstanding – hang on to it. This is a special time in a very special agency.

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NYPD’s RANK STRUCTURE
As noted above, the NYPD is a paramilitary organization. This means that
responsibilities are differentially distributed according to a person’s rank, and that
the best way to know who’s who is to understand our rank system. The Chain of
Command refers to the hierarchical order of authority and responsibility within the
Department. It defines who gives you orders and whom you see for matters such
as transfers, obtaining equipment, and directions for ambiguous or difficult job
related situations.
Chain of Command is based on the management principle that, in normal
conditions, each worker should have only one immediate supervisor. It is for this
reason that, once you graduate from the Academy, one person in the rank above
you will be designated to assess and prepare a formal, written, annual evaluation
of your work performance. Obviously, when you are working on patrol, that same
supervisor may not be on-duty or may be elsewhere, so that you will then be
subject to orders and directions given by other supervisors. But, except under
particular circumstances, such as the unavailability of your immediate supervisor,
it is essential that you follow the Chain of Command. When you need to speak to
a supervisor about work-related matters, it should be the person who is assigned
to evaluate your performance. In the Academy, this person will be your official
class instructor.
The Police Commissioner (ÕÕÕÕÕ)
The Police Commissioner of the City of New York is the chief executive
officer of the New York City Police Department and its only five-star official.
Although many Police Commissioners come from a law enforcement background,
the Commissioner’s job is a civilian position. He is known as a Civilian Member of
the Service. The Police Commissioner is appointed by the Mayor and, in turn,
has the authority to appoint a top staff of civilian assistants and deputy
commissioners, who generally are in command of various key functions.
The Deputy Commissioners (ÕÕÕÕ or ÕÕÕ)
The First Deputy Commissioner holds a four-star position and is the
Department’s second highest-ranking civilian Member of the Service. The other
deputy commissioners hold three-star rank. They include:

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Deputy Commissioner, Administration
Deputy Commissioner, Community Affairs
Deputy Commissioner, Counter Terrorism
Deputy Commissioner, Employee Relations
Deputy Commissioner, Equal Employment Opportunity
Deputy Commissioner, Intelligence
Deputy Commissioner, Legal Matters
Deputy Commissioner, Management and Budget
Deputy Commissioner, Operations
Deputy Commissioner, Public Information
Deputy Commissioner, Strategic Initiatives
Deputy Commissioner, Technological Development
Deputy Commissioner, Training
Deputy Commissioner, Trials
Except for the First Deputy Commissioner, each of the deputy
commissioners holds a three-star civilian rank, and is responsible for an important
area of activity. The Chief of Staff also holds three-star rank, and is the civilian
employee who manages the operations of the Police Commissioner’s office.
Many, like the Deputy Commissioner, Training, are aided by assistant
commissioners, who also are high-level civilian appointees. In addition, the
Department has about 14,000 civilian employees who serve in every imaginable
non-enforcement position.
Chief of Department (ÕÕÕÕ)
The NYPD’s highest-ranking uniformed member of the service is the Chief
of Department. This officer generally is in charge of the Department’s day-to-day
operations, and makes major decisions about policies, strategies, and deployment
of personnel. He is the official who chairs the Department’s COMPSTAT
meetings, at which patrol and other operational commanders meet with the
Department’s top administrators to discuss patterns of crime and disorder, as well
as their plans and strategies for dealing with them. Like other officials in
uniformed ranks above captain, the Chief of Department is an individual who,
through civil service procedures, has been promoted up to the rank of captain,
and has then won designations to higher ranks at the discretion of the Police
Commissioner.

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Bureau Chiefs (ÕÕÕ)
The Department is divided into several major bureaus, most of which are
headed by three-star chiefs. These chiefs typically command thousands of
uniformed and civilian employees and, with a couple of exceptions (e.g., Chief of
Internal Affairs; Chief of Counter-Terrorism), report to the Chief of Department.
These officials include:
Chief of Counter-Terrorism
Chief of Criminal Justice Bureau
Chief of Detectives
Chief of Housing Bureau
Chief of Internal Affairs Bureau
Chief of Organized Crime Control
Chief of Patrol
Chief of Personnel
Chief of Transportation
Assistant Chief (ÕÕ)
Assistant Chiefs serve as the commanders of each of the NYPD’s eight
Patrol Boroughs:
Manhattan South
Manhattan North
Bronx
Brooklyn South
Brooklyn North
Queens South
Queens North
Staten Island
Each of the Patrol Boroughs encompasses several patrol precincts, whose
commanding officers report directly to the Borough Commander who, in turn,
reports to the Chief of Patrol. In addition, assistant chiefs serve as commanders
of major non-patrol units, such as the Narcotics Division, the Transit Division, the
School Safety Division, and the Office of the Police Commissioner. The
commanding officer of the Special Operations Division, which includes the
Emergency Service Unit, Harbor, and Aviation, holds one of the Department’s
most visible assistant chief positions. Several assistant chiefs also hold positions
as executive officers (or second in command) of such major units as the Patrol
Services Bureau, the Detective Bureau, and the Housing Bureau. Others are
commanding officers of Detective Boroughs (e.g., Detective Borough Manhattan).

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Deputy Chief (Õ)
Deputy Chiefs serve as Detective Borough Commanders; as Patrol
Borough executive officers; as the commanders of major units within bureaus
headed by deputy commissioners or bureau chiefs (e.g., the Commanding Officer,
Police Academy is a deputy chief who reports to the Deputy Commissioner,
Training, the head of the Training Bureau; the Commanding Officer of the Traffic
Division is a Deputy Chief who reports to the Chief of Transportation). Several
deputy chiefs also serve as executive officers to top administrators such as the
Chief of Department and the Chief of Personnel.

Inspector
Many Inspectors serve as aides to top Departmental administrators such
as deputy commissioners, bureau chiefs, and borough commanders. Others are
commanders of detective or narcotics units, or of patrol precincts that are
deemed to be especially sensitive or demanding commands. Others command
such major units as the Operations Division, the Department’s nerve center, or
the Personnel Orders Sections, which processes all of the Department’s
personnel actions. Most recently, the Department established the position of
Counter-Terrorism Inspector in each of the patrol boroughs.

Deputy Inspector
Deputy Inspector is the first discretionary rank above the rank of captain.
It is a reward for excellent performance as a captain, and typically is given to
individuals who have served as exemplary commanders of patrol precincts,
housing police service areas, or transit districts. Deputy inspectors serve as
commanders of especially active precincts, detective and Organized Crime
Control Bureau units, and of important staff units. They also perform as executive
officers and as aides in such units as the Police Academy and other staff and
operational commands.

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Captain
Captain is the NYPD’s highest civil service rank, and is earned by passing
a competitive examination and by possessing both a bachelor’s degree and a
record of excellent performance. Captains serve as commanders and executive
officers of patrol precincts, housing police service areas, transit districts, detective
commands, patrol borough task forces, Organized Crime Control, and Special
Operations Division, and OCCB units.

Lieutenant
Lieutenants have passed two competitive civil service examinations and
have proven themselves through records of excellent performance and
educational attainment. On patrol, you will frequently encounter lieutenants as
desk officers and platoon commanders, as precinct special operations lieutenants
and administrative lieutenants, and as detective unit commanders. Here in the
Police Academy, lieutenants serve as unit commanders, administrators, aides,
and as platoon commanders.

Sergeant
Sergeants are the NYPD’s first level supervisors, and earn their rank by
their performance on a competitive civil service exam. They are the ranking
officers to whom you will most often report during all the time you are a
probationary police officer, police officer or detective. They will work most closely
with you, will evaluate your performance, and will serve as trainers and teachers
even after your Academy training is completed. The Department’s administration
regards sergeants as its street-level management representatives, and pays close
attention to the recommendations and reports of sergeants. You will have to do
this, as well.

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Detective
Detectives are police officers who hold the detective designation by virtue
of outstanding performance as police officers. Historically, detectives were the
Department’s criminal investigators, and their gold shields have been one of the
most distinguished badges in all of law enforcement. During the 1970s, the
Department began to recognize excellence in areas other than criminal
investigation by awarding this designation to officers who excelled as patrol
officers, trainers, or specialists in some other area of activity. Today, specialist
detective shields are worn by Emergency Service Unit personnel; helicopter and
boat pilots; divers; bomb technicians; gunsmiths; and specialists in community
relations, law, intelligence operations, marine policing, data processing; dignitary
protection, and virtually every other Departmental endeavor.
Detectives do not hold supervisory rank but, at events involving their
expertise (e.g., crime scenes), they are granted considerable authority to assure
that their mission is accomplished. Police officers designated as detectives
typically begin as Third-Grade Detectives and, through excellence in performance,
may continue to work their way up through Second Grade to First Grade.

Police Officer
If you succeed in completing your studies and the rest of your work here at
the Academy, you will earn a police officer’s shield and the right to wear it until
you are evaluated at the end of your probationary period. If, at that time, you are
rated satisfactorily, your status will change from probationary police officer to
police officer. Although every day you hold the police officer’s shield will require
you to do so with honor, integrity, and a commitment to service, the next two
years will be particularly important. During this probationary period, any
misconduct – or even simple mediocrity – on your part can result in your summary
termination from this Department. We consider this two-year period to be an
engagement; during this time, we will be carefully evaluating your relationship with
us to determine whether we want to make it permanent. Keep that in mind, and
take care now to form values and work habits that will give both you and the
Department the basis for a mutually rewarding long-term relationship.

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THE ROLE OF THE UNARMED, UNTRAINED RECRUIT OFFICER
On the day you were sworn into the Police Department, you acquired the
power and authority of arrest granted a police officer by the New York State
Criminal Procedure Law. Possessing this power and authority and knowing how
to apply it, however, are two different things.
While you are a recruit, your role in situations that may warrant police
action is governed by special rules and procedures. These are designed to protect
the public and to protect you from both physical injury and civil liability.
Contrary to the image often portrayed on television and in films, there are
limitations to an officer’s powers. The federal and state constitutions, statutory
law, court decisions and Department policy all restrict your actions. An arrest
cannot be made without probable cause, a term that will be defined in subsequent
lessons. There are great limits on the force you may employ as a police officer,
placed there by legislators and judges at the federal and state levels and by the
Department’s leaders, as well. You must learn them before you can properly
exercise the powers you have been granted. You must also understand the best
ways to interact with civilians before you can properly assume full duties as a
police officer. You must also understand the proper use of discretion in order to
perform your job.
Discretion is at the heart of the police officer’s job. Discretion is the ability
of a professional to choose a solution to a problem from among a range of
alternatives. Discretion is the hallmark of the professional: doctors exercise it
when they decide whether and how drastically to perform surgery. It is exercised
by lawyers when they decide whether to try cases or to settle them; whether to
call certain witnesses; and what questions to ask and to avoid asking. Discretion
is exercised by police officers when they pick and choose the best way to solve
the problems that confront them. Discretion exists because every situation
encountered by professionals differs in some ways from all others. If all heart
attacks or cancer cases were precisely the same, doctors would have one
textbook solution to all heart attacks and cancer cases. They do not because,
even though all heart attacks and cancer cases may have a lot in common, they
differ in some ways that may affect the choice of treatment. In the same way, you
will find throughout your career that every domestic dispute, every burglary in
progress, every traffic stop differs in some ways from every other one. We will try
to teach you to identify what you should be trying to accomplish in each of these
situations, and how to choose and use the best possible way of accomplishing it.

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At this point in your careers, however, your discretion is extremely limited.
Today, you are not much different from the day before you were sworn in to the
Department. You have not been trained as a police officer; you have not been
equipped as a police officer; and you have not had any practice or experience as
a police officer. Thus, the limits on your discretion are simple: DO NOT
BECOME INVOLVED IN ANY INCIDENT THAT REQUIRES POLICE ACTION,
SKILLS, OR EQUIPMENT BEYOND YOUR TRAINING OR CAPABILITIES.
Instead, you can assist in police matters by using your observational skills,
obtaining descriptions, and reading wanted posters.
If you become aware of criminal activity, or any situation requiring police
attention, you have an obligation to report it and await the arrival of a trained
police officer. This would also include circumstances where you may be
personally involved.
"CALL A COP IF YOU NEED ONE"
Reporting an emergency situation, criminal activity or other unusual police
occurrence to the Police Department involves calling 911. When a police operator
answers:
•

Give your location. Be specific.

•

Identify yourself as a probationary police officer assigned to the
Police Academy, and specify whether you are on or off-duty.

•

Give details of the incident, including a description of suspicious
persons at the scene. (Try to keep them under observation, if
possible.)

•

If you are reporting a crime or suspicious occurrence, give a
description of yourself and your clothing – you do not want to be
mistaken for an offender or criminal suspect.

•

Remain at the scene of the incident when feasible and consistent
with personal safety.

•

When remaining at the scene is inappropriate, the uniformed
member of the service concerned may leave the scene; however
he or she must promptly notify the Desk Officer, precinct of
occurrence, and be guided by the Desk Officer’s instructions.

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At the first opportunity, you should notify the Police Academy of the
incident. Do this by calling the Recruit Operations Unit at 212-477-9790 or 212477-9721. Upon your return to the Academy, notify your Official Company
Instructor (OCI) and prepare a report for the Commanding Officer, Police
Academy. For further information, consult the Recruit Officer Orientation Guide
and Patrol Guide Procedure 212-32 and 212-34.
Off-Duty Misconduct
This Department’s rules and policies cover your off-duty behavior as well
as your conduct during working hours. You do not have a license to use your
police employment to settle personal disputes or grudges or to regard yourself as
somehow privileged or exempt from the rules and laws that governed your
behavior before you were sworn in. When you are off-duty, we will expect you to
represent this Department favorably, as a good citizen and member of the
community. Violating this expectation is the quickest possible way to bring your
career in this Department to a premature end. Carry yourself with dignity both onduty and off-duty, and remember that what you do both on-duty and off-duty
reflects on everyone who wears an NYPD uniform.
Off-Duty Conduct After the Academy
During your training, you will receive extensive instruction about your
responsibilities when off-duty after you leave the Academy, and have been
equipped with a gun and shield. For now, you should understand that what you
are capable of doing when you are in uniform, readily identifiable, and in touch via
radio with the rest of the Department may not be so easy when you are off-duty, in
civilian clothing, and out of radio contact. For this reason, we have developed
special strategies and tactics for off-duty officers to employ when they encounter
situations that may require police intervention. These differ in important ways
from the tactics useful to uniformed patrol officers, and you should listen carefully
and understand the distinctions between what is appropriate while you are
working in uniform and what is appropriate – and safest for the public, for you, and
for those who may be with you – when you are off-duty and in plain clothes.
Leaves, Excusals, and Reporting Sick
As you accrue time in service, you will become entitled to vacation leave
and to one personal leave day per year. You will not be taking either of these
while you are in training, however, and only two types of leave should be of
concern to you right now: sick leave and emergency leave.

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Reporting Sick. The Department has very liberal provisions for sick
leave, but also takes great pains to see that sick leave is not abused. If you report
sick, you generally are required to remain in your home except, of course, to visit
a doctor. You should be advised that, unlike most other employers, the
Department may assign a supervisor to visit your home to assure that you are ill.
But if, in the opinion of the supervisor, you are malingering or abusing your sick
leave, you’re liable to be a subject of investigation and may be disciplined. DO
NOT ABUSE YOUR SICK LEAVE PRIVILEGES.
To report sick while you are assigned to the Recruit Training School, you
must follow these two procedures:
1. Call the Department’s Sick Desk, at 718-760-7600, at least two
hours before you are scheduled to report for work;
2. Call the Recruit Operations Unit at the Police Academy, at 212477-9790 or 212-477-9721, at least one-half hour before you are
scheduled to report for work.
Emergency Leave (E-Day). At times, it may be necessary to request
time off for an emergency. This time will be charged to your available leave
balances (i.e., vacation, lost time, etc.). Such emergencies may include an ill
family member or other serious, unforeseen occurrence. In such cases, you
must contact the Recruit Operations Unit at 212-477-9790 or 212-477-9721.
Taking an E-Day at any time, especially during your training, should be a
last resort.

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RECOMMENDED READING
If you are interested in learning more about the history of the NYPD and
policing in the United States, you may wish to read the following:
Astor, Gerald, The New York Cops: An Informal History (New York: Scribner's,
1971).
Fogelson, Robert M., Big-City Police (Cambridge MA: Harvard University Press,
1977).
Lardner, James, and Thomas Reppetto, NYPD: A City and its Police (New York,
Henry Holt, 2000).

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General Regulations

WHY IS IT IMPORTANT FOR POLICE OFFICERS TO KNOW
ABOUT THE DEPARTMENT’S GENERAL REGULATIONS?
The Department’s General Regulations are the body of rules that govern
the on-duty and off-duty behavior of all police officers in the New York City
Police Department. It is essential that you develop a thorough understanding of
these rules so you can function appropriately and effectively within and outside
the Department. The development of a detailed knowledge of the General
Regulations will also help minimize the possibility of your getting into trouble
based on confusion and ignorance.
The Department has many regulations to govern your behavior for a
number of reasons. Experience has taught us that they are necessary to assure
that all our officers know what the rules are and how they will be held
accountable for violating them. All of the Department’s General Regulations –
and there are many – are intended to see that officers’ behavior, both while
performing in an official capacity and as a private citizen, is beyond reproach.
You also need to know how the Department is organized at the patrol
level, where you are most likely to be assigned when you graduate from the
Academy. This subject is also addressed in this chapter.
THE DEPARTMENT’S GENERAL REGULATIONS
The General Regulations covered in this lesson are divided into categories:
•

Performance of Duty regulations outline behavior that is expected of
you while on duty, and behavior that constitutes Prohibited Conduct.

•

Compliance with Orders regulations are necessary for the proper
functioning and discipline of the Department.

•

Fitness for Duty regulations require that you be physically and mentally
able to perform police duty at all times, except when on sick report.

•

Public Contact regulations outline your responsibilities to the public as
well as behavior that constitutes Prohibited Conduct in your public
contacts.

•

Personal Appearance regulations outline the personal grooming
standards the Department expects.

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•

Residence Requirements define where officers may live, and what they
must do to assure that the Department can contact them when
necessary.

•

Courtesies define professional relationships between members of the
Department.

Seat Belts
We need to get one simple and clear General Regulation out of the way
immediately: Police officers must wear seat belts at all times when in
vehicles. There is, in this Department and others, a tradition that police officers
do not wear seat belts on grounds that they may quickly have to get out of their
patrol cars. This sounds reasonable, but it is not.
The Department has studied the issue extensively, and can find no case
in which a police officer was seriously hurt BECAUSE he or she wore a seat
belt. On the other hand, we know that vehicle accidents are a major cause of
officers’ injuries and deaths, especially when officers are not belted in. Around
the country every year, vehicle accidents kill about ten times as many police
officers as are killed by suspects or vehicle stops. We know also that officers
cannot credibly enforce seat belt laws unless they themselves obey these laws.
The bottom line is this:
YOU ARE REQUIRED TO WEAR YOUR SEAT BELT
AND ARE SUBJECT TO DISCIPLINE IF YOU DO NOT.
The wearing of the three-point or two-point safety belt is required for all
individuals operating or riding a Department vehicle or a private vehicle
authorized for Department use.
There is one exception to this rule. The Patrol Guide provides that a seat
belt may be removed when a potentially dangerous situation is perceived or
anticipated, or when the wearing of the safety belt during a non-routine
assignment might endanger the member of the service.

THE PATROL GUIDE
The Department’s Patrol Guide is its major book of rules, regulations, and
policies. It contains guidelines and policy statements that you will be required to
follow throughout your police career. It describes the organizational structure of
the Department, the functions of personnel of different rank and status, the rules
and regulations governing the conduct of members of the service on and off duty,
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and the procedures to be used by members while performing official duties. The
Patrol Guide also provides directions for performing duties and achieving goals,
serves as a guide for handling emergencies and other police situations, and
describes the rules and regulations that form the basis for police officer decision
making on the job.
Officers are held accountable for their actions within the context of the
Department policies and procedures listed in the Patrol Guide. The Patrol Guide
does not prescribe specific actions to be taken in every situation you may
encounter. Instead, it provides guidance for all members of the service. While a
few procedures in the Patrol Guide do not allow for variation, the majority is
somewhat flexible, and applies to most situations. In unusual circumstances or
when an answer to a procedural question cannot be found in the Patrol Guide,
you should consult with your supervisor or the Desk Officer.
You should follow a procedure unless it is obvious it does not fit the
situation. In situations in which formal procedures do not strictly apply, you may
utilize some degree of discretion in order to achieve the desired goal. Discretion
is the ability of a person to act according to his or her own professional judgment.
In this Department, discretion is not unlimited. While exercising it, members
must act within the limits imposed by the U.S. Constitution, the New York State
Constitution, state laws, court precedents, city ordinances, and Department
policies, procedures, and orders. Discretion is also bounded by norms:
professional norms, community norms, moral norms, and procedural norms.
Thus, discretion is NOT simply doing as you please. Instead, as we will
discuss in detail later in your studies, discretion involves assessing problems
and situations and acting within professional and moral bounds to select
the approach that appears most likely to accomplish the goal, or to get the
job done.
This is not always easy. On some occasions, there may be more than
one goal to accomplish, and they may be competing. Many officers, for example,
have been faced with the choice of whether to apprehend a criminal even though
doing so may put the lives of innocent people at risk. When this happens, or in
any other circumstances, the choice is easier if you always give first priority to
the protection of life: nothing we do is more important than protecting lives,
and nothing we do should ever give any other goal a higher priority than
the priority we give to protecting lives.
The Patrol Guide is constantly changing. New problems arise; new
solutions are devised; new laws and court decisions affect our work, and all may
have an effect on police work. Thus, your Patrol Guide must be maintained and
updated, and is subject to inspection by a supervisor several times each year to
insure that it is being updated. The Guide must be returned to the Department
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when you retire, resign, or are terminated. In the Academy, your instructors will
periodically inspect the Patrol Guide. The Guide is also the primary reference
when preparing for promotional exams.
How to Read the Patrol Guide
Always read the “Purpose,” “Definition,” and “Procedure” statements at
the beginning of each procedure, as well as all the information that applies to
uniformed members of the service. Other categories that contain pertinent
information in each procedure are the “Note” and “Additional Data” sections.
Open your Patrol Guide to procedure 212-09, “Unusual Occurrence
Reports.” At the top right side of the page you will find the caption, "Procedure
Number." The first three numbers indicate the major category listed in the table of
contents. For example, 212 relates to "Command Operations," 217 relates to
"Vehicle Accidents," etc. The number(s) that follow the dash divide the major
areas into specific subcategories. Take time to familiarize yourself with the
outline of the Patrol Guide page.
Each procedure directs specific members/ranks to perform specific tasks.
As a recruit, you will be responsible for all tasks to be performed by “uniformed
member of the service.”

DIRECTIVES AND ORDERS
In any large, dynamic organization such as the Police Department, change
is inherent. The Department notifies members of changes in policy and
procedures through directives and orders. All directives are issued in the name
of the Police Commissioner or his designated representative. They can be found
in each command, in the Commanding Officer's office and posted behind the
desk. You will usually be able to examine the Desk copies or those maintained
in the clerical office. They are indexed and easy to read. As they are published,
Patrol Guide Revisions and Legal Bulletins are distributed to all uniformed
members of the service, at their assigned command. There are a number of
directives with which you should become familiar. They include:
•

Revision Notices are published periodically to amend the Patrol Guide.
A "Revision Notice" will indicate pages to be added, deleted or replaced.
Several amendments may be contained in one Revision Notice, including
directions that minor changes be made in ink in existing procedure pages.
Revision Notice cover pages will be maintained numerically by year in
front of the Guide.

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•

Interim Orders are published to announce and implement new
Department procedures. These orders may temporarily amend or
suspend current Patrol Guide procedures. Interim Orders may be revoked
by publication of a Revision Notice, a subsequent Interim Order, or, in an
emergency, by transmission of a FINEST Message.

•

Operations Orders - contain:
1.

Orders or details relating to a single event or condition that will exist
for a limited time. (i.e., parade, demonstration, etc.)

2.

Instructions, information or directions for compliance with, or
clarification of, an existing procedure to achieve uniform
performance.

3.

Announcement and/or scheduling of members to attend
Department-wide training programs.

4.

Implementation of a pilot project.

Note:

•

Operations Orders expire upon conclusion of the event or situation
that is the subject of the order, or one (1) year after publication
unless otherwise directed.
Legal Bureau Bulletins - contain information concerning newly enacted
or amended laws and regulations of different agencies, pertinent court
decisions, and interpretations and application of laws, which are of interest
to members of the service.
Legal Bulletins are numbered sequentially in the Legal Bureau by volume
and number within a calendar year. Legal Bulletins must be maintained in
each command with all volumes filed in one (1) folder with lowest number
on the bottom.

•

FINEST System - is the computer system that provides each command
with the capability of making direct inquiries to certain state and federal
computer information banks. This computer-based program will provide
information on stolen property, wanted/warrant files, and motor vehicle
owner/driver records.

•

FINEST Messages -The FINEST System also may be used to transmit
amendments to laws, orders, or the Patrol Guide when promptness is
necessary. A subsequent FINEST Message or other Department directive
may revoke FINEST Messages. This computer system also provides a

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message-switching feature that facilitates the exchange of information
between commands within the Department.
Note: All operators of the FINEST System must be qualified after
completing a training course by the Department. Additionally, any
information entered into, or retrieved from, the FINEST is
considered official Department business. The system, for
security reasons, is located in the area of the precinct desk.
Inquiries are made with the permission of the Desk Officer.
•

Personnel Orders - announce appointments, assignments, promotions,
transfers, suspensions, resignations, retirements, dismissals, leaves of
absence, Departmental recognition and dispositions of disciplinary action.
Each time you are transferred or your Department status changes, your
name will appear on this directive.

•

Chief of Department & Bureau Chief Memos - contain instructions and
information affecting the operations and/or functions within the jurisdiction
of the Chief of Department or respective Bureau Chief.

•

Department Bulletins - contain announcements for the general
information of all members of the service, e.g., line or fraternal
organization events, scholarships available and scholarship winners,
seasonal and holiday reminders, various management and other
educational courses available to members of the service, and information
concerning Departmental programs.

Interim Orders, Operation Orders, Personnel Orders, Department Bulletins
and Chief of Department/Bureau Chief Memos are numbered consecutively
commencing with number one (1) on January 1st of each year. All commands
maintain these orders on clipboards with the lowest numbered directive on the
bottom.
•

Board of Ethics Rulings - contain decisions rendered on ethical
questions. For example, a police officer who receives a plaque and a
cash award from a community group for outstanding service to the
community should request a determination from the Board of Ethics
regarding the acceptance of the monetary award. The Board will hand
down a ruling to guide the officer.

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OFF-DUTY CONDUCT

Off duty conduct is as important as your on duty conduct. Inappropriate
behavior by off duty members of the service reflects poorly on each and every
one of us, and is a quick way to end a police career. The worst of this behavior
has involved the use of firearms by uniformed members of the service who had
consumed alcoholic intoxicants. The Department’s policy on this point is clear:
Any misconduct involving a member’s misuse of a firearm while unfit for
duty due to excessive consumption of, and intoxication from, alcohol will
result in that member’s termination from the Department.
The phrase unfit for duty applies to situations other than those involving
weapons. As long as you are in this Department, you will be required to remain
fit for duty at all times except when on sick report. If you compound the
violation of this policy with firearms use, you will soon be looking for other lines
of work, or worse, will find yourself facing prison time. To prevent this, the
Department’s policy is that Members of the Service SHOULD NOT be in
possession of their firearms if there is any possibility that they may become unfit
for duty due to the consumption of intoxicants.
Any misconduct involving members of the service who are found to be
unfit for duty due to excessive consumption and intoxication from alcohol while
armed with a firearm, will result in the charge of “Unfit for Duty While Armed” in
Departmental disciplinary proceedings. In addition to those penalties imposed
as a result of all other charges stemming from the misconduct, strict punitive
sanctions will be imposed for any member upon whom the charge has been
substantiated. Members are also reminded of the Department’s commitment to
the many counseling and assistance programs available for a wide variety of
problems. Members of the service who are experiencing problems related to
alcohol, or know of any other member who may be experiencing problems
related to alcohol, are strongly encouraged to call HELPLINE at (718) 271-7777,
in order to achieve confidential assistance.
While the Department is highly committed to assisting members in
receiving whatever help they need, irresponsible actions of a few members will
not be allowed to tarnish the Department’s image and jeopardize the impressive
accomplishments that the men and women of this Department have achieved
collectively.

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Off-Duty Employment (Patrol Guide 205-40)
Probationary police officers with less than one-year aggregate service
who have not completed entry-level training at the Police Academy are
PROHIBITED FROM ENGAGING IN OFF-DUTY EMPLOYMENT. Once you
have completed your probationary period, you will then be allowed to seek offduty employment within Department guidelines.

THE DISCIPLINARY PROCESS
All organizations require a process through which performance can be
recognized, both positively and negatively. This is the disciplinary process.
Many people think of discipline in very negative terms, but this is so
because they confuse it with punishment, the last and most severe disciplinary
action. In a large organization such as the N.Y.P.D., discipline is the art and
science of getting members to perform in the prescribed ways. There are many
steps involved in this process: it begins with hiring good people who can be
taught and trusted to do the right things. It involves training members so that
they know what the right things are and how to do them. It also involves testing
and supervising their performance; counseling them and correcting their
mistakes. Only when their conduct is so bad and/or chronic should they be
punished.
In an organization of this size, discipline - keeping people from engaging
in inappropriate behavior - is critical. The inappropriate conduct of one
member can affect all uniformed members of the service.
NYPD’s Disciplinary Policies and Practices
Instruction. This agency’s least severe disciplinary measure is an
instruction. Pursuant to this recommendation, the subject officer’s Commanding
Officer is required to instruct him or her regarding proper procedures with
respect to the situation or problem involved. An instruction is a form of retraining and is considered informal discipline.
Command Discipline. The principal responsibility for maintaining
discipline rests with your immediate supervisor, usually a Sergeant. More often
than not, he or she is the person who initiates disciplinary action in the form of a
Command Discipline, which is then referred to the Commanding Officer
(C.O.)/Executive Officer (X.O.) for corrective action.
There are two (2) types of Command Discipline: Schedule A and
Schedule B. Both forms of Command Discipline are informal, and corrective
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measures are imposed by the subject officer’s Commanding Officer. The
penalties, which result from Command Discipline Schedule A or Schedule B
violations, are based on the seriousness of the misconduct, the officer’s
disciplinary record, and the officer’s past performance record. Command
Discipline creates a potential permanent notation on the subject officer’s record.
Command Discipline is a non-judicial punishment available to maintain
discipline within each command. It permits the C.O./X.O. to correct minor
violations without resorting to formal "Charges and Specifications."
If you are the subject of a Command Discipline, you will be scheduled for
an interview with your Commanding Officer/Executive Officer to discuss the
matter. During this discussion, you may have a representative from a line
organization (like the PBA, etc.) present. You will be given the opportunity to
make statements in rebuttal during the interview. At the close of the interview,
your Commanding Officer will inform you of the results of the investigation. If the
allegations have been substantiated, your Commanding Officer may impose
penalties.
A copy of the Command Discipline is placed in your personnel folder. For
specified violations it is removed after one year, provided no subsequent
disciplinary action is lodged against you.
Charges and Specifications. The most serious disciplinary measure is
Charges and Specifications. This refers to the lodging of formal administrative
charges against the subject officer who, as a result, may face an administrative
trial where the Department has determined that adjudication pursuant to the
Command Discipline process would be inappropriate.
Such trials are held either at the Department’s Trial Room located at One
Police Plaza or at the City’s Office of Administrative Trials and Hearings
(OATH). The Department Advocate’s Office is the legal entity that prosecutes
the case on behalf of the Police Department. The subject officer is usually
represented by an attorney and is accorded full due process rights during the
administrative trial.
After the hearing, the administrative trial judge will prepare and forward a
written opinion to the Police Commissioner, along with findings of facts and
conclusions of law and, when appropriate, a recommended penalty. The
penalties can be as severe as termination from the Department. More typically,
however, the recommended penalties are a loss of vacation days or of pay. The
penalty may also be suspension from the job without pay for up to thirty (30)
days. The hearing officer at this proceeding is the Deputy Commissioner of
Trials or his/her assistant. Counsel represents the Department, as well as the
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member involved. Allegations must be proven by a preponderance of the
evidence.
A member of the service given charges may be suspended or placed on
modified assignment pending the outcome of the investigation and department
trial. The primary difference between the two is that suspension involves loss of
pay and all employee benefits, while a member of the service placed on
modified assignment remains on the payroll and retains benefits.
Dispositions
There are various final case dispositions, which apply to cases of Equal
Employment Opportunity, misconduct, or civilian complaints:
Substantiated:

Accused member has committed all of the
alleged act(s).

Partially Substantiated:

Member has committed some or part of the
alleged act(s).

Unsubstantiated:

Insufficient evidence to clearly prove or
disprove allegations made.

Exonerated:

Subject member clearly not involved in any
of the alleged act(s).

Unfounded:

Acts complained of did not occur.

LEAVES, EXCUSALS, AND REPORTING SICK
To assure that Department policy concerning sick leave is not abused, a
Chronic Absence Control Program has been established. Officers who abuse
sick leave are dealt with through the disciplinary process. To formally recognize
officers with exceptional attendance records, certificates are awarded for each
year without reporting sick. These awards become a permanent part of the
member’s personnel record. The Department considers your attendance record
to be an extremely important component of your performance.
The procedures for reporting sick have been described earlier in this
Guide. In addition to sick leave, there are numerous other types of leave and
excusals available to uniformed members of the service. This section
introduces you to the various leaves and excusals and the proper manner in
which to request them.
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Chronic Absence Control Program
Chronic absenteeism is a critical issue for the Department. There are far
too many uniformed members of the service who are designated "chronic
absent." Therefore, to protect the unlimited sick leave benefit as well as to ease
the burdens imposed upon those members who consistently report for duty as
scheduled, a Chronic Absence Control Program is in existence.
Key elements of this program include the following:
1.

A definition of Chronic Absence and the creation of two (2) classifications
for members in that status: Category “A” and Category “B.”
Creation of a Special Medical District to monitor and service the chronic
absent.
Home visits by Police Surgeons and supervisory officers.
Particular emphasis on attendance as a factor in annual evaluations.
Intensified supervision of those in the Chronic Absent category.
Charges and Specifications for Chronic Absent members who violate sick
leave restrictions.

2.
3.
4.
5.
6.

Uniformed members of the service will be designated “Chronic Absent” and
classified in accordance with the following criteria:
Category “A”
A member who reports sick for any reason, except an initial line of duty
absence, or for any hospitalization:
•

4 or more times within a twelve (12) month period.

When a member is initially classified Chronic Category “A,” he or she shall be
notified in writing by his or her Commanding Officer.
Category “B”
A member who reports sick for any reason, except an initial line of duty
absence, or for any hospitalization:
•
•

6 times in 12 months, or;
4 times in 12 months and loses a total of 40 working days (not calendar
days)

Note:

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Note:

The Category “B” designation remains in effect for nine (9) months
from the date of return to duty following last absence.

Note:

Outpatient service such as ambulatory surgery is not considered
hospitalization for the purpose of the Chronic Absence Control
Program.

A Special Medical District operates to monitor and service all members in
Category “B”, regardless of residence and existing medical districts.
Members assigned to the Special Medical District will not be permitted to
utilize the administrative return procedures. These members must visit the
Special Medical District Surgeon each time they report sick.
Category “B” members who report sick and indicate an inability to report
to the Special Medical District when scheduled, will be subject to a home visit by
a Reserve Surgeon. If the Surgeon determines that the sick member was able
to travel to the Special Medical District OR the member displays no objective
evidence of the illness or injury claimed, then the ranking officer accompanying
the Surgeon will prepare Charges and Specifications.
Category "B" members found fit and returned to duty after examination by
the Reserve Surgeon or the Special Medical District Surgeon and who report
sick again for the same reason prior to their next scheduled tour of duty, may be
suspended from duty without pay if, upon subsequent examination by a
Surgeon, no objective findings of such illness or injury are found. Charges and
Specifications will be prepared by the Commanding Officer, Medical Section.
Category "B" members will not be permitted to leave their residence while
on sick leave without the express permission of the Special Medical District
Surgeon. Violations of this prohibition will result in Charges and Specifications
rather than a Command Discipline.
Assignment to Limited Capacity
After an evaluation by a District Surgeon, a uniformed member of the
service may be placed on Limited Capacity due to an injury or illness. On
limited capacity a member of the service may be returned to duty however, he or
she would be assigned to a “non-enforcement activity” (e.g., clerical duties,
answering phones, etc.).
Note:

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It is not necessary to report sick to request a limited capacity
assignment from a District Surgeon.

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Types of Leave
The Department allows various types of leave, such as:
Vacation - All police officers receive an annual vacation; the number of days
granted depends on the member's length of service.
Personal Leave Day - Members of the service in the rank of Police Officer are
entitled to one "Personal Leave Day" per year. It is granted every July and must
be used within a one year time period.
Emergency Day (E-Day) - At times, it may be necessary to request time off for
an emergency. This time will be charged to your available leave balances
(i.e., vacation, lost time, etc.). Such emergencies may include an ill family
member or other serious, unforeseen occurrence. In such cases, you will
contact the Desk Officer at your command and he or she may
approve/disapprove your request.
Lost Time - Occasionally you may find it necessary to request some time off
from your tour, in essence a partial excusal, which will allow you to start later or
leave early. The time will be charged to your available leave balances. A
request for “lost time” must be submitted to the Desk Officer and may be
approved or disapproved.
Leave Of Absence Report
When you want to request leave (e.g., annual vacation, etc.) you must
prepare a LEAVE OF ABSENCE REPORT (PD 433-041) and submit the
completed REPORT to your Commanding Officer/Supervisory Head for
approval, at least five (5) days before leave commences, except in an
emergency. Leave may be denied by your Commanding Officer or may be
terminated by the Police Commissioner depending on the needs of the
Department.

OVERTIME
Compensation for work performed beyond the expiration of a regularly
scheduled tour may occur due to a late relief, an arrest, or other occurrence. In
addition, overtime may be earned due to a detail you are ordered to report to on
a Regular Day Off (R.D.O.), or for voluntary overtime in a special program. The
compensation is time and one-half of your hourly rate. It may be taken in cash
or time. The Overtime Report is filled out by the member performing the
overtime and promptly submitted to the Desk Officer.
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RECORDING POLICE ACTIVITY

During this class you will be issued Activity Logs and become familiar
with the Police Officer’s Monthly Performance Report. An Activity Log is the
book in which you will record your daily police activities.
Your Activity Log entries represent a chronological depiction of the
actions you took or the observations you made during your tour of duty. Keep in
mind that there can be repercussions if you do not document your activity while
on patrol. If you have not properly recorded what you did on that day, you could
be subject to disciplinary charges; or worse, a criminal might go free. It is
doubtful that you would want to place yourself in one of these situations, yet
some officers do. To avoid this, accurately document all actions you take during
a tour of duty in your activity log.
Supervisors will regularly examine these logs for proper entries and place
their signature in the log as verification. These verification signatures are
informally referred to as a “scratch” in your Activity Log.
The Police Officer’s Monthly Performance Report (PD 439-1414) is a
summary of the types of assignments and activity you performed during the
month. It is also used by supervisors to note their comments on the strengths
and weaknesses you have demonstrated during each month.

ACTIVITY LOGS
Activity logs are prepared by all uniformed members of the service below
the rank of captain, except members performing permanent administrative or
clerical duties, or members required to prepare an Investigator’s Daily Activity
Report. An Activity Log (PD112-145) is a bound, serial-numbered book, which
contains sixty (60) lined, security coded pages. The black box at the bottom of
each page is the actual security code. It has been incorporated into the log to
insure that pages are not missing or removed and replaced. An electronic
scanning device may be used for verification, if necessary.
Your Activity Log is used to chronologically record, in military time, all
activities and tasks performed during a tour of duty. Activity Logs are obtained
from a designated supervisor, usually the Desk Officer who will record the serial
number in the Activity Log Distribution Record. The Desk Officer will sign the
appropriate captions on the cover of the log and direct you to fill in your name
and tax registry number. You should examine the log and bring any defects to
the attention of the Desk Officer. For protection, the Activity Log is required to
be carried in a regulation leather binder (which you purchased at the equipment
section). The length of time a log lasts will depend on the amount of entries you
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make. There is no limit to the amount of logs that you will complete throughout
your career. You should use as many pages as necessary to document your
daily activities. The only exception to this is the last line on the last page.
Sufficient space should be left for a supervisor's signature, normally the Desk
Officer, when a log is completed. The Desk Officer will then sign the cover,
make entries in the Activity Log Distribution Record and issue you a new log.
Completed Activity Logs will be stored in your Department locker and be
available for inspection and review upon request from competent
authority.
Activity Logs are frequently used in court as a "memory aid" and in most
cases will be introduced as evidence. Your Activity Log is an official legal
document and it is extremely important, so treat each and every entry as though
it will become a court record (Criminal Court, Civil Court, Traffic Violations
Bureau, Departmental administrative proceedings). Activity Logs may also be
required in proceedings by other government agencies.
It should be noted that a large number of disciplinary charges stem from
improper Activity Log entries. Study the material in this lesson carefully. The
proper preparation of your Activity Log is extremely important.

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Military Time
Military time is utilized on Department forms and records – such as Aided
Reports, Complaint Reports, Activity logs, etc. – to ensure a uniform standard
when recording the time of incidents, and to avoid any misunderstanding when
relaying information quickly. The following are examples of military time:

0030 hours – thirty minutes after midnight
0300 hours – 3 A.M.
0645 hours – 6:45 A.M.
1200 hours – 12 NOON
To convert from civilian to military time (in the P.M. hours) add 1200.
For example 1P.M. + 1200 = 1300
9 P.M. + 1200 = 2100
1300 hours – 1 P.M.
1620 hours – 4:20 P.M.
2000 hours – 8 P.M.
2400 hours – MIDNIGHT

Note: 0300 – 3 A.M. is pronounced zero (or “oh”) three hundred hours
1400 – 2 P.M. is pronounced fourteen hundred hours

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UNIFORMS & EQUIPMENT

One of the first transitions you must make from civilian to police officer is
becoming accustomed to wearing a uniform every day. The New York City
Police Department is a paramilitary organization, which bases its uniform
regulations and courtesies on United States Army regulations. The purpose of
this lesson is to provide training in the proper wearing of the uniform. All of
these regulations are found in your Patrol Guide Procedure No. 204-01.
This lesson will reiterate the importance of maintaining pride in
appearance and decorum within the Department. Throughout your life,
knowingly or not, others are continually judging you even before any type of
verbal communication takes place. Since your first job interview, you have been
scrutinized as to your demeanor and attire. First impressions play an important
role in identifying us as individuals and how we want to be perceived.
The first step toward molding you into a professional police officer is to
incorporate dress standards into your training cycle as specified in the Recruit
Officer Handbook. The reason for wearing the recruit uniform is to allow you to
get used to conforming to the Department’s regimented dress code policy.
Upon graduating, you will be required to wear the prescribed uniform of
the New York City Police Department. The uniform will be worn as a means of
identifying you to the public you are sworn to serve. It is a symbol of authority
and should be worn with pride and integrity. Failure to maintain your uniform not
only reflects upon you as an individual but also on the NYPD itself. Your uniform
is a very important part of your job. It carries a great deal of authority, respect,
pride and tradition.

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REQUIRED EQUIPMENT ITEMS TO BE
CARRIED WHEN ON PATROL IN UNIFORM
Regulation 9mm pistol
Regulation holster
Two magazines
Two leather belts
Activity Log inserts:
Auto Identification
Courtesy, Professionalism & Respect
Corruption Hazards
Emotionally Disturbed Persons (EDP’s)
Spanish Phrases
Street Encounters / Legal Issues
Possible Indicators of Terrorist Activity
Any Other Insert as Required
Domestic Violence/Victims of Crime
Traffic whistle and holder
Regulation handcuffs w/case and key
Baton and holder
Flashlight
Wristwatch
Pepper spray and holder
Dual-purpose disorder control/scooter helmet with face shield, as
indicated in Patrol Guide procedure 203-05.
Reflective traffic safety vest
Four (4) belt keepers
Glove pouch
Mandatory wearing of bullet resistant vest
Uniformed members of the service may carry only authorized firearms at
any time (on/off duty). While on uniformed patrol, lieutenants, sergeants, and
police officers are required to carry or wear the above listed items.
Uniformed members of the service are issued personal protective
equipment by the Counterterrorism Bureau. This equipment is designed to
enhance the personal safety of uniformed members in the event of a disaster or
catastrophic incident, including those of a chemical or biological nature.
Included in this personal protective kit is a tactical response hood contained in a
cloth carry pouch. This item is designed to be attached to the gun belt worn by
uniformed members. It should be carried by, and available to, all uniformed
members performing patrol duty in uniform.
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Uniformed members of the service will carry the tactical response hood
as follows:
a. Members performing patrol duties in a Department vehicle will have the
hood and pouch available in the vehicle;
b. Members performing foot patrol duties and/or assigned to a detail such
as a parade, fixed post, etc. will carry the tactical response hood by
attaching the pouch to their gun belts on the side opposite which the
member carries his or her firearm;
c. Members performing administrative or other duties inside a Department
facility will have the tactical response hood and pouch readily available at
all times.
d. Members will secure the tactical response hood pouch to both their gun
belt and their thigh using the straps and clips provided.
The balance of the personal protective equipment will be carried in
Department vehicles by those members of the service performing patrol duties
in such vehicles. All other uniformed members of the service will have the
balance of the personal protective equipment readily available, e.g. stored in
their Department locker.

DEPARTMENT DECORUM
There are many important aspects to being a professional police officer.
We must act responsibly and professionally and treat each other and the public
with courtesy and respect. Through our values and mission we serve the
people of the City of New York both on and off duty.
One aspect of professionalism that is easily judged by the public is our
image. Without prior information of the abilities of a person or an organization,
we look to their appearance to gain the first impression by which we measure
confidence, ability, and worth. Look to your own personal life when considering
that fact. What first impressions are important to you?
While professionalism in the performance of duty remains one of our
main priorities, officers’ professional appearance and courtesies tend to diminish
as the years pass. As a new recruit, you will learn all the proper procedures of
protocol and courtesies. This should not be lost after you graduate and leave
the Police Academy. Remember, another class will be hired after you graduate.

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PRECINCT ORIENTATION/PATROL SERVICES BUREAU

A New York City Police Officer is a multi-faceted individual with extensive
training in community affairs, crime prevention, investigations, narcotics
enforcement, forensic science, law, and youth relations. The NYPD is the largest
Police Department in the United States and is looked upon as the leader in law
enforcement technology. Many of our officers become specialists in Aviation,
Highway Patrol, Emergency Services, Crime Scene Analysis, Criminal
Investigations, Drug Enforcement and much more.
The NYPD grew from an unarmed, ragtag bunch of night watchman to
today’s 35,000 plus fully armed and trained police force. The Department today
is divided into 8 Patrol boroughs consisting of 76 precincts, 12 Transit Districts,
9 Police Service Areas, Field Training Units, and Borough Task Forces covering
the five boroughs of New York City.
The New York City Police Department is a large organization charged with
a mission of paramount importance; protecting the life and property of the
inhabitants and visitors within the 319 square miles that comprise New York City.
The residents of our City look to the police to prevent crime and preserve order.
This challenge is not an easy task for our Department, yet we fulfill our obligation
daily. The following portion of this section discusses the organization of the
Patrol Service Bureau and precinct orientation.

PRECINCT ORIENTATION
Commanding Officer (C.O.)
A Precinct Commanding Officer (C.O.) has total responsibility for a
specific command and its day-to-day functions. Although the C.O. is not
normally involved in the handling of routine incidents, he or she may, from time to
time, monitor the performance of members on patrol. The C.O. also initiates
investigations and coordinates operations at certain serious incidents that occur
in the command. Another function of the Commanding Officer is to investigate
incidents in which members of their command are involved, and to take
corrective action when necessary. As described earlier, the C.O. administers
and adjudicates Command Disciplines, reviews requests for Departmental
Recognition and makes personnel assignments within the command. The C.O.
of a patrol command is usually a Captain, but in certain large or particularly
sensitive commands this position may be held by a Deputy Inspector or above.

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Executive Officer (X.O.)
This ranking officer (usually a captain), assists the C.O. in directing the
activities of the command, and assumes the responsibilities of the command
during the C.O.’s absence. Known as the X.O., the Executive Officer is
responsible for the supervision of the administrative functions in a command as
well as the coordination of all specialized units within a command.
Duty Captain
On each tour, a member in the rank of captain is designated to provide
command level coverage in those commands within the borough where neither
the C.O. nor X.O. is performing duty. The Duty Captain will be notified of any
incident normally brought to the attention of the Commanding Officer. The Duty
Captain will also monitor the performance of members on patrol, and visit
commands within the Borough, taking corrective action when required.
Operations Coordinator
This ranking officer (usually a lieutenant) performs duty in uniform
assisting the Commanding Officer in administrative matters. This person
supervises the command’s clerical staff, including:
Planning Officer - Assists the C.O. by analyzing command conditions
and making recommendations concerning the use of personnel and
resources to achieve goals.
Training Sergeant - Conducts training in the command on Department
procedures maintains the precinct library and distributes Patrol Guide
revision notices.
Special Operations Lieutenant
In conjunction with and at the direction of the Commanding Officer, this
Lieutenant acts as the problem solving coordinator for the command.
Specifically, the duties of the Special Operations Lieutenant include:
•

Identification of major crime and quality of life problems affecting the
command.

•

Performing an analysis of the identified crime and quality of life problems
in order to separate them into their essential components.

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•

Designing a response utilizing command, Department, and community
resources, and where possible the resources of other agencies.

•

Implementation of the designed response.

•

Evaluation of the effectiveness of the response and any modification, if
necessary.
Additionally, the Special Operations Lieutenant supervises the following:
School Safety Sergeant - Assists the precinct commanding officer in
developing and implementing the precinct school safety plan and the
coordination of precinct resources to address developing school-related
conditions. The School Safety Sergeant is the liaison between precinct
personnel, school principals and other staff.
Anti-Crime Teams - Contain experienced personnel who identify, and
conduct investigations of locations of high crime within the precinct. The
Anti-Crime teams perform duties in civilian attire and work according to
crime trends.
Street Narcotic Enforcement Unit (SNEU) - Concentrate strictly on
Narcotic-related offenses. The personnel assigned to this precinct unit
perform duty in uniform and work according to crime conditions.
Community Policing Unit (CPU) - The members of this unit strive to
achieve the following goals:
•

Involve the community in identifying its own public safety concerns
and elicit input in setting the Department’s priorities.

•

Increase community participation in policing activities and
community based public safety programs.

•

Exchange information with the community on a regular basis.

•

Non-traditional tactics and strategies.

•

Coordinate strategies for addressing community problems with
other agencies and private organizations.

Warrant Officer - Performs duty in uniform and performs tours conducive
to the apprehension of targeted fugitives, as directed by the commanding
officer. Precinct warrant officers pursue all misdemeanor and violation
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warrants that are forwarded to the command for individuals residing within
command boundaries.
Crime Prevention Officer - Conducts crime prevention surveys of
premises and makes recommendations concerning security. This officer
also evaluates crime patterns within the command and institutes programs
to combat them.
Traffic Safety Officer - Performs tasks related to:
•

The enforcement of traffic violations, primarily at locations
designated as “accident or violation prone.”

•

Conducts speed surveys at identified “speeding” locations routinely.

•

Inspects the Highway Condition Record & Weekly Street Conditions
Survey Reports.

•

Assists School Crossing Guards in court hearings.

•

Reviews and signs all Traffic Intelligence Reports and Police
Accident Reports.

Youth Officer - Coordinates command programs (such as the PAL,
school and community programs, etc.) and investigates Juvenile Reports
submitted by police officers for non-serious offenses and incidents. Works
as a liaison with School Safety Agents assigned to schools located within
that command.
Auxiliary Police Coordinator - Coordinates all of the auxiliary police
programs in the precinct. Duties include recruitment of new members,
inspection of auxiliary police officers (APO’s), and assisting the
commanding officer and special operations lieutenant in meeting the
command’s problem solving objectives.
Peddler Enforcement Personnel - Are utilized to address chronic
peddling conditions that affect the overall quality of life in a precinct. The
personnel assigned to these operations enforce various laws concerning
the sale of food and merchandise on public streets and sidewalks.
Note:

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Individual members of the service may perform any of the above
listed officers’ duties. If the workload in a command is light, one
member may perform two or more roles (for example, the CPU
Officer may also perform the duties of the Youth Officer).
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General Regulations

Command Integrity Control Officer (ICO)
As the title implies, this ranking officer’s main responsibility is to keep a
check on corruption within the command. The ICO may visit courts to observe
members’ conduct, inspect command records and perform similar duties to
monitor the level of integrity within the command. This member, usually a
Lieutenant, performs no other duties other than integrity control. The ICO will
conduct investigations and submit responses to official communications received
from the Internal Affairs Bureau and patrol borough investigations units when so
assigned by the Commanding Officer.
Platoon Commander/Precinct Desk Officer
This lieutenant is responsible for all command operations during the tour
performed. For this reason, the platoon commander is usually assigned as the
precinct desk officer. The commanding officer may, however, direct the platoon
commander to divide his/her time and movement during the tour between the
field and command facility. In this case, a sergeant may be assigned as the desk
officer. The platoon commander will usually respond to emergency situations
occurring in the field such as mobilizations of personnel, homicides, firearm
discharges by members of the service, etc.
The desk officer is directly responsible for several members of the service
who perform duty inside the command during the tour. These include:
Command Clerk - is assigned to a space adjacent to the Precinct Desk.
The individual assigned may be either a uniformed or civilian member of
the service and is responsible for recording, filing, and indexing most of
the paperwork generated by patrol personnel. This office is informally
known as the “124 room,” after the section of the Department’s former
Rules and Procedures that described the clerk’s duties.
Telephone Switchboard Operator (T/S) - may be a civilian or a police
officer. The T/S Operator will answer the telephone promptly, stating in a
Courteous, Professional and Respectful manner, command, rank or title
and surname and “May I help you?” He/she will refer callers appropriately
and notify the Desk Officer of important messages. The T/S Operator
maintains several records:
•

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HIGHWAY CONDITIONS RECORD - This records the disposition
of complaints made to the command which affect other agencies.

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•

OUTGOING TOLL CALLS - A record of phone calls concerning
Department business made outside the 212, 718 and 646 area
codes by members of the service.

•

TELEPHONE DISPATCH LOG - A record of calls dispatched by the
command and not the radio dispatcher (911). Such assignments
are known as “a job from the house,” and are reported by the
assigned unit to the Radio Dispatcher (“Central”) as a “10-61 Precinct Assignment.” The assigned unit will report the disposition,
or a final result, of this assignment to the Telephone Switchboard
Operator, who will make an entry in the Telephone Dispatch Log.

Field Intelligence Officer - This officer is the Intelligence Division’s
liaison to local patrol precincts. He or she is assigned to the Intelligence
Division, and serves as the precinct’s expert on intelligence.
Community Affairs Officer - Watches community conditions within the
command and attends meetings with various civic groups. This officer
administers and assists the Community Council, Youth Council, Police
Athletic League, Summer Youth Program, and others. The Community
Affairs officer falls under the supervision of the borough and is assigned
by the Deputy Commissioner of Community Affairs.
Patrol Supervisor
The Sergeant assigned as the Patrol Supervisor is responsible for all
police field operations within the command during his or her tour of duty. Among
the Patrol Supervisor’s responsibilities are:
•
•
•
•

Conducting roll call, if directed by the Platoon Commander.
Immediately responding to and directing activities at radio runs involving
weapons, serious crimes, burglaries and emergencies.
Visiting members of the service to ensure that assignments are being
performed correctly and indicating visit by signing members’ activity logs.
Keeping the Platoon Commander/Desk Officer notified of matters of
importance.

PATROL DUTIES & RESPONSIBILITIES OF A POLICE OFFICER
The duties and responsibilities of a police officer assigned to patrol are
defined in the Patrol Guide. These are the basic regulations you as a police
officer must comply with when assigned to either foot or radio motor patrol
(RMP).
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General Regulations

These regulations address the everyday conditions you may encounter
and the appropriate procedures to follow if corrective steps become necessary.
These conditions may include redirecting traffic, reporting an unsafe street
condition, and/or any other unsafe condition that may affect the community you
serve. They also include specific procedures that must be followed when you
complete a tour of duty. Supervisors must account for each member of the
service to ensure that they have returned to the command. If it becomes
necessary to work past the end of your scheduled tour of duty to complete an
assignment, there are specific actions you must take. This will assist your
supervisor in being able to account for your whereabouts. It is a very serious
matter when a member of the service cannot be accounted for after a tour of
duty.

TYPES OF PATROL
Vertical Patrol. This is the tactically planned patrol of the interior
hallways, stairways, and rooftops of selected multiple occupancy buildings to
prevent, detect and take necessary enforcement action regarding illegal activity
occurring in public areas of these buildings. A uniformed member of the service
responds to a specific location at a designated time, and coordinates activities
with other assigned members. Officers will make Activity Log entries of results of
Vertical Patrol. (See Patrol Guide Section 212-59)
Directed Patrol. Officers are assigned to patrol an area at a time when
they are most needed. Precinct statistics determine the time and locations to
assign this coverage. For example, a number of auto thefts may have taken
place within a small area at a particular time of the day. The result of these
incidents may be the assignment of officers to the location in question during the
time when incidents are most likely to occur.
In order to combat burglary conditions, patrol officers may utilize the
Trespass Affidavit Program. This program enables patrol personnel to conduct
vertical patrols in buildings that have identified crime patterns and other quality of
life concerns with the permission of the owner. Additionally, the owner agrees to
prosecute those found to be trespassing by completing an affidavit, which will
enable prosecution.

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MANDATORY PATROL GUIDE READING

The following are Patrol Guide procedures that must be added to this
chapter – General Regulations. These procedures must be read in conjunction
with this chapter. Questions for the 1st Trimester Exam may come from these
procedures:
202-21
202-22
202-23
203-02
203-03
203-04
203-05
203-06
203-07
203-08
203-09
203-10
203-15

203-16
203-18
203-19
203-20
204-01
204-02
204-03
204-04
204-08
204-09
204-15
204-16
204-17
205-01
205-02
205-03
205-17
205-25
205-26
205-27
205-40
205-45
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Police Officer’s Duties and Responsibilities
Radio Motor Patrol Operator
Radio Motor Patrol Recorder
Courtesies
Compliance with Orders
Fitness for Duty
Performance on Duty – General
Performance on Duty – Prohibited Conduct
Performance on Duty – Personal Appearance
Making False Statements
Public Contact
Public Contact – Prohibited Conduct
Off Duty Conduct – Attendance at Parades, Funerals, Memorial
Services and Other Department Oriented or Law Enforcement
Events
Guidelines for Acceptance of Gifts and Other Compensation by
M.O.S.
Emergency Notification Procedures/Residence Requirements
Vacation Policy
Authorized Leave
General Uniform Regulations
Uniform Classifications
Uniforms
Optional Uniform Items
Firearms: General Regulations
Required Firearms / Equipment
Shields, Nameplates and I.D. Cards
Emblems, Insignias and Breast Bars
Mourning Bands
Reporting Sick
Reporting Sick from Outside City and Outside Resident Counties
Responsibility for Weapons While Sick
Overtime
Bereavement Leave
Jury Duty Leave for Uniformed Members of the Service
Pregnancy Related Guidelines For Uniformed Members of the Service
Off Duty Employment
Chronic Absence Control Program
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206-02
206-03
206-04
212-02
212-03
212-08
212-32

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Command Discipline
Violations Subject To Command Discipline
Authorized Penalties Under Command Discipline
Meal Period
Expiration of Tour
Activity Logs
Off-Duty Incidents Involving Uniformed Members Of The Service

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Introduction to Law and Justice
WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT LAW AND JUSTICE?
Maintaining a just and orderly society through proper application of the
law is one of the major tasks of the police. This job cannot be done unless
officers have a thorough understanding of the law as it applies to their work.
In some cases officers begin the legal process themselves when, for
example, they make an arrest or issue a summons. In other cases, as when
they refer injured persons to civil courts, officers serve as the guides to
citizens who believe that they have been victimized in ways that may not
involve criminal behavior. For the police, therefore, the law is a tool that, in
the appropriate circumstances, should be used to accomplish legitimate
purposes.
Like any other tool, the law must not be abused. When people file frivolous
lawsuits – those that have no merit or are designed to harass someone, rather than
to right a wrong – they abuse the law. Officers abuse the law when they
discriminate against certain groups of people, or use the law inappropriately to
decide who should get a summons, be arrested, or merely warned. Because law is
so broad and because the possibilities for abuse – intentional or unintentional – are
so great, it is important that you understand not only the details of the law, but also
what the law is designed to accomplish. Then, when faced with situations that
involve the application of law – “Should I arrest this individual or send him on his
way?” or “Should I give this person a summons or a warning?” – you will have a
clearer guide to the appropriate action.
In these situations, justice is what you should be seeking to accomplish.
Dictionary definitions of justice include words and phrases like fairness and
objectivity; impartial adjustment of conflicting claims; establishment or enforcement
of rights; truth; fact; and reason. For our purposes, justice is doing the right thing for
the right reasons. Justice is blind in the sense that it does not play favorites or act
against people because of who they are, rather it is what they have done. Justice is
objective and reasonable, in the sense that those who administer it can explain why
they have taken particular actions in ways that make sense to both lawyers and
citizens. When a police officer is asked to explain why he has stopped and frisked a
person, for example, he must be able to give an answer that is based upon his
observation of specific suspicious activities, rather than to answer in ways that are
subjective and unreasonable. If an officer sees a person who, late at night, is
carrying a car radio, ducking in and out of the shadows, and looking over his
shoulder, it would be reasonable for the officer to conduct a stop and question.
Indeed, most of us would demand an explanation from any officer who did not stop
and question such a person. But an officer who conducts a stop and question
merely because, by virtue of race or some other characteristic, a person appears not
to belong in the neighborhood is abusing the law. Such an officer cannot explain
why he has taken these actions without showing that he has violated a central
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Introduction to Law and Justice
principle of law and justice: it is illegal and unjust for the police or any other
agent of justice to take action against a person merely because he or she
belongs to a particular class of people.
When you are working on the street, you can take police action when you
believe people have done something wrong; but you may not take action merely
because people are a particular gender, race, or age, or because they appear to
have a particular sexual preference or may hold a view that you do not share. The
law is intended to protect society and its members from wrongful actions or from
wrongful failure to perform legally required actions. Those who use the law for other
purposes act unjustly.
You should see by now why the material in this chapter is important: law and
justice are the heart of police work. The law also is complex, and has many
sources. If you do not understand the law, it is very easy to unintentionally cross the
line and to use it in ways that create injustice. If you do not understand the law, you
won’t be able to explain justifiable actions in ways that make sense to the judges,
lawyers, and others who may review them. Others will then believe that you acted
unjustly. They will come to distrust you and other police officers. For obvious
reasons, you should not let this happen.
There are other important reasons for you to know the law. As a police
officer, you will have to apply the law quickly, in situations that do not allow room for
error. If you fail to do the right thing in these situations, the consequences, for you,
may be costly. Here’s an example:
You are walking your beat one day when a druggist runs out of his
store and tells you that he was "just robbed by a man with a gun." He
points to a man running down the street and says, "That's him, Officer."
You run after the suspect, but soon realize that you can't overtake him.
You also realize that if you don't apprehend him, you may be permitting
a dangerous criminal to escape. Can you lawfully use your gun to stop
him? Should you use it? What if you could catch the suspect, but
before you actually overtake him, he runs into a private home? Can
you pursue him inside? If you do enter the home, can you search the
interior until you find the suspect? What rights does the suspect have?
What is your authority?
These are tough questions, and street-level police work does not give officers
the time to go searching through law books for the correct answers. On the street,
you will have to know the answers then and there, or will have to live with the
consequences. KNOW THE LAW AND ITS LIMITS ON YOUR AUTHORITY so
that, on the street, you unhesitatingly do the right thing, and can then explain why
you did what you did.

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Introduction to Law and Justice
WHAT IS LAW?
Law is a set of rules, and rules are essential to an orderly social existence.
Without rules, society would deteriorate into anarchy. Our society, like most others,
employs different types of rules to encourage desired behavior among its members
in a variety of settings. For example, religious groups have rules that define their
systems of belief, and professional organizations have rules to define their systems
of ethics. Social groups – high school kids; groups of friends; people in a
neighborhood – employ informal rules, or norms, to guide the behavior of their
members and to exclude those who do not conform to their rules.
Law is the most formal part of this system of social regulation. Simply put,
law is the set of rules formulated by a government and interpreted by its courts.
When a high school kid violates the rules, or norms, of her group – by dressing
outlandishly, by acting in ways that are not “cool” – she may suffer an informal
penalty: nobody will want to associate with her. When the same person violates the
law, enforcement is done by government, in very formal ways that are recorded and
that may affect one’s life forever.
In order to live in an ordered society, people surrender some of their
freedoms. The strong surrender their ability to overpower the weak and the smart
surrender their ability to take improper advantage of others. In return, society’s
members get a major benefit: the law assures that they will be protected from others
and that, if they are hurt by others, society will act on their behalf to bring the
violators to justice. Philosophers call this exchange – surrendering one’s right to
hurt others in order to receive society’s protection – the social contract. It is a
critical part of civilized life, even though it is not always achieved: not all crimes are
prevented; not all criminals are caught; not all the criminals who are caught receive
the punishment we may think they deserve. Still, it is not difficult to imagine what life
would be like if law and the social contract were not the major feature of the
relationship between citizens and the government. When law and the social contract
break down – as in riots, vigilantism, and anarchy – life becomes a matter of every
man for himself, and order turns into violence, vengeance, exploitation, theft, and
destruction.
The police are a critical part of the social contract and a professional police
service is one of the hallmarks of an advanced and civilized society. Reflect on this
for a minute: you are a recruit police officer in the greatest, most advanced, and
most civilized city in the world. That should be a source of great pride and
encouragement to do the very best police work you can.

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Introduction to Law and Justice
SOURCES OF AMERICAN LAW
Law in the United States comes from four main sources:
1. The English Common Law
2. The U.S. Constitution
3. Statutes
4. Court Decisions (case law)
1.

The English Common Law

For several hundred years, prior to the creation of the English Parliament that nation’s legislative body - royal judges settled legal disputes. At that time, there
were no formalized, written legislative laws to guide the judges. In these
circumstances, the principles that emerged from the judges’ decisions became the
Common Law, or Customary Law, the traditional legal notions, or precedents that
guided judges in subsequent cases.
The American colonies and the early American Republic based their laws on
the English Common Law. In the nineteenth century, state legislatures began to
enact formalized written laws, borrowing much from the Common Law. Many of our
contemporary definitions of crimes – murder, manslaughter, robbery, arson, etc. –
are derived directly from the English Common Law. Also based on English Common
Law are many of the procedural principles and safeguards built into our current
written laws. These include the presumption of innocence and the right to crossexamine one’s accusers.
2. The United States Constitution
The United States Constitution was originally designed as a blueprint for a
federal system, defining the powers of the central government and its relationship to
the states. Concerns over safeguarding individual liberties soon led to the
enactment of the Bill of Rights, the first ten amendments to the Constitution. The
Constitution is the fundamental written law of the United States, which means that
no other written law or court decision is permitted to conflict with its provisions. In
addition to the U.S. Constitution, each of the states has enacted its own constitution
to define state powers and limitations.
3. Statutes
The formalized written laws enacted by a legislature are called statutes.
Since the U.S. Constitution was the first such written law in this country, it is properly
considered our primary statute. Similarly, the United States Congress is the federal
legislative body, and its laws apply to the federal government, the states, and the
citizens. Every state has its own legislature, which enacts laws applicable only
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within that state. Also, many municipalities have lawmaking bodies; in New York
City, the legislative branch is the City Council, which passes local laws and
ordinances (like health codes) applicable only within the City of New York.
4.

Court Decisions

The role of the courts is to interpret the U.S. Constitution and other federal
and state statutes. These interpretations, written as court decisions, are known as
"case law," and have developed in much the same way as the English Common
Law. The U.S. Constitution provides for a federal court system, composed of the
United States Supreme Court and lower Federal Courts. Every state has its own
court system. In New York State, the highest court is the Court of Appeals.
Criminal Law and Civil Law
The legal classifications, embodied in the social contract, are reflected in the
difference between civil and criminal law.
Criminal law is designed to protect the public interest by preventing and
punishing conduct that society deems to be wrongful or undesirable. Under the
criminal law, an "offense" – a robbery, an assault – is a wrong against the state, and
is punished by the state. Let’s say John Smith is arrested for assaulting Mary Jones
and the case goes to court. Although Mary has been victimized, the case won’t be
titled Mary Jones versus John Smith. Instead, it will be called The People of the
State of New York versus John Smith because John has hurt The People of the
State of New York. The state – through their elected representative, a district
attorney – will initiate the charges and try the case against John. If the state
succeeds in convicting John, he will pay his debt to society, by spending time in
prison. The case is an action brought by the state rather than by Mary. Mary thus
acts as a witness for the state rather than the plaintiff, which is the state. By acting
to punish John for the assault, the state is living up to its end of its social contract
with Mary. By punishing John, the state also sends a message to other would-be
perpetrators: Before you victimize anybody, think carefully about what happened to
John. This message is believed to deter others from committing similar crimes.
Civil law deals with wrongful acts, called torts, which are civil wrongs causing
injury, for which offenders may be liable to compensate victims. Tort cases are
typically brought directly by the persons who have been injured by wrongful acts.
Civil legal actions, or lawsuits, are private matters between the wrongdoer and
victim, although government courts adjudicate these disputes. A criminal legal
action (prosecution), on the other hand, is initiated by a government prosecutor (in
New York, the prosecutor is called the District Attorney) on behalf of the public.
Some torts involve conduct that is wrongful and that causes injury or damage,
but that may not involve any crime. Take, for example, a motorist, whose foot hits
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the car’s gas pedal rather than the brake, causing the car to crash into a neighbor's
garage. The motorist has committed a wrongful act, a tort, but not a crime. In such
a case, the neighbor – whose property has been damaged by this tort – may initiate
a civil legal action, a lawsuit, to recover from the motorist the cost of repairs to the
garage.
Some criminal matters may involve no immediate injury or damage to
anybody. These are called public order offenses because the damage is done to the
good order of public life, rather than to any member of society or to property.
Motorists who operate their vehicles while intoxicated commit the offense of Driving
While Intoxicated. They are prosecuted by the district attorney, and may be
sentenced to prison terms if found guilty at trial. But, unless they have been
involved in accidents while intoxicated, their crimes involve no torts. The same
principle applies to other public order offenses that do not involve torts, including
possession of drugs; disorderly conduct; prostitution, and public intoxication.
In many cases, both a criminal case and a civil case may arise from the same
wrongful act. The prosecutor will bring the criminal case, while the victim brings the
civil case. Both cases will be brought independently from each other, in different
courts. The case of John Smith’s assault of Mary Jones, for example, involves both
a crime and a tort, since it is also a civil wrong to assault someone. John hurt Mary
as well as the state. Therefore Mary could sue John for compensation regardless of
whether he was convicted of the criminal charges. Her case would be titled Mary
Jones versus John Smith and be tried in civil court.
This is precisely what happened in the notorious O.J. Simpson case. Mr.
Simpson was acquitted of criminal murder charges in People of the State of
California versus O.J. Simpson, prosecuted by the Los Angeles District Attorney.
Later, the father and mother of Ronald Goldman, the young man who had been
killed along with Mr. Simpson’s ex-wife, brought a civil suit against Simpson (Fred
Goldman and Sharon Rufo versus O.J. Simpson), alleging that he had committed a
tort against them by killing their son. Largely because the rule of evidence in civil
cases is different from those in criminal cases, Simpson lost this case.

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Comparison of Civil Law with Criminal Law
The differences between civil and criminal law are outlined in the following
chart:
CIVIL LAW (TORT)
Results from a wrong committed by one
individual against another individual

CRIMINAL LAW (OFFENSE)
Results from a wrong committed against
society.

Action instituted by the person who
has been wronged

Action instituted by the State (District
Attorney).

Object is compensation: payment of
damages or compelling of an action

Object is to bring the offender to justice,
to deter the offender or others, or to
reform his conduct so that he can then be
a useful member of society.

As a professional police officer, it is imperative that you understand that your
role is not limited to enforcing criminal statutes. Your assistance will be requested
by persons seeking aid in civil matters, such as disputes involving storekeepers and
customers, or landlords and tenants. Although you may not always be able to settle
these conflicts, you are a resource to the community. Your knowledge of the law,
your training and experience, are valuable tools in problem solving. Use them to
address matters that are civil in nature and to develop strategies that will enhance
the overall quality of life. Providing information and making referrals to courts or
other agencies can be a helpful step in resolving most civil disturbances. Your
genuine interest in solving the community's problems will help create trust and
facilitate communication. Remember, be innovative! Lend whatever assistance you
can, consistent with department guidelines. As you do this keep in mind that these
guidelines prohibit you from referring citizens to specific attorneys or law firms.
Types of Offenses
The Penal Law of the State of New York defines an offense as any conduct
for which a jail sentence or fine may be imposed. Under New York State law, all
offenses fall into one of four categories, under two broad headings:
1.

Crimes
a.
Felonies
b.
Misdemeanors

2. Petty Offenses
a.
Violations
b.
Traffic Infractions
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Introduction to Law and Justice
A felony is a crime that is punishable by imprisonment in a state prison for a period
of more than one year.
A misdemeanor is a crime that is punishable by imprisonment in a city or county jail
for a period of more than 15 days, but not more than one year.
A violation is an offense that is punishable by imprisonment in a city or county jail for
a period of up to 15 days.
A traffic infraction is any violation of vehicle and traffic laws or rule which is not a
felony, and which usually requires only a fine to be paid.

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Introduction to Law and Justice
HOMEWORK
1.

The fundamental law in the United States is the:
A.
B.
C.
D.

2.

The law in the United States comes from four main sources. Which of the
following is not a source of American law?
A.
B.
C.
D.

3.

Private wrong
Public wrong
Prosecuted by the state
Objective of punishment is to deter and reform offenders

Consider the following acts. Next to each, note whether it is civil and/or
criminal.
A.
B.
C.
D.

5.

English Common Law
Federal and State Constitution
Legislative enactments
United Nations Charter

Laws may be divided into two main categories: civil law and criminal law.
Look at the following statements and note whether each is a characteristic of
civil or criminal law.
A.
B.
C.
D.

4.

Monroe Doctrine
State penal codes
Federal legislative enactments
Federal Constitution

Joe backs his car out of a driveway and accidentally hits a parked car
Mary steals a fur coat
Tom refuses to pay his rent
Tom's landlord kicks him in the knee

Violations of the Penal Law are all called offenses. However, only certain
offenses are crimes. Which of the following offenses would be crimes?
A.
B.
C.
D.

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6.

Answer the following TRUE or FALSE:
A.

Although police officers are primarily involved with criminal law, they
often encounter persons seeking assistance regarding civil matters.
_________

B.

Regulations enacted by the City Council apply throughout the state.
_________

C.

All felonies are crimes. _________

D.

All crimes are felonies. _________

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Introduction to Law and Justice
THE U.S. CONSTITUTION AND THE BILL OF RIGHTS
As a newly sworn police officer, you have taken an oath to uphold and defend
the Constitution of the United States. These are not just empty words to be recited
at ceremonial occasions. As police officers in a free society, you must strive to
preserve law and order while respecting our most precious freedoms.
Our Founders were weary of living under tyrannical rule and sought to limit
the power of the government and still maintain order; the Constitution was the result.
The Constitution presents a major challenge to the law enforcement community:
How do the police protect the citizenry and enforce the social contract without
violating the rights and freedoms that make life in this country the envy of the world?
Effective policing requires more than mere knowledge of the law and the
Constitution. Police officers must respect the rule of law and the rights guaranteed
to all under the Constitution.
You, as a police officer, are responsible to enforce and ensure these
protections for all people. The people grant your authority as a police officer and,
ultimately, it is the people to whom you and all other governmental employees are
accountable.
The Constitution contains seven (7) articles and twenty-six (26) amendments.
A copy of the preamble of the Constitution - as well as the Bill of Rights - is included
at the end of this chapter.
THE ARTICLES
Article 1 provides the legislative power of the government, and establishes a
Congress, consisting of the Senate and House of Representatives, elected by the
people.
Article 2 places the executive power of the government in the President. It is under
this article that the President is given the power to appoint the United States
Attorney General as the head of the Department of Justice.
Article 3 establishes the Supreme Court. It also authorizes Congress to establish
lower federal courts.
The first three articles of the Constitution are very important because they
establish the legislative branch of the federal government that makes the law, the
executive branch that enforces the law, and the judiciary branch that interprets the
law. The remaining four articles are concerned with relations between the states,
amendment procedures, debts, treaties, and ratifications. These certainly are
important – but the balance of powers among the executive, legislative, and judicial

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branches that has kept our government on course for more than 200 years is
defined in the first three articles.
THE BILL OF RIGHTS
The first ten amendments to the Constitution are called the Bill of Rights.
They define the basic rights of individuals in American society. The Founders were
concerned about potential abuses by the newly created federal government and
wanted guarantees for certain personal liberties. They wanted to assure that
citizens were protected from the kinds of governmental abuses that had caused
them to rebel in the first place.
Many of the first ten amendments concern the rights of persons accused of
committing crimes. One of the fundamental goals of the U.S. Constitution was the
limitation of government authority. While police agencies did not exist at that time,
the Founding Fathers sought to limit government intrusion into people’s homes,
persons, and papers without good reason. The Founders recognized that broad
authority to search was subject to abuse, and they prohibited it. It would also be
easier to obtain criminal convictions if the prosecutors and judges could wield
coercive power in court. But this also was unacceptable to the Founding Fathers, so
they wrote safeguards into the Bill of Rights protecting criminal defendants against
the coercive power of the state. Also, a presumption exists that a person charged
with crime is considered innocent unless and until the state convinces a jury of his
peers that he was guilty beyond a reasonable doubt. At U.S. criminal trials, contrary
to the practice in some other parts of the world, accused persons have no duty to
establish their innocence, and they have the right to a public trial by a jury of their
peers.
The central tenet of our democracy is the freedom to agree or disagree with
governmental actions and policies. Because we are free to speak, write and vote as
we please, changes in our government are brought about by voting rather than by
revolution. The Constitution guarantees the right of everyone to express his or her
views, however unpopular these views may be. If we refuse to let people with whom
we disagree speak their minds, we deny a fundamental right in a democracy.
When the right of every individual to express himself freely is not protected,
our system of law and government, and our basic philosophy of the rights of
individuals will have failed. When the infringement of constitutionally protected rights
is permitted because of "special cases" or "special circumstances," for example,
denial of a fair trial to a "notorious criminal," the next step may be a breach of basic
rights whenever the government chooses. Our legal system does not exist to
guarantee rights only to "certain people." Rather, the Constitution and its
amendments protect the rights of ALL of the people, all of the time.

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Nothing is more important to the protection of our liberties than a police force
that is knowledgeable and respectful of the Constitution. Although the Constitution
severely limits the powers of the police, those limits must be respected rather than
viewed as an obstacle to effective law enforcement. The fact is that the goals of law
enforcement can be accomplished within the limits placed on us by the Bill of Rights.
The amendments discussed in this chapter are of particular relevance to
police officers in that they deal with the rights of the accused and other issues
affecting policing.
FIRST AMENDMENT
The First Amendment is simple and clear:
Congress shall make no law respecting an establishment
of religion, or prohibiting the free exercise thereof; or
abridging the freedom of speech, or of the press; or the
right of the people peaceably to assemble, and to petition
the Government for a redress of grievances.
The five freedoms contained in this amendment are basic to the American
way of life. Freedom of religion, speech, press, and the right to peaceably assemble
and petition the government for a redress of grievances are cornerstones of our
democracy. However, none of these freedoms is absolute and must be balanced
with the rights of society as a whole. As the Supreme Court has observed, the right
to freedom of speech does not authorize anyone to shout “FIRE!” in a crowded
theatre because doing so would unreasonably and unnecessarily endanger life.
By 1787, when the Constitution was written, the founders knew it would be
necessary to separate Church and State. They wanted to make sure that religion
would be neither aided nor oppressed by the government. This clause prohibits the
federal government and, the state governments as well, from telling a person what
she may believe about religion, what forms of religious exercise she may practice, or
whether she must believe in religion at all. Exceptions include practices that may
endanger the health of citizens, such as rites with poisonous snakes, bigamous
marriages, or use of hallucinogenic substances in rites (see also the section on
Demonstrations). The government may not, however, restrict any religious or antireligious belief, regardless of how unusual or bizarre it may appear to most people.
Freedom of speech means that citizens have a right to express ideas. This
guarantee is not limited to an expression of ideas that are shared by the majority.
Freedom of speech and freedom of the press permit the free exchange of ideas for
bringing about political and social changes desired by the people. It also keeps the

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people fully informed about the acts or misconduct of public officials, as well as
keeping the public generally well informed. A well-informed public is the best
insurance for the continuation of our democratic society.
As the crowded theatre example indicates, freedom of speech is not an
absolute right. The amendment does not give anyone the right to speak or write in a
way which will result in physical injury to another person or his property, or which will
incite criminal activity, or which advocates specific immediate action toward the
overthrow of the government by force.
Although people may express any political theory they wish, speech or writing
which incites others to violence is not protected by the Constitution.

DISCUSSION
1. While standing on a street corner in New York City, John voices his objections to our
government’s policy in the Middle East. He states that the President is an "idiot."
Discuss.
2. While standing on a street corner in New York City, Jim makes a speech that
protests American foreign policy. He tells his followers that the only way to change our
foreign policy is to shoot all congressmen. Discuss.
•

Suppose Jim had a number of loaded rifles available in his house? Would this
change the situation? Discuss.

•

What if the crowd was armed with rifles and traveled to City Hall to shoot a visiting
group of Congressmen?

The clause of the First Amendment dealing with peaceable assembly protects
all lawful meetings or gatherings, regardless of the views to be discussed or
debated. It also protects citizens' rights to picket – a right that has been exercised in
labor-management disputes and civil rights demonstrations. In general, picketing is
protected by the First Amendment so long as it is for a lawful purpose, (i.e., to
publicize grievances), and when it is conducted in a lawful fashion. The fact that the
right to picket is given to one group of citizens does not mean that the community, as
a whole, must allow disorder or violence by the pickets. However, if a crowd that is
hostile to the pickets gathers, and the pickets are conducting themselves in a lawful
manner, the police must protect the pickets. The police could not lawfully order the
pickets to disperse, as it would be an unconstitutional infringement of their rights. It
should be remembered that the First Amendment does not only provide for the
protection of popular views, but for all views so long as they are lawfully expressed.
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DISCUSSION
A civil rights group is picketing a store that they believe engages in unfair
employment practices. The pickets are walking up and down the sidewalk in an
orderly manner, not blocking the sidewalk and not preventing others from entering
the store. A crowd opposed to the civil rights group gathers and danger seems
imminent.
Discuss.
If the pickets decide to sit down in the middle of the street and obstruct vehicular
traffic, would they be acting within their legal rights?
Discuss.
The applicability of the First Amendment to police action at the scene of
demonstrations is discussed a later section of your Student’s Guide – “Maintaining
Public Order”.
SECOND AMENDMENT
A well-regulated Militia, being necessary to the security of a free State,
the right of the people to keep and bear Arms, shall not be infringed.
It has been held that this Amendment does not restrict the states or the
Federal Government from regulating the use, sale and possession of firearms within
their jurisdictions. The Supreme Court has found that this right to bear arms, like the
right to free speech, is not an absolute right. Still, this amendment and the whole
question of when and whether citizens may possess firearms, especially handguns,
have long been one of the most debated issues in American society.
FOURTH AMENDMENT
The right of the people to be secure in their persons,
houses, papers, and effects, against unreasonable
searches and seizures, shall not be violated, and no
Warrants shall issue, but upon probable cause,
supported by Oath or affirmation, and particularly
describing the place to be searched, and the persons or
things to be seized.
Although the public has a real interest in being protected from criminal
behavior, such interest must be balanced by the protections given a suspect by the
Constitution.

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The right to be free and to have privacy in one's own home is very precious,
and was one of the major causes of the American Revolution. The rights of privacy
and personal security granted by the Fourth Amendment are regarded as essential
to each person's liberty. Protection of one's privacy both in his person and property
is extended to all by both the states and the federal government. One type of
protection is the exclusion of evidence that has been seized in violation of the Fourth
Amendment; another is the civil liability of police officials who violate citizens’ Fourth
Amendment protection against unreasonable search. You will be studying this area
of Constitutional Law in depth, later in the curriculum.
FIFTH AMENDMENT
No person shall be held to answer for a capital, or
otherwise infamous crime, unless on a presentment or
indictment of a Grand Jury, except in cases arising in the
land or naval forces, or in the Militia, when in actual
service in time of War or public danger; nor shall any
person be subject for the same offense to be twice put in
jeopardy of life or limb; nor shall be compelled in any
criminal case to be a witness against himself; nor be
deprived of life, liberty, or property, without due process
of law; nor shall private property be taken for public use,
without just compensation.

Double jeopardy. In addition to the protection against self-incrimination
contained in the Fifth Amendment, it prohibits the government from twice trying a
citizen for the same charge (double jeopardy) in the same court. Different levels of
government, however, may bring charges for the same act. If a person is kidnapped
in New York and transported to another state, for example, New York can try the
suspect. So can the federal government, because it is a federal crime to transport
kidnap victims across state lines. The point here is that the double jeopardy
provision prohibits a single jurisdiction from trying defendants more than once for the
same act. If that were not so, prosecutors would be free to continually retry an
acquitted defendant until they finally convinced a jury of the defendant’s guilt.

DISCUSSION:
John Jones, charged with murdering his wife, is brought to trial in state court. The
jury finds him not guilty. Jones then writes a book in which he admits killing his
wife, boasting about how he has gotten away with it? Can he now be re-tried for
the murder of his wife?

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The Grand Jury and Indictment. A provision of the Fifth Amendment that
many people do not understand involves the Grand Jury and indictment. The
purpose of the Grand Jury is to limit the power of the federal government to
prosecute citizens. A Grand Jury consists of citizens who are selected to hear
evidence of suspected criminal activity in order to determine whether a person
should be held for trial. The Grand Jury works closely with the District Attorney, and
hears evidence the District Attorney presents to it. When a Grand Jury decides that
the evidence is sufficient to proceed with a felony prosecution, it issues an
indictment, a formal charge of a felony. When the Grand Jury decides that the
evidence is not sufficient to proceed with a case, it issues a “No True Bill”, and the
case usually ends there. Because the Grand Jury does not determine guilt or
innocence, the safeguards that apply to trials are not operative. Grand jury
proceedings are closed rather than public. Persons under investigation – or targets
– rarely appear at Grand Juries, and are usually advised by their attorneys to stay
away. When they do appear, their attorneys can enter the grand jury room only if
targets of investigation waive their immunity from prosecution. In the room,
witnesses – including targets – may be questioned by both the prosecutor and by
individual jury members. Once defense attorneys enter grand jury rooms, they may
advise their clients, but cannot participate in proceedings in any other way.
In New York, the Grand Jury includes 23 members, 16 of which must be
present to vote. By contrast, a trial jury – or Petit Jury – usually has six or 12
members.
Self Incrimination. The legal theory behind the self-incrimination clause of
the Fifth Amendment, briefly stated, is that the government should be required to
establish the guilt of the defendant by independent evidence, and that no defendants
should be compelled to convict themselves with their own words. This right is
designed to protect individuals from the force of the courts and the police, as well as
from their own weaknesses. The right to be free from self-incrimination is absolute,
and may not be infringed by the government or its agents for any reason.
If an individual is a defendant in a criminal trial, he has the right to invoke this
privilege. Requiring defendants to invoke this privilege from the witness stand by
testifying, “I refuse to answer the question on grounds that my answer might
incriminate me” would, in the minds of most jurors, be the same as an admission of
guilt. For this reason, a defendant in a criminal trial is not required to testify at all.
The fact that he does not take the stand to testify may not be considered by the jury
as an indication of his guilt. It is the responsibility of the court (judge) to make this
point clear to the jury. If the D.A. were to give the impression that a defendant must
be guilty by making reference to the fact he did not testify, the judge could declare a
mistrial.

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Fifth Amendment rights apply when law enforcement officers question a
suspect, be they state or federal. No coercion of any kind may be used to get an
admission or confession of a crime. The suspect questioned may not be threatened,
frightened, or promised a lighter sentence in reward for his confession. In Miranda
v. Arizona, the best known of all self incrimination cases, the Supreme Court also
ruled that whenever a person is subject to questioning while in custody, he must be
advised of his constitutional rights before he may be questioned. These rights
include the choice to remain silent and to not answer questions, and the right to
have an attorney present during any questioning, at public expense if he cannot
afford one himself. If defendants in custody are not properly informed of these rights
and go on to make incriminating statements, their statements will be suppressed in
court. This requirement does not apply to questions concerning basic identifying
information, called pedigree information (e.g., name, address, age, etc.), which are
not considered interrogation. Defendants may waive their rights to silence and
counsel, but they cannot be tricked into doing so. Instead, any waiver of
constitutional rights must be done knowingly, intelligently, and voluntarily. The
prosecution bears responsibility for showing that a defendant waived his rights to
silence and counsel (usually through police testimony). A more detailed discussion
of Miranda and of suspect's rights when being questioned is contained in a later
section of your Student’s Guide – “Criminal Procedures.”
Due Process. Due process prohibits the government from arbitrarily or
unfairly depriving individuals of life, liberty, or property without proper legal
proceedings. This requires fair notice and a fair hearing before a tribunal with the
power to decide the case. The Fifth Amendment guarantees due process to any
defendants in federal criminal proceedings. Subsequently, after the Civil War, the
U.S. Senate and Congress enacted the Fourteenth Amendment, which applies the
right of due process to state prosecutions.
Eminent Domain. The last clause in the Fifth Amendment restricts the
federal government's right of eminent domain, which is the power of the government
to acquire private property for public use. It requires that the owner be paid the fair
value of the property so taken. State governments also have the right of eminent
domain, and the same compensation restrictions apply. While this clause is
extremely important to those who own property, it will have little or no relevance to
your work as a police officer.
SIXTH AMENDMENT
In all criminal prosecutions, the accused shall enjoy the
right to a speedy and public trial, by an impartial jury of
the State and district wherein the crime shall have been
committed, which district shall have previously
ascertained by law, and to be informed of the nature and
cause of the accusation; to be confronted with the
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witnesses against him; to have compulsory process for
obtaining witnesses in his favor, and to have the
Assistance of Counsel for his defense.
This amendment requires a speedy trial to protect the defendant from
indefinite imprisonment before trial. It is in the best interests of justice because it
prevents the government from holding citizens in jail for years awaiting trial.
This amendment also requires that the defendant be informed of the reasons
for the trial or, as the Constitution says, "to be informed of the nature and cause of
the accusation." In order to prepare his defense properly, a defendant has a right to
know exactly what offense he is charged with and the circumstances under which it
is alleged that he committed the crime.
The right to cross-examine witnesses gives a defendant the opportunity to
challenge the testimony of witnesses who have testified against her.
Juveniles who are brought to Family Court to answer for an act that would be
a crime if committed by an adult have the same Sixth Amendment rights as an adult.
However, juveniles do not have a right to a jury trial. The public also does not have
the right to attend a juvenile trial.
EIGHTH AMENDMENT
Excessive bail shall not be required, nor excessive fines
imposed, nor cruel and unusual punishments inflicted.
The judge, for the purpose of assuring that defendants will return for their
scheduled court appearances, sets bail. Defendants who cannot post bail must
spend the time before their trials in jail, and account for a substantial percentage of
the population at Rikers Island and other city jail facilities. In setting bail, judges
attempt to assess the risk that defendants will flee to avoid justice. In doing so, they
consider such factors as the financial ability of the defendant, the seriousness of the
offense, and the defendants’ previous criminal record, character, and ties to the
community.
FOURTEENTH AMENDMENT
...No State shall make or enforce any law which shall
abridge the privileges or immunities of citizens of the
United States; nor shall any State deprive any person of
life, liberty, or property, without due process of law; nor
deny any person within its jurisdiction the equal
protection of the laws.

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As originally conceived by the Founding Fathers, the Bill of Rights, the first
ten amendments to the Constitution, binds only the United States government and
was not intended to limit the powers of the states. In 1868, the Fourteenth
Amendment was ratified. This Amendment was one of the post-Civil War laws
passed by Congress, largely to prevent the southern states from violating the rights
of the newly freed slaves.
Passage of the Fourteenth Amendment authorized the federal government to
step in and protect citizens from abusive acts by state government. However,
according to court interpretation, it did not fully apply the Bill of Rights to the States.
The Supreme Court, in explaining the "due process" clause of the Fourteenth
Amendment, has made most of the provisions of the Bill of Rights applicable to the
States. The Court has adopted the view that the Fourteenth Amendment requires
the States to deal with citizens in a fair way. While most of the rights in the first eight
amendments have been held to apply to the States, not all have. The federal courts
have not imposed all of the Fourteenth Amendment criminal justice procedures to
the state courts. Instead, the federal courts have chosen to intervene in certain
critical areas – like the right to be free from unreasonable search and seizure; the
use of force by police officers; the guarantee against self-incrimination and the right
to counsel; the circumstances under which capital punishment may be used – that
are critical to criminal justice operations.

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HOMEWORK
1.

Our founding fathers, in writing the Constitution, wanted each of us to have
guarantees of freedom and protection of individual rights. Discuss how these
freedoms apply to a criminal defendant in our system of justice and what
these freedoms mean to you as a police officer.

2.

The Bill of Rights provides certain restraints on each of us as individual
enforcers of the law.
TRUE ____________

FALSE ____________

3.

Discuss some ways in which the Bill of Rights protects a defendant's rights as
they pertain to the Sixth Amendment.

4.

The First Amendment is considered to be one of the most important
amendments to the Constitution. Under what circumstances might it affect
the work of a New York City police officer?

5.

Why is it so important for a police officer to know of an individual's Fourth
Amendment rights? Discuss.

6.

How are the rights of a criminal defendant, such as the right to remain silent
as it is contained in Miranda v. Arizona, guaranteed and applied to the
States?

7.

The Fifth Amendment provides for:
a.
b.
c.
d.
e.

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The Preamble to the Constitution of the United States
WE THE PEOPLE OF THE UNITED STATES, in Order to form a more perfect Union,
establish Justice, insure domestic Tranquility, provide for the common defence*, promote the
general Welfare, and secure the Blessings of Liberty to ourselves and our Posterity, do ordain
and establish this Constitution for the United States of America.

The Bill of Rights
Amendment I
Congress shall make no law respecting an establishment of religion, or prohibiting the free
exercise thereof; or abridging the freedom of speech, or of the press, or the right of the
people peaceably to assemble, and to petition the Government for a redress of grievances.
Amendment II
A well-regulated Militia, being necessary to the security of a free State, the right of the
people to keep and bear Arms, shall not be infringed.
Amendment III
No Soldier shall, in time of peace be quartered in any house, without the consent of the
Owner, nor in time of war, but in a manner to be prescribed by law.
Amendment IV
The right of the people to be secure in their persons, houses, papers, and effects, against
unreasonable searches and seizures, shall not be violated, and no Warrants shall issue, but
upon probable cause, supported by Oath or affirmation, and particularly describing the place
to be searched, and the persons or things to be seized.
Amendment V
No person shall be held to answer for a capital, or otherwise infamous crime, unless on a
presentment or indictment of a Grand Jury, except in cases arising in the land or naval forces,
or in the Militia, when in actual service in time of War or public danger; nor shall any person
be subject for the same offence** to be twice put in jeopardy of life or limb, nor shall be
compelled in any criminal case to be a witness against himself, nor be deprived of life,
liberty, or property, without due process of law; nor shall private property be taken for public
use without just compensation.
*defense
**offense
Amendment VI
In all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by
an impartial jury of the State and district wherein the crime shall have been committed;
which district shall have been previously ascertained by law, and to be informed of the nature
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and cause of the accusation; to be confronted with the witnesses against him; to have
compulsory process for obtaining witnesses in his favor, and to have the assistance of
counsel for his defense.
Amendment VII
In Suits at common law, where the value in controversy shall exceed twenty dollars, the right
of trial by jury shall be preserved, and no fact tried by a jury shall be otherwise re-examined
in any Court of the United States, than according to the rules of the common law.
Amendment VIII
Excessive bail shall not be required, nor excessive fines imposed, nor cruel and unusual
punishments inflicted.
Amendment IX
The enumeration in the Constitution of certain rights shall not be construed to deny or
disparage others retained by the people.
Amendment X
The powers not delegated to the United States by the Constitution, nor prohibited by it to the
States, are reserved to the States respectively, or to the people.
[The first ten amendments (the Bill of Rights) were ratified on December 15, 1791.]

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Introduction to Law and Justice
THE CRIMINAL JUSTICE SYSTEM
Police are the most visible form of government. The police address a wide
range of crime, public safety and quality of life issues facing the people of New York
City. The police also have the most widely defined mandate. Our mission involves
not only preventing crime and hazards to public safety, but also responding to
incidents, and solving crimes that could not be prevented. When police find
individuals who have violated the law, they most commonly issue summonses or
effect arrests.
Arrests and summonses are merely the first step in placing an individual
under the control of the criminal justice system. No matter how comprehensive the
investigation and how convincing the evidence, police officers’ cases are not
complete when the suspect is arrested. Recall that, in our system, even those who
are caught in the act of committing a crime are presumed to be innocent until
prosecutors succeed in convincing jurors that they are guilty. In other words, there
is a difference between whether you did the crime and whether a prosecutor can
prove beyond a reasonable doubt that you did the crime.
Processing the arrests that police make is the task of the criminal justice
system. This system is made up of several different agencies, including the police,
prosecution, courts and corrections. Each of these components perform vital roles
in preventing and addressing crime, while also safeguarding the rights of accused
persons and the dignity and safety of victims and witnesses.

RESPONSIBILITIES OF THE INDIVIDUAL COMPONENTS OF
THE CRIMINAL JUSTICE SYSTEM
THE POLICE
The police are unique among the various components of the criminal justice
system. The work of prosecutors, criminal court judges, defense attorneys, and
corrections officials only involve crime and its victims, witnesses, and accused
persons. In contrast, crime and criminal justice is only a small part of the work
expected of the police. A typical work day of a police officer involves contacts with
people who are injured and sick, persons who need police assistance for dealing
with family or personal problems, people who are involved in minor disputes, traffic
accidents, violations of traffic law; people who need directions; disorderly people;
people who are demonstrating for or against a cause; and, maybe, with criminals,
crime victims, and witnesses.
In view of the variety of tasks assigned to the police, it is unrealistic for police
officers to think of themselves exclusively as criminal justice officials or as law
enforcement officers. Criminal justice and law enforcement certainly are critical
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parts of the police officer’s job, but they do not describe the whole of patrol work.
Instead, police officers also serve as crisis interveners; mediators; information
sources; street-level counselors; and first responders to a wide variety of problems
that no other agency is available or able to handle.
It is critical that you understand the enormous range of work performed by
police officers. The duties of most other officials can be summarized in a few words
– prosecutors prosecute accused persons; defense lawyers defend accused
persons; judges adjudicate cases against accused persons; corrections officials
control and treat convicted persons and people who are jailed before trial; teachers
teach; firefighters try to prevent fires and to extinguish those they have not
prevented; sanitation workers clean the city; buildings inspectors inspect buildings.
Even in policing, most specialized assignments are limited in scope: narcotics
officers investigate narcotics violations; homicide detectives investigate homicides;
Police Academy instructors teach.
It is impossible to come up with such a short and neat description of a police
officers’ work. Instead, about the best we can do is to state that police officers are
expected to protect life, property, and rights; to maintain order; to prevent crime and
enforce laws; and to provide, on a 24-hour-a-day, seven-day-a-week, 52-week-ayear basis, a whole variety of miscellaneous services that are not available from
anybody else.
The order maintenance function of the police involves officers in such noncrime assignments as intervention in and resolution of disputes; crowd control;
preservation of the peace at public events and demonstrations; preventing the
mentally ill or intoxicated from endangering themselves or others; and protecting the
rights of individuals in the community. The NYPD service function can best be
understood as providing assistance to members of the public with respect to matters
unrelated to crime. Some areas where police are required to render service are
providing first aid and medical assistance; locating missing persons and runaways;
providing information such as directions to the public; and referring people to various
social and public agencies that may be better equipped to solve non-crime related
matters.
Police officers are expected to act as liaisons between city government and
members of the community. The knowledge and experience of the police officer is
an effective tool in making the members of the community aware of what services
and agencies are available and how an individual may utilize the available services.
By becoming familiar with the members of a particular community, police officers
may communicate the needs and concerns of the community to the government and
also communicate the concerns of the government agencies to the community.

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Police officers on patrol also serve as the eyes and ears of the department
and of the entire U.S. law enforcement apparatus. Veteran police commanders,
detectives, and intelligence officers, as well as federal investigators, know that
nobody knows the city better than alert patrol officers who pay careful attention to
what is happening where they work. Since 9/11, it has become especially apparent
that the information that patrol officers might develop during the course of their work
may have great value not only in addressing community concerns and in preventing
and solving crimes, but also in the defense of the nation. Several of the Al Qaeda
terrorists, for example, learned to fly large jets at a flight school in another state.
They told their instructors when their lessons began, they were interested only in
learning how to control planes that were already in flight, and had no interest in
learning how to take off or land planes. We did not learn this until after 9/11; but
consider what this information might have meant had it come to the attention of an
alert patrol officer who had built relationships with the businesses in her area before
9/11.
THE PROSECUTOR
The primary function of the prosecutor is to prepare and present the people’s
case before the court in criminal cases following an investigation or arrest by the
police. In New York State, the prosecutors are called District Attorneys (D.A.’s).
Each county in the state elects its own District Attorney to a four-year term. Then,
depending on the size and workload of the jurisdiction, the District Attorney hires
numerous assistants to prosecute the criminal cases presented to them by the
police. In addition, an appointed Special Narcotics Prosecutor works closely with the
Department on serious drug cases.
Prosecutors investigate cases with the police, assist police with the
preparation of search and arrest warrants, gather evidence for trial, and interview
witnesses. Prosecutors are probably the most powerful figures in the criminal justice
system. They are the link between the police and the courts, and have the authority
to decide how and when – and even whether – to prosecute criminal cases. They
determine whether the charges against defendants will be reduced in return for
pleas of guilty; whether to decline to prosecute individuals in return for their
cooperation and testimony in cases against others, and whether to decline
prosecution altogether in order to better serve the interests of justice.
Each of New York City’s five boroughs is a separate county. Therefore the
police department works with five different District Attorneys, each of whom has
policies, procedures, and priorities tailored to fit the needs of the people he serves.

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THE COURTS
The role of the courts is to adjudicate cases. The prosecutor will present the
case to the court where a decision will be made on an individual’s guilt. This
decision - the verdict - takes one of two forms. The jury (or judge, in some
instances) finds that the prosecutor has either met the burden of proving guilt
beyond a reasonable doubt or that the prosecutor has not met this burden. In other
words, defendants – the individuals charged with a crime – are found either guilty or
not guilty. Because the only burden of proof is on the prosecutor, no criminal
defendant is ever found innocent; instead, a not guilty verdict means only that the
state did not prove guilt beyond a reasonable doubt.
The court has the responsibility to hear and weigh all the evidence presented
against a defendant and, at the same time, to protect the defendant from the
violation of his rights by law enforcement agents. When a jury is involved, its role is
to serve as the finder of fact. The jury resolves such questions of fact as who is
telling the truth and who is not; whether a defendant intended his actions and their
results, or whether a matter was simply an accident; and whether a defendant is
guilty beyond a reasonable doubt. In doing so, the jury is guided by the judge who
resolves questions of law, such as whether the police have obtained evidence
improperly, in which case it should be excluded; whether the jury should be made
aware of a defendant’s prior history; and whether testimony should be excluded
because it might mislead the jury. In cases involving no jury, the judge resolves both
questions of fact and questions of law. Once a defendant has been found guilty, the
courts are responsible for providing the punitive sentence.
The United States has a dual court system, which includes state and federal
courts. Each state has a system of state courts. At this level, trial courts are
responsible for hearing cases involving crimes defined by the state legislatures.
State appellate courts hear appeals from the findings of state trial courts, and it is
their decisions that make up state-level case law. This system is similar to that of
the federal courts, where trials for offenses that violate federal law are heard in the
United States District Courts, the federal trial courts. Appeals from the decisions of
these courts are heard by the United States Circuit Courts, and, ultimately, by the
United States Supreme Court, the highest court in the land. Rulings of the Circuit
Courts are the case law within those circuits, which usually include several states,
and must be followed by all the District Courts within the Circuit.
Rulings of the United States Supreme Court become the nation’s case law,
and must be followed by all the courts they affect. In Miranda v. Arizona, for
example, the Supreme Court established the case law principle that all persons in
custody had to be advised of their rights to silence and counsel before they could be
questioned, and that, where necessary, counsel had to be provided at state

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expense. That decision established a requirement that has since been followed by
every state and federal trial and appellate court in the country. A further discussion
of the court structure follows later in this chapter.
CORRECTIONS
The correctional component of the criminal justice system has legal
responsibility for the custody, supervision, treatment and punishment of convicted
offenders. In New York City and most other places, correctional facilities also serve
to hold people confined without bail before and during their trials. These people
have been convicted of no crimes and are presumed to be innocent. They are
simply being held out of fear that they might otherwise escape.
The correctional phase of criminal justice commences as soon as offenders
start to fulfill their sentences, and ends upon successful completion of the sentences
imposed by the courts. In addition to actual confinement in prison or jail, sentences
may – and usually do – include such community-based correctional programs as
probation and parole. Criminal sentences have several purposes.
•

Retribution is designed to punish wrongdoers for what they have done.

•
Deterrence is designed to prevent crime by convincing people that the costs
of committing wrongful acts are greater than the benefits that might be gained from
the acts. By punishing people who have already committed crimes, the courts hope
to deter them from committing them again. The punishment also sends a message
to the general population that crimes are not worthwhile.
•
Incapacitation involves protecting the community by rendering offenders
incapable of repeating their criminal acts. Usually, this consists of putting individuals
into places where they can no longer hurt innocent people. Incapacitation is usually
achieved by confining prisoners in secure facilities away from the public at-large.
Capital punishment is also a form of incapacitation.
•
Rehabilitation is served by attempts to provide offenders with the treatment
or training that might help them to become law-abiding citizens when they have
completed their sentences. Programs providing prison inmates education and job
skills are examples.
Our corrections systems are organized along several lines, similar to the court
system. At the national level, the United States Department of Justice operates the
Federal Bureau of Prisons, where persons convicted of violations of federal law are
confined. Danbury (Connecticut), Leavenworth (Kansas), and Atlanta (Georgia) are
among the best known federal facilities. The correctional institutions run by New
York State include prisons like Attica, Auburn, Dannemora, and Greenhaven. They
hold persons convicted of felonies and serving sentences of one year or more. Jails
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are local facilities run by county and state officials. They are used to confine both
persons convicted of misdemeanors and those held without bail, pending trial. The
major jail operated by the New York City Department of Correction is on Rikers
Island.
THE STRUCTURE OF THE COURTS
Trial and Appellate Courts. We have already pointed out that both the state
and the federal government operate court systems. Each of these levels of
government runs a two-tiered system. Trial courts are those that adjudicate cases,
and appellate courts are those that review the decisions of trial courts.
When trial courts hear criminal cases, prosecutors present the government’s
evidence against accused persons and defense attorneys attempt to refute it. It is in
these trial courts that the decisions about whether defendants have been found
“guilty” or “not guilty” are made. A trial may be presented before a judge and a jury
or, sometimes at the request of a defendant who fears that he or she cannot find an
objective jury, before a judge without a jury (known as a bench trial). In rare cases,
a trial court may consist of a tribunal of a number of judges.
It is the job of appellate courts to hear appeals from trial court decisions and
rulings and to decide whether they are properly based. Take, for example, a
defendant who believes that he was convicted of drug possession because a trial
court judge made an error in allowing into evidence drugs that had been taken from
him in an unreasonable search by the police. If he appeals his conviction, the
appellate court’s job will be to review the search and to decide whether, as a matter
of law, the trial judge made an error in finding that the search was reasonable and
that the drugs could be used as evidence. If the appellate court rules that the trial
court judge was correct, it will affirm the conviction. If the appellate court finds that
the trial court judge was wrong to admit the drugs, it will reverse the conviction and
send the case back to the trial court. When this happens, the prosecutor will have to
decide whether she can successfully try the case again without using the search and
the evidence obtained from it. In this example, the prosecutor is likely to drop the
case because both the drugs and the search that produced them cannot be used in
evidence. In only very rare cases, appellate courts may also conduct what are
called reviews de novo, in which they may decide that trial courts’ findings of fact
simply were wrong.
In other cases, however, an appellate court reversal does not mean that a
defendant walks free. In the famous case of Miranda v. Arizona, a conviction was
overturned because the evidence used at trial included a confession that was found
by the United States Supreme Court – the country’s highest appellate court – to
have been obtained unreasonably. This case had worked its way through the
Arizona court system and got to the federal court because it involved legal questions
concerning the U.S. Constitution; the most important issue was whether Miranda’s
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confession had been obtained in a way that violated his Fifth Amendment right
against self-incrimination. When the Supreme Court ruled that the confession had
been obtained unconstitutionally, the case wound up back on the prosecutor’s desk.
Then the prosecutor had to decide whether to retry Mr. Miranda without using the
confession as evidence. Because the police had developed plenty of other evidence
against Miranda – the statements of the victim and witnesses, physical evidence –
the Arizona prosecutor brought Miranda to trial a second time, and succeeded in
convicting him.
Jurisdiction. A court’s authority to hear a particular case is called jurisdiction,
and is based on both geography and law. Most crimes are violations of state law
that is enforced by local and state police. The majority of criminal cases are heard in
state courts of the state in which the crimes occurred. Typical street crimes such as
robbery, rape, homicide and larceny account for most of the arrests made by patrol
officers, and are heard within the state system. The federal courts hear cases
arising from violation of federal laws, including drug offenses, crimes relating to
organized crime (i.e., racketeering) and white-collar crimes (i.e., securities fraud,
bank embezzlement).
THE NEW YORK STATE COURT SYSTEM
The New York State Court System’s trial courts are called courts of original
jurisdiction or courts of first instance. This is where trials of criminal offenses and
decisions of fact (guilty; not guilty) are made. The courts a police officer will
normally encounter are:
1.
2.
3.

The New York City Criminal Court
The New York State Supreme Court
The New York State Family Court

The New York City Criminal Court. The N.Y.C. Criminal Court is the
busiest of New York State’s trial courts. It is a local court, and there is one in each
of the City’s five boroughs. Criminal Court is empowered to handle only
misdemeanor cases.
Almost all criminal cases are initially processed in the Criminal Court. Each
person arrested without a warrant in New York City is first brought to Criminal Court
for arraignment, the initial appearance at which a judge makes a decision regarding
whether to release an arrestee on bail and how high bail should be set. In a typical
case of an arrest in which a felony is alleged, the Criminal Court also is the scene of
a preliminary hearing, in which a judge hears the evidence against the defendant, as
well as the defense attorney’s cross-examination of the prosecutor’s witnesses. At
the end of the preliminary hearing, the judge decides:

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•
Whether there is sufficient evidence to believe that a felony has been
committed. When this happens, the judge typically refers the case to the Grand
Jury, which hears it and decides whether to issue an indictment charging the
defendant with a felony; whether to issue an information (a charge of a
misdemeanor); or whether to issue a no true bill (a finding that the Grand Jury has
found no reason to proceed with criminal charges). In practice, however, the point in
time at which defendants and their lawyers learn that judges are referring their cases
to the Grand Jury is usually when plea negotiations begin in earnest.
•
Whether there is sufficient evidence to believe that the case involves only
misdemeanors. In this instance, the case will be set for trial in the Criminal Court.
•

Whether to dismiss the case for lack of evidence.

The New York State Supreme Court. At the federal level and in most
states, the “Supreme Court” is the highest-level appellate court. In New York,
however, the Supreme Court is the major trial court. It is run by the state, has a
branch in each county, and is comprised of both criminal and civil divisions. The
criminal division, or criminal term, is responsible for the disposition of all felony
indictments, so that all felony trials in the state are conducted in the Supreme Court.
The Grand Jury is part of the State Supreme Court.
The New York State Family Court. The Family Court is also a trial court,
with a jurisdiction limited to domestic and juvenile matters. Family Court was
established as a special agency for the care and protection of children and the
preservation of the family. The goal was to establish a single judicial forum in which
almost all family related problems could be heard.
Family Court is given jurisdiction and responsibility for cases involving
paternity, juvenile delinquency, custody, adoption, persons in need of supervision
(PINS), spousal/child support and special jurisdiction for the protection of children
and preservation of the family. Family Court is also given jurisdiction over certain
offenses when committed between family members or members sharing a
household. Those offenses are: menacing, assault, disorderly conduct, reckless
endangerment, aggravated harassment, stalking, and harassment. You are most
likely to encounter the Family Court when you take children into custody who have
committed acts that would be considered crimes if they were adults.
NEW YORK STATE APPELLATE COURTS
New York State has two levels of appellate court. Appeals from decisions
made in Supreme Court trials generally are heard in the Appellate Division courts.
Although the Appellate Division is staffed by judges from the Supreme Court, it
hears no trials. Instead, lawyers for both sides submit papers summarizing their
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arguments and, if appellate courts agree to hear their cases, they appear before
panels of judges to present oral arguments.
The highest court in the state is the New York State Court of Appeals,
which hears appeals from Appellate Division decisions and, on occasion, directly
from Supreme Court trial decisions. Working within the New York State Constitution
and other statutes, the Court of Appeals makes the rules for New York State court
proceedings. The Court of Appeals is located in Albany, New York.
Neither the Appellate Division nor the Court of Appeals has the power to try or
retry cases. Appellate courts have the authority to reverse convictions or to remand
cases back to the lower courts for retrial or other remedial action. An appeal is
based on the contention that one or more errors of law were made during the
criminal justice process, not on the defendant’s guilt or innocence.
THE UNITED STATES SUPREME COURT
The United States Supreme Court is the highest court in the federal court
system and the highest court in the United States. The primary task of the Supreme
Court is to hear appeals from the highest state courts and the lower federal courts,
and to determine whether the cases and decisions involved include violations of the
United States Constitution. The volume of cases appealed to the Supreme Court is
enormous. Therefore, the court must pick and choose those cases that involve
constitutional questions it wishes to resolve and/or critical social issues. The
Supreme Court is the most influential judicial tribunal in the world: its clearest
responsibilities are to uphold and enforce the U.S. Constitution and to ensure laws
passed by Congress are consistent with the Constitution.

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SUMMARY: COURT STRUCTURE AND HIERARCHY
APPELLATE COURTS
UNITED STATES SUPREME COURT
•
•
•
•

Highest court in the United States
Hears appeals from N.Y.S. Court of Appeals and Lower Federal Courts
Rules on Constitutional issues
Its decisions are the binding, nationwide case law

NEW YORK STATE COURT OF APPEALS
•
•

Highest court in New York State
Hears appeals from N.Y.S. Trial Courts, usually after they have also been
heard by the Appellate Division

NEW YORK STATE TRIAL COURTS
NEW YORK STATE SUPREME COURT
•
•

Conducts Grand Jury hearings and trials for felony cases.
Located in each county of New York State

NEW YORK STATE FAMILY COURT
•
•
•
•
•
•
•
•

Paternity
Juvenile Delinquents
Custody
Adoptions
Persons in Need of Supervision (PINS)
Spousal/Child Support
Family Court Act offenses when concurrent jurisdiction
applies
Located in each county of New York

NEW YORK CITY CRIMINAL COURT
•

Initial arraignments for summary arrests for violations,
misdemeanors, and felonies

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•
•
•

Lowest trial court: misdemeanors and violations only
Preliminary hearings for felonies
Located in Each Borough of New York City

THE CRIMINAL JUSTICE PROCESS
The criminal justice process involves the cooperation and interaction of all
four components of the system. This is not always easy because the goals and
missions of the different components of the system often conflict and compete with
one another, and vary according to their occupation. There are three basic criminal
justice occupations. The first is police officers, including those who are responsible
for apprehending offenders, and the uniformed corrections officers who are
responsible for criminals’ custody after they have been placed in jails or prisons.
The second occupation is lawyers, which includes prosecutors, defense attorneys,
and judges. The members of the third occupation are social workers who work as
youth, family, and prison counselors, and therapists. Probation and parole officers
combine law enforcement and social work – in New York State, many probation and
parole officers have been trained as social workers and do much counseling, but all
are classified as peace officers.
These conflicting professional ideologies and orientations sometimes cause
individuals who work in the system to lose sight of its overall goals. The system is
not intended to put offenders behind bars at any cost. Nor is it intended to allow the
guilty to manipulate witnesses and evidence so that they might walk free. The
system has two purposes: it is intended to prevent and to control crime while
affording due process and all constitutional rights to accused persons.
Because almost all accused persons enter the system when the police arrest
them, the system could not work effectively without the police. The responsibilities
of the police do not end when the individual is arrested. The police officer has a duty
to continue to assist the other agencies in the system by carefully reporting the facts,
helping the District Attorney to identify all the evidence (including that which might
indicate an accused person’s innocence); securing witnesses; and testifying in court.
STEPS IN THE CRIMINAL JUSTICE PROCESS
For the purposes of the following discussion, think of the person accused of a
crime as the criminal justice system’s client. As clients go through the system, their
status changes from suspect, to defendant, to convict. As they pass through the
system, they may be released at any point when the evidence becomes insufficient.
Imagine the following case: an officer has been told that an automobile has
just been stolen. He sees it being driven down the street. He stops it and
determines that its driver is not its owner. He arrests the driver who protests that he
had borrowed the car from its female owner, named Jane. The official records
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indicate that the owner is a man with a different last name. In this case, the arrest is
legitimate, because probable cause existed when it was made. There was
sufficient evidence to create reasonable cause to believe that a crime was
committed and that a particular individual (the driver) committed it. Now suppose
that it later turns out that the man arrested was a co-worker of the registered owner’s
wife, Jane. Without the registered owner’s knowledge, his wife had loaned the car to
the man who had been caught driving it. Our probable cause has disappeared.
After the arrest and when the arresting officer had heard all these facts, she
would immediately have to take steps to have the arrestee released: we have no
authority to hold an arrestee in custody once we have learned that probable cause
no longer exists. The withdrawal of the case does not make the arrest wrong. It
would simply mean that, upon a more careful look, the probable cause that existed
at the time of the arrest had disappeared. Similarly, cases may be dismissed or
result in findings of not guilty because additional evidence reveals that defendants
are not guilty beyond a reasonable doubt. The point is that, at each stage in the
system, decisions that affect the client and the outcome of the case are made.
These decisions determine whether a case ends then and there or proceeds further
through the system.
The following 12 steps describe what happens to felony cases, from initial
investigation to sentencing. Misdemeanor cases are slightly less elaborate:
1. INVESTIGATION
2. ARREST
3. STATION HOUSE PROCESSING
4. CENTRAL BOOKING
5. PREPARATION OF COMPLAINT WITH DISTRICT ATTORNEY
6. ARRAIGNMENT
7. PRELIMINARY HEARING
8. GRAND JURY
9. SUPREME COURT— REARRAIGNMENT ON INDICTMENT
10. PRE-TRIAL (OR SUPPRESSION) HEARINGS
11. TRIAL
12. SENTENCING
1.
Investigation. The purpose of criminal investigation is to legally gather
evidence that will aid in identifying, arresting, and convicting persons who have
committed crimes. Sometimes, investigating and closing a particular crime is a
simple process: officers respond to a call of a burglary in progress in a vacationing
family’s home, find a person inside the home; determine that the person’s pockets
are full of the residents’ valuable jewelry; and that most of the rest of the family’s
valuables have been stacked up near a backdoor that has been forced open. The
officers contact the family, and determine that the person has not been authorized to
enter the home. The officers call the Crime Scene Unit, whose investigators find the
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suspect’s fingerprints all over the family’s valuables, the bag, the door that was
forced open, and the tool that was used to force it open. Investigations of other
crimes may be far more complex. In all cases, however, officers and investigators
should use all the resources available to investigate crimes as thoroughly as
possible and to bring to District Attorneys cases that are as strong as possible.
Unfortunately, we sometimes are denied the opportunity to investigate crimes
because we never learn of them. This occasionally occurs because crime victims
themselves do not know that they have been victimized, as often is the case with
offenses such frauds, computer crimes, shoplifting, and thefts by employees. In
other cases, however, we do not learn of crimes because victims do not report them
to the police. There are a number of reasons for this:
•

Some victims do not believe that the police are capable of solving the crimes
against them, so that they do not take the time to file reports.

•

Others believe that, even if the police solve crimes, the persons who commit
them are not likely to be punished sufficiently.

•

Others are embarrassed by the crime or the circumstances in which it occurs.
Many victims of rape and sex crimes fall into this category. So do victims who
are not so innocent: con game victims often are cheated when they believe
that they are cheating somebody themselves. Drug dealers or gamblers who
are robbed also fall into this category.

•

Others are unable to acknowledge that the acts that hurt them are crimes.
This is often true of victims of domestic violence; acquaintance rapes; and
crimes between friends, like barroom assaults.

•

Sometimes, rather than bring the police into these matters, they prefer to
settle the matters themselves.

It is in everybody’s interest that crime be reported. If we do not learn about a
crime against one person, we have no way to prevent the offender from acting again
against the same individual or against others. Nor can we assure that the offender
does not become a victim of private revenge. We can encourage people to report
crimes by educating the public about the need to do so. We can also encourage
them by demonstrating our interest and our effectiveness at apprehending offenders.
2.
Arrest. An arrest occurs when the police take an individual into custody in a
lawful manner for the purpose of holding them or detaining the individual to answer a
criminal charge. Arrests may be accomplished in one of two ways. The first type of
arrest occurs under the authority of an arrest warrant. An arrest warrant is an order
based on probable cause, signed by a judge directing the police to take a person
into custody. Warrants often are issued after grand juries indict individuals. The
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second type - most frequently used by police officers - is known as a summary
arrest. A summary arrest is made without an arrest warrant. Instead, it is based on
probable cause, established by the police officer, that a crime has been committed
and that the suspect committed it. This usually occurs when a police officer
witnesses a crime or, after an investigation, concludes that an individual committed a
crime. But, regardless of whether an arrest is made with or without a warrant, it
must be based upon probable cause.
3.
Stationhouse Processing. Once an individual is lawfully arrested, he is
brought to the station house of the precinct in which he was arrested for processing.
The arresting officer will inform the desk officer of the charges against the individual,
and prepare all the necessary reports, including the On Line Booking System Arrest
Report Worksheet, Omniform, and Property Clerk Invoices, as necessary. The
prisoner will also have his fingerprints entered in the Livescan fingerprint imaging
system for verification of identity. Any required notifications are also made at this
time.
A prisoner may be released from the station house under certain
circumstances. In most cases of an arrest for a misdemeanor or petty offense
arrest, a Desk Appearance Ticket (DAT) may be issued in lieu of detention.
However, DAT’s are only issued when there is no flight risk. The police must also be
satisfied that the arrestee has been properly identified. A DAT directs the suspect to
appear in court for arraignment at a date in the future. In addition, a person arrested
on a misdemeanor or petty offense may be released on station house bail.
DAT’s and station house bail generally benefit everybody. They are
beneficial to arrestees who would otherwise have to spend time in jail before
appearing in court. They are also beneficial for the police and corrections
departments who would otherwise have to safeguard, house, and transport these
arrestees. Courts also benefit because it makes their schedules more predictable.
This procedure is codified in the N.Y.S. Criminal Procedure Law Article 150.
4.
Central Booking. After all forms have been completed and notifications
have been made, prisoners are transported from local station houses to Central
Booking facilities. These are located at each borough’s Criminal Court, which is
where arrestees are held until their initial court appearances. Despite their
courthouse locations, Central Booking facilities are operated by the NYPD, which
takes official Department computer imaging photographs when prisoners enter.
Even though they have already come this far, prisoners also are eligible for DAT’s or
release on bail while at Central Booking.
5.
Preparation of Complaint with District Attorney. Once a prisoner is
processed at the station house, the arresting officer is responsible for contacting the
Assistant District Attorney (ADA) on duty to receive and review cases in the DA’s
Intake Unit or Early Case Assessment Bureau (ECAB). At this point, the arresting
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officer describes the circumstances, and the ADA prepares the accusatory
instrument that is required to arraign the defendant. The ADA interviews the
arresting officer and may interview civilian complainants or witnesses to determine
the appropriate charges to be brought against the defendant. The ADA may change
the charges or even decline to prosecute an arrest based on the facts of the incident
that led to the arrest. Whenever an ADA declines prosecution, the prisoner must be
released immediately.
6.
Arraignment. In New York City, a defendant’s first court appearance is
known as arraignment. In criminal justice and law books, arraignment is described
as “initial appearance” or “bail setting,” the names by which it is known in many other
states. In most cases, arraignment occurs in the N.Y.C. Criminal Court. It is
possible, however, for a defendant to be indicted by the Grand Jury without knowing
about it, prior to an arrest. In such cases, arraignment occurs in the N.Y.S. Supreme
Court.
The purpose of arraignment is to officially inform defendants of the specific
charges being brought against them. Note that arresting officers also are required
by C.P.L. Section 140.15 to inform persons arrested of the reasons for the arrest as
soon as it is practical to so. During the initial appearance in court, defendants also
are informed of the right to be represented by counsel at both the initial appearance
and at every subsequent critical stage of the court proceeding. Critical stages, the
courts have ruled, are those that have a substantial impact on the outcome of the
case. In simpler terms, these are points in the process at which the defendant’s fate
– guilt or innocence or the nature and length of any sentence – may be determined.
This includes any court hearing, but excludes Grand Jury proceedings, which serve
only to determine whether and what charges will be brought.
At the initial appearance, the defendant also is informed:
•
•

Of the right to remain silent.
That, if he or she cannot afford an attorney, the court will provide one
without cost.

Note that these are basically the Miranda advisements that are provided to
defendants by police prior to interrogations. Indeed, Miranda might be viewed as the
Supreme Court’s way of correcting the odd situation that had previously existed.
What sense does it make, the Supreme Court asked in its Miranda opinion, to tell a
defendant in court that he can remain silent and have an attorney furnished if the
police have obtained a confession before he was told this? Unless defendants are
told as soon as they are taken into custody that they have these rights, any warnings
in court may come too late to be meaningful. Therefore, the Supreme Court
concluded, the police should be required to give this advice before they interrogate
persons in custody.
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At arraignments, bail or other conditions of pre-trial release may also be set.
This first court appearance may also be used to conduct brief trials for petty
offenses, such as disorderly conduct, where many defendants may wish to plead
guilty, pay a fine, and end their court involvement quickly.
It is also at this point in the process that plea negotiations, or pleabargaining, may become an issue. At any time prior to conviction, defendants and
prosecutors may avoid trial by negotiating guilty pleas to lesser charges and/or for
sentences less than what might otherwise be handed down. The plea bargain
system has a bad reputation, but it is essential to the operation of the criminal justice
system. Plea-bargaining accounts for more than 90 percent of all case dispositions
in New York State. If every person arrested were to receive a trial, no progress
would be made in disposal of cases. Imagine how often citizens would be called to
jury duty, for example, if the number of criminal trials in New York City were
suddenly multiplied by ten. Besides, the criminal plea negotiation system is very
much like what happens to the great majority of civil cases that go to court. The
great majority of these cases are resolved by pre-trial settlements, the civil courts’
equivalent of the criminal courts’ negotiated guilty pleas.
In addition, prosecutors sometimes are willing to engage in plea-bargaining
because of weaknesses in their cases. Take, for example, a defendant who has
been arrested and charged with Robbery in the 1st Degree, Criminal Possession of
a Weapon, and Grand Larceny. These are very serious charges. If the Assistant
District Attorney (ADA) sees a possibility that the search conducted by the arresting
officer - which resulted in the recovery of a gun - would be ruled improper, he may
be willing to engage in bargaining. The ADA does not want to go to trial because
she is concerned that questionable search may raise doubts in the jury’s mind about
the credibility of the arresting officer. The case might then be lost. To avoid this, the
ADA might agree to accept a plea of guilty to the Robbery charge alone. This
probably would be welcomed by the defendant and his attorney who have no way to
know in advance how the jury might be affected by the officer’s testimony
concerning the search. Therefore, rather than risk a conviction for everything, the
defendant pleads guilty to the robbery charge alone. This is acceptable to the ADA,
because she does not want to risk losing everything.
7.
Preliminary Hearing. As indicated above, felony cases usually involve
preliminary hearings, conducted to determine whether there is sufficient evidence to
present a case to a Grand Jury. Preliminary hearings normally are conducted in the
N.Y.C. Criminal Court, where defendants have the absolute right to be represented
by attorneys. Defendants also have the right to challenge the evidence and to
cross-examine witnesses. Preliminary hearings may be considered mini-trials and,
unlike the Grand Jury, are open to the public. Defendants may, however, waive their
right to a preliminary hearing and have their cases proceed directly to the Grand
Jury.

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8.
Grand Jury. After arraignment and preliminary hearings, felony cases will
proceed to N.Y.S. Supreme Court for Grand Jury proceedings. The Grand Jury
must listen to evidence presented by the ADA and determine whether probable
cause exists to believe that defendants committed the crimes they are accused of
having committed. In the case of the Grand Jury, the operating definition of
probable cause usually is: evidence that is legally sufficient to establish that the
accused committed the offense, and there is competent and admissible evidence
providing reasonable cause. A quorum of 16 grand jurors must be present to vote
on whether to issue a true bill (a felony indictment or misdemeanor information) or to
find no true bill. A true bill vote requires at least 12 jurors (the majority of the full 23member Grand Jury) to determine that probable cause does exist.
In certain cases, a suspect may not have been arrested for a crime prior to
indictment. Instead, after investigation but before arrest, the facts of the case may
be presented to a Grand Jury. If an indictment is made, a person may then be
arrested on an arrest warrant and be arraigned directly in the N.Y.S. Supreme Court
on a felony charge, or in the N.Y.C. Criminal Court on a misdemeanor charge.
The Grand Jury proceeding is a closed or secret process (that is, the public is
not permitted to be present). Defendants who decide to testify before a Grand Jury,
may do so only if they surrender their right of immunity from prosecution on matters
to which they testify. New York law permits an attorney for a witness, including a
defendant, to be present in the Grand Jury room if the witness has waived immunity.
An attorney who is present may not take part in the proceeding but may advise the
witness.
The Grand Jury proceeding is neither a trial nor a critical stage, and an
indictment does not change the presumption of innocence until proven guilty. The
proceeding serves as a filter to determine whether a case merits further prosecution.
It also safeguards individuals from unjust government prosecution. In New York, a
defendant must be indicted before a felony trial may begin, unless the defendant
formally agrees, in writing before an open court with their attorney present, that their
case should not go before the Grand Jury. This waiver is not effective until the court
accepts it.
9.
Re-arraignment on Indictment. Once defendants are indicted on felony
charges, they are re-arraigned in N.Y.S. Supreme Court. If only misdemeanor
charges come out of a Grand Jury proceeding, defendants are re-arraigned in
N.Y.C. Criminal Court, and are also tried there. Once indicted, defendants are so
advised, and previously set bail may be adjusted depending on the seriousness of
the charges. If an indictment is not handed down, the case usually is dismissed but
may be kept alive pending the receipt of additional evidence.

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10.
Pre-Trial (Suppression) Hearing. Pretrial hearings, also known as evidence
suppression hearings, are conducted in both the N.Y.C. Criminal Court and N.Y.S.
Supreme Court. Their formal purpose is “to consider such matters as will promote a
fair and expeditious trial.” In plain English, most pretrial hearings are held to
determine whether evidence to be submitted at trial was obtained in accordance with
the Constitution and relevant case law.
•

Mapp hearings are those that determine the admissibility of physical
evidence (like drugs, weapons, and stolen goods) obtained during
searches.

•

Huntley hearings determine the admissibility of confessions and
admissions.

•

Wade-Gilbert-Stovell hearings determine the fairness and admissibility of
eyewitness identifications.

11.
Trial. Felony trial, which may result in sentences to state prison, are
conducted in N.Y.S. Supreme Court, while misdemeanor trials, which can result only
in sentences to local jails, are conducted in the local N.Y.C. Criminal Court. Trials
for petty offenses such as disorderly conduct are held in N.Y.C. Criminal Court, while
proceedings involving traffic infractions take place in the Traffic Violations Bureau.
12.
Sentencing. If found guilty, defendants may be fined, placed on probation,
sent to prison or jail, or in the case of Murder 1°, sentenced to death. Defendants
who are placed on probation are supervised for a certain period of time. They are
also required to comply with certain restrictions placed on them (for example, to
make restitution; to stay away from certain people or areas). If they violate the
conditions of their probation, they may be sent to prison to serve their original
sentence.
It’s important to note that probation and parole are not the same. Probation is
a judicial sentence handed down in place of imprisonment. Parole comes at the end
of a prison sentence. Many persons who spend less than their maximum sentences
in prison serve out the remainder of their sentences on parole. Take, for example, a
person who is sentenced to the custody of the state correctional authorities for a
maximum of ten years. If, at the end of eight years, he is found to have acted in
prison in ways that deserve early release, he may be released on parole. If this
occurs, he will be free in the community but will be subject to some detailed parole
conditions (e.g., work steadily; don’t go back to the old neighborhood; do not drink;
do not associate with criminals or ex-convicts; be home at midnight every night;
report to a parole officer at specified intervals; allow the parole officer to make
unannounced visits and examinations of the home).

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QUESTIONS
1.

Name the four (4) parts of the Criminal Justice System.

2.

A defendant’s first appearance in court after a lawful arrest is known as:
a.
b.
c.
d.
e.

3.

A Trial
A Hearing
A Summons
A Sentencing
An Arraignment

In which court does arraignment take place for all summary arrests that occur
in New York City?
______________________________________________________________

4.

In the State of New York (which includes New York City), all trials for felony
offenses are held in which court?
______________________________________________________________

5.

In New York City, trials for misdemeanors are held in which court?
______________________________________________________________

6.

What are the purposes of preliminary hearings?

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7.

List the reasons why a Desk Appearance Ticket (DAT) is generally beneficial
to all parties concerned.

8.

In New York State, including New York City, in order for a felony trial to begin,
a defendant must usually be ___________ by the Grand Jury.
a.
b.
c.
d.
e.

Summoned
Charged
Arrested
Arraigned
Indicted

9.

Name and describe the purposes of the Grand Jury.

10.

Name and describe the purpose of the Criminal Justice System.

Acknowledgment
The Police Academy is extremely grateful to Susan R. Petito, the NYPD’s Assistant
Commissioner for Intergovernmental Affairs. Her comments and insights on this
chapter were invaluable.

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Policing a Multicultural Society

WHY IS IT IMPORTANT FOR POLICE OFFICERS TO
KNOW ABOUT MULTICULTURALISM?
New York City is composed of a vast array of people of diverse ethnic,
racial, cultural and class backgrounds. As a police officer, you will be in a unique
position to learn the ways of life of these different populations. Not only can this
be personally enriching, it is also essential to your work.
As you read this chapter and begin to learn the basics of policing a
multicultural society, keep in mind the following: Regardless of who people are,
where they may have come from, how long they have been here, what they
believe, the language they speak, their sexual preference, or their
membership in any other category, we owe them all the same thing: we
are obliged to treat everyone with courtesy, professionalism, and respect.
In order to effectively police a city composed of individuals from many
cultures, it is critical that you become aware of and sensitive to the differences
among these New Yorkers. Individuals assign different meaning to verbal and
non-verbal behaviors, depending on their cultural background. What is normal
behavior in one cultural group may seem inappropriate to another. Words and
gestures that are innocuous from the perspective of one social group may be
seen as disrespectful, obscene, or threatening to another.
It is therefore essential that you develop skills in cross-cultural
communication. Only then will you be able to accurately interpret behavior, gain
the cooperation of the people you serve, avert violence, and avoid making costly
mistakes. Cultural competence is the ability to effectively communicate with
individuals whose background is different from your own. It is absolutely critical
to your performance on the street, and may someday even save your life or the
life of an innocent person.
Cultural competence requires that you abandon certain taken-for-granted
notions and see the world in a new way. You can begin by acknowledging that
your cultural experience influences your perception and interpretation of the
world around you. From there, you can explore the possibility that people from
other societies have alternative understandings of social reality which relate to
their cultural backgrounds and experiences. You can then begin to address the
specific beliefs and values that govern the behavior of particular social groups
and develop ways to communicate cross-culturally.
This chapter provides some of the background knowledge that will help
you to develop cultural competence. We begin by providing a brief history of
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immigration in the United States which should address any misconceptions you
have regarding any one group’s right to live on U.S. soil. We go on to introduce
some basic concepts that will help you develop cultural awareness and
overcome the biases that inevitably accompany being a member of any social
group. Some general principles of cross-cultural communication are then
discussed with reference to relevant examples from different ethnic communities.
We also want to make you aware of another phenomenon. Wherever you
work, many – if not most – of the people you meet while responding to 911 calls
and other requests for assistance will be in trouble. Some of these will be people
who have done wrong, like traffic violators, offenders, and people clearly on the
wrong side of disputes. Rarely will these people be happy to see you, and many
are likely to let you know how they feel. Others will be people who have had a
wrong done to them, like crime and accident victims. While they may be glad to
see you show up, they will not be happy about the circumstances that caused
you to come to the scene. After a period of exposure to such situations, some
officers unfortunately begin to develop the sense that all the people in the area in
which they work are nothing but trouble. When many of these people look or
sound different from these officers, they may begin to believe that the
troublesome behavior of a few is characteristic of everyone in the relevant
cultural group. Stereotyping results and the officers assume all individuals
affiliated with the group are nothing but trouble; they can’t solve their own
problems; and on and on. When such a stereotype develops, it follows that the
people who are its victims come to be viewed as second-class. Once people
acquire such a label, it becomes easier to justify giving them inferior treatment
with the result that these members of our community do not receive the
professional help and service they deserve. If you are to succeed in a police
career, you must recognize and respect the differences between the various
cultural groups who compose this City’s various communities. You must also
recognize that problematic behavior on the part of the few individuals you meet
does not reflect the norms, values, and actions of everyone in the relevant
cultural group. As police officers, you must treat everybody as an individual, with
all the courtesy, professionalism, and respect you would expect if you were in
their shoes.
Keep in mind that reading this chapter is only the first stage in the
development of your ability to effectively police in a multicultural environment.
Your skills will be refined in the context of the particular communities that
populate the area where you are assigned. Be sure to read the newspapers
published by every community. They will provide detailed information regarding
important issues and activities that are also relevant to you. Every time you
move from one precinct or command to another, you will further expand your
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knowledge of ethnic diversity. The development of cultural competence is thus
an ongoing process that will continue throughout your career as a police officer.

CULTURE AND ACCULTURATION
Culture may be defined as the beliefs, values, and patterns of thinking,
behavior and customs that are shared by a group and have been passed from
generation to generation. Culture is learned in early childhood and becomes part
of a person’s subconscious, mediating our attitudes and behavior in ways that
usually are outside our awareness. Without our even realizing it, our cultures
affect nearly everything we do, say, or think. At the same time that culture is
deeply ingrained in our consciousness, it is rarely stagnant. Cultural beliefs and
behaviors frequently undergo change in the context of new experiences that
teach people alternative ways of perceiving and interpreting the world. A new
immigrant family (to New York City), for example, may share some but not other
values and norms with relatives who have been in New York City a generation or
more.
Acculturation is the process by which members of one culture become
integrated into another. It involves resocialization, which is the learning of new
cultural values and ways of looking at the world. All immigrant groups to the U.S.
accommodate and adapt to their new world in some way. However, not all
choose to completely adopt the norms and values of the mainstream American
culture. Some prefer to live in familiar communities where they can share their
lives with people who understand them. In an effort to better survive a new and
different world, individuals may even strengthen their identification with the
traditional lifestyles and values of their countries of origin.
Immigrant communities are constituted in ways which can contribute to the
reproduction of traditional norms and values. In order to work and live in the
U.S., most immigrants are required to prove they have access to jobs and can
support themselves. Newcomers are thus usually sponsored by relatives and
friends who can provide work opportunities and temporary or permanent housing.
The result is that many of the immigrants who share a neighborhood in the U.S.
often come from the same town, region, or state as their predecessors and share
similar ways of looking at the world.
Remember, acculturation is not a one-way street in which the immigrant
group adopts the norms, values, and behaviors of the mainstream population.
Frequently it involves an exchange as aspects of the immigrant culture begin to

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infuse that of surrounding groups. Think, for example, about how much
commonly used slang comes from immigrant communities.
Feeling at Home in an Alien Environment
Maintaining a strong affiliation with members of their native culture allows
immigrant groups to feel more at home and less like aliens in a strange world.
The same pattern is practiced among the majority of Americans who move to
other countries, such as Nicaragua, Guatemala and Costa Rica. Some of these
people attempt to learn Spanish; others don’t. Almost all live in American expatriot communities and socialize with other Americans with whom they share a
familiar cultural world.
Immigrants who leave their communities and come to the U.S. without
their families may experience an increased sense of loneliness and alienation
from mainstream American customs. This is the case, for example, among some
of the West African traders who have come to New York to work to support
families who are living abroad. For West Africans, the ethnic group forms the
base for unity and survival. This is by no means a new phenomenon or
something unique to African, Asian, Arab, or Hispanic immigrant groups. In
generations past, immigrants from Ireland, Italy, Greece, Germany, Eastern
Europe, and Scandinavia settled in particular parts of the City that have long
been identified with their groups.
For new immigrants as well as old, the source of identity is the we of the
family and community, and not the I or the me as is common among mainstream
Americans. Without the we, a West African individual is likely to feel incomplete
as a person, leading to feelings of sadness and confusion. Efforts to minimize
the resultant isolation include taking a wife in the United States, living in vertical
villages (high-rises) shared by other Western Africans and increased involvement
in religious activity (usually the Muslim community).
How individuals from different cultures define themselves is important for
police officers to know, not simply because it helps you understand the difficulties
inherent in adapting to a new world. It’s also important because it can tell you
something about who you should approach when you need to get information
regarding important police matters. Among West African groups, for example,
the community may be a more important unit than the individual.
Police officers seeking to solve a crime or trying to gather intelligence in a
West African community would be well advised to identify and contact the
headman, a major figure in these communities, or other recognized leader
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before plunging headlong into certain types of situations. This leader will have
the trust of the community and will be able to find out what is going on in the
neighborhood. In contrast, among mainstream Americans, where individualism
is prominent, community leaders generally do not enjoy the same sense of trust
and responsibility, and would not have the same access to information regarding
what is happening among their constituency.
Ethnocentrism
Ethnocentrism is the belief that one’s own cultural values, beliefs and
practices are more natural than and superior to those of another culture. It
involves seeing and judging other cultures from our own cultural point of view.
Ethnocentrism is part of every culture. If you were born and raised in the United
States, you may find it strange that most people in India regard the cow as a
sacred animal and forego using it as a source of food. On the other hand, if you
were born and raised in India, you might be surprised at the use of cows in the
United States for food, clothing and other consumer goods.
Ethnocentric attitudes can result in prejudice and hostility towards different
racial, ethnic or cultural groups. Avoiding ethnocentrism does not mean you must
agree with the values and practices of all groups and cultures. It does mean that
you should recognize, understand, and respect different cultural norms and
beliefs when you try to communicate with people whose background is different
from yours. Failure to do so can result in misunderstandings, inaccurate
reporting, and misguided investigations. In extreme cases, there may even be
fatal results.
An example is provided by Robert Shusta and his colleagues in their book,
Multicultural Law Enforcement. A young Vietnamese boy had been absent from
school as a result of a serious respiratory problem. Believing that the native
healing practice of “coining” would solve the problem, his father rubbed heated
coins on his neck, resulting in bruising. When he returned to school, the teacher
reported the bruises to the police who interviewed the father. In halting English,
he told them that he had caused the bruising.
The police arrested the father on charges related to child abuse. The son
died some time after the coining stopped. Devastated and feeling responsible
because he had not saved his son, the father killed himself in jail. The death of
the son is neither the fault of the police nor the father. From the cultural
perspective of the individuals in both cultural groups, they were doing the right

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thing. Nevertheless, at least one life might have been saved had the police
understood that the father acted in the best way he knew to protect rather than
harm his son.
Similar problems can result when there are language differences that
effect interpretation. Refer to the example provided in the chapter on Policing
Impartially in which a Spanish-speaking father was arrested after he admitted
that he “molested” his daughter. Molestar means “to bother” in Spanish. The
man had merely admitted to annoying his daughter, an activity that most parents
of adolescent children seem to do fairly regularly, regardless of how sensitive
they may be.
The examples of cultural misunderstandings cited above seem obvious
once they are bought to light. However, many miscommunications are subtle,
leading to a quiet erosion of trust between the police and the community and
undermining the good intentions of both parties. Let’s take the example of lying.
When you go on patrol, you will learn that truth is an odd construction. Police
officers who are involved in an incident like a shooting, for example, often
develop what’s called tunnel vision and only recall selected parts of the events.
Indeed, even a deafening sound, such as a shot from an officer’s own gun, may
not be perceived at all. When the officers later truthfully try to reconstruct what
they saw and experienced, their account may differ somewhat from another
truthful witness who observed the event from a different perspective or place in
the room. The same may be true for other types of accounts told by citizens with
the result that, at times, a skillful lie may appear more accurate than the truth. An
objective eye, like a television camera, would obviously record a more complete
version of events, although they too would be somewhat selective, depending on
its position in the room or what the person behind the camera decided to tape.
While the most accurate account of what occurred would be recorded by
cameras which captured every angle, even those images are subject to different
interpretations by the people who see the film.
As police officers, your experience with people will help you develop a
reasonable level of expertise in sorting out the truth. However, it is important to
keep an open mind as even an expert may sometimes be wrong. Cultural issues,
for example, can further complicate the matter, as rules pertaining to whether
and how much of the truth should be told to the police may vary from one culture
to another.
In some societies, in which lying to officials is culturally unacceptable,
police will rarely be told untruths. People from some other societies, however,
come from places in which they suffered great oppression and deprivation in
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which the police played a major part. In such places, people learn early that
there is little to gain and much to lose by trusting the police or by telling them the
truth. It should not be surprising; therefore, that such peoples’ loyalty is likely to
lie with their relatives, friends, and neighbors rather than with the police who
have helped to keep them in their places. Nor should it be surprising that this
habit and norm does not change at the moment that immigrants hit the ground in
New York. No matter how friendly, trustworthy, and helpful we may try to be,
habits and traditions learned during a lifetime of oppression do not die easily.
Even setting aside cultural norms about dealing with the police and
officials, we must be aware that truth is a cultural construction filled with
unconscious blind spots and inconsistencies which sometimes make it appear
more fantastic than a well-planned lie. Conversely, a well-planned lie may seem
so logical and complete that it sounds more believable than the truth. Police
should keep cultural background in mind when they try to resolve situations,
particularly those involving contradictory accounts. Although an individual’s
cultural background will not provide definitive answers regarding the reliability of
information, it can serve as a guideline for interpreting what is said.
The cultures are different. We all know that. In West
Africa, you don’t lie. It’s just not what we do. Some
police will take the other person’s side because he
makes up this story. We just say it like it happened.
- A West African immigrant
from the Ivory Coast

PATTERNS OF IMMIGRATION TO THE UNITED STATES
Immigration is not new in the United States. With the exception of Native
Americans who are indigenous here, every one of you is related to someone
from another country. Ironically, the unwelcome words with which some people
greet members of the new immigrant populations echo precisely what others
once said about these people’s ancestors, grandparents, or parents when they
came to the U.S. Two groups of people who compose large parts of New York
City’s population are not considered immigrants. While most Europeans and
Asians who came to this country did so as a matter of choice, in order to seek
greater opportunity and freedom, African Americans were brought here in chains,
as slaves, and had no say in the decision to leave their native lands. Instead,
they were kidnapped by slave traders and were brought here as property, rather
than people. The second group consists of Puerto Ricans who came here as
citizens when their native land was made a commonwealth, and formal part of
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the United States. Puerto Ricans are thus not immigrants because they moved
only from one part of the United States to another.
Patterns of immigration have changed historically, depending on shifts in
the world political economy and transformations in the U.S. immigration laws that
generally reflect the social and economic interests of powerful groups. Beginning
with the Chinese Exclusion Act of 1882, the laws have favored European
immigrants and limited the numbers of Asians, Africans, and Latin Americans.
This favoritism ended in 1965 when quota systems were changed to allow
immigration for all countries. The table below highlights some of the laws that
profoundly structured patterns of immigration to the U.S.
1882: The Chinese Exclusion Act of 1882 prohibited the
immigration of Chinese laborers into the United States
for ten years.
1917: The Jones Act was passed, granting citizenship to
Puerto Ricans and extending to them some of the
protections of the Bill of Rights.
1924: Immigration Act limited number of non-European
immigrants.
1940: Chinese Exclusion Act repealed, and limits on
Chinese immigration were lifted.
1948: Under The Displaced Persons Act, the United States
accepted more than 395,000 refugees from war-torn
European nations.
1951: Puerto Rico officially became a Commonwealth with
its own constitution.
1952: Under the McCarran-Walter Act, quotas were placed
on immigration. The total quota for Asia was 2,990 compared with 149,667 for Europe and 1,400 for
Africa.
1965: The Immigration Act of 1965 changed the quota
system to allow Immigration from all countries into
America. Ceilings of 120,000 from eastern and
170,000 from western hemispheres were established.
Mexican, Cuban, Filipino, Italian and Taiwanese
immigrants then began to enter the United States.
1980: The Refugee Act, allowing ten million permanent
immigrants to be admitted to the United States.
1990: Immigration Act – The number of immigrants allowed
into the US per year was increased to 700,000.

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The first immigrants to the United States came mostly from Western
Europe including England, Germany, and Russia. The Chinese followed in the
1850s during the Gold Rush, and, a few years later, helped to build the railroads.
The Japanese, as well as substantial numbers of laborers from the Philippines,
arrived forty years later.
The first and last parts of the twentieth century were characterized by
particularly high levels of immigration to the United States. As dictated by law,
92 percent of this population in the first decade came from Europe, including
Ireland and Italy. Since World War II, the numbers have increased every ten
years, going from 2.5 million to 7.3 million between 1951 and 1960.
Most of the Puerto Ricans who have settled in New York and other parts
of the mainland U.S. came here during the first decade of commonwealth status,
1950-1960. This occurred as a result of the unique status Puerto Rico has in
relation to the U.S. Since Puerto Rico was made a commonwealth in 1951, its
population has received citizen status, creating an exchange of cultures and
peoples that have benefited both Puerto Rico and the mainland. By 1960, there
were 613,000 Puerto Ricans in New York alone.
A sizable number of Cubans arrived in New York in the early 1960s to
escape the revolution. In general, this original large group of Cuban immigrants
differs substantially from other Hispanic and Latino immigrant groups. This first
was composed of persons who fled Castro’s communist revolution and were
disproportionately conservative, middle and upper middle class. About 20 years
after the Cuban Revolution, a new wave of Cuban immigrants came to the United
States. These later immigrants tend to view the world rather differently than their
predecessors. Having left their country as a result of poor economic conditions
and lack of educational and job opportunities, these immigrants tend to be less
conservative politically.
Since the Immigration Act of 1965 opened up doors to members of nonEuropean nations to emigrate to the U.S., new populations have begun to arrive
from countries in Asia, the Caribbean and Latin America. By the 1970s, these
immigrant populations composed about 18 percent of the total. The numbers
have expanded in the years that followed, so that they measured more than 33
percent by 1998.
From 1970–1990, natives of the Dominican Republic were the largest
immigrant group to New York City and continue to be prominent. Others include
Chinese, Koreans, Haitians, Jamaicans, Mexicans, El Salvadorans,
Guatemalans, Russians West Africans, Vietnamese, Bangladeshis, Iranians,
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Pakistanis, and Indians. New York City’s foreign born population increased by
37 percent between 1990 and 2000, bringing the total number of foreign born
residents in the state to almost 3.9 million. Among the five boroughs of New
York City, nearly half the population of Queens (47%) was born overseas. In
Brooklyn, 38% of the population is foreign born, while 29% of Manhattan’s
residents were born outside of the United States. These percentages, of course,
reflect only officially recorded populations, and do not include a probably
substantial number of undocumented immigrants. Thus, the figures probably
understate the actual number of foreign-born persons residing in the City.
A variety of factors have influenced where immigrants have settled in New
York City. Obvious factors include the cost of living as well as the whereabouts of
the individuals and families who provided them sponsorship. New immigrants
have also generally settled in places that facilitate the use of inexpensive modes
of transportation.
While the numbers of foreign-born residents in New York City are
impressive, the notion that immigrants have begun to “overrun” America in recent
years is a myth, based on ignorance or racial and ethnic bias. In truth, no single
decade has topped 1901-1910 for immigration admissions. Further, less than
1.5 percent of the world’s refugee population comes to the United States. What
has changed are the countries of origin of the new residents and the diversity of
their ethnic and racial composition.

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The Immigrants
by
David Rudder,
a Trinidad musician
The immigrants are here to stay to help build America
The immigrants ain’t going nowhere they’re here for
America
Fighting for a better life, fighting through the grunge
America, remember Ellis Island
We all came here to TAKE THE PLUNGE
I hope you understand me
This city is now like sweet soul calypso
A compass and a reggae
Like a punta rock and a salsa samba
A highlife, bangra merinque
In other words, this is a different kind of apple now
That is the truth that the haters don’t want to face
It’s still big, bright, red and juicy, but a little spicy to the taste.
New York City is fortunate in attracting this diverse group of people.
There is no other place in the world where residents and tourists can experience
the extraordinary variety of culture, art, food and music. Economically, the
immigrant population adds richness, contributing to such diverse sectors as
manufacturing, service, construction, retail and the professions including
medicine, law, technology and banking.
Far from burdening the nation, immigrants have started large numbers of
the small businesses that annually account for about 80 percent of the new jobs
available in the U.S. Foreign companies doing business in the U.S. provide
additional jobs, employing slightly more than 10 percent (2.2 million) of the U.S.
industrial workforce. Immigrants earn $240 billion a year, pay $90 billion a year
in taxes, and receive only $5 billion in welfare. Indeed, prior to being allowed to
come into the U.S., immigrants must prove they can earn a living income. The
percentage of unemployed among immigrants is lower than it is among the
native-born, and immigrants’ saving rates are higher than those of people born in
the U.S.

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WHY IMMIGRANTS COME TO THE UNITED STATES
People come to this country for a variety of reasons. The United States is
part of a global political economy in which we have been able to take a dominant
position, reaping a powerful advantage over many other countries, particularly
those in the “third world.” From a historical perspective, at least part of our
wealth stems from our ability to effectively exploit resources in foreign countries,
sometimes to the detriment of native populations. Free-market trade
arrangements, for example, have worked to the advantage of the U.S. and
further impoverished countries like Mexico.
The result is an increase in immigration as people look for jobs and a
better way of life in countries like the U.S. When you go on patrol, you will begin
to meet numerous persons who work very hard in low-paying jobs and live as
cheaply as possible in order to send money home to their native countries.
Others have fled war and repressive governments involved in the torture and
massacre of the civilian population, including friends and family. They come to
the United States seeking peace, stability, democracy and an education for their
children.
“In Mexico, one can study and study but there’s no
good work when you finish school…. Here we do the
jobs that no one wants to do because we know the
value of work”
-A custodian who moved to the United
States from the Mexican state of
Morelos, quoted in the New York Times,
August 6, 2003; A14.
Racism, Human Rights Abuse and the Perception of Police
Cultural background and the past experience of immigrant families
influence how members of different groups are likely to respond in the presence
of police officers. Avoidance behaviors, for example, may have different
significance depending on the history of the individuals you are observing. This
is important to keep in mind so that you don’t mistake behavior indicating fear
with that related to criminality.
Immigrant groups who have experienced formal discrimination are
sometimes distrustful of police. This is the case, for example, among some
descendents of the first waves of Asian immigrants to settle in the U.S. These

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groups, in particular, experienced legal discrimination, culminating in Executive
Order 9066, which resulted in the evacuation and incarceration of 100,000
Japanese Americans during World War II.
Populations who come from countries with repressive governments tend
to be more fearful of police than those who have not. More than 200,000
members of the native population were massacred in Guatemala during their
recent civil war. Almost all of these were civilians, many of whom were tortured.
Similar events occurred in Haiti, El Salvador and Argentina where people were
routinely disappeared - kidnapped, tortured and murdered by the military. Parts
of Africa remain plagued by civil war, violence and, in some areas, a repressive
military-police apparatus.
Cambodia and its people experienced one of the worst genocides in
history during the 1970s, under the regime of the Khmer Rouge. Although the
Paris Peace Accords were signed in 1991 and democracy was instituted, human
rights abuses continue with police officers among the perpetrators. Your
interactions with immigrants from countries like Haiti, Cambodia, El Salvador and
Guatemala will go more smoothly if you take the time to assure them that you will
not hurt them. Again, few people leave home and move to an entirely new
country unless conditions are bad where they came from. In many of these
places, the police were part of the bad conditions. Certainly, you had no part in
what may have happened to people before they arrived here: but we must all
recognize how important it is to assure these immigrants that we are there to
help rather than to hurt.

An incident that took place between a Cambodian and
a police officer is indicative of the fear that haunts the
victims of the Khmer Rouge and their families. A
police officer stopped a slow moving vehicle under
suspicion of DUI. When he saw the officer, the
Cambodian male driver began to shake, increasing
the officer’s suspicions. The officer attempted to
administer a breath analysis but, confused, the man
was uncooperative. The police officer took the driver
into custody. As it turned out, the driver was not
intoxicated. His trembling resulted from fear. Unable
to speak English, the driver did not know what a
Breathalyzer was and did not know how to
communicate his concerns with the officer. (Bridging
the Gap Project, Inc. p. 52
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Fear of Deportation and Perception of Police
Other immigrant groups avoid the police because they fear they will report
them or their families and friends to the National Immigration Service. As a
result, they fear, deportation will occur. This concern has become more
widespread since Federal Courts instituted new laws regarding reporting after
9/11. Among Arab/Muslim and South Asian communities this fear is particularly
intense, in view of their understanding that their members have been targeted for
visa violations and are facing deportation hearings. Although the City of New
York encourages a don’t tell, don’t ask policy regarding the status of the
immigrant population, people are still concerned that police will not protect their
confidentiality. This fear runs rampant among the legal and illegal immigrant
population in New York City, 37% of whom are foreign born and 14 percent of
whose families include at least one undocumented person. As police officers,
you will have to deal with their fear in your daily interactions with many members
of the immigrant community. You will find it difficult to be viewed with suspicion
when you are there to help. Behave professionally with courtesy and respect
regardless of your personal feelings. Explain your intentions in detail so as to
minimize people’s fear of you. Remember, the key to effective policing is
building community trust.
When you confront immigrants who are fearful of police, you should keep
in mind a major difference between this country and the countries from which
virtually all immigrants have come. Here, in the U.S., policing and law
enforcement are extremely decentralized. This is not so abroad where, usually,
just a very few national agencies are responsible for all law enforcement,
including the regulation of immigrants. This has consequences. Anybody who
speaks with a police officer abroad is dealing with someone who is very closely
tied to the immigration apparatus of the relevant country. This is not true in the
U.S. As a member of the New York City Police Department, you do not report to
the INS and you will rarely have contact with them. Many immigrants are not
aware of these facts and are likely to believe that any contact with law
enforcement presents the risk of immediate deportation or change in one’s
immigration status. Further, in many of the countries from which New York City’s
immigrants come, members of the public are required to produce proof of their
identity whenever any law enforcement official demands it. We do not have such
show me your papers laws in this country—but many immigrants, especially
undocumented, probably do not know this. Thus, when you get evasive answers
from people who are obvious immigrants, you should keep in mind that the cause
of their conduct probably has nothing to do with you personally. Instead, it is
likely to involve their fear that a conversation with anybody in a law enforcement
officer’s uniform may result in a one-way trip back to a very unpleasant place.
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Diversity of the Immigrant Population
Immigrant communities are extremely diverse. Newly arrived individuals
come not only from different regions and countries but also from varied
environments within countries. Recent immigrants who come from urban locales
in China, for example, may tend to be less reticent and more assertive than those
who have come to the United States from rural areas in previous times. There is
similar variation within mainstream cultures in the U.S. For example, New
Yorkers tend to be far more assertive than their country cousins. Language
differences are also common in different regions within a country. Sometimes
the differences involve grammatical issues, meaning of words, and accent. This
is the case, for example, among immigrant groups who share Spanish as a
common language but who may speak it in very different ways. At other times,
linguistic differences involve dialects that are neither shared nor understood by
all natives of a particular country.
The point is that police cannot assume that everyone from one area of the
world speaks the same language. Not every individual who is Chinese speaks
the same dialect. South Americans from Brazil speak Portuguese and those
from Peru speak Spanish. Some Nicaraguans from the Atlantic coast speak
Spanish while others speak predominately Creole and English. Asian Americans
represent at least a dozen distinct cultures and language groups yet we have a
tendency to classify all Asians together. Ethiopians, Somalis and Eritreans, all
from East Africa, speak different languages, practice different religions, have
different marriage customs, and even follow different calendars.
Contrary to popular opinion, immigrants are not all poor and struggling.
Immigrant populations are diverse in terms of socio-economic class and
employment background, racial and ethnic identification, and education. Forty
percent of people of Haitian descent in the United States, for example, have at
least some college education. Indeed, the 1950’s wave of immigrants consisted
of some of the most educated people in the country, who were forced to leave
Haiti during the brutal dictatorship of Papa Doc Duvalier. More than 22,000
Haitians in the U.S. are medical doctors, engineers, college professors, business
executives, lawyers, stockbrokers, teachers and nurses. Similar variation and
achievement exists among individuals who come from Western Africa and the
Caribbean.
Skin color is another surface trait that cannot be used to predict people’s
class, education, cultural and religious affiliation. While people from Trinidad,
Jamaica, Haiti, and Western Africa may share similar skin color with African
Americans whose families have been here for centuries, their cultural and ethnic
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identifications are very different. In view of the importance of culture to identity,
it’s important that police officers be careful not to lump all individuals together
based on superficial categories like skin color and language.
The perception of skin color and what it means for one’s place in society
also varies. In a meeting during the preparation of this chapter, a university
professor who had immigrated to the United States from Africa a generation ago
made this point:
I never thought of myself as a black man until I came
to the United States. Back home, I thought of myself
only as a man. But when I came here, I started to
think of myself as a black man because everybody I
met treated me differently than they would treat white
men. I came to see that there were things I could not
do and places I was not welcome because I was
black. This is a great country and I have many
freedoms here that I did not have at home. But it is
sad that race is so important here. It is always on my
mind, as it has to be if I am to function here.
This has been a big, and unfortunate, adjustment for this man, as it has
been for many other people of color. It may also help you to understand why
some people who share a common trait like skin color may not behave as you
might expect. Anybody who has been raised in and paid close attention to this
diverse environment knows that, unfortunately, race and skin color are major
facts of life in the United States. This is not so in many of the countries from
which our immigrants come, and many of our immigrants do not readily
understand or accept this. This is not their fault: instead, their difficulty in coming
to grips with it is an unhappy reflection on the state of race relations in this
country.
Racial and Ethnic Profiling
As Commissioner Raymond W. Kelly has recently directed, police officers
should not use race, color, ethnicity, or national origin as the determinative factor
for initiating police action (see Operations Order #12, March 13, 2002). There
are good and bad people in every community. To assume the worst about a
whole group of people, based on the actions of a few, is insulting and degrading
and will greatly compromise your relationships with the community in which you
work. It is frightening and humiliating, for example, when a person is stopped and
treated as a terrorist because the police perceive him or her as Middle Eastern.
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Imagine how it would feel to you to be a victim of “occupational” profiling.
Let’s say that you have been on patrol for a few years when an investigation into
corruption resulted in the arrest of some officers from your precinct. Think of
what you would feel if, when you tell people where you work, they respond by
asking, “How’s business?” or saying, ”So that’s how you can afford to live in this
neighborhood,” as if you too are involved in criminal activity. Regardless of skin
color, language, fluency in English, class, and ethnicity, all individuals should be
treated with courtesy, professionalism and respect.
Immigration and Status Loss
Immigrants frequently are unable to gain employment in the United States
that corresponds to their training and experience. A study of New York’s Soviet
Jewish community, for example, found that only about half of those who had held
professional, technical and managerial occupations in the USSR managed to find
similar jobs in this country. The same is true for immigrants from Latin America,
the Middle East, Asia and Africa. As police officers, you should not assume that
an individual with a foreign accent driving a taxi, or working as a domestic
servant or a custodian has little education. Many highly educated immigrants are
unable to find suitable work, and take alternative jobs to earn an income.
Along with loss of work related prestige, immigrants may experience other
types of status loss when they come to the United States. This is the case in
situations where skills that are highly valued in one culture are not relevant to
another. The Nuer of Sudan (Africa), for example, were largely rural people
whose expertise revolved around cattle and farming. The sophisticated skills
they developed in their native countries are not easily translatable to urban life in
the U.S., resulting in a loss of power and prestige in their own, as well as, the
larger community.
Authority, Power, and Gender
There are cultural differences in the allocation of power and status
between genders and across generations. In Latin American and Asian cultures,
for example, parents are generally granted more power and respect than
children. In contrast, in mainstream American households, a more egalitarian
relation between parents and children is generally allowed because it is believed
it fosters the valued traits of independence and individualism.

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In Latin American households, power may also flow along gender lines
such that the man of the household is imbued with more formal authority than is
his wife. For Asian and Latin American immigrants in the U.S., however, a
painful power reversal often occurs when women find work more easily than their
husbands, and children speak fluent English, functioning as translators and
liaisons to the outside world.
In general, police officers entering an Asian or Latin American household
should show proper respect by directing their inquiries to the male of the
household, even if children are serving as interpreters. However, this rule is not
written in stone. The status of women has changed among many younger Latin
Americans as well among Latino/Hispanic immigrant families living in the U.S.
If you do not know whom to address in the household, do not be afraid to ask.
Such inquiries reflect a desire to communicate across cultural boundaries and
will be well received.
The concept of machismo is relevant here. Machismo probably exists in
one form or another in almost every culture, including mainstream America. In
many Latin American cultures, however, it is formally recognized and
linguistically categorized in a particular way. Machismo refers to the valued male
attributes of virility and manliness. Sex roles are clearly defined and the male is
responsible for the well-being, honor and protection of the family. Traditionally,
he is the person who is most likely to work outside the home and provide the
main family income.
Women, by contrast, are traditionally assigned tasks related to childcare,
cooking, and cleaning the house. Because they are considered spiritually
superior, women are believed to better endure suffering, including that generated
by the men in their lives. Police officers dealing with a Latin American or
Hispanic man should try to avoid challenging his or his family’s honor,
undermining his sense of control over his family, or otherwise threatening
machismo. Indeed, this rule also applies to your interactions with people from
other backgrounds and is especially critical with immigrants from male-oriented
societies.
Gender and Policing
Problems may arise when men (or women) from cultures in which women
are given little authority are given orders by a female police officer. In these
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assault on their masculinity. Female officers should not take personally requests
and comments which stem from differences in cultural views about gender.
Instead, they should find a means to defuse the tension.
There are also situations in which it is preferable to have female officers
direct the communication. This is the case for example, among traditional Arab
Muslim families. In some of these cultures, it may dishonor a woman to be alone
with a man who is not a relative. Modesty also dictates that a woman’s hair is
covered when in the presence of men. In the unlikely event that safety and
procedure require you request that an Arab Muslim woman remove her
headdress, she should be taken to a private room, accompanied by a female
police officer. Gender issues may also mediate communications with police and
members of the Western African community. Women officers responding to a
family dispute, for example, are more likely to get truthful information from wives
than are male officers who are not viewed as persons with whom one can
confide private “female” matters.
Respect and Trust
Cultural attitudes regarding appropriate behavior when facing authority
figures also vary cross-culturally, and influence how people respond to police
officers in different situations. Respect is an important notion in many cultures
and, among immigrants from Latin America, individuals in positions of authority
are perceived as deserving respect. Respect in the form of politeness and good
manners is not the same as trust or confianza, however, which must be earned
by police and other outsiders who do not share their cultural world. As a show of
respect, therefore, individuals may thus agree with police and say what they think
the police want to hear. However, only as trust is developed will they explain
what they think actually happened.
Honor and Shame
Cultural notions of honor and shame influence how people respond to
police officers who are providing a service. The value of saving face and
preserving one’s own and one’s family’s honor are particularly strong motivators
for many people from Latin America, Middle Eastern, and Asian cultures. Such
notions may come into play when police officers interview a rape victim. As with
other groups, initial attempts to inquire about what happened in front of the
victim’s family may lead to denial, distortion, or omission of factual details in
order to preserve family honor. In such an instance, it may be useful to use an
interpreter who is not part of the family to reduce feelings of disgrace for both
victim and the family.
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Similar values may influence a police inquiry into a sexual assault on a
member of an Arab American family from a culture in which virginity is highly
valued. An unmarried daughter who has been raped may be perceived as
bringing disgrace to the whole family. Concerns about family honor may also
arise in the light of incidents of domestic violence, resulting in family member’s
hesitation about talking to the police. In order to gather information in these
types of situations police must proceed very delicately. Failure to be cognizant of
the relevant cultural issues can turn a well-intentioned investigation into an
attempt by the family to protect their honor against perceived attack.
Cross – Cultural Perspectives on Law and Social Custom
Laws, social custom and etiquette may vary according to nation and
culture. In some cases, immigrants may violate American law, custom or
etiquette unintentionally, out of ignorance of the way things are done in this
country. In some cultures, for example, physical punishment of children is
considered an appropriate form of discipline where among others it isn’t.
Views regarding domestic violence, and whether or not it is a public or private
issue, also vary cross-culturally. In Western African households, for example,
marital disputes are considered family rather than courtroom matters. In the
event that help is needed, parties are likely to go to extended family members
rather than police.
As a police officer, you will be required to enforce laws regarding matters
crucial to the safety, health, and welfare of the population, regardless of the
backgrounds or cultural norms of the people involved. In issues regarding
domestic violence, for example, you have little flexibility and must make an
arrest, regardless of how the problem is viewed by participants. In New York
City, differences in cultural norms do not constitute grounds for treating wife
beating or child abuse as less than major offenses. There are minor issues,
however, in which you can use your discretion regarding what corrective
measure you chose to utilize to resolve the matter effectively.
When a problem involves a cultural misunderstanding, it is important that
you explain why the person’s behavior is illegal, wrong, or offensive, particularly
when an arrest is mandatory. This will help prevent similar occurrences in the
future and will increase the trust between you and the community. When dealing
with newly arrived immigrants, in particular, it’s important to inquire why a person
is acting in a way that seems wrong or odd to you. This will help prevent the kind
of tragic occurrences such as what happened in the case of the Vietnamese

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father who was arrested for child abuse. It will also help to prevent or resolve
conflicts that arise when one immigrant group acts in ways that are incompatible
with the beliefs, values and customs of the other.
“A 12 year –old girl steals money from family
members (Laotian immigrants), and has even
“borrowed” her parents’ credit cards without
permission. The parents fear using physical
punishment, the only instrument of control they know,
to discipline her, as they have been told it is illegal in
this country. In desperation, they call 911, because
they have been told that the police are here to help.
The police refer the case to Juvenile Court. Juvenile
Court officials deem the parents neglectful, remove
the girl from her home and place her in foster care.
There is no offer of counseling. The parents feel
humiliated, angry and betrayed by the system that
offered to help them.”
- Bridging the Gap, p. 35
Sometimes individuals may act in accustomed ways that are perceived as
beneficial by the relevant immigrant community, but which contradict the law and
community interests as defined by the larger society. An example is the informal
taxi service – dollar cabs – which has arisen in some Brooklyn neighborhoods
inhabited by people from areas of the British West Indies. If you have the
opportunity to travel to Trinidad -Tobago, you will discover that an informal taxi
service has arisen along specific routes and is considered a safe, viable and
inexpensive means of transportation. This is similar to the pick-up trucks that
transport members of the indigenous communities traveling from town to town
along the Lake region in Guatemala. To work as a driver in West-Indian
neighborhoods in the United States is perceived as a legitimate way to support
families at home and abroad. This poses a problem for police officers that face
the problem of enforcing laws that have little or no support in the communities
involved. This will require a considerable degree of diplomacy from you.
Language Issues
Some immigrants, particularly those who are newly arrived or first
generation, may have limited English language skills. Others, who speak English,
may prefer to communicate in their native tongue, particularly when feeling upset
or talking to authorities. Learning a new language is difficult, particularly for

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adults. Trying to find the words to express the rapid flow of thoughts that enter
our heads can be hard under routine circumstances and is nearly impossible
under stress.
Language is also a part of a person’s identity; with the result that some
people may resist learning a new language because they fear that it will lead to
an erosion of who they are. They will then be left in limbo, neither a part of
mainstream American culture nor the one they left behind. Attempting to
communicate with people who do not speak English can be a daunting task for
police officers. Keep in mind the following tips, provided by Shusta and his
colleagues in the book, Multicultural Law Enforcement. These tips are also cited
in your chapter on “Policing Impartially.”
•

Speak slowly and enunciate clearly.

•

Face the person and speak directly even when using a translator.

•

Do not use jargon, slang, idioms or reduced forms (gonna, wanna,
etc.).

•

Use simple verb tenses.

•

Repeat key issues and questions and phrase them in different
ways.

•

Use short, simple sentences.

•

Pause between sentences.

•

Allow the person time to translate ideas into words.

•

Be patient.

•

Do not speak louder: this will not help.

•

Check comprehension by having the person repeat material or
instructions.

•

Do not conclude that a person does not understand English
because he or she does not speak it well. Many times, listening
skills are better than the verbal skills.

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It is also extremely useful to learn some of the basic phrases in the
languages that may be spoken in the area to which you are assigned. The office
of the Deputy Commissioner of Community Affairs provides some language
training in its “Streetwise” program for new officers. You can develop additional
skills by getting to know the people where you work and asking them about
important words. Showing them that you are interested in communicating with
them and their compatriots will do much to win their trust, as well as to help teach
you the rudiments of their language.
Cross − Cultural Communication
When you go on patrol, it will be important to learn about the meaning of
different non-verbal and verbal communications among community members
from different ethnic and cultural origins. This will facilitate your ability to interpret
behavior, communicate with the people you serve and avoid behavior that is
viewed as offensive, frightening, or inappropriately threatening.
Emotional Expression
Rules regarding the expression of emotion vary cross-culturally making it
difficult for police officers to accurately interpret meaning from facial expressions,
tone of voice, and certain types of body movements. In Arabic and Iranian
cultures, for example, people express grief more openly and out loud. In
contrast, in China and Japan, people are reticent to show sadness, pain,
happiness, and pleasure. In Cuba and Haiti, individuals may raise their voices
and move their arms about as normal parts of conversation. In mainstream
American culture, similar behavior could suggest overexcitement, agitation, or a
threat.
In Vietnam, a smile is an appropriate way to respond to a sad or
humiliating event and is considered respectful. In the U.S., a smile in the context
of a sad or humiliating event is viewed as inappropriate or a mockery, depending
on the circumstance. Perhaps some of you saw the movie Platoon about the war
in Vietnam. In that film, there is a scene which depicts a cross-cultural confusion
which costs a Vietnamese civilian his life. In this incident, an American soldier
interprets the man’s smile as mockery and kills him in rage and frustration. In
fact, from his cultural perspective, he had responded respectfully and
appropriately to a situation that was frightening and humiliating.

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Gestures and Movement
Some gestures, which are viewed as acceptable, polite or reassuring in
the U.S., may be viewed as troublesome, rude or threatening in other countries.
Beckoning people to come to you by holding your palms up, for example, may be
seen as obscene among Latin Americans. Pointing is seen as offensive and
aggressive in most cultures, and should generally be avoided in dealing with
anybody, especially individuals from Latin America, Haiti, Bosnia, Vietnam, and
Korea. Probably it is best for police officers to avoid using hand gestures until
they have acquainted themselves with what they mean to the community
members whom they serve.
Eye Contact
The meaning of eye contact varies considerably in different cultures. In
Latino American, and Asian societies, strong eye contact with someone who is in
a higher position of importance or authority is considered a lack of respect.
Among some Latino men, forceful eye contact may be perceived as a challenge
and result in the escalation of the situation in an effort to preserve honor and
machismo. This is the case, for example, among some Mexicans who come
from rural areas. If Mexicans avert their eyes when they see you or you begin to
speak to them, do not assume they are being evasive. Among Cubans, in
contrast, eye contact and handshaking are signs of respect and cooperation.
Touching
Touching is also a sensitive cultural issue. In some cultures, the physical
display of attention or affection is permissible, even between people who do not
know each other well. In others it is taboo. Among Laotians, for example,
touching, even to reassure or comfort, is considered disrespectful.
Personal Space
There is considerable cultural variation in the definition of personal space,
defined as the distance a person needs between him or herself and another
person to feel comfortable. For the average American, personal space is about
an arm’s length. In certain situations, police officers will need a much greater
distance – 20 or more feet, when possible, when dealing with potentially violent
individuals – to maximize their safety and feel comfortable.

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Entering a Household or Religious Establishment
Rules vary regarding the appropriate way to enter a household or religious
institution such as a mosque. In some Arab-Muslim households, for example, it
is respectful to take off your shoes before entering. As few police officers will feel
comfortable following this rule, they should find an alternative way to show
respect. For example, they might acknowledge awareness of the problem and
honestly explain why they are unable to comply.
Etiquette also governs how individuals behave in a religious institution. If
it is necessary to go in a Mosque, for example, police should avoid entering while
prayers are taking place, never step on a prayer mat, never place a Koran on the
floor or put anything on top of it, avoid walking in front of people who are praying,
speak softly, and dress conservatively. Police officers should also invite a
person out of a prayer room if they wish to question him. In certain situations,
you may not be able to follow the rules of social etiquette. For example,
appropriate behavior inside a mosque requires that individuals remove their
shoes, a rule which may be impossible for you to follow, particularly in an
emergency situation. In non-emergency situations, you should wait outside the
Mosque and ask to speak to the administrator who will help you gain access to
the relevant person or place.
Respect and Religion
Different religions hold sacred different holidays. Appropriate religious
behavior also varies cross-culturally. Strict Muslims, for example, don’t just pray
at night. Instead, they pray one hour before sunrise, at noon, midafternoon,
sunset, and ninety minutes after sunset. They celebrate the holy month of
Ramadan which occurs a different time each year, based on lunar cycles. You
should be aware of the holidays that are relevant to the community you police
and act accordingly.

CONCLUSION
This chapter has introduced certain principles of cross-cultural
communication that will help you safely and effectively police the multicultural
environment of New York City. When you are assigned to a precinct or other
command, you will learn about the specific sociocultural worlds of the groups
whom you are assigned to serve. At this point in your career, it’s important that
you begin to develop an orientation to the world that allows you to suspend
biases and see different cultural realities. You should also develop some
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familiarity with the kind of information you will need to know about the norms,
beliefs and behaviors of different social groups to accomplish the diverse goals of
policing. We have summarized some of the key areas below.
•

The status, roles and names of community leaders.

•

The definition of family and whether it extends beyond parents and
children to include grandparents, aunts, uncles, etc.

•

The status and roles of different family members, who you should
address as the authority figure and how you should address them.

•

The rules regarding appropriate behavior between persons of same
and different sexes.

•

The appropriate greeting (first name, last name, Ms., Mrs., Miss. or
other relevant titles).

•

The significance of facial expressions and facial expressiveness.

•

The significance of different gestures.

•

Appropriate way to enter a household, religious building etc.

•

Sufficient knowledge of norms, values, lifestyles governing behavior
so you can accurately interpret what is said and done.

•

Where appropriate, try to find out the meaning of behavior in the
context of the relevant culture before assuming it is morally bad or
criminal (as in the example of the coining of the Vietnamese boy by
his father).

•

Find out persons’ prior experience with police or military so you can
accurately interpret avoidance behaviors.

•

Take time to gather information from witnesses, victims and
suspects even if the individuals do not speak English well.

•

When in doubt about how to proceed in non-emergency situations,
ask.

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•

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Remember that the key to policing in multicultural
communities – as everywhere else – is the formation of
positive relationships with individual members.

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DETENTION OR ARREST OF FOREIGN NATIONALS
In the event that you detain or arrest a foreign national (an individual who
is not a U.S. citizen), you are required to follow certain procedures regarding the
consular notification (see also Authority to Arrest and PG 212-56). They are as
follows:
1.

Determine the foreign national’s country. Normally, this country is listed in
the individual’s passport or other document used for identification and
travel across borders.

2.

If the foreign national’s country is not on the mandatory notification
countries list (Pg. 29), you should:
•
•

3.

4.

Offer, without delay, to notify the foreign national’s consular officials
of the arrest or detention.
If the foreign national asks that consular notification be given, notify
the nearest consular officials of the foreign national’s country
without delay.

If the foreign national’s country is on the list of mandatory notification
countries (Pg. 29):
•

Notify the country’s nearest consular officials, without delay, of the
arrest/detention.

•

Tell the foreign national that you are making this notification (see
Statement 2).

Keep a written record of the provision of notification and action taken.

Suggested Statements to Arrested or Detained Foreign Nationals
Statement I: When Consular Notification is an Option to the Foreign
National:
As a non-U.S. citizen who is being arrested or
detained, you are entitled to have us notify your
country’s consular representatives here in the United
States. A consular official from your country may be
able to help you obtain counsel and may contact your
family and visit you in detention, among other things.
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If you want us to notify your country’s consular
officials, you can request this notification now, or at
any time in the future. After your consular officials are
notified, they may call or visit you. Do you want us to
notify your country’s consular officials?
Statement 2: When Consular Notification is Mandatory
Because of your nationality, we are required to notify
your country’s consular representatives here in the
United States that you have been arrested or
detained. After your consular officials are notified,
they may call or visit you. You are not required to
accept their assistance, but they may be able to help
you obtain legal counsel and may contact your family
and visit you in detention, among other things. We will
be notifying your country’s consular officials as soon
as possible.
Questions about Consular Officers
Q:

Should I treat a diplomatic officer the same as a consular officer?

A:

Yes, for purposes of the matters discussed here. Consular notification can
be given to a diplomatic officer if no consular officer is closer or available.
A diplomatic officer should be permitted to conduct prison visits and to
perform the other kinds of consular functions discussed herein.

Q:

How can I be sure that someone who claims to be a consular officer, a
consul, an honorary consul, or a diplomatic officer is in fact one?

A:

Diplomatic and consular officers, which now include consuls and honorary
consuls, have identification cards issued by the Department of State. If
you have any doubt about the authenticity of a State Department’s
identification card, you can call the State Department’s Office of Protocol
at 202-647-1985 to have the identity and status of the official verified
during business hours (8:15a.m. - 5:00 p.m., EST). Outside of those
hours, you may call 202-647-7277.

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Mandatory Notification Countries
Algeria
Antigua and Barbuda
Armenia
Azerbaijan
Bahamas
Barbados
Belarus
Belize
Brunei
Bulgaria
China (does not include Republic of
China, commonly known as
Taiwan)
Costa Rica
Cyprus
Czech Republic
Dominica
Fiji
Gambia
Georgia
Ghana
Hong Kong
Hungary
Jamaica
Kazakhstan
Kiribati
Kuwait
Kyrgyzstan
Malaysia

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Malta
Mauritius
Moldova
Mongolia
Nigeria
Philippines
Poland
Romania
Russia
Saint Kitts and Nevis
Saint Lucia
Saint Vincent/Grenadines
Seychelles
Sierra Leone
Singapore
Slovakia
Tajikistan
Tanzania
Tonga
Trinidad and Tobago
Tunisia
Turkmenistan
Tuvalu
Ukraine
United Kingdom
U.S.S.R.
Uzbekistan
Zambia
Zimbabwe

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ETHNIC, RELIGIOUS, AND CULTURAL COMMUNITIES IN NEW YORK
This section provides are brief descriptions of some of the communities
that exist in New York City. While reading this material, you should keep in mind
the following:
•

The descriptions are general.

•

Within each community there is great diversity.

•

There are individuals and families within every category who do not
fit the general description of the community group.

•

You should not let our effort to give you a general understanding of
cultural diversity become a tool for promoting stereotyping. No
material under family organization, religion, or communication tips
is written in stone and does not necessarily apply to all individuals
of the relevant culture.

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NON-IMMIGRANT COMMUNITIES
African Americans
Between the 17th and 19th centuries, African people were kidnapped by
Europeans and purchased by Yankee traders who took them to the United States
and sold them as slaves. Slavery was justified in terms of a racist ideology that
viewed black people as inferiors who could be owned, worked, and sold as
animals. Slavery formally ended in 1863, but segregation – often written into Jim
Crow laws that legalized inequality –continued in the American South until the
1960s. Although African Americans have long had the same legal and
constitutional rights as other Americans, racism remains pervasive in many areas
of the country and is evident in differential treatment of black and white citizens.
The ideology of racism which supported segregation and slavery and continues
to permeate American society has created great psychological and social
problems for succeeding generations of black and white citizens. Here in New
York, law has long made segregation and discrimination illegal. But, laws or not,
racism and discrimination continue to exist. It is critical that we not be a part of it,
that we do nothing that even gives the appearance of racism, and that we try to
eliminate it wherever it exists.
Currently blacks, including African Americans, comprise about 12 percent
of the population in the United States. Since 1980, the percentage of blacks
living in the inner cities has remained steady (about 56% of the black population)
while the percentage living in suburban areas has increased. The black
population in New York is ethnically and culturally diverse, and cuts across all
economic strata. Blacks are thus represented among the extremely poor and the
extremely wealthy and have moved increasingly into the middle class. Like other
ethnic and racial groups, therefore, African Americans and recent African
immigrants vary widely in terms of education, wealth, and socioeconomic status.
The relationship of African-Americans and the police has been affected
and complicated by a history that long predates your entry into this Department,
and that is tremendously influenced by the actions of police elsewhere. In New
York and other large colonial cities, the police had their roots in watchman
services that were composed of ordinary citizens and that were created to guard
the city’s walls against outside invaders. In the South, where most blacks lived
early in this country’s history, the police were established not to guard cities, but
to track down escaped slaves. Throughout the country, police were used as a
method of keeping blacks in their disadvantaged place. In the South and other
parts of the country, the police enforced racist laws designed to keep blacks from
voting; owning property; attending the best schools and universities; riding in the
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front of buses; drinking from the same water fountains as whites; swimming at
the same beaches and pools as whites; finding medical help from the same
doctors and hospitals as whites; eating in the same restaurants and staying in
the same hotels as whites. Between the end of the Civil War and the early years
of the Twentieth Century, more than 3,000 black men were lynched in this
country, and police frequently were complicit in these crimes. All of this terrible
history was brought home to national audiences in the 1960s. Then, televised
images of police brutality – dogs, high-pressure hoses, and beatings – against
civil rights demonstrators appeared in living rooms across the country. Police in
Mississippi were implicated in the kidnapping and murder of four civil rights
workers. The condemnation of these acts helped to further the goals of the Civil
Rights Movement, but the acts themselves have added to the sad legacy that
already existed. Surveys of the public’s attitudes toward the police almost
invariably show that African-American blacks are more suspicious and cynical of
the police than are other groups.
This view of police took centuries to develop and, fanned by events such
as the beating of Rodney King and the brutalization of Abner Louima, it is likely to
continue in many quarters for many years to come. Particularly over the last
generation, the police have progressed a great deal. Still, despite this progress
and our own good intentions, we need to remember that African-Americans –
who have been a part of this country for centuries – have been given as much
reason to be suspicious of the police as have many immigrant groups who have
had negative experiences with police and military officials in their countries of
birth.
•

Family organization and gender roles
o
African American families generally enjoy very strong ties among
extended family members.
o
Female relatives often substitute for each other in filling family
roles.
o
Fathers usually view themselves as heads of their households and
major decisions regarding the family should include the father’s
participation.
o
In families constituted by single mothers and children, mothers
should be treated with appropriate respect.

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•

Communication tips – (see Chapter on Policing Impartially). Historically,
the police have been used by dominant majorities to enforce slavery and
racial segregation and discrimination in the American South, and to uphold
racist policies throughout the country. Understandably, this sad history of
police and official abuse has damaged the relationship between police and
African Americans. Consequently, police officers should not take
personally unfounded accusations or suspicions that their actions may be
discriminatory.

Native American Indians
Native American Indians are indigenous to this country. Some
researchers claim that they arrived more than 40,000 years ago. Some theorists
claim that they walked from Siberia to Alaska, and then down throughout North
and South America. Others suggest that they were left here when the
continents, which presumably were once all joined together, broke apart.
Regardless of exactly how the Native American Indians arrived in North America,
it happened so long ago that they can be considered the only true natives of the
land we now occupy. In 1492, when European settlers began to colonize
America, they began to engage in a genocidal war involving the massacre of
entire tribes, usurpation of their land, and the establishment of small reservation
communities. The occupation of Indian land was justified with reference to the
“Doctrine of Discovery Use.”
In New York State, there were two main Native Indian groups, the
Iroquois Confederacy, consisting of five tribes (Mohawk, Oneida, Onondaga,
Seneca, Cayuga) and the Algonkian speaking groups. Today there are eight
reservations in New York State. Most of these reservations prefer to be called by
the name of their nation (Mohawk, Cree, Lakota, etc.). We need to be aware
that, like African-Americans, Native American Indians have plenty of reasons for
being suspicious of the police and all other officials. It is not personal; it is
historical.
•

Communication tips
o
Respect for elders (elders should be included in discussions)
o
Individual’s identity is related to family or tribe
o
It is extremely traumatic to separate children from family and, if at
all possible, should be avoided.

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EUROPEAN IMMIGRANTS
The Irish
The majority of the Irish immigrated to the U.S. during 1820 through 1920.
The numbers were particularly high from 1840 -1850 when the Irish potato
famine left the population starving. The poor immigrants who arrived on
America’s shores were forced to live in dirty, cramped conditions. Like immigrant
groups to follow, the Irish faced employment discrimination and other types of
bias. The Irish fled poverty, starvation, civil war and British repression.
In more recent years, Irish have continued to come to the U.S. and, in
New York, have settled mostly in Northern Manhattan, the Bronx, Yonkers, and
New York City’s northern suburbs.
•
•
•
•

Language – English, Gaelic
Religion – Roman Catholic, Protestant, Presbyterian
Family organization and gender roles – nuclear family most important
Communication tips – The Irish have been in the United States a long time
and are part of American mainstream culture.

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Germans
The majority of Germans immigrated to the U.S. between 1846 and 1854.
They came from a wide geographic area and for a variety of reasons. Most left
great poverty and wanted to improve their economic status. The failure of the
revolutions of 1848 to establish democracy also resulted in migration. Additional
factors included the initiation of mandatory military service during World War I,
crop failures, high rents, high prices, and the displacement of farmers as a result
of the Industrial Revolution.
•

Languages – English, German

•

Religion – Catholic, Protestant, Lutheran, Jewish

•

Family organization and gender roles – The nuclear family is an important
economic and social unit for most Germans. In some families, the father
may assume a strong authority role in relation to his wife and children,
although this varies considerably.

•

Communication tips – The Germans have been in the United States a long
time and, generally, are part of traditional American culture and the
American Establishment.

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Italians
The peak period of Italian migration to the United States occurred between
1890 -1920. Most immigrants left Italy to escape poverty, which was particularly
severe in Southern Italy and Sicily as a result of an economic system that
encouraged the economic and social domination of Southern Italy by Northern
Italy. The vast majority of immigrants came from the former independent and
sovereign state of Southern Italy, the Kingdom of the Two Sicilies. Immigrants
from these regions fled civil war and natural disaster. Like some immigrant
groups that followed, most of the Italians who came to the U.S. did not plan to
stay permanently. They hoped to save sufficient money to enable them to return
to their wives and children who remained at home.
•

Languages – English, Italian

•

Religion – Catholic

•

Family organization and gender roles– Italians have been in the U.S. a
long time and have generally assimilated into mainstream American
culture. Nevertheless, the family, defined in terms of both nuclear and
extended, remains an important unit of social organization.

•

Communication tips – Italians have been in the United States for a long
time and are part of mainstream American culture.

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Eastern European Immigrants (Poland, the former Soviet Union, Romania,
Armenia)
The peoples of Eastern Europe are very diverse and their ethnic identity is
important to them. When dealing with an Eastern European person, you should
inquire as to their ethnic identity in a respectful, courteous tone. Many of us think
of all the people from the former Soviet Union as Russians, for example, but this
is inaccurate, and may cause friction. Latvians, Estonians, and Lithuanians all
were part of the old Union of Soviet Socialist Republics, but are likely to resent
being called or thought of as Russians.
•

Language – Varies by country

•

Religion – Five distinct religious groups are Jewish, Catholic, Christian
Orthodox, Christian Protestant, and Muslim.

•

General Communication Tips
o
Eastern Europeans tend to be expressive in terms of both words
and gestures. Such behavior should not be misinterpreted as
argumentative or aggressive.
o
Typically, personal space is defined as larger than required by most
mainstream Americans.
o
May consider it rude and disrespectful to call someone who is not a
friend or family member by his or her first name.

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Soviet Jews
Nearly 325,000 Jews from the former Soviet Union have settled in the
United States since the mid 1960s. From 1972 to 1986, the Soviet Jews came
as refugees from the former Soviet Union. In the late 1980s, Prime Minister
Mikhail Gorbachev introduced an open door policy that allowed increasing
numbers of individuals to leave Soviet Russia. A new wave of immigrants began
to arrive after the collapse of the Soviet Union in 1991. Soviet Jews have come
to the U.S. for a variety of reasons. Some have fled the wave of anti-Semitism
and violent crime that followed the fall of the Soviet Union. Others have come in
search of educational and economic opportunities.
•

Language – Russian

•

Religion – Jewish

•

Family organization and gender roles
o
The Soviet Jewish family has provided support, comfort, and
motivation in an often hostile external environment
o
Soviet Jewish families are tight-knit.

•

Communication tips
o
There is sometimes tension between the American and Soviet
Jewish communities as a result of cultural and political differences.
o
Because they come from a country where the government, until
recently, controlled all organizational life, Soviet Jews tend to
regard any type of organization with a great deal of cynicism.
o
Soviet Jews care deeply about the traditions of their European way
of life and while grateful to the U.S. for the opportunities and
freedom it offers, they value their cultural and ethnic independence.

•

Where they live in NYC
o
Brooklyn –Bay Ridge, Bensonhurst, Gravesend, Homecrest,
Brighton Beach
o
Queens –Flushing, Rego Park, Jamaica, Forest Hills, Kew Gardens

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LATINO AND HISPANIC COMMUNITIES
Different immigrant groups prefer specific terms to describe themselves.
Some prefer Hispanic and others Latino. Some will be insulted if you use the
term Latino to describe them. Others may find the use of Hispanic inappropriate.
It is important that you learn the preferred terms of the groups who live in the
precinct where you are assigned.
Hispanic – generally includes three groups of people from the Caribbean Islands
who share their heritage with Spain: Puerto Ricans, Dominicans and Cubans.
Latino – generally includes all people of Spanish origin or their descendants who
settled in the New World. This includes Central Americans and South
Americans, although countries such as Guatemala, Ecuador and Peru have
indigenous populations with distinct cultural, ethnic and linguistic traditions.
Central Americans – include persons from the following countries: Honduras,
Mexico, El Salvador, Costa Rica, Nicaragua, and Guatemala.
South Americans – include persons from Columbia, Ecuador, Peru, Venezuela,
Chile, Argentina, Paraguay, and Uruguay.

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Puerto Ricans
Puerto Rico officially became a Commonwealth of the United States in
1951. Puerto Ricans living in the U.S. have full citizen status with the right to
vote. The majority of the Puerto Ricans living in the U.S. migrated after 1950 in
order to secure employment and improve their economic status.
•

Languages – Spanish, English

•

Religion –Catholic, born-again Christians, non-denominational

•

Family organization and gender roles
o Strong family and group organization. Extended family is important.
o Children taught value of respect in their interactions with adults in
positions of authority.
o Gender roles may vary. In families in which both male and female
parents are present, the father generally assumes the role as the head
of the household.

•

Communication tips
o Cultural value of personalismo emphasizes the importance of the
person involved in any interaction. The content, context and
relationship of the communicator are important in any communication.
Police may therefore need to provide contextual information explaining
why a question is asked.
o Strong eye contact with someone who is of higher position or authority
may be considered disrespectful.
o Police officers may expect “eye checking” between family members.
This relates to the closeness of the family unit. Police should therefore
not interpret eye checking as a sign of deception.
o Very proud of their culture and heritage. They often have several parts
to their name, reflecting both mother and father’s families.
o Always shake hands with the right hand

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Dominicans (Dominican Republic)
The majority of Dominicans arrived in the United States after 1970 when
the government of the Dominican Republic lifted the sanctions for travel to the
United States. Some came to the U.S. for economic reasons. Others came to
the United States to avoid political repression.
•

Language – Spanish

•

Religion –Catholic, born-again Christians, non-denominational

•

Family organization and gender roles – Strong family and group
organization with male usually head of household. Extended family
(grandparents, aunts, uncles) is important.

•

Communication tips
o
Value of personalismo may influence communication with police
o
Strong eye contact with someone of higher authority may be
considered disrespectful
o
Police officers should show respect to the father figure by not
embarrassing him in front of family members.
o
Some Dominicans may be fearful of police officers in view of past
experience with police/military in their home country.
o
Very proud of their culture and heritage. They often have several
parts to their name, reflecting mother and father’s families.

•

Large Dominican communities are found in
o Manhattan –upper Manhattan
o Bronx –Tremont, University Heights, Highbridge, Morris Heights

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Cubans
The majority of Cubans immigrated to the United States in the 1960s. The
first groups of immigrants left Cuba for political reasons. More recent arrivals
have left Cuba for economic reasons.
•

Languages – Spanish, English

•

Religion – predominantly Catholic

•

Family organization and gender roles – Strong family and group
organization with male usually head of household. Extended family is
important.

•

Communication tips
o
Value of personalismo may influence communication with police.
o
Unlike many other Hispanics, tend to regard eye-contact and handshaking as signs of respect and cooperation.
o
Police officers should show respect to father figure by not
embarrassing him in front of family members.
o
Very proud of their culture and heritage. They often have several
parts to their name, reflecting father and mother’s families.

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Central and South Americans
Mexicans have been living in New York City for a number of years.
However, the majority are recent arrivals, having migrated from Mexico and other
parts of the United States since the late 1980’s. Mexicans have come to the U.S.
in search of work. El Salvadorans, Nicaraguans, and Guatemalans are also
recent arrivals. Many El Salvadorans and Guatemalans were victims of political
repression in their home countries which were immersed in civil war during the
1980s and 1990s. Some Nicaraguans are here for political reasons (fear of the
National Guard under the reign of the Somoza dictatorships or loss of power and
status after the Sandinista revolution). The majority of Nicaraguans have come
to the U.S. in search of jobs, education, and economic opportunity.
The South American population in New York City is largely composed of
people from Ecuador, Colombia, and Peru. Most have arrived since the 1990s.
All three groups have come to New York in search of economic opportunities.
Political violence in their native country has also been a factor for some
Colombians.
•

Language – Spanish, indigenous languages

•

Religion – Catholic

•

Family organization and gender roles
o
Strong family and group organization with male usually head of the
household. La Familia includes the nuclear family, parents,
grandparents, brothers, sisters, and cousins.

•

Communication Tips
o
Personalismo may influence communication with police.
o
Eye contact with someone of higher authority may be considered
disrespectful.
o
Show respect to father figure by not embarrassing him in front of
family members.
o
El Salvadorans and Guatemalans, in particular, may be fearful of
police as a result of prior experience with repressive military/ police
in their homelands. Many have lost families and friends to state
sponsored massacres and are, themselves, victims of torture.
o
Use caution with open hand gestures as many have sexual
connotations.
o
Pointing is very offensive and considered aggressive.

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o

JULY 2005

Very proud of their culture and heritage. They often have several
parts to their name, reflecting mother and father’s family.

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CARIBBEAN COMMUNITIES
Haitians
The greatest migration of Haitians to the United States occurred in the late
1950s when Francois Duvalier (Papa Doc) assumed power and established a
reign of terror. After the 1965 Immigration and Nationality Act was passed,
Haitian immigration also increased. The 1950s wave fled political repression.
More recent arrivals have been numerous and have come to the U.S. in search
of economic opportunities.
•

Language – French, Haitian Creole, English

•

Religion – Primarily Catholic and Voodoo

•

Family organization and gender roles – in Haiti, families live close together
with many family members under the same roof. Extended family is
therefore important.

•

Communication tips
o
Haitians may appear to be excited or angry even when they are
not. Loud voice and gesturing is part of normal conversation. They
are accustomed to being in large groups.
o
Pointing is rude
o
Many Haitians, especially women, fear the police due to
experiences with a corrupt governmental organization in their native
country.
o
Haitians try to deal with community issues as a group and
recognize community leaders who may be pastors and priests.
o
Being handcuffed is a particularly humiliating experience.

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Jamaicans
The passage of the 1965 Immigration and Nationality Act opened the door
to mass immigration by eliminating the quota. Large numbers of Jamaicans
came to New York from 1966 -1984. Most Jamaicans have come to the United
States in search of economic opportunities.
Since their arrival in New York, Jamaicans have had to deal with types of
racial discrimination similar to those experienced by African Americans. For
many Jamaicans, American racism was a new experience because, in their
native country, socio-economic class was a far more important determinant of
status than skin color. While many Jamaicans have settled in neighborhoods
populated by other West Indian-Caribbean groups and also African Americans,
they retain a strong sense of separate cultural and ethnic identity.
•

Language – English

•

Religion – Catholic, Rastafarian

•

Family organization and gender roles
o
Nuclear family with grandparents and other extended family
members playing important roles.
o
Woman’s status within the family tends to be strong.
o
Men tend to be protective of the women in the family.

•

Communication tips
o
It is important to respect Jamaican cultural and ethnic identity
o
Approach the man of the household first

•

Large Jamaican communities are found in
o
Bronx – Norwood and Baychester
o
Brooklyn – Flatbush, Brownsville, Crown Heights
o
Queens – Cambria Heights, St. Albans, Rosedale, Springfield
Gardens

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West Indians (Trinidad-Tobago, St. Vincent, Grenada, Barbados)
The majority of the West Indian population began to arrive in the 1970s
and continues today. The factors influencing their migration vary depending on
the country. The Trinidad-Tobago population comes in search of economic
opportunities. Immigrants from St. Vincent and Grenada who migrated in the
1970s fled political instability and turbulence. Race is far less important factor
than socio-economic class in the British West Indies. Immigrants from the
islands have had to adapt to American racial relations as a result of their
participation in the larger society.
•

Language – English

•

Religion- Catholic, Protestant, Christian Revivalist (Pentecostal). There
also is an Indian population from Trinidad which is predominantly Hindu.

•

Family organization and gender roles
o
The extended family – grandmothers, uncles, aunts and cousinsplay an important role as may close neighbors.
o
In rural areas of Trinidad-Tobago, the division of labor is defined
according to sex, with women doing most tasks related to cooking
and childcare. Both men and women are often in the labor force.
Gender relations are relatively balanced with authority distributed
between both sexes.

•

Communication tips – Ethnic and cultural identity is very important

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ASIAN COMMUNITIES
East Asians include Chinese, Japanese and Korean,
South East Asians include Vietnamese, Laotian, Cambodian, and Thai
South Asians include Indians, Pakistanis, Bangladeshis, Sri Lankans and
Burmese.
The Chinese
The California Gold Rush that began in1849 and ran though the 1850s
provided the impetus for the first group of Chinese men to immigrate to the
United States. In 1882, the Chinese Exclusion Law was passed, barring the
Chinese from entering into the United States. The 1975 Immigration and
Nationality Act ended some 85 years of bias against the Chinese, and new
groups of immigrants began to enter the country. Most recent immigrants have
come to the United States to escape overpopulation, social and political unrest,
and poverty.
•

Language – Depends on region of origin. Mandarin, Cantonese, and
numerous dialects are spoken.

•

Religion – Buddhism, Confucianism, Taoism, Catholic, Protestant.

•

Family organization and gender roles
o
Seniority is respected
o
Families tend to be tight-knit.

•

Communication tips:
o
Chinese use a variety of naming systems. Children usually use
their father’s name. In order to address people correctly, you should
ask what term is preferred.
o
It is exceptional for a Chinese person to seek assistance or
information from anyone unknown to them or whom they are not
properly introduced.
o
The man’s primary duty is to take care of his whole extended
family. If he puts himself in danger, he hurts his family.
o
Chinese community is group oriented
o
Saving face is vital to one’s name and integrity. This should be kept
in mind when communicating with East Asians.

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o
o
o
o

o

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Chinese have a traditional respect for authority, although they may
be wary of it.
Uncomfortable to maintain eye contact with authority figures
Non-verbal displays of emotions may be controlled so as to appear
flat by mainstream American standards.
There is cultural variation between old and newer Chinese
immigrants, depending on where they came from and whether or
not their environment was rural or urban.
The male head of the Chinese family should always be accorded
respect and addressed politely.

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The Vietnamese
There have been four waves of Vietnamese immigration since the end of
the war in 1975. The first wave was composed of high ranking military and
government officers. The second wave took place in the 1980s. This group was
socially mixed and from both rural and urban areas. The third wave of
immigration started in 1987 as a result of the Amer-Asian Homecoming Act which
stipulated that the children of American servicemen were allowed to enter.
•

Language – Vietnamese

•

Religion – Buddhist, Catholic

•

Family organization and gender roles
o
The male head of the Vietnamese family should always be
accorded respect and addressed politely. It is advisable that you
approach him before contacting female or younger members of the
family.
o
The family, including the extended family members, is very
important.

•

Communication tips
o
There are three parts to a Vietnamese name, with the family name
coming first, followed by a complementary name then a personal
name.
o
It is unusual for a married woman to adopt her husband’s family’s
name
o
It is exceptional for a Vietnamese person to deal with or seek
assistance or information from anyone unknown to them or to
whom they have not been properly introduced.
o
Saving face is vital to one’s name and integrity.
o
Vietnamese tend to have a traditional respect for authority,
although they are wary of it. They will not respect the authority of a
person who does not show respect for their culture.
o
Seniority is respected
o
Approach the male head of the household first
o
Averting eyes, not touching and speaking in a low voice are ways of
showing respect and recognition of authority.
o
It is considered threatening and disrespectful for an unrelated man
to touch a Vietnamese woman. Be sure to have a family member
come along if you have to take a Vietnamese woman with you for
any reason.

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o
o
o
o
o

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Non-verbal displays of emotions may be controlled so as to appear
flat by mainstream American standards.
Smiles have different meaning in the context of Vietnamese culture
Hand gestures should be avoided as they have particular meaning.
Coining is a folk cure intended to draw illness out of the body. It
involves rubbing heated coins on the skin.
May fear and distrust law enforcement officers.

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Koreans
Although a total of about 17,000 Korean immigrants came to the United
States between 1903 -1924, and 1950-1964, the vast majority arrived after 1965.
By 1990, 790,000 Koreans were living in the U.S., compared to 69,000 in 1970.
Most of these recent arrivals have come to pursue educational and economic
opportunities. Most Korean immigrants live in multi-ethnic or predominantly white
neighborhoods rather than in Korean enclaves.
•

Language – Korean

•

Religion –Protestant, Catholic, Buddhist

•

Family organization and gender roles
o
Mostly male-headed households
o
Extended family included several generations in a household

•

Communication tips
o
Saving face is vital to one’s name and integrity.
o
Seniority is respected
o
Approach the male head of the household first
o
Uncomfortable to maintain eye contact
o
Christian religion is very important
o
Formal organizations, such as the church, are very important in
Korean immigrant culture.
o
Address elderly by their surname, such as “Mr. Kim” or “Mrs. Park.”
o
Inappropriate gestures include eye-contact, pointing, touching, and
using a raised voice.

•

Large Korean communities are found in
o
Queens –Flushing, Murray Hill, Sunnyside
o
Manhattan –Trinity area in financial district

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The Japanese
The Japanese began to arrive in the late 1880s when Chinese immigration
was stopped. The success of Japanese immigrants angered many Americans
and resulted in anti-Japanese legislation which ended further immigration and
deprived the Japanese of the right to own land. Following the attack on Pearl
Harbor, the war hysteria forced 110,000 Japanese into concentration camps on
the West Coast. Nearly two thirds of the Japanese in the U.S. have emigrated
since 1975.
•

Language – Japanese, English

•

Religion – Buddhism, Shinto, Confucianism, Taoism, Protestantism

•

Family organization and gender roles – Seniority is important. While the
father may be head of household who acts as family spokesman, he
consults grandparents, wife, and others regarding major decisions.

•

Communication tips
o
It is considered impolite to say no in traditional Japanese culture.
o
Elders and those in senior positions are shown particular respect
o
Loss of face is a serious matter.

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Indians
The number of Indians immigrating into the U.S. was severely restricted
until the change in immigration laws in 1965. With the 1965 amendment, highly
skilled workers were given preference. Recently, opportunities in technology,
engineering, and scientific skills have led to an additional influx of immigrants
from South Asian countries.
•

Languages –There are many languages and dialects used throughout
India. The most common are Hindi, English, Urdu, Punjabi, Gujarati

•

Religion – primarily Hindu, but also Sikhism, Jainism, Buddhism, Islam,
Christianity, Parsis, Judaism

•

Family organization and gender roles
o
Family life often consists of a joint or extended family, consisting of
a mother, father, sons and sons’ families.
o
Daughters tend to leave home on marriage to live in the home of
their husband.
o
The joint family traditionally lives together and decisions are made
by the head of the family in consultation with the other members.
o
While women from traditional, older generations are expected to be
submissive to their husbands, women are active in national politics
and pursue higher education.

•

Communication tips – Indians are primarily Hindu. See section on
Hinduism for communication tips.

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Pakistanis
•

Languages: Urdu, Sindhi, Pushtu, Punjabi

•

Religion: Islam

•

Family organization and gender roles
o
Family life often consists of a joint or extended family, consisting of
a mother, father, sons and sons’ families.
o
Daughters tend to leave home on marriage to live in the home of
their husband.
o
The joint family traditionally lives together and decisions are taken
by the head of the family in consultation with the other members.
o
While women from older generations are expected to be
submissive to their husbands. Women are active in national politics
and pursue higher education.
o
Pakistani women usually wear traditional clothing, such as loose
trousers and a long tunic. Many also wear a sari over a short
blouse and an underskirt. Some women wear traditional long
dresses and cover their heads with a scarf.

•

Communication tips
o
Since the creation of separate Muslim nations (Pakistan and
Bangladesh), the animosity between Muslims and Hindus has
increased.
o
Pakistan’s social system is based upon a structure made up of
levels of Biraderi - an association of people of similar status and
often from the same occupational group. The purpose of Biraderi is
to provide a system of common support for those who suffer
poverty or sickness.
o
See section on Islam for additional tips.

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Bangladeshis
•

Languages: Bengali, English

•

Religion: Islam

•

Family organization and gender roles
o
Family life often consists of a joint or extended family, consisting of
a mother, father, sons and sons’ families.
o
Daughters tend to leave home on marriage to live in the home of
their husband.
o
The joint family traditionally lives together and decisions are made
by the head of the family in consultation with the other members.
o
While women from older generations are expected to be
submissive to their husbands, women are active in national politics
and pursue higher education.
o
Bangladeshi women may wear Muslim dress or a sari. Some
women may wear loose fitting trousers and long shirt.

•

Communication tips – See section on Islam for communication tips.

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AFRICANS
The African immigrant population in New York City doubled between 1990
and 2000. An estimated 450,000 African immigrants currently live in New York
City. The fastest growing immigrant group in New York City, the African−born
populations has increased by 127% in the last ten years. The population is
exceedingly diverse in terms of cultural, ethnic and linguistic orientations. The
largest communities in New York come from Nigeria, Ghana, Senegal, Liberia,
Sierra Leone, Guinea and Mali although no one group dominates the mix. Some
African immigrants are refugees who have fled civil war, violence, and repressive
governments. Many of these have witnessed massacres and experienced
torture. Other African immigrants come to the United States seeking educational
and economic opportunities.
•

Languages include Somali, Amharic, Oromingna, Tigrinya, Swahili, Arabic,
Zulu, Twi, African Creole, Mandingo, Fula, Ibo, Hausa, Yoruba, Bambara,
Wolof, Ashanti, French, Italian, English and many more.

•

Religion: Islam, Orthodox Christian, Animism.

•

Family organization and gender roles:
o
Most households are comprised of extended families including
grandparents, adult children and children.
o
Extended family members may have responsibility for raising the
child. Sometimes an aunt, uncle or other extended family member
may use the term parent to refer to him or herself.
o
Traditionally, African society is male−dominated. Men provide the
financial support, but women have important roles within the family.
o
African women are increasingly gaining economic independence as
they are leaving African countries on their own.
o
Africans look up to their elders. The elders are most respected and
knowledgeable.

•

Large African communities are found in
o
African culture emphasizes respectful and moral behavior.
o
Politeness is an important part of interaction.
o
Women may keep their heads and bodies covered and avoid direct
eye contact with strangers.
o
Eye contact is generally considered aggressive.
o
An African handshake involves a light touch of palms rather than a
firm grip and shaking of the hand as is common in the U.S.

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o

o

o
o

o

o
o

o

o
o
•

When African men greet each other, they may touch hands and
then place their right hand on their chest near their heart. This is
an act of sincerity.
Many American hand gestures are offensive to East Africans. It is
recommended you use your right hand for passing things and avoid
finger gestures of any kind.
It is considered rude to call someone, particularly an elder, by a first
name.
Many people fear the police as a result of past experience with
repressive and corrupt police and military. Some are victims of
torture.
Tribe is a linguistic term, similar to family, which has been used to
describe a unit of social organization whose members share a
common language, culture and common ancestor. Many Africans
regard the term as degrading.
Headman is a term that may be used to describe a recognized
community leader.
Respect for seniors is important in many African cultures. Assault
or disrespect for older persons (even a few years older) is
considered a serious matter.
Individuals may define themselves in terms of a community and, in
the absence of that community, may feel incomplete. Along these
lines, it is not uncommon for two Africans in a foreign country like
the U.S. to introduce each other as brothers or sisters, even if they
come from two different countries in Africa.
Naming is different in African nations than in the United States and
two siblings by the same parents may have different surnames.
Africans consider themselves different from African Americans.

Where they live in NYC
o
Bronx – Highbridge, Tremont, Morrisania
o
Queens – Far Rockaway
o
Staten Island – Stapleton-Fox Hills
o
Brooklyn – Williamsburg, Bedford Stuyvesant, Forte Greene
o
Manhattan – Upper West Side, Harlem

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ARABS
Arab immigrants to the U.S. are diverse, and come from several countries,
including Algeria, Bahrain, Egypt, Iraq, Jordan, Kuwait, Lebanon, Libya, Morocco,
Oman, Palestine, Quatar, Saudi Arabia, Sudan, Syria, Tunisia, the United Arab
Emirates and Yemen. The first wave of Arab immigrants came to the U.S.
between 1880 and World War II. They were largely from Syria and what is
known today as Lebanon. Ninety percent of these were Christian, and many
settled in Brooklyn Heights, and the Cobble Hill and Bay Ridge sections of
Brooklyn. The Palestinians began to arrive in 1948 after a portion of Palestine
was made into Israel. In 1996, more than 40,000 immigrants were admitted from
a number of countries including Iraq, Jordan, Lebanon, Syria, Yemen, Palestine,
Morocco, Tunisia, and Algeria. Arab immigrants have come to the U.S. seeking
political stability, peace, education, and economic opportunity.
•

Language – Arabic (various dialects)

•

Religion – Islam is predominant, also some Christian

•

Family organization and gender roles
o
Extended family members are often as close as nuclear family
o
Loyalty, protection and family honor very important
o
Male traditionally head of household. Wife, however, is the
authority in family matters.
o
Wife may defer to husband in public.
o
Modesty is important for women. A traditional Arab woman may
wear a head cover and also cover her face.

•

Communication tips
o
Be alert to the enormous diversity among Arab American groups.
o
A person’s dignity, honor and reputation are of paramount
importance. Loss of face and honor bring shame and humiliation.
o
Loyalty to one’s family takes precedence over personal needs.
o
Protection and privacy of family is important.
o
Criticizing one’s family in public is not acceptable.
o
Too much directness and candor can be interpreted as impolite.
o
The religion of Islam is intimately tied to Arab culture and should be
respected.
o
Be aware that newly arrived Arab Americans may get out of their
car when stopped by a police officer as a gesture of courtesy. You
may need to inform individuals regarding appropriate procedure in
this country.

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o
o
o

o
o
o
o

JULY 2005

Words are very powerful. Swearing is not acceptable.
If it is necessary to have a Muslim woman remove her head cover,
have her do it in private and, if required, get a female officer to help.
When Arab men greet each other, they may shake hands and then
place their right hand on their chest near their heart. This is an act
of sincerity and respect.
Women usually do not shake hands.
Arabs stand close to one another when speaking.
Arabs may talk louder than you are accustomed. Do not assume an
argument is taking place if you encounter a loud family discussion.
Muslims may pray five times a day (see discussion of Islam).

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RELIGIONS
Islam
Followers of Islam are called Muslims. Muslims believe in one God,
Allah. Their Holy Book is the Quran (Koran). The religious duties of Muslims
are described in the Five Pillars of Islam:
1.

Declaration of Faith (Shahadah) –To testify that there is no god but Allah
and that Muhammad is the Messenger of Allah.

2.

Prayer (Salat) –five times daily

3.

Charity (Zakat) – It is a social responsibility to redistribute wealth and to
create a healthy economic environment on all levels of society. Zakat is
paid once a year based on personal savings at the rate of 2.5 percent.

4.

Fasting (Sawn) – Designed to cultivate human excellence within the
individual. During the month of Ramadan, Muslims fast daily from sunrise
to sunset, abstaining from food and drink.

5.

Pilgrimage to Mecca (Hajj) – Muslims should perform the Hajj once in a
lifetime. It commemorates the trail and sacrifices of the Prophet Abraham,
his wife Haggar, and their son Prophet Ishmael.

In the Mosque:
•

Avoid entering a mosque, or certainly the prayer room of a mosque, during
prayers

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•

A person should remove his or her shoes before entering a mosque. If
possible, acknowledge the custom even if you are unable to abide by it.

•

Never step on a prayer mat

•

Never place the Koran on the floor or put anything on top of it.

•

Avoid walking in front of people who are praying

•

Speak softly as you would in a church or synagogue

•

Dress conservatively

•

Invite a person out of a prayer room to question him or her

Holidays
•

Ramadan – Muslims abstain from eating, drinking, smoking, and sex from
dawn to sunset.

•

Eid al-Fitr – Festival of Breaking the Fast immediately follows Ramadan.
Prayers are held outside and communities celebrate with parties.

•

Eid al-Adha – February –Festival of Sacrifice marks the final stage of the
pilgrimage to Mecca. It lasts 4 days and is celebrated with outdoor prayer,
parties, and sacrifice of an animal.

•

Prophet Mohammed’s birthday – May 25

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Hinduism
Hinduism originated from the Indian subcontinent. It is one of the world’s
most ancient religions, and can be traced back at least 4,000 years to the Indus
Valley civilization. Hinduism offers the teachings of many great religious thinkers
who lived at different times and whose teachings have been incorporated into the
Hindu religion. It is estimated there are some 650 million Hindus throughout the
world. Within Hinduism, there are many different beliefs and practices. The
main Hindu beliefs include:
•

Brahman – the belief in one Supreme Spirit or God

•

Ahimsa – the belief that it is wrong to hurt any living thing

•

Samsara – the cycle of birth and death; the ultimate aim is to break the
cycle to gain release and never to be born again

•

Karma – peoples’ behavior and actions in this life will decide their next
life.

•

Dharma – a person has certain duties to family, class, and God

Hinduism is made up of hundreds of small groups called castes that
influence family matters, such as marriage, food, and dress customs. There are
the Brahmins (priests) who are at the highest level; Kshatriyas (rulers and
warriors); Vaishyas (merchants and businessmen); and Shudras (manual
workers and servants). Expanded through 2,000 years of changing
demographics and religious evolution, further distinctions were made in each of
the groups. Today, there are 3,000 castes and sub-castes in India.
•

Family organization and gender roles
o
Traditionally Hindu families are extended or joint families with
grandparents, aunts, uncles, and children living under one roof.
o
Women traditionally have responsibility for looking after the home
and family.
o
The man, as head of the family, normally takes financial
responsibility.
o
Arranged marriages are common and are normally organized by
the parents with the consent of the couple. Backgrounds of the two
individuals are taken into account. Often they will be from the same
caste group. Arranged marriages can be a source of great tension

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o
o

if parents and children do not agree on a partner. Also, nowadays,
some Hindus wish to choose their own partner.
The couple will usually live with the groom’s family.
Marriage is both a civil contract and a sacrament. Divorce is
allowed although it is relatively uncommon and seen as shameful
and stigmatizing, especially for women.

•

Communication tips
o
Upon meeting, Hindus may put their hands together in the namaste
gesture which means: “May that which is of God in me salute that
which is of God in you.”
o
If offered refreshments, it is polite to accept.
o
A guest, who is invited to look at the family shrine, should remove
his or her shoes. You should acknowledge this custom even if you
feel you cannot abide by it.
o
In traditional households, it may be preferable for a man not to
speak to a Hindu woman alone. Her husband or other family
member should be present.
o
On entering a Hindu temple a person should remove his or her
shoes. Where appropriate and possible, you should acknowledge
this custom even if you feel you cannot follow it.
o
On leaving the temple, a piece of fruit or sweets may be offered; it
is polite to accept.
o
In general, there is quite a lot of variation in the diet, but it is
advisable to ask what a Hindu can eat. Hindus may also fast, and
many do not drink alcohol or smoke.
o
Hinduism does not require any particular type of dress. Hindus
may wear either Western or Indian style dress.

•

Holidays
o
Dussehra – October –celebrates the victory of the Goddess Durga
over evil.
o
Diwali – October-November –called Festival of Lights because
small lamps are lit to guide the God Rama to his kingdom. This
also marks the end of the Hindu year.
o
Holi – March – spring festival where all barriers of caste and rank
are forgotten.
o
Raksha Bandhan – August – festival of protection. Sisters tie a
symbol on a brother’s wrist in return for his protection.

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Sikhism
Sikhism was founded in India over 500 years ago. Sikhism emphasizes
the truth and creativity of a personal God and urges union with him through
meditation and surrender to his will. Sikhs follow the teachings of the 10 Gurus,
the best known being Guru Nanak, the founding guru. The teachings and
messages of the gurus are set out in the Guru Granth Sahib, the Holy Scriptures.
The main Sikh beliefs include:
•

There is one God who is omnipotent.

•

All human beings are equal.

•

Earn one’s living by honest means and working hard.

•

Give to charity

•

Sewa –selfless service, to God and other human beings.

•

Family organization and gender roles
o
Sikh families are traditionally extended or joint families where many
relatives live together.
o
Family relationships are extremely important, particularly
relationships between parents and children.
o
Very important to respect elders.
o
Men and women are equal in both secular and religious life.
o
Arranged marriages are common.
o
Modesty is a valued quality for women.
o
Most men and some women wear turbans.
o
Sikh men and women dress modestly.
o
Women may wear loose trousers with a long top and scarf or
western dress.

•

Devout Sikh men and women wear the five Ks:
o
Kesh – uncut hair, normally worn underneath a turban.
o
Kangha – small wooden comb used to keep hair tidy. Keeping
clean and tidy is very important.
o
Kirpan – a sword which reminds Sikhs it is their duty to fight
against evil. In the U.S., this typically is a small knife.
o
Kara – a steel bangle worn on the right hand to remind Sikhs to be
strong in standing up for what is right.

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o

Kachera – a pair of shorts which remind Sikhs that it is prohibited
to cohabit with a person other than one’s spouse.

•

Communication tips
o
Sikhs are known for their hospitality. The gurdwara (house of
worship) is often also a guesthouse with free food and shelter for
travelers.
o
A large room in the gurdwara containing the Holy Book is used for
prayer and worship. One must remove his shoes and cover his
head prior to entering the room.
o
Sikhs worship every day, in mornings and evenings.
o
The turban of a Sikh man and the scarf of a Sikh woman must
never be touched by anyone. It is very disrespectful and offensive.
o
Any search of the head of a Sikh must be conducted in private.
Sikhs should never be forced into a public area with their heads
uncovered.
o
Many Sikhs are vegetarians. Those who do eat meat must only eat
chatka meat, from animals that have been killed quickly, humanely,
and without religious or ritual ceremonies. Sikhs do not eat halal
(animals slaughtered according to Muslim law) or kosher meat.
o
Alcohol and tobacco are forbidden.

•

Holidays
o
Vaisakhi – April 13 or 14 – Sikh New Year.
o
Diwali – October and November – festival of lights which
celebrates the release from captivity of the sixth guru.
o
Hola Mohalla – March – festival marked with sports events, music,
and poetry competitions.

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Buddhism
Buddhism originated in India. It is based on the teachings of Siddhartha
Gautama, known as Buddha, or “The Enlightened One.” Buddhism seeks to
give a person peace of mind and encourage and develop loving compassion
toward all living things. The goal of the Buddhist religion is enlightenment, which
means to be fully awake to the reality of life—to have an understanding of why
there is suffering in the world and of how it may be overcome. Buddhists do not
believe in a god or gods, but in the power of prayer to Buddha and in
reincarnation. Today there are about 330 million Buddhists worldwide, the
majority living in the Far East. All Buddhist philosophical elements relate to the
Four Noble Truths:
1.

Life is fundamentally disappointing and suffering

2.

Suffering stems from one’s desire for pleasure, power, and continued
existence

3.

To stop suffering, stop desiring

4.

The way to stop desiring is the path of right conduct

•

Family organization and gender roles
o
Traditionally, parents help their children find a suitable partner.
o
Divorce and re-marriage is rare among Chinese Buddhists.

•

Communication tips
o
It is best not to shake hands with a Buddhist unless a handshake is
offered.
o
A person should remove his or her shoes before entering a
Buddhist temple. If possible, acknowledge the custom even if you
are unable to abide by it.
o
Buddhism emphasizes the avoidance of intentional killing.
o
Many Buddhists are vegetarians.
o
When a person enters a shrine room in a temple or home,
headgear and shoes should be removed. You should acknowledge
the custom even if you are unable to abide by it.
o
Statues, pictures, the shrine, and other religious objects should be
treated with respect. Buddhist statues should be lifted or held by
the base and never by the head or top of the object.

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o

o

o

•

Police officers should explain clearly and fully the purpose of their
actions if they intend to move religious objects. They should also
apologize for any offense that this may cause.
Buddhist teachers should not be touched as a general rule. Should
this be necessary in extreme circumstances, caution and sensitivity
should be employed. Unless absolutely unavoidable, monks and
nuns should never be touched on the head.
The common greeting gesture for Buddhist is to place both palms
together, and then bow gently. However, some sects have their
hands folded over their heart in greeting.

Holidays
o
Vaisakha Puja – month of Vesak (usually May) – commemorates
the birth, enlightenment, and passing of Buddha. Captive birds are
released, lanterns and flowers are hung, candles and incense are
lit.

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Judaism
The Jewish people, unlike people of other ethnic groups, are not part of a
particular nation. Instead, their identity is derived from their faith in the 5,000
year old Jewish religion. Jewish people believe that a single transcendent God
created the universe and continues providentially to govern it. God’s will for
humankind is expressed in the Ten Commandments.
The first large wave of Jewish immigrants came to the United States in the
1830s and 1840s, when Polish and Bavarian Jews fled to the U.S. to escape
heavy taxes and restrictions placed upon them. The Revolution of 1848 brought
more Jews from Germany, Austria, and Hungary. Between 1881 and 1924,
persecution and war drove more than one-third of the Jewish population of
Eastern Europe to the U.S. The anti-Semitism prior to and during WWII and the
ensuing atrocities by the Nazis brought thousands of Jewish people to the U.S.,
with the majority eventually settling in New York City.
There are three main sects of Judaism: Orthodox, Conservative, and
Reform. Orthodox Jews believe that the Jewish laws and teachings of Torah and
Talmud (the Jewish Bible and Set of Laws) must be followed exactly as they
were laid down in the time of Moses. Conservative and Reform Jews believe
that some of the Torah’s teachings may be adapted to make them more relevant
to modern life.
•

Family organization and gender issues
o
The home and family have a central position in Jewish society.
Jewish families tend to be nuclear with father, mother, and children
living together.
o
Women and men are equally expected to fulfill their potential.
Women can pursue both a career and raise a family.
o
Traditionally the women pass on the beliefs and customs of their
faith to the children.
o
Orthodox Jews tend to advocate early marriage.
o
Orthodox Jews wear traditional clothing – usually long black coats
for men and long dresses for women. Orthodox men keep beards
and long curled side locks. They keep their heads covered at all
times. Orthodox women dress modestly and keep their hair
covered at all times.

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•

Communication tips
o
Among Orthodox Jews, work is prohibited during the Sabbath.
Work includes phoning, writing, cooking, turning on electricity, and
traveling by car and public transport. Exceptions are made to these
restrictions only if it is necessary to save life.
o
Orthodox Jews recognize modesty as a high moral value. Any
search of a member of the Jewish community should be conducted
with care and sensitivity. A search of a religious Jew must be
carried out by an officer of the same sex.
o
Certain items have immense religious significance. Officers
searching premises should take great care if they need to handle
religious books, candlesticks, silver cups, and other artifacts.
o
If you wish to go to a synagogue, it is best to call beforehand.
Officers wishing to enter a synagogue should wait to be
approached. This will normally be by a Shamash, or Beadle.
Officers should keep helmets or other headgear on when entering.
o
Some Jews are very strict about following dietary laws. Few
professing Jews will eat pork, bacon, or lard, and some will eat only
food brought in from a trusted source, such as home, or a kosher
restaurant with intact seals.
•

Holidays
o Shabbat (Sabbath) – sundown Friday to sundown Saturday – a
day of rest to be spent at home with the family. Traditionally, the
family will visit the synagogue and then return home for a special
meal.
o Passover – March or April – spring festival that lasts for eight days
and celebrates the Exodus of the Israelites from slavery in Egypt. It
is celebrated by a meal called a Seder where the story is told and
special food is eaten.
o Rosh Hashanah – September – Jewish New Year
o Yom Kippur – September – Day of Atonement – fast for a day as a
sign of repentance and desire to do better in the year to come.
o Sukkot – September – Harvest festival
o Hanukkah – December – Festival of lights

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Hasidim
Hasidic Jews are primarily Orthodox Jews who trace their traditions to a
movement that was started in Europe in the 18th century. Each group is headed
by a Rabbi or Grand Rabbi. The beliefs of some fifty Hasidic sects range from
extreme to moderate in terms of keeping of traditions. The three largest Hasidic
sects in New York City are the Lubavitch, the Satmar, and the Stolin Hassidim.
•

•

•

Where they live in NYC
o
The Lubavitch of Crown Heights (71 precinct) believes their mission
is to convert nonobservant Jews into observant Jews. A common
sight in New York is the Lubavitch “Mitzvah Tanks," vans filled with
young Hassidim who approach Jews on the streets and invite them
to pray. The worldwide headquarters of the Lubavitch movement is
in Brooklyn at 770 Eastern Parkway.
o
The Satmar of Williamsburg (90 precinct) is home to 30,000 Satmar
Hassidim.
o
The Stolin sect lives in the Borough Park area of Brooklyn (66
precinct). This area also houses the largest group of other Hassidic
sects.
Family organization and gender issues
o
Parents arrange all dating within the community. Couples date for
approximately three or four months before committing to marriage.
o
Families tend to be large
o
Women are required to wear skirts or dresses.
o
Men and women do not touch in public.
Communication tips
o
While all Hasidic Jews may appear similar, there are subtle
differences between the various sects.
o
See communication tips under Judaism

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Rastafarians
Rastafari originated in Jamaica in the 1930s as a response to the
oppression of the ruling colonial powers and as an expression of the original
African identity of the people. It became popular with the poorer sections of
Jamaica. Today it is a worldwide movement. Most Rastafarians are of AfricanCaribbean descent and identify with the struggle of reclaiming their African
ancestry. Rastafarians believe that Haile Selassie I, the late Emperor of
Ethiopia, or Ras Tafari, is the true and living God regarded as fully incarnate.
They believe that salvation can come to black people only through repatriation to
Africa after liberation from the evils of the western world. Rastafarians are
guided by the culture and traditions of Africa; their faith teaches peace, love, truth
and right.
•

•

•

Language – Rastafarians communicate in their own lyrical manner based
on Jamaican patois. It is extremely dynamic and varies by speaker. They
have developed this partly to disassociate themselves from the language
of the oppressors.
Family organization and gender roles
o
There is no formal marriage. A man and woman who co-habit are
automatically viewed as husband and wife.
o
The lion is a symbol of Haile Selassie (God) but also represents the
dominant maleness of the movement
o
Rastafarians often keep their heads covered. Men may wear
knitted, leather, or cloth tams. Women normally cover their heads
with wraps.
o
Their hair is often worn in dreadlocks, symbolic of a lion’s mane. If
a Rastafarian’s hair is not in dreadlocks, it tends to be worn long,
obeying the biblical command not to use sharp instruments on the
body.
Communication tips
o
For many Rastafarians, smoking marijuana (ganja) is an important
part of their worship and a ritual aid for meditation
o
Colors often associated with Rastafarians are red, green, gold, and
black. Red symbolizes the blood shed in Rastafarian’s historical
struggle; green represents the land; gold is for the faith, prosperity,
and sunshine of the Rastafarian people and the produce of Africa;
black symbolizes the color of the people.

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o

•

Most Rastafarians are vegetarians. They may not drink alcohol,
coffee, tea, or milk, but may drink herbal teas or anything made
from natural herbs and roots.

Holidays
o
Ethiopian Constitution Day – July 16
o
Birthday of Haile Selassie I – July 23
o
Birthday of Marcus Garvey – August 17
o
Ethiopian New Year’s Day – September 11
o
Anniversary of the coronation of Haile Selassie I – November 2

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Christianity
Christianity was formed about 2,000 years ago in Asia. It is the world’s
most widespread set of religions and has about a billion followers. Most
followers of Christianity are members of one of three major groups: Roman
Catholic, Protestant, or Eastern Orthodox. These groups have different views
about Jesus and his doctrine but all groups consider Jesus central to their
religion. Some groups worship God in terms of “The Holy Trinity,” the Father, the
Son, and the Holy Spirit.
•

•

Communication tips
o
Christians have respect and reverence for the name of God. Casual
or careless use of “Jesus” or “Christ” in conversation may be
offensive.
o
It is very important for Roman Catholics to be given their last rites.
o
Some Roman Catholics don’t eat meat on Fridays. Restrictions on
eating meat apply to all practicing Roman Catholics on Ash
Wednesday and Good Friday.
Holidays
o
Baptism and Holy Communion are the most widely accepted rites
of the Christian church.
o
Most Christians celebrate Sunday as the day for worship.
o
Christmas – December 25 –celebration of the birth of Jesus
o
Easter – April – commemoration of Jesus’ resurrection
o
Pentecost – celebration of the coming of the Holy Spirit

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LESBIAN, GAY, BISEXUAL AND TRANSGENDER COMMUNITIES
New York City is diverse not only in terms of the racial, ethnic, and cultural
identity of its population but also in terms of their sexual orientation and gender
identification. Every cultural, racial, ethnic, and occupational group contains gay,
lesbian, and/or bisexual members. Most also contain individuals who define
themselves as part of a transgender community. In order to enhance your
cultural competence in dealing with members of the Lesbian, Gay, Bisexual and
Transgender (LGBT) communities, it is important that you understand something
about their experience and address personal biases which may interfere with
your ability to communicate professionally and effectively.
Lesbian, Gay and Bisexual Communities
There are a number of myths floating about mainstream culture which fuel
the homophobic attitudes that underlie some of the anti-gay prejudice which
exists in our society. One myth claims that people choose their sexual
orientation (whether or not their sexual partner is of the same or opposite sex). In
truth, people do not choose their sexual orientation. An individual does not
decide to be “straight,” “gay” or bisexual.
At present, there is no conclusive scientific evidence to explain how a
person’s sexual orientation develops. It is uncertain whether it is dictated by
genetics, fetal development, environment, or a combination of factors. There is
no evidence that particular parenting patterns influence sexual orientation. There
is, however, broad professional agreement that a person’s sexual orientation is
established early in life. Nevertheless, adolescence is a period of flux in which
childhood conflicts may be unconsciously revived. During this time, some girls
may experiment with bisexuality who later commit themselves to men as sexual
partners.
Historically, members of the LBGT community have been mistreated by
different segments of society, including the police, and instances of harassment
and violence have occurred in the U.S. While New York City tends to be more
tolerant of differences than some other parts of the country, acceptance of LBGT
individuals varies, depending on culture, occupation, political and religious beliefs
and personal biases. The result is that the stigmatization of individuals within the
LBGT community continues to affect how they feel about themselves and their
membership in the larger society.

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Fear of negative labeling on the part of family, friends, and representatives
of public institutions, such as the police or the church, may lead some individuals
to deny or try to hide their feelings about their gender identity (male or female)
and/or sexual orientation (homosexual or heterosexual). Their anxiety may be
heightened in the light of their own unresolved conflicts about gender issues and
“internalized homophobia.”
Many gay and lesbian individuals who are raised in social worlds that
disapprove of homosexuality will internalize (render unconscious and a part of
themselves) those negative attitudes and values. In their book, Sexual
Orientation and Psychoanalysis, for example, authors, Richard Friedman and
Jennifer Downey discuss a depressed patient who identified with and internalized
his parents’ abusive homophobia. His engagement in dangerous behaviors in
adult life resulted from his unconscious self-hatred.
Denial of one’s sexual feelings does not change ones sexual orientation,
although it may protect individuals from excessive anxiety while they work to
resolve inner tensions. However, consciously attempting to keep one’s sexual
orientation hidden can also exacerbate anxiety and conflict. This is particularly
likely when the individual lives or works in an environment which rigidly defines
itself along traditional gender lines (such as the military, police, and sports
organizations). In these situations, exposure of one’s sexual orientation and/or
gender identity is more likely to result in humiliation, ostracism and/or
punishment.
Fear and hatred of gay and lesbian individuals is heightened by shared
myths and stereotypes that have no basis in fact. The popular media as well as
representatives of political and religious groups who have strong traditional
beliefs about how families are defined may perpetuate these myths. As police
officers, you are required to treat all people equally without regard to their sexual
orientation. It is therefore important that you learn to separate myth from reality.
Common Myths
•

Myth: Homosexuality is not natural.
Fact: As previously mentioned sexual orientation is established early in
life and is determined in large part by biological factors. There is no
evidence that one sexual orientation is more natural than others.
Heterosexuality may be more prevalent but is not more “natural.”

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•

Myth: Gay and lesbian relationships involve dominance and
subordination in which one partner is always assumes the traditional
“male” role.
Fact: Sexual preference among gay men and women is as varied as it is
among those who are heterosexual. Lesbian and gay men seek
egalitarian relationships based on principles of equality at the same
frequency as heterosexuals.

•

Myth: Children raised by gay or lesbian parents will become gay,
themselves.
Fact: Studies show that children raised by gay or lesbian parents are no
more likely than children raised by heterosexual parents to be gay or
lesbian. Indeed, the majority of gay men and lesbians today were raised
by heterosexual parents.

•

Myth: Gay men are actual or potential child molesters.
Fact: 90% of all child molestation is done by heterosexual males against
young girls. Child molestation, like rape, is about power and control, not
sexual desire or orientation.

Transgender Communities
Gay, lesbian and bisexual individuals are as comfortable with their
biological sex as heterosexuals. Neither heterosexuals nor homosexuals have a
desire to change their biological sex to its opposite. This is not the case with
many transgender persons. The focus of concern for members of the
transgender community is not sexual orientation but gender identity.
In contrast to persons who are gay, transgender people perceive a conflict
between their biological sex and their gender identity. Some resolve the conflict
by undergoing sex re-assignment surgery. Others live with the discomfort and try
to conform to the roles expected of them by society. Still others deal with the
tension by passing at work as one gender and assuming the other at home. In
the context of the transgender community, passing refers to the ability of a
person to move about in public as a member of their chosen gender without
being recognized as transgendered.

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Communication Tips
•

A person who believes that he or she was born the wrong biological sex
and who is taking steps to change this situation should not be referred to
as a transvestite.

•

Most transvestite persons do not identify as being lesbian, gay, or
bisexual.

•

Police will encounter transgender people in exactly the same situations as
they would any member of the public, including as crime victims.

•

In day-to-day encounters officers must deal with the person as members
of the gender category which they present.

•

It is important to respect an individual’s need for confidentiality. Often
wives, families, neighbors, and employers are not aware of the situation,
and the person would be greatly embarrassed if such information were
made known.

Terms and Definitions
•

Biological Sex – Being male or female as determined by chromosomes
and body chemistry.

•

Gender – Expressed in terms of masculinity and femininity. It is how
people present themselves and how they expect others to behave.

•

Sexual Orientation – Refers to an individual’s “choice” of a same sex or
opposite sex partner.

•

Homosexual – Technical term for a person who prefers a sexual partner
of his or her own sex.

•

Lesbian – a female who prefers a same sex sexual partner.

•

Gay – Male (or female) who prefers a same sex sexual partner.

•

Bisexual – an individual of either sex who enjoys sexual partners of the
same and opposite sex.

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•

Gender Identity – The gender we identify with or feel that we belong to,
i.e. male or female.

•

Transvestism – The adoption, full or partially of the clothes normally
identified with the opposite gender.

•

Transexualism – A profound form of gender dysphoria, in which an
individual believes that they do not belong in the sex in which they were
born and who has changed or is in the process of changing to their
chosen sex or gender.

•

Gender Dysphoric – a technical term describing persons whose
biological sex and gender identity are in conflict.

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BIBLIOGRAPHY
Avon and Somerset Constabulatory. 2000. Faces of Britain: A Cultural Guide.
London, England: The British Publishing Company, Ltd.uk.
Foner, N. (ed). 2001. The New Immigrants. New York: Columbia University
Press.
Freeman, J. 1995. Changing Identities: Vietnamese Americans 1975-1995.
Boston: Allyn and Bacon.
Friedman, R. and J. I. Downey. 2002. Sexual Orientation and Psychoanalysis:
Sexual Science and Clinical Practice. New York: Columbia University Press.
Gold, S.J. 1995. From the Workers’ State to the Golden State: Jews from the
former Soviet Union in California. Boston: Allyn and Bacon.
Lovell, W.G. 2000. A Beauty that Hurts: Life and Death in Guatemala. University
of Texas: Austin.
Mahler, S.J. 1995. Salvadorans in the Suburbs: Symbiosis and Conflict. Boston:
Allyn and Bacon.
Metropolitan Police. 2001. MPS Handbook on London’s Religions, Cultures and
Communities Policing Diversity: Metropolitan Police Service. London: Subject to
the Crown.
Shusta, R.M, D.R. Levine, P.R. Harris and H.Z. Wong, 2002 (eds.) Multicultural
Law Enforcement. Upper Saddle River, N.J.: Prentice-Hall.
Stepick, A. 1998. Pride Against Prejudice: Haitians in the United States. Boston:
Allyn and Bacon.
Thriveikraman, J., C. Gwyn, D. Duchon and G. A. Hoffman. (eds.) The
Ethnographies of Recently Arrived Groups. Bridging the Gap Project, Inc.
Atlanta, GA: 1615 Peachtree Street NE. (unpublished manuscript).

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Acknowledgments
Many people contributed their insights to this chapter on multicultural
policing. Wherever possible, we have included their suggestions. We are
especially grateful to the following:
Emira Habiby Browne
Director, Arab Family Support Center
Jodie Friedman
Intern, John Jay College of Criminal Justice
Gary Schulze
Metropolitan Transit Authority
Sadique Wai
President, United African Congress
Emira Habiby Browne
Director, Arab Family Support Center
Patricia Chernoff
Interfaith Coalition for Neighborhood-Police Partnerships
Monique Dixon
Staff Attorney, Advancement Project
Gary Schulze
Metropolitan Transit Authority
Ruby Sprott
Langston Hughes Community Library and Cultural Center
Sadique Wai
President, United African Congress

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Discretion
WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT DISCRETION?
Discretion is the authority to decide how to resolve situations in different ways.
Police officers need to know about discretion because they use it every day, and
because the decisions they are authorized to make can have enormous impact on the
lives, rights, and liberties of citizens; on the public; on the relationships among the
public, this Department, and the entire City government; and on themselves. In fact,
most of the riots in this country over the last half-century have been started by what,
rightly or wrongly, were believed by citizens to have been abuses of police discretion.
These riots have had lots of other, underlying, causes – racism, poverty, inequity,
dissatisfaction with government generally – but it is sobering to reflect on all the
damage that has been sparked by controversial decisions made by police officers on
the street.
In recent years, some of the most serious allegations about police discretion are
claims that it has been abused, and degenerated into racial profiling. It is also
important that you understand discretion sufficiently to be able to distinguish between
discretion and discrimination. Discretion will authorize you to choose among different
alternatives in finding ways to deal with problems you will encounter on the job.
Discrimination occurs when your decisions to take action – or to not take action – are
based on person’s membership in a gender, racial, ethnic, or religious group, or
because of his or her sexual preference. The decisions you make while exercising
discretion must be objective and reasonable and must be designed to achieve some
legitimate police objective. The phrase objective and reasonable means that your
decisions cannot be based on your personal beliefs or biases. You cannot make
decisions solely on the basis of whether someone is white or black. The decision you
make must be based on objective information and within the law and Departmental
guidelines.
Scholars and judges have studied police discretion extensively, and have
reached several conclusions about it. Most important, they have pointed out that
street-level police officers exercise more – and more irreversible – discretion than does
any other peacetime civil servant. Nobody but a police officer – not the Police
Commissioner, not the President of the United States, not any senator or
congressman or congresswoman – is given as much discretion as a police officer in
deciding whether to use deadly force against other Americans. True, a judge and jury
can decide that a convict should be executed but, before their decision is carried out,
years will pass and many other people – appellate judges at the state and federal level
right up to the U.S. Supreme Court, the Governor, perhaps even the President – will
have the opportunity to review it and to change it. When a cop makes a decision to
shoot someone, by contrast, he or she does so in an instant, with little or no
opportunity for deliberation and with no chance for anybody else to reverse the course
of the bullet. Instead, the person shot suffers the consequences of the officer’s
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decision immediately, and the officer has to live forever with the decision to shoot.
Such decisions should be made only as a last resort, and only after careful training
and lots of personal reflection to prepare oneself for the instant where one might have
to make such a decision. We begin this process of training and reflection right now.

DISCRETION AND ACCOUNTABILITY
Discretion is not a license for police officers or any other professionals to do as
they please. With the right of discretion comes a very high degree of accountability.
In simple terms, this requires that one be able to explain why a particular course of
action was chosen and how it is legal, ethical, and consistent with the standards of
one’s profession. To do this, police officers must always keep their eye on the prize:
that our primary responsibility is to protect life. Ultimately, every decision we
make will be judged in terms of whether it was the best reasonably available way to
accomplish this purpose.
The responsibility to protect life overrides all other police responsibilities. We
also have obligations to apprehend offenders and to protect property, but these are not
as important as the obligation to protect life. A police officer who chose to apprehend
a car thief by pursuing him at high speed through crowded city streets would be acting
improperly because he would be giving a higher priority to his obligations to apprehend
criminals and to protect property (the stolen car) than to his obligation to protect life. If
he chose to pursue in such a situation, he would not be able later to explain his actions
in ways that were consistent with his obligation to protect life. It is for this reason that
the Department has created policies on vehicle pursuits that tell him in advance that
he should not endanger life by chasing cars at high speed, and that he will be held
accountable if he violates them.
Professional Accountability
All professions have some mechanisms for accountability. While every
professional’s decisions must be consistent with the law, the law usually only applies
to the very worst abuses of discretion. A New York doctor, for example, was recently
prosecuted for assault after he used his scalpel to carve his initials into a woman’s
body during surgery. This is terrible conduct that certainly deserves criminal
treatment, but it is also possible for doctors to behave in unacceptable ways that are
not so obviously criminal. It would be easy for a jury to decide that our initial carver
should be convicted, but what about doctors who perform unnecessary surgery in
order to line their own pockets? How would a jury know whether, in a particular set of
circumstances, a doctor should have performed radical surgery to remove a diseased
organ or, at far less cost to the patient and insurer, simply could have treated it with
medication? This is a tough question, better answered by other trained and
experienced doctors than by juries. Other doctors can look at the patient’s history,
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illness, and any other information that was available to a doctor at the time she made a
decision to operate, and can judge the reasonableness of her decision on the basis of
what they would have done in the same circumstances. A jury untrained in medicine
cannot do this easily.
It is for this reason that members of professions are held accountable for their
decisions not through the criminal law, but through reviews conducted by other
members of their professions. When doctors are accused of unnecessary surgery,
their hospitals and professional medical associations convene committees to review
cases and to decide whether doctors’ decisions to operate were appropriate. When
lawyers are accused of misconduct – like not doing everything possible for a client or
engaging in a conflict of interests – their conduct is reviewed by their employers and
by professional bar associations.
This applies to the police, as well. In rare instances, police officers have been
held accountable for abusing their discretion through criminal prosecution. The Los
Angeles officers who beat Rodney King and the Brooklyn officer who victimized Abner
Louima acted so egregiously, and in such a clearly criminal way, that prosecution and
conviction were virtually inevitable. There was no way that the officers who beat King
could convincingly argue that what jurors saw on that infamous videotape was a
legitimate way of subduing Mr. King. There was no way that the officer who assaulted
Mr. Louima could convince anyone that Mr. Louima’s injuries – a ruptured colon and
bladder caused by the insertion of a wooden stick into his rectum – had been the result
of reasonable force.
Like doctors and lawyers, police officers can abuse their discretion in ways that
are not so clearly wrong or that are not even addressed in criminal law. For this
reason, the NYPD has created policies and directives that guide officers’ discretion in
sensitive situations. These are enforced by the professional reviews of police
supervisors and commanders. Examine your copy of the Penal Law carefully, for
example, and try to find the section in which it prohibits police officers from firing
warning shots or that limits the circumstances in which they may shoot at occupants of
motor vehicles. You will not find any such sections because our state lawmakers have
left such matters up to individual police agencies. Because these issues are not
addressed in the criminal law, a prosecution of a police officer who fired a warning shot
or who fired at the occupants of a moving vehicle would be highly unlikely unless it
occurred in circumstances in which a prosecutor could show a jury that the shooting
had been criminally reckless or negligent. If an officer fired a warning shot into the air
in the middle of Central Park late at night, it is unlikely that he or she would be
prosecuted. If the officer were to do the same thing in a first floor apartment – firing a
shot into the ceiling and striking a second floor resident – he or she almost certainly
would be prosecuted for recklessly causing an injury that, under the circumstances,
was very likely to occur.

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Policy Discretion and Operational Discretion
Because police have to make important decisions under the most stressful
circumstances and because so many inappropriate decisions are not addressed in
criminal law, the Department’s policies and directives tailor officers’ decisions to the
circumstances of this City. It might be appropriate to allow police officers in the
Adirondack Wilderness or other sparsely populated upstate areas to fire warning
shots. Because of New York City’s high rise buildings and densely populated streets,
however, it would be wrongheaded to allow warning shots here.
When the Department issues policy statements (e.g., General Orders; Interim
Orders; Operations Orders; Patrol Guide sections) that limit officers’ authority to make
decisions, the Department’s administration is exercising policy discretion. When this
happens, the Department removes some operational discretion from officers on the
street and is saying, in effect, that this is the way officers should handle particular
situations, and that the Department will hold officers accountable for doing so. The
Department’s policy on use of deadly force may be the best example of this. The
deadly force policy limits officers’ operational discretion, their authority to make
decisions in the field.
Department policy governs officers’ operational discretion in ways not
addressed in the criminal law (as in warning shots and shots at vehicles), and
establishes an elaborate investigation and review procedure to assure that officers
abide by the policy. Similarly, policies on matters such as response to domestic
violence and emotionally disturbed persons limit and guide officers’ discretion on the
streets.
The Department does not make policy arbitrarily. Instead, policy is made by the
Department’s administration only after lengthy deliberation about what officers should
try to accomplish in certain circumstances and how they should go about attempting to
do so. This relieves officers – who have to make decisions right now, in the worst
possible circumstances – from having to pick a solution out of the air, and then having
to live forever wondering whether they chose the right one. By the time you are done
with this training program, you will know what the Department expects you to
accomplish in sensitive situations, how to choose the alternative that appears to make
the most sense, and how to explain why you did what you did.
Finding the Right Answer
This raises the question of whether there is a single right answer to every
situation. Unfortunately, there is not. As you proceed through your career, you will
find that the answers to most of the problems you encounter are obvious and clear-cut:
some people should be arrested; some disputants should be asked to separate and
leave the scene; some noisy kids should be simply chased off the corner; some people
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should be transported to hospitals or mental health facilities. In some circumstances,
the best way to meet the primary responsibility to protect life will jump out at you
because it will be the only way to protect life.
In other circumstances, the right choice may not be readily apparent. Consider
these situations:
1.

My partner and I came to this apartment because the neighbors reported
hearing a woman screaming for help inside it. Now we’re here, and
nobody answers the door. Should we leave? See if we can get the key
from the superintendent? Kick in the door?

2.

My partner and I came to this location because the neighbors reported
hearing a woman call for help from within an apartment. When we knock
on the apartment door, a woman yells at us from inside to go away and
that everything is okay. She refuses to open the door. What now?

3.

We have a description of a young man who just mugged a woman on the
street. Five blocks away, we came across a person who matches the
description, except that he is about five inches shorter than what the
radio dispatcher told us. He is angry, refuses to identify himself or to
cooperate with us, and tells us that he’ll sue us if we don’t let him go
immediately. What do we do?

4.

Its one o’clock in the morning and we have just come across a
disheveled young man who is carrying a television set on a dark street.
He says it’s his, but gives weird answers about what he’s doing with it
(“It’s my TV. I decided to give it to my mother so I was taking it over to
her place. She doesn‘t know about it. It’s a surprise”). He says he’s
been ducking in and out of the shadows because it’s a “high crime
neighborhood” full of people who might steal it from him if they saw him
with it. What now?

5.

We just stopped a young guy who ran a red light. He looks like he’s had
too much to drink but he lives right around the corner and he is waiting to
be appointed to the NYPD, and that his father is a lieutenant “on the job.”
A summons or a DUI arrest would probably disqualify him, but maybe
that would be a good thing: who needs a cop like this? What now?

Not all police work is clear-cut and easy. To prepare for situations like these,
you need to be thinking about them in advance. The first question you should ask is
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whether the situation involves your obligation to protect life. If it does, the appropriate
course of action should become clear.
Situation 1 clearly involves protection of life. If the neighbors who made the call
about the screams for help are present and they tell you what they heard, you must
assume that they are truthful and that there may be somebody inside who has been
hurt or whose life is in danger. Even if there are no neighbors present and the
dispatcher has no call-back number, you have to assume that the call was valid. This
means that, one way or the other, you will need to get into that apartment, and that
you should get a supervisor and Emergency Service to the scene. This course of
action is the correct one because you can also explain it in ways that make sense. On
the other hand, if you left the scene without checking the interior of the apartment, you
would never be able to explain why you walked away from the possibility that, inside,
there was a dead woman or, worse, a woman you had left to die.
Situation 2 also involves your obligation to protect life. Consider how this
obligation is manifested here, and what you would do to meet it. Most important,
consider why you would take the course of action you choose and how you would
explain it later.
In Situation 3, questions about your obligation to protect life are less obvious,
but they are there. Would letting this fellow go without knowing whether he was the
mugger protect life? How would you feel about it if you let him go, and it turned out
that he was the mugger and that, next time out, he killed or seriously injured another
woman who had fiercely resisted him? How would you explain that? But what if you
detained him and it turned out that the victim said that he was not the mugger? He’d
be annoyed and might file a complaint against you. If that happened, could you
explain why you did what you did?
Situation 4 may involve other responsibilities besides the obligation to protect
life. These include your obligations to detect crime, to protect property, and to
apprehend offenders – against your competing obligation to protect citizens’ rights.
Consider how you would resolve these conflicts. With no way to know for sure
whether this television is stolen, you might detain this young man until you found out
that it was indeed his set, and then you would have to release him. On the other hand,
if you released him and it later turned out that the set was stolen, it might turn out that
you’d have to explain to the television owner that you had caught the guy who took his
set, and that you let him go. Which would you prefer?
Situation 5 involves your obligation to protect life. Can you see how? Think
about what it would mean to allow this young man to go on his way and to become a
police officer. Would this send him – and others he would tell about it – a message
that the rules and laws don’t apply to cops or to those who want to be cops? That it
was acceptable for police officers and officer candidates to drive drunk and to violate
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traffic laws? It’s nice to be able to extend courtesies to those who want to join the
NYPD family, and there are no doubt cops who would disapprove if you took action
against this young man. So what? Unlike our blood families, we do get to decide
which people become our brothers and sisters in blue. In this case, shouldn’t we be
thinking about whether we want to make it easy for someone who is reckless enough
to drink and drive to join this family? It takes maturity and a sense of responsibility to
be a good police officer: If this fellow behaves like this while he’s waiting for a gun and
shield, what will he be like after he gets them? Would you want him sitting next to you
in a patrol car? Driving home in the neighborhood where your children or younger
brothers and sisters live?
Situation 5 raises another issue that we will touch on later in this chapter. The
American system of justice is founded on the principle that all people should be treated
equally. In practice, this means that, where your decisions about enforcement are
concerned, you should never be treating people differently because of who they are.
To do otherwise is to pervert your discretion and to change it into discrimination. Your
decisions on the street – to arrest, issue a summons, warn, or do nothing; to stop and
question people or to let them walk on their way unmolested; to help some people and
to refrain from helping others – must never be based on who they are. Instead, these
decisions must be based on an objective reading of the circumstances and the
evidence, and the actions. You must not make your decisions on the basis of
anybody’s gender; race; ethnicity; age; religion; culture; sexual preference; legitimate,
but different, political views; occupation; social class; or membership in any other class
of people.
Accountability Mechanisms in the NYPD
Supervision. On a day-to-day basis, the major check on your discretion will be
your supervisors: mostly, the sergeant. He or she should serve as a trainer and as
someone who reviews your work, compliments you on your strong points, and
encourages and helps you to correct weaknesses. The sergeant should also inform
you when you act wrongly.
Discipline. Many people think of discipline as punishment. This is incorrect.
Punishment is only one form – the final form – of discipline. Discipline is the art and
science of getting the members of an organization to behave in appropriate ways.
Thus, a well-disciplined organization – a police department, an army, an athletic team
– is one whose members know what is expected of them and how to accomplish it.
The members of disciplined organizations also try their best to do what is expected of
them.

Training is a positive form of discipline. This Department’s training will make
you disciplined because it will teach what is expected and how to do it. We teach you
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what to do in our classes, and will teach you how to do it in our role-plays and other
training. We will review and correct your mistakes with you. If your mistakes are
honest errors, we will show you techniques of improving them. If that doesn’t work – if
it turns out that you are simply incapable of doing police work – we will reluctantly let
you go. If you cannot control your temper or emotions or if you let your attention
wander when it should be carefully focused on what’s going on, we will stop training
you and start using punitive discipline to bring your conduct into line. If punishment
like fines and suspensions does not change your behavior, we will reluctantly give up
and separate you from the Department.
The Department also disciplines its members by conducting professional
reviews of their most serious decisions – to shoot; to use force. In these reviews, like
professionals in medicine and the law, we consider issues not examined in criminal
prosecutions. The way most authorities read it, Penal Law Section 35 (on justification
for the use of force) focuses only on the circumstances that existed at the instant an
officer uses force, whether via a gun, baton, or any other mechanism. For example, if,
at the instant the officer pulls the trigger, the officer reasonably perceives that his or
her life is in imminent danger and that he or she has no other alternative way to defend
him or herself, a prosecutor would have no interest in bringing a case against the
officer. But, in its review of the officer’s actions and the circumstances in which they
occurred, the Department will ask other questions:
-

How did the officer get into the circumstances that made it necessary for
him or her to shoot somebody?

-

Was this unavoidable, or did the officer unnecessarily put him or herself
into circumstances that left the officer no alternative but to shoot?

-

Did he or she use bad tactics? Did some other police officer put the
officer into this situation by using bad tactics?

-

If so, what should be done about it?

-

Should the officer be retrained? Should others at the scene be
retrained?

-

Were the officer’s actions so far out of line that he or she should be
punished for them?

-

Did the officer use force in an unnecessary confrontation with a person
who obviously was emotionally disturbed, provoking that person into
actions that made it necessary for the officer to shoot?
Did the officer approach this situation in some other reckless way that
created the circumstances that made shooting necessary? If the officer

-

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was in plainclothes, for example, did he or she properly identify him or
herself so that the shooting victim knew that the officer was a police
officer rather than merely a threatening person with a gun?
-

Does what happened indicate that there is a training need that may
affect all officers and that should be addressed in everybody’s training?

-

Does what happened show a need for a policy change to avoid such
shootings in the future?

These questions typically are not at issue in prosecutors’ reviews of officers’
actions but they, and others like them, do come into play when the Department
reviews shootings, use of force, and encounters with emotionally disturbed persons,
and domestic violence, vehicle accidents, and other controversial actions. They are
also very similar to the kinds of questions that get asked in civil suits against police
officers and the Department. In civil court, as in Departmental reviews, the inquiry and
allegations go far beyond the issue of what was going on at the instant the officer
pulled the trigger or used his baton. Usually, it consists of attempts to show that
officers’ actions hurt somebody because everything the officers did was wrong and
actually created the circumstances in which people suing the police were hurt.
A clear message should come out of this discussion of professional discretion
and accountability so far:
-

You will soon have enormous power to affect the lives and liberty of the
citizens of New York City.

-

This power is not a license to do whatever you want to do. To do your
job as a police officer, you will need to know in advance what is expected
of you in different circumstances and how to accomplish it.

-

To know what is expected of you, it is not enough to be familiar with the
criminal law standards that may apply to police work. In policing, as in
other professions, the major controls on members’ decisions are the
professional standards developed and enforced internally

-

You will also need to know how to explain why you did what you did, and
you are likely to have to make such explanations to your supervisors
and, in especially sensitive cases, to review panels or even to the civil
courts.

-

These explanations must demonstrate that your decisions were
reasonably based on the objective information available to you at the

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time you made them, and that they were not based on the fact of who the
people affected happened to be.

THE DISCOVERY OF POLICE DISCRETION
For generations, police administrators denied that police officers even exercised
discretion. Instead, they argued that their officers enforced all the laws all the time,
and used phrases like firm, but fair to describe their philosophies of policing. Firm, but
fair may be neat-sounding but, in practice, it can mean anything you want it to mean.
Police chiefs did not acknowledge that officers exercised discretion because it
was easier to do this than to attempt to formulate and explain policies that could guide
officers’ decisions on the street. Take an example: a person complains that an officer
ticketed him for parking on a fire hydrant, and then drove right by his neighbor’s car
even though it was parked in a no parking zone. In years past, police chiefs in most
places would write back to the complainant that the officer was wrong to ignore the
neighbor’s illegally parked car and that the officer had been instructed to enforce the
parking laws more firmly and fairly.
This, of course, was nonsense. It got the chief off the hook of having to explain
that parking on a fire hydrant is an extremely dangerous violation and that, given
limited time and resources, officers frequently exercised some discretion in
enforcement by ticketing for only the most serious violations. It was also believed that
telling citizens that the police regarded some violations more seriously than others
would give the public the idea that the minor violations would never be enforced.
Some also suggested that acknowledging that police exercised discretion would open
them to accusations that they were acting as unelected lawmakers, taking it upon
themselves to pick and choose the laws they would enforce. So, instead of
acknowledging and addressing the need for discretion, police chiefs typically resolved
complaints about it by slapping their officers on the wrist. This was unfortunate
because it also gave cops the idea that police discipline was arbitrary rather than
reasonable.
During the 1960s, people from outside policing began to study discretion for the
first time. They did so mainly because the police had become the source of great
controversy. The Civil Rights Movement had begun in the South and, through
television, showed much of the American public for the first time the brutality that had
been long used to enforce racial segregation. In the North, riots broke out and, as

noted above, were usually sparked by police action. All over the Country, crime rates
soared despite the best efforts of the police. Suddenly, government commissions and
scholars found the police very interesting.
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When scholars and commissions began to study why the police behaved as
they did, they found that, because police chiefs had not been willing to admit that
officers exercised any discretion at all, they had not made any rules or written any
policies to guide officers’ discretion. In the absence of rules and policies, the only
limits on what police did in the street often were only found in criminal law. This
Department, for example, did not enact a policy on use of deadly force until 1972 and,
even then, was one of the first in the country to do so. Prior to that, NYPD officers’
decisions to shoot or not to shoot were based only on the Penal Law’s Justification
sections. Further, before the adoption of the current Penal Law in 1967, the old Penal
Law’s Justification statutes allowed police officers to shoot to apprehend any and all
fleeing felony suspects, regardless of whether they were armed and regardless of
whether they were a danger to anybody. This had effects that would not be accepted
today. In recent years, this Department’s officers have shot and killed 10 to 15 people
every year. Compare that to 1971, the year before the Department adopted its first
deadly force policy, when NYPD officers shot and killed 93 people. During the 1960s
and early 1970s, it also was not unusual for officers to receive Departmental
Recognition for shooting fleeing teenaged car thieves and unarmed commercial
burglars. In those years, there were no policies that governed what officers did at
virtually any dangerous event: there was no policy or training for handling hostage or
barricade situations, domestic disputes, domestic violence, or motorists who would not
pull over when signaled to do so. Instead, officers were basically left to do the best
they could and, as long as their actions did not violate the criminal law, they were
considered acceptable.
Varieties of Police Behavior
One of the pioneering studies of the police was James Q. Wilson’s Varieties of
Police Behavior, which was published in 1968. Until this, most people – including the
police themselves – seemed to assume that there were not many differences in the
way that officers in America’s 20,000 or more police departments operated on the
street. To see if this was so, Wilson – a political scientist who suspected that local
policing was very much influenced by differences in local politics – studied the police in
eight communities. Six of the communities are in New York State: Albany,
Amsterdam, Brighton, Nassau County, Newburgh, and Syracuse. The others are
Highland Park, Illinois and Oakland, California.
Wilson’s research had four very specific goals; First, to describe how most
police officers behave with respect to frequently applied laws such as those governing
assault, theft, drunkenness, vice, traffic and disorderly conduct. Second, to analyze
the problems facing police administrators both in deciding what police officers ought to
do and how they should be made to do it. Third, to discover if and how police officers
on patrol in various cities differ in performing their functions. The fourth reason was to
look at whether differences in policing among these places are based on explicit
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community decisions. This last issue is very important: if cops acted in pretty much
the same ways everywhere, especially in the six New York communities, it would be
fair to say that they truly were law officers, whose behavior was determined mostly by
state laws. On the other hand, if Wilson were to find that officers in different
communities operated in very different ways even though they were all working under
the same state laws, he would conclude that police were affected primarily by factors
in their communities rather than by what state lawmakers had written into the books.
Wilson found that police departments and their police officers varied
significantly, and that there were three distinctive police styles or strategies, and three
functions of police work:
Functions of Policing

Styles of Policing

Order Maintenance
Law Enforcement
Public Service

Watchman Style
Legalistic Style
Service Style

Functions and Styles of Policing
Although most people thought the police officer’s role mainly involved law
enforcement, Wilson concluded that the police officer's role is defined primarily by his
or her responsibility for maintaining order. He reached this conclusion because the
police he studied spent less than 15 percent of their time doing law enforcement work.
Wilson did not study New York or other big cities, but our experience is consistent with
what he found in smaller places. Indeed, Wilson observed, police officers in big cities
encounter far more problems of order maintenance than opportunities for law
enforcement. A noisy drunk, a rowdy teenager shouting or racing his car in the middle
of the night, a loud radio in the apartment next door, a panhandler soliciting money
from a passerby - these are all examples of order maintenance situations. Although
the police officer may use the law to make an arrest, just as often he or she will do
something else, such as tell someone to knock it off, break it up, or go home and
sober up.
Another situation that requires police to give a higher value to order
maintenance than to law enforcement would be mass demonstrations and parades. At
large City Hall labor demonstrations or big parades, the police – including the NYPD –
are more interested in maintaining order and assuring that everybody gets home
safely than in enforcing the letter of the law. Indeed, attempts to make certain that
everybody at such an event obeys every law and ordinance all the time often turn
orderly and happy crowds into disorderly and angry mobs.
Wilson found that some police departments – those in certain ethnic, blue
collar, working class cities such as Albany, Amsterdam, and Newburgh – placed a very
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high value on order maintenance and, basically, allowed officers a free hand in
deciding how to do it. As long as the community remained quiet, people in power in
these places paid little attention to the police or what they were doing. In such
circumstances, the police adopted a Watchman style: keeping an eye on the streets,
coming when they were called, and investigating crimes that were reported to them,
but engaging in very little proactive work.
Because the police in such places had few limits on their conduct, some fell into
sloppy and corrupt practices. This was certainly the case in Albany and Newburgh,
both of which suffered major corruption scandals shortly after Wilson finished studying
them. In both these cities, it turned out, some police were maintaining order by taking
bribes in exchange for allowing vice operations – gambling, prostitution, illegal liquor
sales, and drug sales – to stay in business. On occasion, these scandals would result
in the election of reform mayors, who won their offices with promises that they would
free the police from local politics, and would create strong and independent police
departments that would enforce all the laws all the time, firmly and fairly. This is what
happened in Oakland and Syracuse, two ethnic, blue collar cities that elected reform
mayors after corruption was exposed.
In both these places, the police became what Wilson call legalistic departments.
They focused their efforts almost exclusively on law enforcement, and measured their
productivity primarily in numerical terms – arrests, calls handled, response time –
rather than in terms of whether their communities remained peaceful and orderly. The
officers in these places were expected to enforce the law at every occasion and were
so closely monitored that there was no opportunity for them to develop corrupt
relationships with criminals in the community. These reforms also drew more highly
qualified people to police ranks, and resulted in police agencies of great integrity.
According to Wilson, the emphasis of these agencies on law enforcement weakened
their relationship with many in the community and created a tension and accusations
that they were insensitive and unresponsive to community needs. In cities with
watchman police departments, people who were stopped for traffic violations had a
good chance of talking, or even bribing, their way out of tickets; in places with legalistic
departments, they had no chance to do this because officers were under orders to
ticket everybody they stopped. Officers in watchman police departments usually
chased noisy kids off their street corners; in legalistic departments, noisy kids wound
up in police stations, with arrest records. In short, the legalistic departments Wilson
studied were honest, but they did not win a lot of friends.
Wilson argued that the people who regarded these legalistic agencies as the
best that one could expect were misguided. In Brighton, Nassau County, and
Highland Park – all very prosperous and mostly middle class suburbs at the time –
Wilson found what he called service police agencies. These were departments that
recognized that, especially in leafy suburbs, most policing consisted of rendering nonenforcement services to law abiding people – settling family disputes, delivering
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babies, taking injured or sick people to the hospital, finding lost children, giving
directions to lost tourists, informing families of the deaths of loved ones, and consoling
them afterwards. Most police officers do not think of this public service as real police
work, and would much rather spend their time catching crooks. When they feel this
way about their jobs, they are likely to treat this service work with contempt and to act
in ways that let citizens know that they would much rather be doing something more
important.
That would be a bad attitude in this Department because, even in this big and
complex city, much of the work of patrol officers involves non-enforcement services.
The table below shows the nature of the radio calls to which our officers responded
during three recent years. Certainly, the table shows that officers respond to many
suspected crimes every year. But every year they also are called to more than
300,000 aided cases, more than 300,000 vehicle accidents, and more than 130,000
domestic disputes. If officers were to treat these jobs as distractions from the real
police work of enforcing laws, they certainly would alienate a lot of people who called
the police because they needed help. This is unacceptable to the Department. Like
Wilson’s service agencies, you will find that we work hard to make sure that you and
all our officers understand that these service tasks are a real and critical part of your
work. If you don’t do them right, treating our clients with the Courtesy,
Professionalism, and Respect they deserve, you will offend and break trust with the
people whose support makes it possible for us to function.

# RADIO RUNS FOR:
10-54S Aided Cases
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1999
309,195
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2000
312,319

2001
325,792
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10-54 E.D.P. Runs
65,219
64,592
65,219
10-52 Domestic Disputes
131,396
133,500
140,369
10-30 Robbery in Progress
27,531
23,968
23,044
10-31 Burglary in Progress
38,963
32,626
30,219
10-10 Suspicious Persons
721,462
683,928
681,090
10-34 Assault in Progress
149,262
147,358
151,672
10-53 Vehicle Accidents - ALL BY CATEGORY
Disputes
37,315
35,144
29,281
Hit By Auto
28,698
27,257
27,317
Injury
60,795
63,784
58,309
Property
131,223
173,247
195,756
Other
89,265
76,983
60,655
Pinned
11,299
11,060
10,628
Total Accidents
358,959
387,475
381,946
10-11 Ringing Alarms
Total Radio Runs

431,667

436,759

418,725

3,951,000

4,082,000

4,453,485

So What? By now, you may be wondering what all of Wilson’s academic
theorizing has to do with you and your work on the streets of New York. The
significance of his work is as follows:
1.

Wilson showed that not all police departments were the same, and that
local politics and culture have greater effects than state law on what the
police do. In a big city like ours, this means that you can expect that you
will find varying styles of policing as you move from community to
community. Despite our Department-wide policies and training programs,
each of the Department’s precincts and units has its own culture and way
of doing things that is slightly different from every other one. This is so
mostly because the City is so diverse and because we have tried to be
responsive to the whole range of cultures and populations found in it. This
does not mean that either the law or Department policy is meaningless: the
key police decisions – to arrest, to shoot, to use force – must be consistent
across the City. But, in other areas – Do we tolerate noisy street corner
groups? Do we give the highest enforcement priority
to double parking? How well do our officers get to know local residents? –
There are some noticeable differences. These differences result from a
variety of factors, including history, immigration, and local geography.
Officers who work in highly transient high rise neighborhoods have to work
much harder to get to know the neighbors than is true in long-established
neighborhoods of one and two family houses. Some officers work in
neighborhoods populated by people who speak other languages and who
come from countries where they have learned not to trust the police. It is

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much harder for such officers to get to know local residents than in
neighborhoods where cops are trusted and every resident seems to have
a cousin or uncle who is “on the job.”
2.

Even in the busiest areas, it is more accurate to think of police officers as
order maintainers than as law enforcers.

3.

When police departments allow officers too much discretion, officers may
lose pride in their work, and misconduct and corruption is likely to develop.
But when police departments try to govern officers’ every move and
decision, they run the risk that officers will become such vigorous
enforcers who will alienate much of the public.

4.

It is not enough for the police to be merely honest. The best police
departments and officers are honest. They also are sensitive to the needs
of the public and try to meet them in every legal and ethical way they can.
This is relatively easy in nice, middle class neighborhoods where almost
everyone comes from the same background and culture and has pretty
much the same expectations of the police – note that Wilson found service
policing only in prosperous suburban communities. It is not so easy to
meet the community’s needs in cities like New York, where different
communities – people with different cultures, expectations, and needs –
live side-by-side. This is where policing and the exercise of discretion
become a real challenge, because meeting one group’s needs may anger
other groups. By chasing noisy kids, police may satisfy the people who
are annoyed by the kids; but they make no friends among the kids, who
complain that they have no place but the streets to spend their time. By
tagging double parked cars and trucks, the police satisfy the needs of
motorists who complain that they can’t get to work on time because the
streets are always clogged; but they surely do not satisfy merchants who
complain that the overcrowded streets leave their customers and delivery
people no choice but to double park.

This last lesson of Wilson’s work illustrates why police work is such a
challenge in this City. In places where the population all look alike, are
prosperous, share the same histories, belief systems, ambition, and desires, and
have trust in the police, it is pretty easy for the police to figure out how to do their
work in a way that responds to community needs. In many parts of this City,

however, life is not like this. Here, police at every level are faced with the
challenge of trying to meet the conflicting needs of different communities all at the
same time. The following examples make the point.

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SPECIAL STREET PROBLEMS OF ORDER MAINTENANCE
Clinics and Shelters
The establishment of drug clinics or homeless shelters in populated,
mostly residential areas, throughout the city has caused tensions between the
community and those administering and receiving treatment. The community
believes that the presence of these places will bring drug users and disturbed
people into the area who would not normally be there. The community believes
that the drug users are very likely to commit crimes in order to obtain funds for
their drugs. Residents believe that they will be the victims of a dramatic increase
in crime.
Conversely, the operators of the drug clinic and shelters believe they have
the right to administer to the needs of addicts and the homeless in order to
restore them to a normal life-style. They also believe that operating in this type of
a location is more conducive to rehabilitation, because it exposes their clients to
what life is like for drug free people and those with their own residences. Further,
those receiving treatment believe that they have a right to try to salvage what is
left in their lives, and that the nearness of a clinic or shelter is an important factor
in their cure.
Police officers are in the middle of this. We must respond to the
community's complaints, and at the same time, respect the rights of those who
need help. It is a difficult problem because each group has valid arguments. It is
our role as police officers to strike a balance, and work out a compromise that,
though not perfect, will improve the situation. The following approaches to this
problem have been effective:
1.

2.

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Be the catalyst for compromise: try to get the community and the
service agency personnel together to discuss the problem and
possibly come up with some solutions to it. Perhaps a clinic could
change its operational hours or give out appointments to cut back
on the number of people hanging around in front of the clinic.
Possibly, the community could form a neighborhood committee to
monitor the situation and present their complaints to the manager of
the clinic/shelter.
While on patrol, give special attention to the specialized clinics,
shelters, mental health facilities, and the surrounding area. On the
day tour, stop in or park your RMP near the locale. Let your
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presence be felt; see if there are any complaints from either the
manager or adjoining stores or residences.
Street People
How do we, as police officers, handle street people? The general public
does not usually approve of their behavior or appearance. They are often dirty
and/or drunk in public, and ask for money from passersby. At the same time,
however, these people are usually not breaking the law. Public intoxication is no
longer a violation of law. Yet, the public feels that the presence of derelicts,
especially in large numbers, as on the Bowery, is an eyesore that we should do
something about.
Once again, the dilemma is this: How can we regulate the conflicts
between different individuals and groups who share the same neighborhood?
Our options are limited. The one thing we shouldn't do is ignore the
problem. Often, there are charitable agencies and public shelters that are willing
to take in these unfortunate people. There are also "sobering up" shelters
located in each of the boroughs, and we, as police officers, should use these
whenever necessary. For example, a radio run of "a disorderly person" often
turns out to be an alcoholic with no place to go. We have two options: to "send
him or her on his or her way," or to transport him or her to a hospital or shelter.
The former is easier, but the latter is the professional, humanitarian choice. This
is so because, as we pointed out earlier, our primary responsibility is to protect
life, and we best serve this obligation by helping to put these people into
situations in healthy environments.
Quality of Life Offenses
Quality of Life offenses include street level gambling, aggressive
panhandling, street prostitution, graffiti, illegal dumping, and loud music. These
are treated in relatively minor ways by the criminal justice system, but have
terrible effects on communities and the people in them. At a police-community
meeting, an elderly woman rose to speak. She said:
"Officer Morton, I'm 65 years old. I live alone, and it's hard for
me to walk a long way. For the past three years I have not
bought any groceries at the corner supermarket because of
those men shooting dice in front of 122 West 127th street. I'm
just afraid to go near there - with them drinking like they do,
and the fighting and cursing that goes on. Instead, I walk
down to 125th street, two blocks more than I have to. That's a

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long way for these tired legs. But since the last meeting when
we told you how much of a problem that dice game is to all of
us here on the block, I no longer see them out there, and I
want to tell you that for the first time in three years I bought
my groceries on the corner. Thank you, Officer Morton, for
doing something that no other police officer has ever doneput an end to the dice game that made all of us prisoners on
our own block."
At this point, the forty or so people who were present gave the officer a
standing ovation. It was a moment the officer would recall as one of the high
points of his career, and a source of self-motivation when things got tough.
Quality of life offenses do not get anybody long prison sentences,
but they are important! They affect the lives of many people. The quality of life
degenerates for those who must endure violations. The potential for violence,
among the offenders themselves, is another aspect of the problem: in one
precinct alone, at least one or two homicides and numerous felonious assaults
were the direct result of street gambling each year.
As police officers, we can't ignore street level gambling or other quality of
life crimes. They are not indigenous, or "part of the culture," of any neighborhood.
The vast majority of people, as expressed by the woman on 127th street, are
afraid of dice games and suffer in silence. We have two basic options: to just
break up the game, or break up the game and take summary action or arrest.
Your decision will depend on the particular situation: Is it a chronic condition, a
large crowd, or something else?
In either choice, we should remember two things, both of which relate to
our obligation to protect life. The first is our own safety. Sometimes hundreds of
dollars are riding on the outcome, some participants are armed, and some have
been drinking. It's an explosive street condition and we must not get careless in
our approach and tactics. Second, use tact and restraint, don't come on so
strong that you force the group into the loyalty dynamics of a crowd with one
common enemy. Do what has to be done, but do it with finesse and
professionalism.

Three Card Monte
This form of street gambling was popular even back in the times of the old
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west. In recent years inflation has skyrocketed leaving less money in our pockets
and everyone looking for a quick, sure and easy way to double his or her money.
The three card monte games have popped up in all areas of the city especially
near business districts. This game is no more than a swindle, leaving the
operator of the game a sure winner, the players sure losers, and another problem
for the police to handle.
The game is usually set up in business areas, where a lot of people are
constantly passing. The person running the game needs a cardboard box or
anything that could be used as a table, two red aces, and the queen of spades, a
lookout person and another to place bets to make it appear that you can't lose.
The dealer keeps shuffling the three cards bending the queen so that all
can see it. As the game begins he or she reshuffles the cards straightening out
the queen and bending one of the aces. Those watching believe it's so easy to
pick out the queen that they will pick the bent card, an ace.
The outside person in the game is used to bet on the queen by a
prearranged signal. He or she will win, thereby taking the money on the game.
This is done to safeguard the money in the event the dealer is arrested and his or
her possessions vouchered. If by chance someone not involved in the swindle
bets on the queen (the winning card), the outside person will place a bet on two
cards and the dealer will begin to scream that you can't bet on two cards. That
game will end with the dealer handing back all monies bet without ever showing
the cards. The lookout will watch for police and signal all involved in the game.
At the end of the day, all meet and divide up the profits.
One reason to break up three card monte games is that it is consistent
with your responsibility to protect life. It’s not unusual for these games to explode
into violence between their operators and their marks that suddenly realize they
are being swindled.
Peddlers
Peddlers have traditionally been a part of the New York City scene. When
we speak of peddlers, the first types that come to mind range anywhere from the
hot dog vendor, to the fellow at the parades with his or her buttons, banners and
flags for sale. Today, however, peddlers have branched out and in various
locations throughout the city one may observe whole tractor trailers parked on the
side of the road with merchandise piled up for sale. It is not uncommon to drive
in lower Manhattan and observe people selling suits, shirts, and dresses from
clothes racks in the front of clothing stores. In some instances, these street
peddlers set up such large displays that they appear to be an extension of the

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store in front of which they have chosen to set up. Many peddlers are licensed,
adhere to the numerous rules and regulations surrounding their occupation, and
don't become a bother for either the store owners and/or the police. Many,
however, are unlicensed and sell various off brand names as the expensive
quality merchandise. Some peddlers get into arguments with legitimate store
owners about setting up in the front of their store. Certainly, when they are
operating illegally, they are unfair competition for the legitimate merchants whose
taxes help to pay your salaries.
Squeegee Men
Often, police officers are confronted with a problem that places them in the
middle of a political/social fire-storm. One issue that has created controversy in recent
years relates to the squeegee-men who attempt to wash/wipe automobile windows at
the corner of city intersections. While some people believe that these windshield
wipers are just trying to eke out a living (thus keeping them from committing violations
of law), other people feel they are a major annoyance. They disrupt the flow of traffic,
affect the quality of life in a neighborhood, and intimidate motorists who fear their
aggressive and intrusive efforts.
Strategies for Quality of Life Offenses
The fear, disorder, and degraded social conditions that result from Quality of
Life offenses have led the Department to develop practices responsive to specific
conditions and policies that apply to low-level criminal behavior generally.
How does this affect the average patrol officer? For many officers, it means an
emphasis will be placed on enforcement of existing laws, regardless of the level of
judicial severity/penalty. Precinct commanders have developed decoy operations,
peddler task forces, and enhanced Intelligence Report programs. Active legislation led
to changes in many of the Quality of Life statutes, such as re-establishment of the
Boom-Box Law in the Administrative Code. These should be enforced.

ORDER MAINTENANCE AT DEMONSTRATIONS
Congress shall make no law .... abridging freedom
of speech or the right of the people to assemble peaceably.
First Amendment to the United States
Constitution.
Our Country believes in the dignity of the individual. We have a tradition, an
omnipresent pride, and the envy of millions who share this planet with us. As a police

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officer, you will have the difficult job of maintaining a balance between freedoms that
could come into conflict with one another. Specifically, as a police officer assigned to
a demonstration, you will have two responsibilities that closely follow your primary
obligation to protect life. First to protect the constitutional rights of the demonstrators to
free speech and peaceful assembly. Second, to protect the constitutional rights of
those who are not demonstrating - the public. The demonstrators should be able to
obtain from the police both protection and assistance should there be any attempts by
others, either individuals or groups, to interfere with what they are legally permitted to
do. The public can expect the police to protect their rights: free movement, personal
safety, protection of property and privacy.
Demonstrators feel strongly about their cause. So intense is their commitment
that they are gladly willing to sacrifice their time and the comforts of home to go to the
streets to let the people of a neighborhood, a city, a country, or even, in the case of the
United Nations, the world, know what their position is on a particular, usually
controversial, issue.
We, as police officers, must recognize this intensity, treat it objectively
and professionally, and not allow ourselves to be "hooked" into the emotion of
the moment. Each demonstration has its own pattern, its own rhythm; some are
extremely volatile, others are less so. But at almost every demonstration, strong
emotions are at work. We, as police officers, must be aware of these feelings. Our
demeanor, our bearing, our conduct, must be completely appropriate and in tune with
the sensitive nature of our assignment. If we appear even slightly apathetic, or
disdainful to the demonstrators, or appear to favor either the point of view of the
demonstrators or those against whom they are demonstrating, it will be quickly picked
up and magnified to the point where it could become a rallying cry for the group and
the impetus for a confrontation
The New York City Police Department has a tradition of restraint and great
success in handling the most sensitive demonstrations with respect for the rights of
both demonstrators and the general public. Time and again, we have earned our
reputation as the finest police department for handling demonstrations. Indeed, one of
the major reasons that New York City is so frequently selected as the site for National
Conventions is this Department’s reputation for handling demonstrations by
communicating with all parties. This has been a dramatic change from the practices of
some other police departments, which have emphasized the deployment of SWAT
teams and aggressive crowd control techniques.

Zero Discretion
The exception that proves the rule that police officers exercise broad discretion
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is that, at some demonstrations, you may be directed to follow orders scrupulously and
to exercise no individual discretion whatsoever. Do as you are told.
There are good reasons for this. From the Department's point of view, each
demonstration has unique requirements. For example, there are occasions when a
particular demonstration is just one of a series that are either going on simultaneously
or are scheduled for later on in the day in various parts of the city. Or, a particular
demonstration might have international considerations (the Jewish Defense League
demonstrating in front of an Arab mission). A demonstration that takes place during
the summer might rightfully demand a large commitment of police personnel.
However, as a result of the heavy workload during that time of the year, only a few
officers are assigned. Before every demonstration, the Department’s operational and
intelligence experts try to find out everything possible about the demonstrators and
their cause, and how they intend to get their point across. Based on this analysis, the
Department develops a very careful strategy for policing the demonstration. At times,
this may require that every officer play a precisely defined role, as part of a highly
coordinated team effort that allows for no variance.
At some demonstrations, you will find that the Department expects that certain
laws will be scrupulously enforced. At others, in the interests of maintaining order and
protecting life and people’s rights, they will be largely ignored. In either case, the
decision has been made based on an analysis of the overall situation, and it will be
your job to follow it. When this is the case, you will be told what to do, and you
will do it. You will put your discretion in your back pocket and leave it there
until the demonstration is over. When it ends, and you go back on patrol, you
may take it out of your pocket and put it to good use. But when, as part of a
large group of officers who are policing sensitive events like demonstrations or
disasters, you are given very specific directions, it is your job to follow them.

CONCLUSION
There are many reasons that police exercise discretion. Most important, it
simply is not possible to come up with a textbook solution to every problem that
officers are asked to confront on the street. This means that you will have to make
choices when you begin to work on patrol. Your training and the Department’s
policies should guide your choices, but frequently will not point to a precise course of
action. When this occurs, you should keep the following principles in mind:

YOUR PRIMARY JOB IS TO PROTECT LIFE, AND EVERY DECISION YOU
MAKE SHOULD GIVE HIGHEST PRIORITY TO THE PRESERVATION OF
LIFE – INCLUDING YOUR OWN.
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YOU MUST NEVER BASE YOUR DECISIONS ON THE FACT OF WHO A
PERSON IS.
-

A FUNDAMENTAL PRINCIPLE OF AMERICAN JUSTICE IS THAT IT
DOES NOT ALLOW POLICE ACTIONS ON THE BASIS OF A
PERSON’S MEMBERSHIP IN A CLASS. YOU CANNOT TAKE
ACTION OR REFRAIN FROM TAKING ACTION BECAUSE OF A
PERSON’S GENDER, RACE, ETHNICITY, SEXUAL PREFERENCE,
OR RELIGION.

-

INSTEAD, YOU MUST BASE YOUR ACTIONS ONLY ON SUCH
OBJECTIVE CONSIDERATIONS AS THE INDIVIDUALS’ ACTIONS
AND/OR INFORMATION YOU MAY HAVE RECEIVED FROM SUCH
SOURCES AS CITIZENS, OTHER OFFICERS, AND THE RADIO
DISPATCHER.

When you are put into positions requiring quick decisions, you should
know something else. The Department will certainly review your actions but, in doing
so, it will not play Monday Morning Quarterback or second guess you on the basis of
information that becomes available after you have taken your action. This
Department’s standard for holding officers accountable takes into account only
whether officers’ actions were reasonable based on information that was known to
officers or that was reasonably available to them at the time they took their actions.
The NYPD is known worldwide for carefully reviewing officers’ actions,
especially when they have resulted in death or injury.

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Case Studies:

Complete the following exercises, so that they can be reviewed in
class.

1. Arrests
A police officer responds to the scene of a dispute. The two participants are
shoving and pushing each other. The officer, working her last 4x12 tour, decides
to make an arrest because of the overtime involved. What kind of discretion did
the officer use in this case? Proper or improper? Explain your answer.
.
2. Noise Complaint
On Tuesday morning, 0200 hours, while on patrol in a sector car, you are directed
by communications to "see about a loud and noisy party." You arrive at the scene
and ascertain there is a loud and noisy party in an apartment. What would you
do?
3. Noise Complaint – Second Assignment
One (1) hour later, you are directed by communications to the same location for
the same condition. Now what?
4. Parking Lots
Upon turning out for your tour of duty, you have been directed by your
commanding officer to keep all bus lanes free of parked vehicles. While on patrol,
you observe an attendant at a parking lot parking his excess vehicles in the bus
lane. What would you do? Explain.
5. Street Condition
On patrol, you observe numerous double-parked cars. You realize that "alternate
side of the street parking" regulations are in effect for this city block. You also
observe that all the drivers have left their telephone numbers on their dashboards
in case anyone wants to leave. What would you do? Explain.

HOMEWORK
In the following scenarios, indicate whether the officer's use of discretion was proper
or abusive. Be ready in class to be held accountable for your answer.
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Discretion

1. Police Officer McKay is walking her beat, on a hot Sunday afternoon, in a
residential area of her precinct. She waves to a middle-aged man who is drinking
from a can of beer on his stoop. The officer continues on her way without
mentioning the open beer can.___________________________.
2. Police Officer Smith stops a milk truck that ran through a stop sign. The officer,
after reviewing the driver's credentials, issues a summons for an unrelated
violation, concerning the truck's expired registration. The officer does not issue a
summons for the initial offense_______________________.
3. Police Officer O’Neill encounters a teenager on the "A" Train. The girl has the
volume turned up on a large music radio disturbing some of the riders. The
officer tells the youth to turn it off, which she does. However, the girl then says
"UP YOURS" to O’Neill when he inquires about the cost of her radio. The police
officer then confiscates the radio and writes a summons.___________.
4. Police Officer Mantle, the precinct traffic officer, needs another summons to meet
his daily standards of productivity. He discovers three illegally parked cars at a
bus stop. He takes one summons from his pouch and issues it to the Cadillac.
He disregards the two compact cars and proceeds on his
way_______________________.
5. Police Officers Brett and Young are patrolling in their sector when they observe
two (2) young men wrestling on the sidewalk, obstructing passers-by. They exit
the RMP and tell the two men, who are brothers, to "KNOCK IT OFF.” The
brothers explain that they were just joking with each other and that no harm was
done. The officers then re-enter their RMP and leave the
scene._____________________________
6.

Later on, during the same tour the officers again spot the two brothers punching
each other near a school yard. The oldest brother, Charley, runs up to the
officers and wants his younger brother arrested for assault, and shows the
officers his black eye. Officer Brett tells Charley to "Take boxing lessons," and
drives off. _________________________

7. Mr. Clark is playing his accordion, with his pet monkey, in front of a shopping
mall, which is upsetting some of the store owners. One of them stops an officer
when he walks by the scene. He complains that, "The monkey is dirty, and Clark
is obstructing and disturbing shoppers.” Mr. Clark states, "There is no problem,
every thing is hunky-dory". The officer feels the same way and leaves the
scene._________________________.

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Discretion

8. Officer McGuire, while operating his RMP, is stopped in traffic after a rainstorm.
When the light changes, a vehicle passing by splashes water through McGuire’s
open window. The water soaks the officer. Officer McGuire chases the motorist,
and after stopping him, proceeds to scold the motorist._______________.
9. Officer Caban notices three youths playing tag inside a fenced-off park that
closes at dusk. She also notices the park house is still open. Since the youths
are entering the park house, she jumps the fence, grabbing the youths and
arrests them on a Juvenile Delinquent charge of Burglary.
______________________.
10. An officer sees an 82 year old woman strike a teenager on the head with her
cane, after the youth was harassing her for money. The youth is bleeding, so the
officer calls for an ambulance and takes the youth's identification for the
necessary forms. Noticing that the woman is nearly blind, and also hard of
hearing, he allows the woman to leave the scene and classifies the situation as
an aided case.________.

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Policing Professionally

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT PROFESSIONAL POLICING?
Professionalism is a term that is frequently misunderstood when discussed in
relation to policing. For some, it means equipping police officers with state of the art
equipment and sharper looking uniforms. Others maintain that professionalism requires
every officer to have completed college or have other educational or military credentials.
Most officers would agree that these items are image boosters, helpful in giving the
Department a professional image but that they are not what makes policing
professional.
The professional police officer is the one who can competently size up and
handle any situation that may arise on the street. The professional police officer
respects and works well with subordinates, peers and supervisors, regardless of race,
ethnicity, gender, sexual orientation or other differences. The skills used by
professional police officers are not usually taught in university classrooms. Professional
policing is not automatically accompanied with the issuance of firearms, uniforms or the
possession of advanced degrees. Professional policing involves the willingness and
ability of the officer to employ a wide range of verbal, nonverbal, tactical, and physical
methods to deliver a full range of police services to members of the community. On the
pages that follow are skills that you, as a new officer, should develop in order to become
a professional police officer.

DISCRETION
Proper exercise of discretion is a major part of professional policing. You will
read several definitions of discretion in this volume, but they all boil down to the same
thing: discretion is the ability and authority to select the tools to solve a problem on the
basis of training and experience. For us, discretion means troubleshooting a situation an aided case, a family dispute, a traffic violation, a man with a gun – and selecting
from our toolbox the appropriate measure – a call for an ambulance, soothing words, a
summons or warning, a firearm or baton – to resolve the matter satisfactorily and safely.
Professional policing involves the use of unbiased discretion.
All police decision-making must occur within limits imposed by the United States
Constitution, federal, state and local ordinances, and precedents set forth by court
decisions. Still, police personnel possess a wide array of discretionary powers.
According to sociologist Egon Bittner, “police officers have a greater degree of
discretionary freedom in proceeding against offenders than any other public official.”
This is why it is so important that a police officer use common sense when enforcing the
law. For example, an elderly man is unable to completely cross the street before the

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light changes due to his slow gait. Strict adherence to the law could justify the issuance
of a jaywalking summons. The use of discretion would call for common sense to
prevail, causing the officer to aid the gentleman rather than take police action.
While discretion is a necessary and important part of policing, police officers
must be careful not to abuse their discretionary power in ways that violate the public
trust or compromise the ethical standards of the Department. Discretion is not
discrimination: it should not involve invoking cultural, ethnic and racial biases in an
attempt to resolve a situation. Discretion does not entail the use of force to gain
compliance when alternative means are available. It also does not entail using police
authority (e.g., issuance of summonses, or use of arrest powers) to punish individuals
who are discourteous or who give officers a bad time. Discretion is legitimate only when
it is used in good faith to accomplish legitimate police goals.

ORAL COMMUNICATION
The professional police officer’s main tool is the ability to communicate effectively
with the public. An officer’s ability to listen and talk, and to control a situation with
minimum resistance is the key to successful community/police interactions. In all
enforcement encounters, as well as certain self-initiated stops or calls for service, what
is an officer attempting to achieve? VOLUNTARY COMPLIANCE! Whether you are
requesting a motorist's license, ordering an emotional person to drop a knife,
commanding a fleeing suspect to stop, or simply requesting information from a witness,
voluntary compliance is the goal!
Verbal Judo
Veteran street cops have always known that the best officers were cool and
outwardly emotionless under pressure, and were able to talk some of the most out-ofcontrol people into voluntary compliance. Dr. George Thompson, a former police officer
and an expert in communication, systematized this general wisdom, and developed the
theory and practice of Verbal Judo. This is a form of tactical speech that highlights the
verbal, emotional, and positional aspects of gaining control and managing people.
According to Dr. Thompson, police officers who are most successful in dealing with
difficult encounters are adept at deflecting verbal abuse, while still receiving voluntary
compliance from their verbal attackers. These officers are able to side-step criticism
and blame, and to reduce resistance without getting into an emotional confrontation that
could result in the use of physical force. By responding to people tactically rather than
emotionally, they disarm the other person and encourage him or her to think and act in
a reasonable manner. A tactical response is one that is thoughtful and carefully
planned to achieve voluntary compliance; an emotional response occurs when a police

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officer has lost sight of what he or she was supposed to achieve, and becomes
interested only in putting down the other person regardless of whether or how the
legitimate goal of the encounter is achieved.
Verbal judo is based on the concept of Mushin, the judo term for “Habit of Mind.”
One dimension of mushin involves emotional control. According to Thompson, each of
us has a personal face and a professional face. The personal face is ruled by emotion.
The professional face is ruled by reason. Although we may be affected by a critical
comment or an explosive situation, we must control our features and reflect the
professional face if we want to project an unbiased, knowledgeable, and capable image.
In essence, we must control our emotions before they control us.
A second aspect of mushin involves mental openness. The mind should be open,
flexible, and unbiased. You should ignore the attitudes coming from another, whether
negative or positive, and concentrate on behavior. Dr. Thompson describes the Golden
Rule of Verbal Judo: "Let attitudes float downstream like a boat, and focus on
behavior.”
The practice of verbal judo involves learning a combination of verbal skills that
will help you disarm the other person and gain voluntary compliance.
Deflector Phrases
Deflector phrases are non–aggressive verbal responses that help redirect
communication and enhance the control of the police officer. Use of these phrases is
rewarding because they emotionally neutralize the other person and provide immediate,
observable results. Deflector phrases are composed of three parts:
•
•
•

Strip Phrase
Link Word
Goal Phrase

The strip phrase is an immediate, abbreviated phrase of recognition (not
necessarily agreement). The link word acts like a “sword of interruption.” For example,
words such as “but” or “however.” The goal phrase is the professional term for what is
requested, desired, or explained.
The following are some common strip phrases (combined with the link word) that
acknowledge the message of the speaker but ignore discourteous or rude language on
the part of the citizen:

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•
•
•
•
•
•
•

“Appreciate it, but...”
“I understand that, but...”
“I hear that, but...”
“Interesting, but...”
“I believe that, but...”
“I got that, but...”
“Okay, but...”

Below is an example of an interaction demonstrating the use of the strip phrase
plus the link word followed by the goal phrase. Note how the use of verbal judo disarms
the citizen and facilitates voluntary compliance. The citizen is allowed to say what he
wants as long as he does what the officer says. In essence, the citizen may have the
last word but the officer has the last act.
Citizen: "I didn't do anything and I'm fed up with YOU PEOPLE pulling me over!"
Officer: "I believe that, but... the reason I stopped you, Sir, is you drove through
the steady red light at 12th Street and Elm."
Citizen: “I did? I was rushing to get to work…”
Officer: “Could I please see your license and registration? (The citizen quietly
hands the officer his license and registration).
Trigger Phrases
Trigger phrases are words that instantly create animosity. Once those words ring
in the ears, negative images come to mind. As a result, police officers, unless facing
split-second life and death scenarios, should avoid using any of the following commands
and phrases.
The Ten Commands Never To Be Used
1.
2.
3.
4.
5.
6.
7.
8.

“Come Here.”
“Calm Down.”
“What’s your Problem?”
“I’m not going to say (warn you, tell you) this again!”
“Because I said so, that’s why!”
“Didn’t you hear what I said?”
“Get in the f----- car!” (Or any obscenity used in combination with a direct order).
“If you don’t do this, I’ll lock you up!” (or any emotional threat to the person).

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9.
10.

“That’s ridiculous, stupid etc. You’re not thinking logically” (or any command that
includes references to the intelligence or logic of another).
“Don’t do it; you better shut up; you’ll be sorry; etc. (or any other short ultimatum).

Active Listening
Active listening is an unbiased form of hearing what another person is saying to
you. Pre–judging an individual or a situation results in you hearing what you want to
hear. It is important to project a concerned and interested persona to the speaker
particularly since in most police/community interactions the person involved was just
involved in a stressful incident e.g. aided, victim of a crime, etc. Active listening
involves focusing on another person’s words without displaying nonverbal behaviors
that indicate disinterest. Imagine talking to a friend about a painful experience. How
would you feel if the friend yawns or is constantly looking up in the air while you speak?
The Four Don’ts of Listening
1.
2.
3.
4.

Don’t look at your watch.
Don’t look at inanimate objects.
Don’t position yourself near a door, an exit, or the sector car.
Don’t shuffle, roll on your heels, or exhibit other nervous movements.

Paraphrasing
The paraphrase is the necessary ingredient in reducing the verbal abuse,
resistance, and misunderstanding in the communication channel. It is a way of putting
the other person’s meaning into your words and giving it back in order to ensure mutual
understanding. For example:
Citizen at a domestic call: “Officer, this is all my wife’s fault. She gets on my
case, and I just lose it. She’s a nag just like her mother.”
Officer: “I understand. So she got on your case and then you hit her?”
What Happens When We Paraphrase?

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•

It Creates Empathy: The other person will believe you are trying to
understand, as you force the other to do the same.

•

You Regain Control: By having the other person answer a question, you
have shifted the burden onto the speaker of making sure their message

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was understood. The speaker will certainly listen because it’s his or her
words that are being re-stated.
•

Clarity and Modification: In addition to benefiting your own
understanding of what was transmitted immediately, it allows the initial
speaker to hear exactly what was said, not what he or she thought they
said. The person may not have even said what he or she intended. Often
they will modify their initial statements after hearing your paraphrase.

•

Reduce Resistance: Since the other person is forced to think in terms of
meaning, they usually become more rational thereby decreasing verbal
abuse.

Appeals
As mentioned earlier, our goal is to gain voluntary compliance. Detailed below is
a five step appeal process that can be used by the professional police officer to gain
compliance. These steps are merely tips and are not meant to be a “conversation
blueprint.” Each scenario and each individual will require different styles and methods.
1. The Appeal/The Ethical Appeal: This represents the combination of factors
alluded to earlier when we spoke of emotional control in tandem with a
deflector phrase and a professional face. In essence, you respectfully greet
them and professionally explain your wishes/requests.
2. The Context/The Rational Appeal: This is the explanation of why the
incident and/or interaction occurred. It also sets the context of the law,
policies, and regulations that are applicable in this particular situation. The
professional officer reasons with the individual. Yet, there are two cautions:
(1) Don’t tell the person to be rational, and (2) Don’t tell the person, “I’m only
doing my job.”
3. The Options/The Personal Appeal: People act out of selfish interests, so
show empathy, and give them their options. The professional officer will fully
explain the consequences of the individual’s decisions and actions. When we
personalize the encounter, we are reducing our police profile and enlarging
the mediator image.
4. The Confirmation/The Practical Appeal: This involves the use of any
innovative strategy that may gain compliance, providing there isn’t any
compromise to safety or professional ethics. At times, officers have integrated
humor, trade-offs, or stories into the confrontation. Bear in mind however that

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this is not recommended! For the inexperienced officer, it may have the
opposite effect of what was intended.
5. The Act/Involuntary Compliance: You must take police action.
SAFER: The Five Conditions When Words Fail
Police Officers must protect life and limb, and enforce the law. Our goal is to
gain voluntary compliance, but our mandates are to take action when words fail or when
there isn’t time to communicate. We must act when one or more of the following
conditions are present.
•
•
•
•
•

Security - Whenever others are in imminent danger or property under
control is threatened.
Attack - Whenever your Personal Danger Zone is violated based upon
certain variables.
Flight - Whenever a person unlawfully flees and refuses to stop.
Excessive Repetition - Whenever you have exhausted all avenues of
tactical and verbal controls and fail to receive compliance.
Revised - Whenever a matter of higher priority requires immediate
attention/presence.

Eight Step Method and Tactical Control
The Tactical Eight-Step Style to communication is a professional procedural
guide to traffic stops. Although the emphasis is placed on the car stops, this style can
be used in most encounters where it is legal and justifiable for us to compel people to
identify themselves. We will briefly highlight the main reasons for the required steps of
this method. The Tactical Eight-Step Style includes:
1.
2.
3.
4.
5.
6.
7.
8.

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Greeting
ID Self
Reason/Stop
Legal Justification
Collect License
Registration/Insurance Card
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By providing a greeting and your identity to citizens, you accomplish two things.
You are imparting respect. You fill the needs of their ego gratification that
psychologists and therapist identify as positive strokes. Secondly, you are creating the
contact bond for further understanding.
When you move ahead and state the reason for stops or encounters, as well as
the legal justifications, you not only give meaning to these events, you short-circuit their
objections or any critical or abusive assumptions. In essence, "you beat them to the
punch." Now the subject persons can only deny the allegations, rather than venture into
emotional reactions or expressions concerning a presumed bias or attitude on the
officer’s part.
You should explain the final decision, whether it results in summary action,
custodial arrest, or a warning. Then close the action in a courteous manner. There are
certain peace phrases that may be appropriate such as “Drive safely.” But whatever
you do, don't end it with, "Have a nice day!" This could be perceived as sarcasm. This
guide does not preclude using other controls if the stop escalates into a confrontation.
Remember, however, that you must try to remain in emotional control.
The tips and techniques for professional oral communication outlined above deal
primarily with one-on-one interaction. As a police officer, there are countless
circumstances that will require you to speak with the public. Media interviews, court
testimony, public gatherings, crowd control situations, radio transmissions etc., all
require effective communication skills. Professional police officers must be able to
interact with the public and represent the Department in a manner conducive to positive
interactions. At the rear of this chapter are Patrol Guide sections that cover several of
the most challenging interactions with citizens.

WRITTEN COMMUNICATION
Communication is defined as “the exchange of ideas, messages, or information.
Often times, this exchange is done via the written word. It is important that you take
pride in the content and appearance of everything you put on paper. Your paperwork is
a direct reflection of your abilities, and it is therefore important that you take the time to
complete it properly. People may forget what you say, but what you put on paper lasts
forever!
The proper preparation of police documents such as summonses, complaint
reports, aided reports, and memo book entries may determine whether people are
properly punished for their actions, reimbursed for losses, or otherwise assisted.

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Samples and directions for some of the common Department documents are
included at the end of this chapter, and will be discussed at length later in your training.

PERCEPTION
Professional police officers are aware that perception is reality. How the public
thinks you are determines how they interact with you. Therefore, fostering better
community relations requires that we explore the perception of both the police and the
public and what each of us expects from the other.
The Status and Role of the Police Officer
When you accepted the position of police officer, you assumed both a new status
and a new role. In order to understand how this change will affect you, it is important to
understand just what status is, and how it is related to role. Status is the position an
individual holds. In a family, status is conferred on a father and a mother;
occupationally, status may be a police officer, a teacher, a doctor. A person usually
holds a number of status positions at the same time. For example, you are a police
officer, and are somebody’s son or daughter; you may also be a brother or sister,
husband or wife, uncle or aunt, niece, nephew, or cousin.
A role is defined as what is expected of a person who holds a particular
status. When you show up in answer to a radio call, people will expect you do certain
things because, for them at that time and place, the only status you hold in their eyes is
that of police officer. Your role at that point will be very different from the role you might
play when visiting relatives. Then, you are son, daughter, aunt, uncle, brother or sister,
and people will have different expectations of you.
Public Expectations
Newly appointed police officers can better understand their new role if they
realize what type of behavior the public expects. It is not enough, in the public's view,
for a police officer to merely perform his or her duties. In addition to this basic
obligation, the public expects police officers to have a neat appearance and a courteous
demeanor. Activities that may be common for members of the general public are often
not considered acceptable for police officers. For example, slouching may be
acceptable practice in a private auto, but in a marked police car the public expects
police officers to be sitting erect and attentive to their surroundings. Flirting with
members of the opposite sex, eating a sandwich, smoking, or listening to a ball game
on the radio, generally, are not unacceptable acts to members of the public; they do not
serve to enhance the image of a professional police officer.

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The public usually has high expectations regarding the type of response they will
receive when they require police services. This is especially true of complainants or
victims who have never previously had occasion to call the police. What people know
about the police typically is what they have seen on TV, in entertainment, and on the
news. There, the police respond to help people in trouble in a very professional way,
eager and prepared to help solve any problem. In real life, we can afford to do no less.
While the situations to which we are called may seem trivial to veteran police
officers, they are likely to be traumatic experiences for complainants, victims, and
witnesses. A police officer must realize that, although he or she may have handled
numerous routine service calls, such as family disturbances, auto accidents, or home
burglaries, these are unique and frightening experiences for citizens. Police officers
need to understand that citizens typically call the police only when things have gotten
beyond their own control. This in itself can be terrifying, thus, officers must always
display concern and empathy for victims and witnesses. This is true whether the call for
service involves a family dispute or a robbery.
Police officers must treat all citizens with respect, regardless of their age, sex,
race, or socio-economic status. We are not expected to judge people by their social
arrangements (e.g., common law marriage, same sex partnership, etc.), or their political
beliefs. We are expected to treat all persons equally regardless of our own life styles or
political convictions.
The Police Officer's Perception of the Public
Consider the reading you have done thus far. You have seen that the public
does indeed support the police and that their expectations of us are very high. Most
police officers realize that they have the support of the general public. Sometimes
however, the police officer's perception of the general population of a neighborhood
may not always be accurate. Like a civilian who has had a negative contact with one
police officer and generalizes that experience to all cops, we make similar assumptions
about individuals. The negative aspects of police work tend to preoccupy our thoughts
– the stabbings, shootings, disputes, and crime victims. We deal with the worst of
people or with the worst moments suffered by the best of people. Too often, our
perception of an area is based on the types of jobs we handle. It can be difficult to
remember that other people, good people- who comprise the vast majority, live in the
same neighborhood.
Another factor that further separates the police officer and the citizen is that our
job necessitates that we be somewhat skeptical of people and their behavior. A police
officer attempts to identify problems or suspicious behavior. To some extent, this

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encourages us to become distrustful of people and their motives. Sociologist Jerome
Skolnick has written that because we work under a constant threat of violence, we
create what is known as a symbolic assailant. This is your idea from past experiences
of what a criminal looks like. We use this professional suspicion to assist us in our
judgment. If used professionally, this occupational, sixth sense perception, is an
important tool in policing. The danger is that over time, more and more people begin to
fit this description, and we may begin to view any non-officer as a potential threat. This
can lead police officers to use stereotypes and generalizations, and abuse their
authority. When this happens, police divide the world into us vs. them, and to
approach every encounter with the public in a way that indicates distrust. There is
certainly a need for caution in our dealings with strangers, but this is no way to win
friends or to build support among the public.
Keep this in mind: some of the people you meet in your work will have a tainted
image of you because of unhappy prior contacts with the police. Keep in mind also that,
as you spend time on patrol, your unhappy contacts with some people are also likely to
taint your images and expectations of individuals you meet. When you understand this
– that having gotten a hard time from the last young man you met does not mean that
the next young man you meet will do the same thing – it becomes easier to step back,
to judge people as individuals, and to treat them accordingly.

ETHICS AND ABUSE OF AUTHORITY
Ethics are established principles of conduct. They are standards that guide
our personal and vocational actions. Dan Carlson, Associate Director of the
Southwestern Law Enforcement Institute, states that one way of defining ethics is “doing
the right thing, when nobody will know if you do the wrong thing.”
Police abuse of authority constitutes unethical conduct. A police officer is
employed to act as the protector of the public; to provide helping services and to
preserve order. We take an oath to faithfully discharge the duties of our office, duties
that reflect the moral voice of the community as embodied in its laws. At the very least,
when we fail to perform these duties or when we perform them improperly, we commit
grave breaches of professional ethics. At worst, we violate our oath of office, break our
contractual obligation to the public, and negate the very reason for our employment.
The nature of police contacts is so diverse that no listing or precepts of ethical conduct
can encompass every possible situation. However, if you embody the doctrine of being
a professional and act as such you will definitely be in accordance with the ethical
standards expected of your position.

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What happens to some civilians when they become police officers that leads
them to behave in ways which may constitute an abuse of their authority? Why do
some officers resort to force when confronted with civilians who are discourteous? Part
of the answer may lie in understanding what happens to some police officers after they
receive their badges and guns and immerse themselves in the world of their police
peers. As these officers begin to see themselves as part of a special group who are
different from the people they police, they develop an arrogant attitude. Feeling
superior, they become overbearing, self important, disdainfully proud, insolent, and
even contemptuous of the public. After a period of time, a police officer might forget
where his or her authority comes from-the people, and the reason why police exist- to
protect and serve the public. A police officer may develop attitudes of thinking that:
•
•
•

He or she has the right and the power to order people about.
He or she can expect others to follow them without questioning.
He or she is above reproach, and should not be questioned on anything related
to his or her authority.

These attitudes are projected by an officer’s verbal or nonverbal demeanor, and
must be avoided. To do so, you need to be self-observant; to know about yourself and
to be alert to the processes that are likely to work on you as your police experience
grows. As time passes, take note of how you are changing. Strive to keep your
behavior consistent with the ideals of professionalism. If you see contradictions
between professional policing and what you see some officers do on the street, resist
the temptation to join them.
Street Clichés
Street clichés may affect a police officer’s patrol performance. By adhering to the
code of ethics, an officer can be sure to deliver proper police service and adhere to
department guidelines. When new officers arrive at their commands, veteran officers
around might make comments to confuse an inexperienced patrol officer. Negative
behavior could result from the misinterpretation of their statements. We want to stay
away from this aspect of policing and always reflect positive behavior. Below are some
examples of how clichés may be subject to different interpretations.
Cliché: Many old-timers have advised rookies that a good cop never gets cold,
hungry, or wet. There are two ways to interpret this bit of advice.
The professional interpretation is that officers should always be
prepared for inclement weather and should have money available for a
meal. In addition, the professional knows that it does not excuse him or
her from leaving warm places – like a toasty radio car on a frigid night – to

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help people in need and it is not a justification for using the shield and
uniform to freeload meals from local restaurants.
The unethical interpretation is just the opposite. It views this advice as
approval of freeloading and finding comfortable warm and dry places,
rather than preparing for and doing the job in a proper way.
Cliché: An old timer’s advises a young officer to “always have a story!”
The professional interpretation, regardless of the intent of the person
who gives such advice, it means that one should never engage in
behavior that one cannot explain honestly and completely. It should, in
fact, be read as a direction to act professionally, to follow department
guidelines and to make clear reports and Activity Log entries.
The unethical interpretation is that this is an instruction to be prepared
to lie to cover up one’s wrongdoing.

POLICE ACCOUNTABILITY IN NEW YORK CITY
The major methods of holding New York City police officers accountable for their
conduct are internal, and are designed to prevent misconduct. These include careful
screening of new officers, intensive training so that officers know how to do the job, and
close supervision to correct their errors. In addition, officers’ behavior may be subjected to
review by a variety of internal and external agencies. These include the Civilian Complaint
Review Board, the Board of Ethics, the Office of Equal Employment Opportunity, and the
Internal Affairs Bureau. Brief descriptions of these agencies are outlined below.
Board of Ethics
The Department has established a Board of Ethics to review questions that deal
directly with ethical considerations or possible conflicts of interest. The Board consists of
the Deputy Commissioner of Legal Matters, a Department Chaplain and four officers, who
range from police officer to the three-star Chief rank. Among the areas in their purview are
the acceptance of gifts and testimonials and off-duty employment. If you have doubts about
the propriety of a course of action, you should request a ruling from the Board by notifying
your Commanding Officer.
Equal Employment Opportunity

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The Office of Equal Employment Opportunity (OEEO) was established as a separate
unit within the NYPD in 1978. The primary purpose of the OEEO is to comply with a citywide directive requiring all City agencies to ensure compliance with Title VII of the Civil
Rights Act of 1964. The evolution of employment discrimination policies has brought about
a continued series of developments affecting virtually every aspect of police personnel
procedures. The OEEO continues to advise, monitor, and train all members of the service
in the area of employment discrimination, particularly with respect to City, State and Federal
laws and Department policies. OEEO reviews legal issues that arise in EEO complaints,
evaluates Department practices and procedures to maintaining a bias-free work
environment.
Integrity and Corruption Controls
The Internal Affairs Bureau (I.A.B.) is responsible for recording and investigating
allegations of corruption and serious misconduct, as well as other matters (e.g., unjustified
use of excessive force or perjury) at the direction of the Police Commissioner. The
Department currently has a number of mechanisms in place to identify and expose
corruption. The Voluntary Assistance Unit enlists police officers to watch for signs of
corruption. On the precinct level, the Integrity Control Officer (ICO), identifies and monitors
corruption hazards located within their command. In addition many department commands
and units have Inspection Units which assist I.A.B. in identifying and exposing corruption.
The Department's great emphasis on values and its organizational commitment to
integrity are critical elements in the defense against corruption. Total commitment to the
Department's values and increasing commitment by management and supervisors to enact
these values provide a basis for dealing with corruption hazards.
It is important that all uniformed and non-uniformed members of the
Department clearly understand that corrupt acts of any nature will not be tolerated.
All members of the service must be incorruptible. An honest member of the service
will not tolerate members of the service who engage in corruption or serious
misconduct. All members of the service have an absolute duty to report any
corruption or serious misconduct of which they become aware. Members of this
Department who engage in corrupt activities will be dealt with severely. They will not
remain in the Department. If members violate the trust placed in them, they will be
prosecuted to the fullest extent of the law.
Civilian Complaint Processing

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Misconduct complaints regarding members of the Department are reported
DIRECTLY to the Civilian Complaint Review Board (CCRB). The recording and
investigation of civilian complaints alleging misconduct by members of this Department is of
great importance. Whether or not a complaint is substantiated, the public should be aware
that a mechanism exists to investigate such misconduct.
Civilian complaints can be investigated by the Civilian Complaint Review Board or a
member's command. The current structure of the Civilian Complaint Review Board (CCRB)
emerged in 1993, under then Mayor David Dinkins who created an all-civilian, non-police
review board. Their mission and purpose are as follows:
It is in the interest of the people of the City of New York and the
New York City Police Department that the investigation of
complaints concerning misconduct by officers of the Department
toward members of the public be made complete, thorough and
impartial. These inquiries must be conducted fairly and
independently, and in a manner in which the public and the
department have confidence. An independent civilian complaint
review board is hereby established as a body comprised solely of
members of the public with the authority to investigate allegations of
police misconduct.
The legislation establishing the current CCRB created the first police oversight
agency in New York City that was independent of the Department. The CCRB’s
membership and staff consist entirely of private citizens.
The Mayor appoints the 13 members of the Board, who must be residents of New
York City and must reflect the diversity of the City’s population. The City Council designates
five members of the Board, one representative from each of the City’s five boroughs, the
Police Commissioner designates three members of the Board who may have previously
worked as law enforcement professionals. Board members serve for three year terms. The
investigative staff is comprised solely of civilians. Meetings are open to members of the
public who are provided with an opportunity to make comments and express opinions.

The CCRB’s jurisdiction extends to members of the service of all ranks. The CCRB
is authorized to investigate and review complaints of police misconduct involving:

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•

Force: Unnecessary Use of Force

•

Abuse of Authority

•

Discourtesy

•

Offensive Language

Investigations are commenced only after a complainant has met with a CCRB
investigator and given a complete statement concerning the alleged misconduct.
Subsequently, the assigned investigator attempts to gather as much evidence as possible
about the misconduct by locating and interviewing witnesses, collecting all pertinent
Department reports (e.g., roll calls, Aided Report Worksheets, Police Accident Reports,
summonses, stop and frisk reports, and arrest paperwork), obtaining other Department
records such as tape-recordings of 911 calls, radio communications and gathering any
related court documents. When relevant, the investigator also obtains medical records
documenting any injury associated with the alleged incident.
The subject officer and other police officers identified as present during the alleged
misconduct are also routinely interviewed. The officer is required to answer all relevant
questions to the best of his or her knowledge. If the subject officer fails to answer a
question, his or her failure can result in immediate suspension without pay from the
Department and may subject the officer to formal charges of insubordination. The officer’s
failure to cooperate with the CCRB could lead to the officer’s termination.
To ensure that civilian complaints are properly investigated, it is essential that the
investigation be conducted as soon as possible. If you are working at a police facility and
you are approached by a civilian who wants to make a complaint against another member of
the service, you must notify the Civilian Complaint Review Board Intake Unit at 1-800-341CCRB as soon as details of the complaint are known, without waiting for the preparation of
typed reports. The Intake Unit is operable 24 hours a day, seven days a week. Complaints
can also be made in person at precincts or other Department facilities. Be guided by the
directions of the Supervisor accepting the complaint at CCRB.
Your CCRB history could have an effect on your career path. When you are
considered for promotion, advancement, transfer, or special assignment, a routine check is
conducted to evaluate your performance, attendance, and record within the Department.
Your CCRB history is part of such a check. Further, most commanding officers are
concerned about their subordinates' response to the community since they must evaluate

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these officers in that regard on their annual evaluation. Also, commanding officers are rated
upon their subordinates' response to the community. Since commanding officers are
notified when a member of their command receives a civilian complaint, they are able to
monitor members on an ongoing basis.
It is clear that civilian complaints are a serious issue. The conduct of police officers
must exhibit a respect for the people they serve. The Patrol Guide directs an officer to be
"courteous and respectful" when engaging in public contact. This is required conduct. We
must strive to achieve this in every interaction with the public.
The Civilian Complaint Review Board identifies trends which lead to civilian
complaints. Some of these areas will be addressed in various parts of your training here at
the Academy. This training will make you aware of these situations, and ways to avoid or
control them.

SUMMARY
We must understand that as uniformed police officers, we are under constant
scrutiny. If we are to be professionals, we must act in a professional manner. Would you
feel confident if your physician spoke to you in a discourteous and unprofessional manner
filled with obscenities? Or if you called an electrician, plumber, or other craftsperson to your
home to fix a problem that you could not, he or she ridiculed either you or the situation that
led you to call?
It is of great importance to detect, identify and change unacceptable conduct which
causes conflict between citizens and the police. Therefore, the Department places great
emphasis on identifying and changing policy and procedures which underlie complaints. For
these reasons, the processing of civilian complaints should be viewed as a positive tool of
management rather than a negative instrument to punish officers’ alleged derelictions.
All members of the service are required to carry the Courtesy, Professionalism &
Respect Activity Log insert at all times while on duty.

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HOMEWORK
1.

What’s more likely to produce voluntary compliance – the use of force or reasoned
communication? If reasoned communication is more likely to work, can you see why
the Department insists that we use force only when it is clear that reasoned
communication will not work?

2.

What kind of phrases are the following when uttered by a police officer?
“Do you people think we have nothing more important to do than straighten out your
arguments?”
“Okay, guys, I understand it’s fun to hang out on the corner, but we’re getting
complaints.”
“So, in other words, you’d like it if we just left so you and your wife could straighten it
out yourselves?”
“You can plead guilty by mail and send in a check. But if you want to plead not
guilty, you’ll need to go to court. But if you do that, I’ll be there and I’ve never lost a
case yet.”

3.

Which of the following fall within the scope of CCRB?
An off-duty officer shows his shield and tells a man to move his legally parked car so
that the officer can take his space.
An arrestee alleges that an officer has stolen $50 from him.
When a sergeant reprimands an officer for showing up late for work, the officer tells
her to “get a life and buzz off.”
An officer issues a summons and allegedly tells the motorist that “If you hadn’t
mouthed off, I would have given you a break. Wise up.”

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Policing Impartially

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT IMPARTIAL POLICING?
Police officers work in diverse communities among people who may not
share their race, ethnicity, cultural background, or way of looking at the world. As
a result, officers sometimes find their beliefs challenged by people who may or
may not be breaking the law. In this context, hidden biases are likely to surface
and sometimes threaten the officer’s ability to professionally use discretion and
communicate with the public. In a jurisdiction as diverse as New York City, such
biases and the conduct they may produce can be disastrous.
This chapter explores what you, as a police officer, need to know in order
to deal with a diverse population in a manner consistent with law and Department
guidelines. We will begin by examining some of the psychological and social
underpinnings of bias. We will go on to outline some tips that will help you to
safely and effectively interact with the public and avoid both bias and the
appearance of bias. We will conclude with a discussion of the relevant laws
governing hate crimes.

BIAS AND POLICE HISTORY
As police officers, you are required to enforce the law impartially without
regard to race, class, ethnicity, culture, gender, and sexual orientation. At the
same time, we are members of a larger society in which bias and discrimination
against certain groups of people are matters of historical and statistical fact. The
changing patterns of prejudice that are part of U.S. history are reflected in major
organizations and institutions, including urban and rural police departments
across the country. In 1805, African American “free men of color” were first hired
as police officers in the City of New Orleans. Ironically, their major duties were to
catch runaway slaves and to enforce the Slave Code. For generations
thereafter, the conflicted and second-class status of African-Americans in
policing took many forms that, today, appear equally bizarre and insulting. As
recently as the 1940s, the City of Miami maintained a separate black police force
comprised of African-American officers who patrolled Miami’s black
neighborhoods. The late Maurice Turner, the African-American former Chief of
Police in Washington DC, often recounted what he found when he entered that
department in the 1960s – he was not permitted to share patrol cars with white
officers, and was not permitted to arrest white people.
Women were hired as police matrons in the 1920s and assigned to work
in areas traditionally viewed as feminine, such as counseling juveniles and
children, investigating missing persons and sex offenses, and performing clerical
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work. Because patrol was a prerequisite for promotions, police matrons
remained at the bottom of the hierarchy, regardless of their skill and
accomplishments. This began to change in the 1960s, when two New York City
Policewomen, Felicia Spritzer and Gertrude Schimmel, sued the Department and
won the right to compete with Patrolmen on promotional exams. Prior to their
victory, policewomen were barred from supervisory and command positions in
the NYPD.
Another major change came in the 1970s with the passage of the Equal
Employment Opportunity Act and a United States Supreme Court decision called
Griggs v. Duke Power Company. In Griggs, the Supreme Court ruled that
publicly supported employers who used discriminatory standards to hire or
promote people had to be able to show, when sued, that the standards they used
were job relevant, and served to separate people who could perform the job from
those who could not. In other words, a police department could insist on hiring
only men for patrol officers’ jobs only if it could show that men did the job better
than women could. In addition, as the NYPD did at the time, a police department
could insist on hiring only people who were 5’8” only if it could show that people
more than 5’8” tall could be effective police officers while those less than 5’8” tall
could not. No police department could show any of these things, of course.
The NYPD became one of only a few large urban departments that
integrated women without the force of a lawsuit. They also changed its physical,
strength, and agility standards to avoid discriminating against other groups. It
was at this time – in 1973 – that women were first hired by the NYPD on the
same basis as men, and that the former patrolman and policewoman job titles
were eliminated in favor of today’s police officer.
Gay police officers have been members of the service from the start, but
their status was a hidden secret punishable by expulsion in many departments.
While the reasons for such policies remain unclear, they seem to be based on
irrational beliefs that gay men are unfit for combat and are likely to sexually
harass their heterosexual partners. In 1981, New York City Police Sergeant
Charles Cochrane set the record straight about gay men in policing when he
publicly announced his homosexual status and declared that he was not alone.
The United States has made tremendous progress in overcoming
discrimination. A generation ago, this was an agency composed almost entirely
of tall men. Most were white, and all, publicly at least, professed to be
heterosexual. If you look at the diversity of your class, you will see that much
has changed since then. This Department is now far more diverse than it has
ever been.

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The Department’s efforts to overcome bias within its ranks have been
accompanied by our attempts to treat the public in an evenhanded and bias-free
manner. This is the most diverse and culturally rich city in the United States, and
we take great pride in our responsiveness to its needs and demands. In doing
so, it is important that we recognize that even open minded and well-intentioned
individuals are likely to carry the burden of history on their shoulders, regardless
of their education, political orientation, and color of their skin. Subtle and overt
forms of bias and discrimination continue to live in our consciousness, no matter
who we are and what our role is in the social system.
This point can be illustrated by a quick glance at the privileges that many
members of the dominant social group take for granted. White middle class
males can use checks, credit cards, or cash, and can count on the fact their skin
color will not work against the appearance of financial stability. Those who are
surgical residents can wear scrubs in the workplace without peers and strangers
assuming they are nurses or technicians. When a white man obtains major
advancement in rank, position or pay inside an organization dominated by people
who look like him, no one whispers that he slept his way to the top, gained his
status because of his race, or is an exception to the rule among people of his
race. Typically, white men are treated as individuals, while men of color, gays,
and women often are regarded in terms of their membership in those classes. It
is critical that we are aware of this tendency, and that we do everything possible
to avoid it in our own behavior.
Perception and Bias
As New York City police officers, you will be exposed to a wide variety of
people from a multitude of racial, ethnic, cultural and religious backgrounds.
Those of you who are open to alternative ways of perceiving the world will
welcome the experience and appreciate the diversity. Others may find the
exposure unnerving. This also is a natural response, usually determined by
one’s background. We cannot do anything to change your background, and we
cannot compel you to change how you may feel about people who seem different
from yourself. However, you are required to keep from expressing your personal
views in discriminatory words and actions.
This is not as easy as sounds. People are not always conscious of their
biases. Without our awareness, cultural beliefs and stereotypes filter our
perception and influence what we see. The result is that two rational people may
interpret the same reality in very different ways. Alternatively, one person may
view identical behavior differently, depending on the racial, ethnic or cultural

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identity of the actor. When ordinary citizens do this, it may be merely insulting;
when cops do it on the street, it is both dangerous to life and damaging to our
relations and our ability to do the job.
Here is an example: you and your partner are patrolling the streets in a
precinct in Brooklyn at 2 a.m. You come across a black male, armed with a gun,
holding a white man against the wall. Would you see this as a robbery in
progress or as a plainclothes police officer in the process of arresting a
dangerous suspect? Would your perception of what was happening be different
if the man with the gun was white and the man against the wall was black?
Similar perceptual conflicts may affect contacts between the police and
the public, resulting in words or actions that strengthen the stereotypes on the
part of both the police and the public.
Here is another example: Imagine you and your partner receive a call that
a black male, carrying a shotgun in a shopping bag, is heading towards an
apartment building on 23rd Street. You arrive at the location and observe a man
with a shopping bag, walking up the stairs to the building on 23rd Street. You
approach the man and insist on searching his bag, which turns out to contain a
quart of milk, a frozen pizza, a cold six-pack, and a pound of coffee. The man
gives you a dirty look and whispers “racist” and “harassment” under his breath.
Annoyed and bewildered, you utter your favorite expletive to your partner, slam
the car door shut, and return the man’s glare as your partner drives off.
Replay the tape. Ask yourself if there is a safe way to handle the
situation, at one point or another, that might break the cycle of
miscommunication, resulting in a more satisfactory conclusion for both parties.
Can you understand why the man might react in this way? Can you think of
things you might do in this circumstance to leave him feeling better about his
contact with you? What could you do to make it easier for the next cop who
encounters this individual?
Policing and Prejudice
There are many reasons why you, as a police officer, must not engage in
discriminatory behavior. For one thing, it is against the 14th Amendment of the
U.S. Constitution, as well as Article 1, Section 11 of the New York State
Constitution which states that no person shall be denied equal protection of the
law: as a police officer, you simply may not base your treatment of people
on their gender, race, ethnicity, age, sexual preference, or membership in
any class.

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Racial Profiling
Within this context, it is important for you to understand the difference
between racial profiling and criminal profiling. Racial profiling refers to those
times when a police officer decides to stop and question a person when the
sole rationale for the contact is the race, ethnicity, or national origin of the
person being stopped. By contrast, criminal profiling is a method by which
officers, through careful observation of activities and environment, identify a
suspicious person who, for perfectly legal and legitimate reasons, may be
stopped. You cannot stop and question or otherwise intervene in the lives of
members of a group merely because you believe that members of that group are
disproportionately involved in wrongful behavior. You can stop people when you
have very particular suspicions about the individuals you are stopping. For
example:
•

You would be race profiling if you stopped and questioned a young
black man simply because he was walking in a neighborhood in
which young black men reportedly committed most crime. But you
would not be race profiling if, in the same neighborhood, you
stopped and questioned a young black man who closely matched a
reasonably detailed description (e.g., “male, black, early 20s, dark
complexion, thin build, black pants, dark leather coat”) of a person
who had just committed a crime in the neighborhood.

•

You would be race profiling if you stopped and questioned a young
white man in a car because someone had told you “the only white
people who came into the neighborhood were there to buy drugs.”
However, in the same neighborhood, you would not be race
profiling if you stopped and questioned a young white man who
slowly drove through the neighborhood, and made brief stops at
locations that had a history of drug dealing.

Prejudiced behavior is problematic not only because it violates the law and
Departmental guidelines, but also because it damages public trust and
undermines the relationship between the police and the community. Citizens feel
unprotected when they believe that those who they entrust with the responsibility
for their safety are capable of using racist language and acting in discriminatory
ways. The communication of biases by police officers also reinforces common
stereotypes that designate all police as bigots. This, in turn, creates a dangerous
atmosphere for the police, who cannot work safely or effectively without
community support.

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UNDERSTANDING BIAS
Understanding some of the myths that surround the concept of race may
help correct some misconceptions that underlie bias. Race is a cultural rather
than a biological construct. There is no scientific evidence to support the
idea that differences in personality, temperament, character, or intelligence
are based on race. In other words, the differences that we see in color
generally are only skin-deep and do not translate into widespread biological
differences that are unique to groups. The large groups that we characterize as
races are too heterogeneous to lump together in a scientific way. The percentage
of your genes that are reflected in external appearance, the basis by which we
talk about race, seems to be in the range of .01 percent (one in 10,000). For this
reason, most genetic scientists do not view race as a biological concept.
The human brain, however, is highly attuned to differences in appearance,
leading people to exaggerate the significance of what has come to be called
race. The false beliefs that come to be linked with race then take on a life of their
own and are resistant to change. The reasons for this are complex. In any case,
prejudice is attached to strong emotions that are often buried in past experience.
The result is that we tend to accept new information only if it reinforces previous
attitudes. Conflicting evidence is then dismissed as insignificant or untrue, or
otherwise rationalized according to previous notions. For example, if a person
has a negative belief about some group, he or she is likely to interpret any
unpleasant behavior by a member of that group as “the way they all are.”
However, if the same prejudiced person should encounter a member of the same
group whose behavior is contrary to the prejudice, he or she is likely to write it off
as an exception – “Yeah, maybe that guy treated me okay, but most of them are
terrible.”
The Development of Prejudice
Understanding where biased attitudes come from may help you recognize
and overcome the ones that you have come to take for granted. Most of us
adopt the beliefs and values of our parents and siblings, which probably reflect
those of the cultural, ethnic, class and racial group of which they are a part. In
addition, traumatic events occurring in childhood may also influence how you
understand and react to situations arising in the world around you. If, as a kid,
you had a bad experience with a member of a group your parents or neighbors
stereotyped, it is likely to have convinced you that the stereotype was correct.
Experience with peers in school further refined or changed attitudes,
reinforcing or challenging biases that were learned earlier in life. Prejudice is
often based on unfamiliarity. If you have never had contact with a member of a
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group different from your own, you are likely to have expectations about them
that are based on what other people say, or how that group is portrayed in the
movies and the news. Many people have never been to New York City because
of what they have seen on television – a city full of crime, violence, hustlers, and
self-centered egomaniacs. Consider what you would think about New York City
if the only things you “knew” about it were what you “learned” on NYPD Blue,
Law and Order, Third Watch, and Seinfeld. As you consider this, think also
about the accuracy of what you think you know about another city you have
never actually visited. If you have never been to Los Angeles, your expectations
of it may be based on what you have seen in movies and on television. What
makes you think they portray life in L.A. any more accurately than NYPD Blue
portrays life in Manhattan?
Nevertheless, people who have had the opportunity to develop friendships
with groups from diverse social backgrounds may be more open than others to
alternative ways of understanding humanity. Their experience overcomes the
anxiety and confusion that are linked to the unknown, and teaches the falsehood
of racial and ethnic stereotypes.
Occupational experiences also inform attitudes. When you began your
career as a police officer, you entered a subculture with a unique set of values,
rules, and language that define who is and who is not a member of the police
family. In time, you will be able to recognize most police officers by the way they
talk, act and, to some degree, think about the world around them. Police officers
do not usually gain popularity by questioning the views of peers or challenging
shared attitudes. The result is that biases are sometimes reinforced in group
context and passed on to new officers who are eager to gain the acceptance of
their veteran colleagues.
Some of the attitudes that may set police apart from others are partly
determined by the highly selective exposure police have to the community they
serve. Police officers tend to interact with specific categories of people, including
crime victims; helpless persons, emotionally disturbed people, criminal offenders,
and naïve or unwilling citizens who do not particularly want to do what you ask.
Much of the time, these people are upset, angry or otherwise in a negative state
of mind. As cops have observed, many of the people police come in contact with
are emotionally upset; are in trouble; have committed crimes; have been
victimized or witnessed crimes; they have had accidents; they are involved in
arguments; they have lost their keys – or (even worse) their kids. As much as
officers try to help these folks when it is appropriate to do so, dealing with them is
not easy. When these individuals look different from officers – when they are

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from a different race or ethnic group, when they speak a different language or
have a different sexual orientation – it becomes very easy to stereotype the
entire group based on our experience with a few.
Further, because they are symbols of authority, police sometimes are
blamed for events over which they have little control. This can be demoralizing
and can alienate the police from the public. Because of their limited exposure,
police tend to forget that most members of the community are good and
upstanding people who appreciate their presence and the positive influence they
have on children and young people. Police officers then begin to view the
occasional instances of praise as aberrations.
Because of these distortions, police officers must work hard to maintain a
balanced perspective about the people they serve and about humanity in
general. Remember that a courteous, professional, and respectful police officer
who illustrates the opposite of bias and discrimination helps create a partnership
with the community and builds rapport with the people. The result is that the
citizens become our allies and, in turn, policing becomes safer and easier. This
enhances our effectiveness and increases our pride and pleasure in what we do.

COMMUNICATION GUIDELINES
•

Explain yourself. Telling people why you stopped them will help dispel
the myth that stops are racially motivated and prevent altercations and
misunderstandings from arising. Often, officers stop individuals because
they match suspect descriptions or because they are acting in ways that
do, in fact, look suspicious, only to learn that there is a perfectly legitimate
explanation for what they were doing. These people do not know why you
stopped them and, unless you tell them why you did, they are likely to
believe that your actions were arbitrary. It takes only a few seconds to do
this, and it usually turns an angry person into someone who appreciates
your effort -- “I’m sorry, Sir. We were looking for a person who had just
committed a mugging, and you matched the description. Let me ask the
radio dispatcher to repeat the description, and you can listen to it. Then
you’ll know why we stopped you.”

•

Do not assume that only criminals fear the police. You will encounter
people from countries in which oppressed populations learned the hard
way that they could not trust the police in their city. Some New Yorkers
came here from places in which police or military authorities have
engaged in genocidal massacres and torture of the civilian population.
These people will not always be able to distinguish you from the

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authorities who killed their families and friends. As a result, they may
avoid contacts with you in just the same way that they would have in their
native countries.
•

Be wary of ethnocentrism. Ethnocentrism is the false assumption that
one person’s cultural beliefs and practices are inherently superior to
another’s. Unless you are dealing with people who practice a particular
cultural activity that violates the law – like polygamy, cockfighting, drug
use, or animal sacrifice – this is the wrong view to take. Unless people
are violating the law, we are not in the business of making judgments
about their beliefs and customs.

•

Understand the effect of proper tactics on innocent people. The
public may perceive proper police tactics as alienating and scary.
Remember that many of the people you stop will be released without
further action because it turns out that there is a legitimate explanation for
their activity and/or because there is no evidence that they were doing
anything wrong. Keep in mind that what is routine for you – stopping and
questioning pedestrians or motorists – is far from routine for most of the
people you are stopping. Keep in mind also that, when you stop and
question people, you are letting them know that (in your judgment at least)
they look wrong. This is a very negative assessment, so you need to
expect that the people you stop may resent it. Be aware of that, and do
what you can to ease their resentment.

•

Be sensitive to individual’s language preferences. Do not take it
personally if an individual of another gender, race, ethnicity, or from
another country wants to speak with your partner who shares his or her
characteristics. Even individuals who speak English may prefer to speak
their native language because it makes them more comfortable or they are
afraid that police will be critical of their grammar and pronunciation.

•

Be wary of being intolerant. Intolerance may exist among police officers
that are members of minority groups as well as those who are not.
Indeed, sometimes minority police officers may feel more intolerant
towards certain behavior on the part of members of the racial, ethnic,
religious, or gender group with which they identify. Such feelings may
result from a concern that other officers will assume the behaviors are
representative of the group as a whole. No matter who you are or where
you come from, your job as a police officer is to deal with people as
individuals, not as members of groups, whether those groups are your
own or another.

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•

Do not engage in racial profiling. It is against the law. It violates
fundamental democratic precepts and freedoms. It violates this
Department’s policies. It is offensive. It violates your responsibility to treat
people equally. It diverts us from catching real criminals. It alienates us
from people who need us, and hurts our ability to do our job. It makes
things more difficult for every police officer who will subsequently
encounter its victims. It breeds disrespect and distrust of every level of
government. It embarrasses and humiliates people. It can get you
disciplined, fired, sued, and prosecuted. You can probably think of other
reasons not to do it, but the point is that you will not do it.

•

Avoid assumptions based on a person’s minority affiliation. Do not
overlook a witness because you do not believe that a member of his or her
particular group could possibly have valuable information. Do not let your
feelings about a particular class of people affect your recognition of a
victim.

•

Be aware of miscommunications resulting from language. Language
differences can lead to serious problems for non−English speakers. In
one case, a man was arrested for agreeing that he molested his daughter.
It turned out that the man had only confessed that his drinking bothered
his daughter. In Spanish, the verb “molestar” means, “to bother.” This is
very different from the English meaning of “molesting;” what father has not
bothered his daughter?

•

Be aware of cultural notions of space. Notions of personal space and
behavior are cultural and indicate respect. Nigerians, for example, have a
proper social distance – the range at which people talk to each other –
and it may be less than 15 inches. If you are like most Americans, you
may think that anyone who stands this close to you while he or she talks is
trying to get “in your face.” This is not the case, however. In many parts of
the world, standing close up is a sign of respect. Similarly, most
Americans look people in the eye when they talk to them. Natives of
many Third World countries, however, show respect by averting their eyes
when talking to authority figures like police. Be conscious of both of these
cultural habits, and take them for what they are: signs of respect and
attention, rather than disrespect and inattention.

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•

Do not imitate the speech patterns of others. Police officers should not
imitate speech patterns of other racial, ethnic and class groups when
communicating cross culturally. They appear disingenuous, artificial and,
possibly, racist.

•

Do not use terms or words that devalue groups of people or
stereotype them. We have already told you that, when you are dealing
with people, you must treat them as individuals, not as members of
groups. Therefore, you should never use the derogatory terms used by
ignorant people to devalue members of groups. You know what they are
– they are gender, racial, and ethnic slurs and insults about people’s
sexual orientation. They have no place in your vocabulary. When you
use them on duty, you demean people and yourself. When you use them
off-duty, you build habits that are not easy to turn off at work.

•

Do not tell or tolerate ethnic, racial or sexist jokes, even if you think
they are not offensive. In this area, what one person sees as harmless,
politically incorrect fun, may be deeply insulting to others.

•

Avoid expressing stereotypical assumptions that spotlight minorities
or other groups, or that set them apart from others. Examples: “For a
woman cop, she did a good job” (implying that this is the exception rather
than the rule; or that female cops should be judged by different standards
than males); “He’s Latino, but he works hard;” “She’s black, but she really
knows her stuff;” “He’s gay, but he’ll leave you alone;” “He’s Colombian
but not involved with drugs;” “She’s Italian, but I don’t think her family has
any mob connections;” “He’s Irish, but I’ve never seen him drunk.” No
matter who you are, you can think of some negative reference to one or
more of the groups of which you are a part. You can also think of how
disrespected you feel when you have heard them. Keep that in mind, and
do not make any such references about anybody else.

•

Do not take unfounded accusations of racial or ethnic bias
personally.

•

Be courteous. People are offended when the police are rude and
discourteous. They will become angry when they believe that law
enforcement officials treated them “like criminals” because they were poor,
or persons of color. For good reasons, the poor and people of color are
sensitive about the way they are treated by police: do not feed into this by
turning their worst fears about the police into reality.

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•

Be self-aware. Understanding ourselves and what makes us tick helps
us to shape the way we interact with others.

Officer Self – Awareness
• Self-awareness about one’s early life experiences that helped to shape perceptions,
filters, and assumptions about people.
• Self-awareness about how one feels toward someone who is “different”
• Management of assumptions and discomfort in dealing with people who are different
(e.g., do we try to deny that differences exist and laugh differences away, or imitate
“them” in order to appear comfortable?)
• Ability to be authentic in communication with others while modifying communication style,
when necessary (Shusta et al. 2002: 118)

•

Follow these directions when dealing with people that use English as
a second language.
Tips For Communicating When English Is A Second Language
• Speak slowly and enunciate clearly.
• Face the person and speak directly even when using a translator.
• Avoid concentrated eye contact if the other speaker is not making direct eye contact.
• Do not use jargon, slang, idioms, or reduced forms (e.g. “gonna”, “gotta”, “wanna”,
“couldja”).
• Avoid complex verb tenses (e.g., “If I would have known, I might have been able to
provide assistance.”).
• Repeat key issues and questions in different ways.
• Avoid asking questions that can be answered by “yes” or “no” rather, ask questions so
that the answer can show understanding.
• Use short, simple sentences; pause between sentences.
• Use visual cues such as gestures, demonstrations, and brief written phrases.
• Use active rather than passive verbs (e.g., “I expect your attention” [active] rather than
“Your attention is expected” [passive].
• Have materials duplicated in bilingual format.
• Pause frequently and give breaks. Monitor your speed when you speak.
• Use only one idea per sentence.
• Respect the silence and pauses that non-native English speakers need to formulate their
sentences and to translate them in their minds.
• Check comprehension by having the other speaker repeat material or instructions, and
summarize frequently.
• Encourage and provide positive feedback on the person’s ability to communicate.
• Listen even more attentively than you do when communicating with a native speaker of
English.
• Be patient. Every first generation of non-English speaking immigrants’ struggles with the
acquisition of English.
• Do not speak louder. It will not help. (Shusta et al. 2002:124)

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RACIAL PROFILING AND THE LAW
What is Racial Profiling?
Racial profiling may be defined as the stopping of motor vehicles, the
stopping and questioning of individuals and the frisking and searching of persons
without individualized suspicion or legal cause to justify such conduct, but instead
based solely upon a person’s actual or perceived racial, ethnic or national origin
status.
Why Racial Profiling is Illegal
The 14th Amendment to the United States Constitution, as well as Article
1, Section 11 of the New York State Constitution, contain equal protection
clauses, which state that no person shall be denied equal protection of the law.
This means that all persons must be treated fairly and equally by administrators
of the law, including the police, in all jurisdictions of the country and New York
State. Additionally, New York State has afforded increased protection to its
citizens under its Civil Rights Law, Section 40-C. This law states, "No person
shall be subjected to any discrimination in his civil rights, or to any harassment
because of race, creed, color, national origin, sex, marital status or disability, by
any other persons."
Many of the actions taken by police officers are governed by statutory
regulations and requirements. When we stop a person on the street, stop a
motor vehicle, or arrest an individual, there are specific standards of proof that
must be met for our actions to be considered lawful. These standards are a
composite of both federal and state constitutions, as well as state procedural law.
Harsh consequences follow when police officers disregard these guidelines. If it
is determined that a police officer has not followed the prescribed guidelines the
following situations may result:
•

The law enforcement action (summons, arrest, etc.) taken by the police
officer is dismissed.

•

The police officer may be subject to Departmental discipline or
termination.

•

The police officer and/or the Department may be subject to civil and/or
criminal penalties (monetary fines and/or imprisonment).

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The New York State Assembly has introduced legislation that specifically
defines racial profiling and prohibits law enforcement agencies from engaging in
its practice. Additionally, this new legislation would give individuals and the State
Attorney General the right to seek damages from a law enforcement agency,
including particular employees and their supervisors.
NYPD Policy Regarding Racial Profiling
The New York City Police Department has always had a strict prohibition
against racial profiling because of its inherent unlawful nature and societal effect.
Individual citizens can become subjects of Police Department action based only
upon actual, perceived, or suspected violations of law. Can race or ethnicity ever
be a factor in determining when a police officer takes action? The answer is yes.
However, an officer's decision to encounter a citizen should be based upon
objective, credible facts, and not on a whim or personal bias. Again, you can
stop citizens because of what they are doing or because they match descriptions
of people who have done something wrong – but you cannot stop people
because of what they are.

BIAS INCIDENTS
(Patrol Guide 207-10)
Hate Crimes
Prejudice can distort our interpretations of external reality. Prejudice is
often unconscious and linked to powerful emotions. Membership in peer
cultures that share biased attitudes will reinforce and help excuse or justify
prejudiced acts.
Prejudices are most likely to be acted out during hard economic times or
periods of great social change. When jobs become hard to find, economic
competition grows among groups and hidden prejudices come to the surface.
When formerly powerless groups start to gain economic and political power and
the ability to break out of geographic and social ghettos, competition for housing
begins; neighborhoods change, and prejudices are acted out. Conversely, when
formerly poor and working class neighborhoods become stylish, gentrified, and
expensive, the class prejudices of people who can no longer afford to live in them
may turn nasty. When this happens, bias incidents – including hate crimes –
may occur.

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Handling Bias Incidents
The best way to deal with bias incidents and hate crimes is to prevent
them. As a Department, we try to do this every day by building relationships with
the communities we police, by learning as much as possible about them and their
relationships with other groups, and by trying to anticipate and mediate
differences among them.
Created in 1980, the Department’s Hate Crime Task Force is specifically
charged to assist patrol units in these tasks. It monitors and investigates any
offense or unlawful act that is motivated in whole or in part by the identification of
a person or group or location with a particular race, religion, ethnicity, sexual
orientation, or disability as determined by the Commanding Officer, Hate Crime
Task Force. The Unit also handles bias issues that arise for persons with
disabilities.
The definition of a disability, for the purposes of this procedure, is when a
person possesses or is perceived to possess any of the following: a physical,
medical, mental or psychological impairment, or a history or record of such
impairment. This includes individuals who have sustained any injury or damage
to any system of the body including muscular, sensory, respiratory, speech,
heart, reproductive, digestive, blood, immunity (i.e., AIDS), and skin. Also
included are recovering alcoholics, drug or other substance abusers who
currently are not using alcohol or drugs.
As the first officer on the scene of a disturbance, you must be aware of the
possibility of a bias incident, in order to provide a proper referral and maintain
order in the community.
Types of Bias Incidents:
•

Harassment.

•

Property Damage.

•

Physical Violence.

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HOMEWORK - BIAS INCIDENTS
Which of the following assignments would constitute a suspected bias incident?
Explain your answer in each case.
1.

Two officers respond to a Jewish cemetery on a complaint of burglary.
At the scene, the head grounds keeper tells the officers that the copper
gutters were stolen from the main building sometime during the night.

2.

An officer patrolling the "F" train observes two teenagers spray painting
swastikas on advertising posters near the main entrance at the Utica
Avenue Station in the heavily populated Hasidic area of Crown Heights of
Brooklyn.

3.

Upon entering the main lobby of a Housing building, an officer observes
two male Hispanics clubbing a male black, with a baseball bat, while
yelling racial obscenities at him. The officer knows all three youths, since
they play on the same baseball team in the PAL, and they are always
hanging out together.

4.

A male who seems very upset approaches an officer patrolling her foot
post. He asks her if he can do anything about the threatening phone calls
and letters he is receiving concerning his sexual orientation.

5.

Two officers respond in their RMP to a motor vehicle accident at a parking
garage. Upon their arrival at the scene, they see the two apparent
operators, a man and a woman, yelling obscenities at each other.

6.

An officer walking his post observes a male attempting to scrub some
painted words and designs off a car. Upon initial inquiry, the man tells the
officer that since he moved into the neighborhood, unidentified people
have been damaging his car and home, by painting white supremacist
designs and slogans on his property. The man tells the officer he does
not understand it, since he is not black, and emigrated to the U.S. from
India.

7.

An officer hears a 10-85 for a backup unit coming over her portable radio.
She runs to the scene, since the location given is only a couple of blocks
away. Arriving at the scene, she sees two of her fellow officers with three
men in custody, and under arrest. The men were caught attempting to
burn down a gay men's community center. The officer notices that a large
crowd of people is gathering, and they are yelling anti-police and anti-gay
slogans.

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8.

Two officers are on meal at a diner in their patrol car sector, and overhear
an argument between two customers and a waiter. The waiter suddenly
screams, "You Jews are all the same!" She then throws a tray of food at
one of the customers.

9.

Two officers respond to a robbery in progress at a grocery store. Arriving
after the suspect has fled, they find that the complainant, a black man,
who is obviously shaken. The complainant explains that the suspect, a
male white, teenager, said "Give me all your money," using several ethnic
slurs. The suspect then fired a shot from a 32-caliber revolver into the
ceiling.

10.

An officer takes a report of criminal mischief from Imam Muhammad, for
the vandalism to the doors and widows of his mosque.

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BIAS HOTLINE FACT SHEET
Q.
A.

What is a Bias Incident?
A bias incident or hate crime is an act motivated by prejudice against
people because of their race, religion, ethnicity, age, gender, disability or
sexual orientation. Bias can involve criminal activity, or may be noncriminal in nature such as name-calling, harassment, and intimidation.

Q.
A.

What is the Bias Hotline?
The Bias Hotline is a 24-hour, 140 Language response and referral phone
service operated at the Commission on Human Rights. It operates 7:00
a.m. - 11:00 p.m. with live operators and 11:00 p.m. to 7:00 a.m. with a
tape and referral suggestions.

Q.
A.

Who should call the Bias Hotline?
If you are a victim or a witness to a Bias incident, or an observer of
tensions between groups in your community, call the Hotline number NO2-Bias (212-662-2427). If a crime is in progress, call 911.

Q.
A.

What is the purpose of the Bias Hotline?
The Hotline has been established to address the widespread problem of
bias incidents and hostile inter-group relations. It will provide community
residents with an alternative to the police when reporting bias incidents
and community tensions, particularly when they may be non-criminal in
nature. The Bias Hotline will provide immediate referrals (including legal,
health and police services) for bias victims, witnesses and concerned
residents.

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References
Brown, B., and W.R. Benedict, 2002. “Perceptions of the Police.” Policing: An
International Journal of Police Strategies and Management. Vol 25. Issue 3:
545−580.
Carlson, Daniel. P. 2002. When Cultures Clash: The Divisive Nature of
Police−Community Relations and Suggestions for Improvement. Upper Saddle
River, NJ: Prentice Hall.
Shusta, R.M., R. D.R. Levine, P.R. Harris and H. Z. Wong, 2002. Multicultural
Law Enforcement: Strategies for Peacekeeping in a Diverse Society. Upper
Saddle River, NJ: Pearson Education, Inc.
Stoutland, S.E. 2001 “The Multiple Dimensions in Resident/Police Relations in
Boston. Journal of Research in Crime and Delinquency, Vol. 33 No.3:226−256.
Weitzer R., and S.A. Tuch. 2002. “Perceptions of Racial Profiling: Race, Class
and Personal Experience.” Vol 40, Issue 2. Criminology.

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Investigation and Report Writing
WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT INVESTIGATION AND REPORT WRITING?
Investigation is the process of finding the facts about a particular subject,
event, or problem. It should be designed to eliminate as much uncertainty as
possible about what happened during an event, or about what caused or is
associated with a problem. The report of an investigation should complete this
process – after readers have reviewed it, they should know everything the writer
knows, and should have very little uncertainty about the facts.
When most of us think of police investigation, we think of crime and
detective work. Certainly, criminal investigation may be the most important of all
the investigative tasks we perform, but it is far from the only one. The
Department conducts investigations to determine whether or not its policies are
effective; to design policies and training; to determine whether citizens’
complaints have any merit; to determine whether units function as they should,
and on and on.
In almost all these cases, the key component of investigation is the patrol
officer, who is the Department's front line, the first person on the scene of most
incidents that become subjects of investigation. For the most part, it is through
the patrol officer that the Department becomes aware of complaints, and most
other matters. Consequently, it is critical that patrol officers collect all the
relevant information and that they report it thoroughly, clearly, and to the right
people and units.
Complaints are allegations of crimes, violations, and conditions, which
require an investigation. These are officially recorded and processed using the
complaint reporting system. The process through which complaints are
investigated begins with the preparation of a written report. If this is not done
right, a complaint may not be investigated or may be investigated incorrectly. In
addition, precinct statistics compiled from Complaint Reports are used to make
decisions regarding deployment, specifically, assignment of Radio Motor Patrols
(RMPs), foot posts and specialized units (such as Anti-Crime). If these statistics
are inaccurate, serious criminal conditions can go unchecked, and both the
public and your fellow officers may be endangered. Not caring or not taking the
time to conduct a proper preliminary investigation reflects negatively on the entire
Police Department. Most importantly, it can greatly reduce the Department’s
ability to do its job.

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Investigation and Report Writing
For you personally, sloppy or incomplete reports can cause
embarrassment, lost criminal prosecutions, and acquittals of guilty people.
Whenever you make a shoddy report related to a crime or arrest, you are almost
certain to be cross-examined intensely by the lawyers for the people you have
arrested. When lawyers can point out to the jury all the errors and omissions
you have made in your official reports, the credibility of everything you say sails
out the window and guilty people are likely to walk out the door.
One of the most important Department forms is our Official Letterhead.
This is white bonded paper with the Department seal and title preprinted on the
uppermost portion. It is used for official communications between this
Department and all outside agencies, departments and persons not connected
with the New York City Police Department. We use typed letterhead as our
official correspondence within the Police Department. It is commonly referred to
in the field as a 49 or UF-49. You also need to know how to prepare reports on
these forms, as well as how to prepare internal Department reports on blank
sheets of paper. This chapter will provide guidance and instruction in these
important areas.

INTERVIEWING TECHNIQUES
The most important investigative information usually comes from people.
Therefore, it is critical that you learn how to communicate with people in ways
that are most likely to produce the maximum amount of information. Every
excellent investigator is an excellent interviewer.
A very important part of interviewing technique is that interviews should be
conducted as soon as possible after the incidents that are the subjects of
investigation. This is so for two reasons. First, people’s memories fade quickly.
Second, people’s recollections of events become contaminated over time.
When people witness a dramatic street event – a robbery and shooting, for
example – it usually happens so quickly and with so little warning that they do not
have time to digest it. But as time goes by, they think about the event – or, even
worse, talk about it with others who have seen it from other angles. Invariable,
they forget what they actually saw and come up with a composite based on
information they develop later.
Here’s an example:
Charley hears shots and sees a man, later
identified as Joe, run out of a store, chased by
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another man, later identified as Jim. Jim has a gun in
his hand, and is pointing it in Joe’s direction. Joe
starts to turn on his pursuer, and Charley hears more
shots. Joe falls down, and a car parked nearby
suddenly takes off, accelerating away from the scene.
Jim starts to run after the car, but then turns and runs
back into the store. This whole episode lasts no more
than four or five seconds.
Charley waits for the police and starts to talk
with other people, some of whom were on the scene
when the shooting occurred and some of whom were
drawn to the scene by the shooting. It is evident that
Joe is dead in the gutter, and that there is a small
gym bag near his body. Someone tells Charley that
Jim is the owner of the store. Charley had never seen
Jim before, but this makes sense to him. Someone
tells him that Joe was trying to rob Jim and had fired
shots at Jim inside the store. This also makes sense,
although Charley never noticed whether Joe had a
gun. Someone tells him that Jim then pulled his own
gun, and chased Joe from the store, firing shots at
Joe only when Joe turned and fired at him first.
Another person tells Charley that Joe was running
toward the “getaway car,” and that its driver escaped.
Officers and detectives arrive, but do not
interview Charley for an hour or more. He spends the
time talking with other people. Finally, an officer asks
Charley what happened. He says:
“It was a stick-up. Joe, the dead guy, pulled a
gun and fired shots at Jim, the storeowner. But the
storeowner pulled his own gun and shot back. Then
the dead guy ran away with the storeowner chasing
him. He turned on the storeowner and fired again, so
the storeowner shot him. The guy in the car who was
with the dead guy got away.”
The officer looks at Charley strangely. “No,
“the officer says. “This was not a stick-up. It was a
drug deal gone bad. Joe owned the store, but he was
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a drug dealer. He sold the other guy bad dope and,
as soon as the other guy realized it, he lost his head
and shot Joe. That car was with Jim, but the driver
took off because he hadn’t bargained for a murder.
We’re looking to find Jim now, but we didn’t find any
evidence that Joe had a gun.”
Assume that Jim is caught and tried for
murder: how useful would this eyewitness’s
testimony be? What would he have said if he had
been interviewed earlier, before his account had been
contaminated by exposure to other witnesses?
When we can get to witnesses immediately after the event and interview
them as soon as possible, we are likely to get the most accurate and useful
information from them. The importance of responding quickly, but safely, to the
scene of a police incident cannot be overemphasized. This becomes extremely
important when responding to a possible crime scene. By arriving as soon as
possible, you will be better able to preserve the integrity of the scene and any
evidence left behind by the perpetrator. Witnesses are more likely to be present,
and the victim will most vividly recall what occurred during and after the crime.
Conducting a good interview is vital to a preliminary investigation. Knowing how
and when to ask the right questions is a skill that you will develop through
experience and good police work in your career. Properly preparing an accurate
complaint report worksheet will assist you, as well as investigators, in the
process of identification and apprehension of perpetrators and case presentation
to the District Attorney’s Office.
You will face a difficult task when attempting to interview victims of crimes
in crisis situations. The emotional state of the victim must be addressed to
restore a sense of normalcy. When obtaining information in an interview for the
necessary reports to be prepared, the officer must be both supportive and
sensitive to the needs of the victim/ complainant. Maintain Courtesy,
Professionalism and Respect (CPR) when interviewing victims or potential
witnesses.
Interview Steps
Develop a plan of action. You should review pertinent data and develop
questions that will elicit information. For example, questions posed to witnesses
of a crime should be designed to obtain facts to complete an accurate report.
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Conduct the interview privately if possible. While this basic rule is
often difficult to follow, depending on the circumstances, every effort should be
made to minimize distractions.
Put the person at ease. Emotions and stress play a big part in any type
of interview, and you will have a difficult time evaluating a nervous person.
Starting the interview casually with non-threatening conversation can have a
calming effect. By defusing negative feelings and reinforcing positive ones, you
can address the emotions exhibited by the interviewee in an effective manner.
Let the person being interviewed do the talking. One of the biggest
mistakes you can make is to talk too much. Gathering crucial information
regarding a crime depends on letting the interviewee talk under controlled
conditions. You should control the interview, not dominate it.
Perfect questioning techniques. Knowing how to ask questions is just
as important as knowing what questions to ask. Also, making questions easy to
understand is critical. This allows the person being interviewed to concentrate on
answering the questions, not on trying to understand what they mean.
Select your questions carefully. Use close-ended questions (yes/no
answers) sparingly because they only require a short answer and usually only
confirm factual data. Open-ended questions force the interviewee to talk and
elaborate on the matter at hand. For example, when interviewing witnesses to a
crime, you should ask the witnesses to relate in their own words what they saw.
This allows you to better assess the reliability of the information obtained.
Leading questions, which contain the answer, and loaded questions, which ask
the person interviewed to choose the lesser of two evils, should always be
avoided.
Don’t challenge answers given. You must keep emotional reactions
private and should not let personal feelings interfere with the interview. There is
time to document problems after the interview.
Stay in control. During an interview, some people try to stray from the
questions asked. Proper preparation is the key to maintaining control of the
interview and to ensuring that it doesn’t go off course.
Take good notes. Notes allow you to recall important details revealed
during the interview. However, while making notes, you should not lose eye
contact with the person. Excessive note taking causes the person being
questioned to slow down responses in order to accommodate you.
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Conclude the interview properly. It is your responsibility to signal the
end of the interview.
Learn from experience. Critiquing helps to identify areas that need
improvement and develop interviewing techniques. Seek assistance from
veteran officers or trained investigators.
These basic rules are merely guidelines to follow when conducting an
interview. While they will not alleviate all the problems that can arise during an
interview, they will assist in developing the skills required of a successful
interviewer.
Preliminary Investigations
In conducting a preliminary investigation, there is usually a need to
perform most of the following basic tasks:
•

Proceed promptly and safely to the scene.

•

The greater the delay before you arrive at the scene, the greater the
possibility of destruction or contamination of evidence.

•

While traveling to the scene, mentally review the problems usually
associated with the type of event to which you are responding: Are
people likely to be hurt? Overcome with emotion? Angry?

•

Survey the entire scene as you enter it, making a mental note of the
conditions you observe.

•

Assist the injured.

•

Make a probable cause determination: Is there reasonable cause to
believe that an offense has been committed?

•

Do not rely on your memory: make notes in your Activity Log.

•

Arrange to obtain all necessary assistance.

•

Determine whether you need a search warrant.

•

Collect evidence as required.

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•

Identify, isolate, and interview any victims, complainants, and
witnesses.
Note: When several witnesses are present, do not keep them waiting while
you spend too much time with one. Obtain sufficient information from each,
and let them know that they may be asked to undergo follow-up interviews
with detectives. As you complete interviews, ask witnesses not to discuss
what they have seen with other people. Such discussions contaminate their
information.

•

Identify, isolate, and arrest, any suspect(s).

•

Submit any required reports.
Note: Refer to Patrol Guide Section 207-7 for
more information on report preparation.

Include all particulars about a case – do not exclude anything because it
seems irrelevant. The case you are investigating may be part of a pattern, and
the information you develop may fit together with pieces from other crimes and
reports.
Your original complaint report will be important to the ensuing investigation
because much of the information is utilized to identify crime patterns and
clusters. Precinct crime analysts, Robbery Apprehension Module Units, and
detective squads rely heavily on initial reports when determining crime patterns
and identifying offenders.
Canvassing
This term can be defined as a methodical, door-to-door investigation to
identify witnesses or persons with information concerning any crime or other
occurrence of police interest. The need to canvass depends upon the
seriousness of the case. If appropriate, you should canvass the immediate area
to determine if there are any witnesses. The need for a canvass, however, may
not be immediate. If extenuating circumstances exist, a ranking officer or
detective assigned may direct that a canvass be conducted.

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Investigation and Report Writing
Forms and Reports
Forms and reports will be prepared whenever Department policy
mandates or other needs arise. A police officer on patrol will prepare
Department forms such as Aided Report Worksheets, Complaint Reports, etc.
These reports involve filling in applicable captions and completing a short
narrative describing the event. A good report should be concise, complete and
correct; it also needs to be easy to interpret by the reader. Use simple language
to avoid misunderstandings.
Department Reports Must Answer The Following Questions:
•

WHEN? State the date and the time(s) when the offense was committed
and/or the suspect(s) apprehended.

•

WHERE? Describe the geographical location of the crime scene, property
or evidence.

•

WHO? Record information regarding the victim(s), suspect(s), witness(es),
owner(s) and property.

•

WHAT? Record information as to the type of property damaged, lost,
stolen, or offense committed (e.g., Robbery, Burglary).

•

HOW? Describe the general manner in which the offense was committed.

•

WHY? Set forth what you believe motivated the offense.

Note: An easy way of remembering these six questions is to memorize the
acronym NEOTWY, which stands for the last letter in each of the questions.

DEFINITIONS
Omniform. The OMNIFORM is a software program installed on Local Area
Network (LAN) workstations designed to permit information from a complaint to
be entered and stored on Department computers. This data is stored centrally in
the Department’s mainframe databases for subsequent crime analysis, mapping
and auditing purposes.

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Complaint. An allegation of an unlawful act OR omission OR improper act OR
other condition that requires an investigation to determine if an unlawful act or
omission has occurred.

COMPLAINT REPORT FORMS AND PROCEDURES
Complaint Report Worksheet - Used by reporting members to record all
complaints.
Complaint Report - A report generated by OMNIFORM and prepared from
information received from complainants at the precinct of record or prepared from
the complaint report worksheet submitted by reporting members.
Omniform Index - A report generated by OMNIFORM used to chronologically
record complaints received and also serves as a catalog of complaints for a
particular precinct.
Complaint Follow-Up - used by reporting/investigating officers to report
additional statistical data after the original complaint report has been forwarded.
The complaint follow-up, often referred to as a DD-5 or a blue, is used to record
information after the complaint report is prepared and signed off. It is normally
completed by Detective Bureau personnel assigned to an investigation, however,
there are occasions where you may be filling out a DD-5. This report will be filled
out for the following:
•
•
•
•
•
•
•

Offense classification changes
Unfounded cases
Voided complaints
Additional stolen property not previously reported
Serial numbers obtained for property previously reported
Recovered lost/stolen property
Initial arrest

Complaint Follow-Up Informational - Used by reporting/investigative officers to
report information of no statistical value. These reports are filled out for the
following:
•
•
•
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Case progress reports
Case closed, no results
Results of interviews
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Investigation and Report Writing
•
•
•

Canvasses
Additional arrests on the same complaint
Address changes, telephone numbers

As is the case with the complaint follow-up, it is rare that a uniformed
member of the service on routine patrol fills out a complaint follow-up
informational; Detective Bureau personnel normally prepare it. Procedures
pertaining to the complaint follow-up and complaint follow-up informational can
be found in Patrol Guide section 207-09.
Where Are Complaints Recorded?
Except in certain situations, complaints are recorded in the precinct of
occurrence. Officers must be aware of those times when complaints are
recorded elsewhere. Complaints occurring in the Transit or Housing Bureaus
have a separate set of guidelines to follow. Complaints are not always recorded
on complaint reports. The officer should be aware of which complaints are
recorded on a complaint report and which are not. Refer to Patrol Guide
procedures 207-01 (Complaint Reporting System), 207-02 (Complaints Not
Recorded On Complaint Report), and 207-04 (Reporting of Complaints Occurring
In Another Command).
Separate Complaint Reports
There are certain times when separate complaint reports need to be
prepared for the same incident. The following is a list of these incidents:
•
•
•
•
•
•

Each homicide victim;
Each victim of a sex offense;
Each person killed or injured and likely to die as a result of a motor vehicle
accident;
Each perpetrator of a crime who is killed;
Each victim of an assault, except if incidental to a sex offense or
robbery;
Each additional person injured in an arson (assault by fire/explosive).

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PROPER PREPARATION OF A COMPLAINT REPORT
The following are the captions that you will find on a complaint report
worksheet. Not all captions are completed for every complaint. While reading
this section have a copy of the complaint report worksheet with you to better
understand the captions and the required information.
Command/Precinct Taking Report
•

This box is used for the precinct/command where the crime is being reported.
For example, if a crime occurred on Union and Court Streets within the 76th
Pct. and it is being reported in Transit District 34, TD 34 will be the command
of report, and the 76th Pct. will be the precinct of occurrence.

Jurisdiction of Complaint
•

This box refers to the jurisdiction in which the incident occurred. Only one box
will be checked. NYPD will be listed as the jurisdiction of the incident unless:
1. Incidents occurring in the NYC Transit Subway System will be recorded
under the NYPD Transit Bureau jurisdiction.
2. Incidents occurring in the NYC Housing Authority property will be recorded
under the NYPD Housing Bureau jurisdiction.
3. Jurisdiction codes are recorded as follows:
a. NYPD – “00”
b. T.B. – “01”
c. H.B. – “02”
4. Incidents occurring in jurisdictions other than NYPD, or NYPD Transit, or
NYPD Housing will be recorded accordingly. For example, incidents
occurring in JFK Airport will be recorded under the “Port Authority Police”
jurisdiction.

Location of Occurrence
•

The cross streets should be included when an address is entered. The cross
streets must be entered if a location with no address number is entered.

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•

The “Intersection of ______ & ______” will be completed if the incident
occurred at an intersection. The person taking the report must indicate the
appropriate corner (n/e, s/e, n/w, or s/w). This is extremely important
because specific corners can determine precinct boundaries and Housing
Authority jurisdictions.

•

The curb lane adjacent to Housing Authority property is considered under the
jurisdiction of Housing.

Report Classification.
•

If multiple offenses are being recorded, list the most serious first.

•

Also indicate if the most serious offense is a felony, misdemeanor, or
violation, and if the most serious offense was attempted or completed.

•

Generally, the “Seven Major Felony Rule” is applied for serious felonies. This
means murder/robbery will be classified as murder.

•

The “Seven Major Felony Rule” order of offenses, starting with the most
serious, is as follows:
1.
2.
3.
4.
5.
6.
7.

Murder and Non-Negligent Manslaughter
Forcible Rape (Rape 1st Degree only)
Robbery
Felonious Assault
Burglary
Grand Larceny
Grand Larceny Motor Vehicle (A grand larceny motor vehicle
coupled with a grand larceny from the vehicle will be classified as a
grand larceny motor vehicle.)

Note: The attempt to commit an offense will be counted as the completed
offense, EXCEPT Attempted Murder, which will be counted as Felonious Assault.
Gang Information
•

Indicate if incident is gang related. If yes, Gang Intelligence log number
and name of gang (if known) must be entered.

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Arson
•

If the crime is arson, indicate if building or motor vehicle was occupied or
unoccupied and damage caused by explosion, fire or unknown.

Domestic Incident
•

Indicate if Domestic Incident Report (DIR) is required. If appropriate,
insure that the Domestic Incident Report is prepared, and appropriate
notifications are made. The DIR number will be entered in the details
section.

Child Abuse
•

Indicate if child abuse is suspected. If yes, include aided number in the
aided number box and insure that appropriate forms are completed and
notifications are made.

Premises Type
•

Only ONE premises type may be checked (residential, house of worship,
public transportation, commercial or other).

•

If the jurisdiction is NYPD Housing Bureau, the premises type must be
Residence - Public Housing.

•

If the jurisdiction is NYPD Transit Bureau, the premises type must be
Public Transportation - Transit NYC Subway.

•

If the jurisdiction is Amtrak, Conrail, Staten Island Rapid Transit, LIRRMTA or Metro North-MTA, the premises type must be Public
Transportation -Transit Facility Other.

•

If a licensed livery car driver is robbed in his car, the premises type must
be Taxi (Livery Licensed), regardless where the incident occurred.

•

If a person is assaulted on a NYC Transit Bus, the premises type must be
Public Transportation - Bus (NYC Transit), regardless where the bus was
located. Incidents on a NYC Transit Bus are NOT recorded under Transit
Bureau jurisdictions.

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Investigation and Report Writing
•

If a student is assaulted in a NYC Department of Education elementary
school, intermediate school, junior high school, high school or special
education school, the premises must be “School - Public NYC Department
of Education.”

•

If a person is robbed while using, attempting to use or immediately after
using an ATM machine, the premises type must be Commercial - ATM,
even if the robbery occurred on the street.

•

“Street” will be used for incidents occurring on the street, unless there is a
more specific premises type.

Exact Location within Premises Type
•

Only one caption may be checked off. This section can be completed for
any incident, but must be completed for each incident in a NYC Housing
Development. Indicate the location within the premises type. If a person
was sexually assaulted in a car, the location will be Motor Vehicle - Car. If
a person was assaulted in the elevator of an office building, the location
will be Elevator.

Burglary Section
•

Describe the type of premises (vehicle-truck, building-commercial,
building- residential, watercraft, garage, or building other.

•

Location of entry will be entered.

•

The point of entry will be entered.

•

Indicate if alarm was bypassed.

•

Indicate if the alarm company responded and the alarm company name,
address, and telephone number.

•

Crime prevention survey requested (conducted by the Crime Prevention
Officer).

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Supervisor, Canvass, Interpreter
•

Indicate if a supervisor was on the scene. If yes, indicate rank, name and
command.

•

Indicate if a canvass was conducted. If yes, indicate interviews and results
in “Details.”

•

If an interpreter was used to assist in the interview of the
complainant/witness during the preliminary investigation, indicate name,
address, and telephone number (if available).

•

If a member of the service was the interpreter, indicate rank, name, &
command.

Details Section
•

Include reconstruction of the incident and results of preliminary
investigation.

NYC Board of Education Schools
•

This section has been designed to record incidents related to New York
City Department of Education elementary schools, junior high schools,
intermediate schools, high schools, and special education schools.

•

Do not include incidents occurring in private/parochial schools or public
colleges in this section.

•

A Department of Education school incident includes incidents occurring on
school grounds, while traveling to and from school or at school-sponsored
events.

•

Complete all required information, including notification to the School
Safety Division Operations Center to obtain a control number.

NYC Transit Subway System
•

This section has been designed to record incidents related to New York
City Transit subways, elevated lines, or on trains.

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Investigation and Report Writing
•

The jurisdiction NYPD Transit Bureau must be checked off.

•

Indicate if a NYC transit incident.

•

Train routes within the NYC Transit System are designed north or south,
even if the line actually runs east/west.

•

If the incident occurred on the train, indicate n/b (northbound) or s/b
(southbound) and if it occurred in the front, middle, or rear car. Indicate
the car number, if available.

•

Incidents occurring on a moving train will be recorded as occurring at the
next station where the train stops, regardless of precinct or borough
boundaries.

•

The station of occurrence must match the location of occurrence on page
one.

New York City Housing Authority
•

This section has been designed to record incidents occurring on NYC
Housing Authority property. This section must be completed if the
jurisdiction NYPDHB was checked off.

•

Indicate if a NYC Housing Authority incident and include name of Housing
Development and PSA number, if known.

•

The Housing Bureau PSA incident number will be entered in the
appropriate caption.

Victim
•

Only one victim will be recorded in this section.

•

Additional victims will be recorded on the Victim/Witness Supplement.

•

Indicate if the victim is disabled. If so, specify whether the disability is
physical or mental.

•

If the victim is a business, use the business information in the appropriate
boxes.

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Investigation and Report Writing
•

The employee reporting the incident will be listed as the reporter.

•

Indicate if victim is a NYC Housing Authority resident.

•

Specify if an interpreter is needed for further investigation and language
used.

•

Include the victim’s permanent address. Indicate if the victim resides in
NYC, outside NYC but within New York State (NYS), outside NYS (other),
or if the victim is homeless.

•

The Temporary Residence section will include, but is not limited to,
tourists temporarily residing in hotels/other residences or a homeless
person residing at a homeless shelter.

•

Additional means of communicating with the victim should be included
(business telephone number, beeper number, cell phone number, and/or
e-mail address).

•

Gang affiliation, gang name and gang identifiers have been added.

•

There are check-off boxes “shot” and/or “cut/slashed/stabbed,” which will
be completed as appropriate.

•

If the person/business was a victim of a similar incident (EXCEPT SEX
OFFENSES), so state and indicate where and when.

Reporter/Witness
•

Only one reporter/witness will be recorded in this section.

•

Additional reporters/witnesses will be recorded on the Victim/Witness
Supplement.

•

The same guidelines as above will apply to this section.

•

The reporter/witness and position/relationship to the victim must be
included.

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Wanted Suspect and Crime Incident Data Sections
•

The total number of perpetrators/suspects, the number of wanted, and the
number of arrested will be listed on the top of the form.

•

Only information of the wanted suspect will be indicated in this section.
Arrests will be entered on the On-Line Booking Arrest Worksheet.

•

The Suspect Supplement will be used to record information about
additional wanted suspects.

•

The remainder of the Suspect section will be used to record any
information available about the suspect.

•

There may be times when there is little or no information available to
identify a suspect.

•

However, any information available will be recorded. Indicate “unknown”
in those boxes for which no information is available.

•

If an arrest is being effected at the same time as the complaint is being
reported (example: officers respond to a robbery in progress and the
perpetrator is arrested), the section titled “Suspect” will NOT be completed
for the arrested person.

•

The arrest will be recorded on the arrest report, which will include detailed
pedigree information.

•

Always include the Wanted Suspect #_______ of _______.

•

If an Order of Protection is in effect, so state, and complete the additional
information re: issuing court, docket #, and expiration date.

•

The caption re: Order of Protection will be completed only for the suspect
against whom the Order of Protection has been issued.

•

Guidelines regarding completion of the address captions, telephone
numbers and interpreter correspond to the instructions in the Victim
Section.

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Investigation and Report Writing
•

In all cases, indicate if the victim and the suspect are living together, if the
victim can identify the suspect, and the victim/perpetrator relationship.

•

Information regarding suspect status as NYCHA resident, NYCHA
employee, and NYC Transit employees has been added.

•

Additional captions regarding weapons have been added to record gun
discharge. The captions for Physical Force, Weapon, Gun and other
weapons must be completed for crimes against a person.
Include any gang information available.

•
•

If the suspect used the NYC Transit System, so state, and include the
station entered and time, if known.

•

If the suspect used or possessed only a metro card(s), state and indicate
the serial number(s), and type if available.

•

Include statements made by the suspect during the commission of the
offense and his/her method of flight.

•

The Crime Incident Data Section will be completed for all crimes.

•

Items not listed in the check-off boxes will be included in the other
captions and/or Details section, as appropriate.

•

In the section regarding Tattoo has been modified to include description of
words and pictures.

Vehicle Section
•

Indicate if the vehicle was stolen, attempted stolen, used without
authorization (“unauthorized use”), used in a crime or other (example: theft
from a vehicle or leaving scene of an accident).

•

If the vehicle was recovered prior to an alarm being transmitted, so state
(example: arrest of person driving vehicle at 0300 hrs. and owner was
unaware that his or her vehicle was stolen).

•

Include type of location where the vehicle was stolen or attempted stolen.

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Investigation and Report Writing
•

Indicate if vehicle was damaged due to a non-motor vehicle accident
(criminal mischief only), damaged in a vehicle accident, vehicle
parts/accessories removed (air bag), or property removed from vehicle
(handbag).

•

If the vehicle was held for forfeiture, so state. Invoice number will be
entered in the appropriate caption.

•

Value of stolen vehicle or property stolen from the vehicle must be entered
in the Property Section.

Property Section
•

If a complaint report is being prepared for investigating found property
(found narcotics/found firearm), indicate “Found.”

•

Lost/stolen property will be indicated as lost or stolen.

•

List property beginning with item #1 and provide a complete description.

•

Indicate appropriate value. If property was lost there will be no entry in the
value stolen/recovered columns. A value must be indicated in the valuestolen column for any property stolen during the commission of a crime.
The value recovered only applies to recovered stolen property and must
be completed as appropriate.

•

The value stolen must correspond to the appropriate classification of crime
(grand larceny value must be in excess of $1000, unless property is a
motor vehicle, credit card, etc).

Evidence
•

Indicate if evidence was collected and indicate corresponding invoice
numbers.

•

Indicate if the Evidence Collection Team/Crime Scene Unit was
requested.

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Notifications & Additional Copies
•

If notifications are required, make entries and include log number, if
appropriate.

•

Indicate for whom additional copies of the Complaint Report are required.

•

Copies will be made and forwarded by the command in which the
complaint report is signed off.

Reporting/Investigating, Approving, Complaint Entered By
•

Appropriate captions must be completed and signatures must be entered.

•

After the reporting/investigating officer completes the Complaint Report
Worksheet, a supervisor must check for completeness and accuracy
before the information is entered into the Complaint System.

•

Supervisory electronic sign off will be required to officially enter the
complaint into the Complaint System.

•

One problem encountered by investigators regarding complaint reports, is
that the officers taking the report are not specific when interviewing
complainant/witness. Some questions to consider when interviewing are
as follows:
a. Type of store (grocery, florist, card store, knitting store, etc.).
b. Eyeglasses worn by perpetrator - or sunglasses?
c. Did perpetrator wear gloves, ski mask, scarf, hood?
d. Were victims made to lie down on floor?
e. How many guns were used?
f. Was a car used?
g. How many perpetrators present?
h. What was taken?

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i. What did the perpetrator say?
j. Did the perpetrator have an accent?
k. Were any shots fired?
•

The officer on the scene will determine whether a complaint is left open or
closed. The main criterion for referring a complaint is the need for further
investigation that cannot be conducted by the field investigator, or the
need of a specialist. If doubt exists as to whether a complaint should be
closed or not, or whether the service of a specialist may be required,
consult with the patrol supervisor or desk officer.

COMPLAINTS WHICH MUST BE REFERRED
TO PDS OR OTHER SPECIALTY UNITS
Precinct Detective Squad (PDS)
•

Any offense where a victim suffers a serious physical injury
including assault.

•

Robbery and a firearm or dangerous instrument was used or senior
citizen (60 or older) is victim. If RAM (Robbery Apprehension
Module) exists, notify them in lieu of PDS.

•

Burglary and the complainant is present or property valued over
$5,000 ($10,000 in Manhattan) was taken or firearm or safe
involved.

•

Crime was committed with a unique/unusual M.O.

•

Complainant was victim of the same or similar crime within the last
6 months.

•

Perpetrator may be identified or is known.

•

Similar crimes have been committed in the vicinity (pattern).

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•

Complainant, or offense committed, may create unusual community
or police interest.

•

Impersonation of a police officer or other law enforcement officer.

Note: An impersonation of a law enforcement officer coupled with a
robbery will be referred to the Internal Affairs Bureau – Police
Impersonation Investigation Unit (PIIU), not the detective squad. Also, a
notification to Internal Affairs must be made for any police impersonation.
•

The Special Victims Squad concerned will investigate robberies
committed by police impersonators, which include sexual assault,
and the Police Impersonation Investigation Unit will assist in the
investigation.

•

Other complaints as deemed necessary by competent authority.

Special Victims Squad
•

Rape or attempted rape, all degrees

•

Criminal Sexual Act or attempt, all degrees

•
•

Sexual abuse (1° ONLY)
Aggravated sexual abuse, all degrees

•

Child abuse - any allegation that a child less than 11 years of age is
the victim of abuse inflicted by a parent or person legally
responsible for the child’s care; any allegation that a child less than
13 years of age is the victim of any sex crime or attempted sex
crime committed by any person

Major Case Squad
•

Burglary or attempt of a bank or bank safe

•

Larceny by extortion or attempt, from a bank

•

Robbery or attempt of a bank and perpetrator not armed

•

Larceny of a truck's contents over $100,000

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•

Robbery of truck and contents by hijacking

•

Burglary of a truck’s contents over $100,000

•

All robberies in warehouse depots or similar locations where the
object of the crime is a truck or its contents

•

All commercial burglaries in which value of stolen property exceeds
$100,000

•

Art theft

NYC Joint Robbery Task Force (NYPD & FBI)
•

All armed bank robberies (any weapon)

Highway District
•

All vehicle/bicycle accidents in which any person involved has a
serious injury and is likely to die or has died

Note: If multiple offenses have occurred refer to the unit investigating the
most serious offense.
INVESTIGATION OF BIAS INCIDENTS
In 1980, the NYPD formed the Bias Incident Investigation Unit to monitor
and investigate unlawful acts committed against a person, group or place,
motivated in whole or in part, because of age, race, gender, religion or ethnicity.
In 1985, their jurisdiction was expanded to include incidents based on sexual
orientation, i.e., gays/lesbians; and in 1993, the Police Commissioner expanded
the definition even further to include those incidents motivated by a person
disability. (See Interim Order #34 dated 09-06-01.)
In 2000, the Bias Incident Investigation Unit changed its name to the Hate
Crime Task Force. The Hate Crime Task Force is responsible for the
investigation of all incidents deemed as possibly bias motivated by the Precinct
Commanding Officer or Patrol Borough Duty Captain. The Hate Crime Task
Force assumes full responsibility for the investigation. Upon learning of a
possible bias incident, the Precinct Detective Squad will immediately notify the
Hate Crime Task Force.

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Criteria for Identifying Bias Incidents
•

The motivation of the perpetrator(s).

•

The absence of any motive.

•

The perception of the victim(s).

•

The display of offensive symbols, words or acts.

•

The date and time of occurrence (corresponding to a holiday of significance,
i.e., Hanukkah, Martin Luther King Day, Chinese New Year, etc.).

•

A common sense review of the circumstances surrounding the incident
(consider the totality of the circumstances). Consider the groups involved in
the attack. Also consider any similar incidents in the same area or against
the same victim.

•

Is the victim the only member or one of a few members of the targeted
group in the neighborhood?

•

Are the victim and the perpetrator from different racial, religious, ethnic or
sexual orientation groups?
Has the victim recently moved to the area?

•
•

If multiple incidents have occurred in a short time period, are all the victims of
the same group?

•

Has the victim been involved in a recent public activity that would make him
or her a target?

•

What was the Modus Operandi? Is it similar to the documented incidents?

•

Has the victim been the subject of past incidents of a similar nature?

•

Has there been recent news coverage of events of a similar nature?

•

Is there an ongoing neighborhood problem that may have spurred the event?

•

Could the act be related to some neighborhood conflict involving area
juveniles?

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•

Was any literature distributed by or found in the possession of the
perpetrator?

•

Did the incident occur in whole or in part, because of a racial, religious,
ethnic, sexual orientation or disability difference between the victim and the
perpetrator or did it occur for other reasons?

•

Are the perpetrators juveniles or adults, and if juveniles, do they understand
the meaning (to the community at large and to the victim) of the symbols
used?

•

Were the real intentions of the responsible person motivated in whole or in
part by bias against the victim’s race, religion, ethnicity, sexual orientation, or
disability, or was the motivation based on other than bias, i.e., a childish
prank, unrelated vandalism, etc.?

The above incidents should be classified as hate crimes for investigative
and statistical purposes. Refer to Patrol Guide procedure 207-10.

VICTIM/WITNESS ASSISTANCE PROGRAMS
The Fair Treatment Standards for Crime Victims Act requires police
departments to advise innocent victims of a crime that they may be entitled to
compensation from the New York State Crime Victims Board.
Crime victim - is defined as a person against whom any crime has been
committed or attempted. A crime victim will include the immediate family or
guardian of a minor who is a crime victim, or a surviving spouse, parent or child
of a person who has died as a direct result of a crime.
Witness - is defined as a person determined to have information or
evidence relevant to the investigation of a crime. When the witness is a minor,
the term “witness” includes a relative or guardian of that minor.
The requirements regarding notification of the Crime Victims
Compensation law are as follows:
•

Ensure that crime victims immediately receive emergency medical care.

•

Provide social services information to the victim as soon as possible.

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•

Notify the victim, relative, next of kin or other appropriate person, that they
may be entitled to compensation under the provisions of the Fair
Treatment Standards for Crime Victims Act and provide a Crime Victims
Board brochure or application.

•

Advise and refer the victim to the most appropriate Victim Service Agency
or program.

•

Supply the victim with a Crime Victim Board information card, a brochure,
application and also a Victim Services Agency referral card.

Lost Property
When investigating reports of lost property, officers should do a complete
and thorough interview of the complainant. This should be conducted prior to
classifying the complaint as “Lost Property.” Ask the complainant if he or she
believes that the property was either lost or stolen. An explanation substantiating
this classification, including statements of the complainant, must be entered in
the “Details” section of the complaint report. When a complainant reports a
lost/stolen passport, alien registration card, or naturalization papers, there are
specific required procedures to follow. Refer to Patrol Guide procedure 207-12
as well as Interim Order #41 of 2002 for these and all procedures concerning lost
or stolen property.

PROCEDURE AFTER ARREST WITHOUT A WARRANT
BY A POLICE OFFICER
Warrant Checks – In order for our fugitive apprehension efforts to
succeed, the resources of the entire Department have to be utilized. While the
work of the Fugitive Division will provide a focused effort to apprehend fugitives,
a wider net must be cast, using the routine patrol activities of thousands of
officers throughout the city. In the course of their duties, police officers have
millions of routine encounters ranging from arrests and investigations to making
car and bicycle stops, and issuing summonses. All of these are opportunities to
apprehend fugitives.
In order to ensure that every patrol officer dedicates his or her efforts
toward warrant enforcement, officers assigned to precincts and all other patrol
duties will be directed to:
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•

Conduct name checks as a routine part of patrol duties when they
encounter criminal suspects, or individuals who will be issued
summonses. By conducting name checks, police officers in the field can
apprehend fugitives in the course of daily activities. These checks can be
used as a part of quality of life operations (car and bicycle stops, fare
evasion operations, etc.).

•

Conduct name checks of respondents prior to service of Orders of
Protection for domestic violence cases. While serving these orders,
officers can apprehend those respondents who are wanted.

•

Conduct name checks prior to testifying in Traffic Court to determine if the
person whom they are testifying against is wanted on a criminal charge.

Through this strategy, the Police Department, working with the different
components of the criminal justice system and with the people of New York City,
will achieve its goal of bringing fugitives to justice.
Debriefing a Prisoner – Ask a question, solve a crime. Oftentimes, the
debriefing of a prisoner will occur after the initial arrest process and will usually
be conducted by an experienced investigator at the command. Here are some
basic questions you may want to ask if you have a prisoner in custody, after you
have read him/her the Miranda Warnings:
•

Do you know anyone who has hurt a Police Officer?

•

Do you know where to get a gun?

•

Do you know anyone wanted for murder, robbery, rape or other violent
crime?

•

Do you know anyone who buys stolen property (fences)?

•

Do you know anyone stealing automobiles or “chopping up” cars?

•

Do you know anyone selling or storing marijuana or narcotics?

If the arrestee responds that he or she has knowledge of any past crimes,
the Precinct Detective Squad concerned will immediately debrief him or her.

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Additionally, every precinct employs a field intelligence officer (FIO) who will
conduct secondary debriefings, and assist in registering confidential informants,
and obtaining search warrants (ref. Interim Order 44, 12/03/01).

CONCLUSION
If a report is filled out improperly, a complaint may not be investigated.
Acquiring and/or enhancing the skills to conduct a good investigation will help the
patrol officer to fill out a report properly. This in turn will help investigating units
understand what specifically took place (as well as who did it). A good report
should be concise, legible, complete and correct. A good investigation will
include proper interviewing techniques as well as the knowledge of how and
when to conduct warrant checks on potential suspects.

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HOMEWORK
1. Outline Patrol Guide procedure 207-02 (Complaints not recorded on
complaint reports)
2. Outline the role of the special units.

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WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW THE MATERIAL IN THIS CHAPTER?
You are about to become an agent of the government. In this position,
you will have enormous responsibility to enforce the law, to give people orders
and instructions that help to maintain order, to serve the community, and to
protect the constitutional rights of citizens. Interactions with citizens can range
from a friendly salutation to a life and death struggle with an armed perpetrator.
Other encounters may escalate from simple calls for service to forcible detention
and a search for weapons as a result of your observations. Your ability and
authority to interact and, at times, intrude on an individual’s liberty will depend
largely upon your knowledge of the law and department regulations as well as an
understanding of your environment and members of the community.
Later in this chapter, and throughout the course of your training, you will
learn about proper police conduct during investigations, including the most
serious police intrusions involving the use of force and your authority to deprive
people of their freedom. This section will illustrate how you can conduct effective
field investigations by interacting with citizens. You must remember that the goal
is to strike a balance between crime prevention and detection, your safety, and a
citizen’s right to be free from unnecessary government intrusion.

LEVELS OF SUSPICION
As you have already learned, the manner in which we interact with citizens
is greatly influenced by our perception of people, places, and events. In addition,
you have also learned that perception itself is a product of our attitudes, our
physical and psychological states, the environment, and our expectations. As
police officers, you must keep in mind that the perception of the police by the
public, and thus their behavior, is swayed by the same factors.
Therefore, the manner in which we police – and interact – is a direct
product of our training, rules, regulations, and perception. No interaction is more
significant legally, administratively, and morally than those encounters initiated
for purposes of investigation. This section focuses on such interactions and on
the limits of your authority given various levels of suspicion.
What are Levels of Suspicion?
Case law has carved out various standards and criteria by which police
conduct is measured. Because any police interaction with a citizen is largely
viewed as a governmental intrusion into the person’s liberty, courts have created

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guidelines that dictate the extent to which a police officer can impose on a
citizen’s freedom. Simply put, levels of suspicion are the amounts of information
that the courts have held will justify certain police conduct. The more information
or suspicion a police officer has, the greater the level of intrusion the courts
allow.
Intrusion Comparison to Legal Standards of Proof
The legal standards required by courts as a justification for various police
actions are as follows:
Probable Cause. This is also referred to as reasonable cause to believe
or reasonable grounds to believe and is the standard that must exist
before law enforcement officials can lawfully deprive a person of freedom
by arresting him or her in order to bring the person before the appropriate
court to answer criminal charges. (This area will be discussed in greater
detail in the chapter on “Authority to Arrest”).
Preponderance of the Evidence. This level of proof is attained when the
evidence presented is more convincing than the evidence offered against
it. Essentially, it is where the scales tip, however slight, in favor of one
party. This standard is used in two separate settings. It is the level of
proof that a defendant must meet in a criminal trial when raising an
affirmative defense, such as entrapment or mental disease or defect (see
the chapter on “Introduction to the Penal Law”). It is also the level of proof
required to prevail in a civil matter.
Clear and Convincing Evidence. This level is attained when there is a
reasonable certainty of the truth of the ultimate fact in controversy; where
the truth of the facts asserted is highly probable. It requires more than a
preponderance of the evidence, but less than proof beyond a reasonable
doubt. This is the standard used in administrative trials and hearings that
rule on matters such as traffic violations and parking regulations.
Beyond A Reasonable Doubt. In criminal cases, the prosecution must
prove every element of a crime beyond a reasonable doubt. This
standard is the highest known in law and constitutionally required
because, as one court concluded, “a society that values the…freedom of
every individual should not condemn a man for commission of a crime
when there is reasonable doubt about his guilt.” Reasonable doubt exists
when a jury lacks an unwavering belief, to a moral certainty, to the truth of
the charge.

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The chart on page 20 demonstrates how the level of permissible police
intrusion rises commensurately with the amount of police knowledge. As a point
of reference, it also indicates how different legal standards of proof result in
judicial determinations. Simply put, the more evidence you have, the higher and
further into the criminal justice system you can go.
CONSTITUTIONAL CONSIDERATIONS
As you will learn, arrest and full search situations are the result of your
knowledge of past criminal activity based on a standard of proof, or level of
information, known as probable cause. Suppose, however, you are merely
performing routine patrol and a brief encounter or interaction with a citizen makes
you somewhat suspicious. Although unsure that a crime was committed, what, if
anything, may you do? May you question the person? Detain the person? Use
force? Search the person or their belongings? If so, to what extent may you
interfere with their right to be free from governmental intrusion? Before any of
these questions can be answered, you must have an understanding of a citizen’s
constitutional protections, the effects of improper police action, and how the law
has evolved to grant officers greater latitude to conduct investigations while
continuing to protect the rights of citizens.
The Fourth Amendment to the Constitution
The Fourth Amendment to the U.S. Constitution provides, "The right of the
people to be secure in their persons, houses, papers, and effects, against
unreasonable searches and seizures, shall not be violated and no warrants shall
issue, but upon probable cause, supported by oath or affirmation and particularly
describing the place to be searched and the persons or things to be seized."
Thus, the Fourth Amendment applies to searches and seizures of property and
arrests of persons. Its purpose is not to provide protection against all searches
and seizures, rather it guarantees against unreasonable governmental intrusions.
The large majority of Fourth Amendment issues that arise are based on the
reasonableness of searches.
The Exclusionary Rule
In an effort to deter unlawful or improper police conduct, the U.S. Supreme
Court created the exclusionary rule (Weeks v. U.S. [1914]). Basically the rule
provides that evidence obtained by violating the defendant’s constitutional rights
may not be introduced by the prosecution for the purpose of providing proof of
the defendant’s guilt. The “suppressed,” or inadmissible, evidence limits the
prosecution’s ability to obtain a conviction. Additionally, improper police activity
can result in disciplinary action, or civil and or criminal liability upon the officer.

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U.S. SUPREME COURT DECISION IN TERRY v. OHIO (1968)
Despite the Fourth Amendment and the exclusionary rule, there are
situations where officers, in the interest of investigating or preventing crime, must
act on less than probable cause. In the landmark case of Terry v. Ohio, the U.S.
Supreme Court, for the first time, addressed the issue of a seizure and a search
of a suspect on less than probable cause.
Facts: McFadden, an experienced plainclothes officer on a foot patrol in
a commercial area observed two men in the process of “casing” a store.
He watched both men walk, sometimes alone other times together, to the
front of the store. On each trip, they looked inside and around, and then
left the area. He then saw the men confer with a third man who joined the
first two as they walked toward the store. The men repeated the routine
several times. McFadden then approached them, identified himself and
requested an explanation. When they responded incoherently, McFadden
spun one man around and patted down his overcoat, felt a pistol and
removed it. The defendant, Terry, was later convicted of carrying a
concealed weapon.
Question for the Court: Is it always unreasonable for a police officer to
forcibly stop a person and conduct a frisk without probable cause?
Court’s answer: No. The Court held that the stop of Terry amounted to a
seizure – though only a brief one - and that the frisk was, in fact, a search
- though not a full search - within the meaning of the 4th Amendment. The
Court, however, rejected the notion that probable cause was required for
McFadden’s actions and held the gun to be admissible evidence against
Terry.
Analysis. In its decision, the Court reasoned that McFadden’s stop was
proper under the circumstances because they believed it would have been
“poor police work” for an officer of McFadden’s experience to witness the
particular behavior and not attempt to investigate further. Therefore, the
test was not whether McFadden had probable cause, but whether his
conduct was reasonable. Additionally, the court held that the frisk was
also reasonable since it was based on two important factors: (1)
McFadden justifiably feared that the men were armed and his safety was
in jeopardy; and (2) it was limited to an exterior “pat down“ for a hard
object.

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Stop and Frisk Law
American police had been stopping and frisking suspicious people long
before the Supreme Court decided Terry. Indeed, in 1966, the New York State
legislature even passed a “stop and frisk” law. Still, Terry is a significant case
because it marked the Supreme Court’s approval of stop and frisk, which
previously had occurred without a clear basis. In its conclusion, the Court noted
that where an officer, in light of his experience, reasonably suspects that criminal
activity is taking place and that the persons he confronts may be armed or
dangerous, he may investigate and make reasonable inquiries. The Court further
stated that “…where nothing in the initial stages of the encounter serves to dispel
his reasonable fear for his own or others’ safety, he is entitled…to conduct a
carefully limited search of the outer clothing…in an attempt to discover weapons
which might be used to assault him.
As many other stop and frisk cases were brought before the courts
challenging officer’s conduct, the New York courts adopted their own standard, or
guidelines, for permissible police activity during investigative encounters with
citizens. The New York State Court of Appeals’ decision in People v. DeBour
created the standard by which all investigative encounters are assessed.
THE NEW YORK STANDARD: PEOPLE V. DeBOUR (1976)
People v. DeBour is an important case for many reasons. Specifically, the
case outlined four levels of police encounters and defined the amount of
information required for each level. In creating the four-tiered analysis, the Court
expanded on Terry, which dealt with the narrow issue of a possible crime in
progress, as compared to DeBour, which as you will see, began as a simple
request for information. Just as importantly however, the Court deviated from the
Supreme Court’s position that only encounters that result in actual seizures are
entitled to 4th Amendment protection. This created a more restrictive
interpretation of a police officer’s authority to confront and question citizens.
Facts. At 0015 hours, two police officers assigned to a foot-post were
patrolling a deserted residential street in Brooklyn when they noticed
someone walking in their direction. The area was experiencing a high
incidence of narcotic related activity. As the solitary figure came within 40
feet of the officers, he crossed the street. The officers followed and waited
for the man to reach them. When he did, one of the officers asked him
what he was doing in the neighborhood. The man, later identified as
DeBour, nervously replied that he had just parked his car and was walking
home. The officer then asked DeBour for identification. As Debour
answered that he had none, the officer noticed a waist-high bulge in

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DeBour’s jacket. The officer asked DeBour to unzip his jacket and when
he complied, the officer noticed a revolver in his waistband. DeBour was
arrested and charged with possession of the firearm.
Question for the Court: May a police officer approach a private citizen to
request information without having any indication of criminal involvement?
Court’s answer: Yes. The Court held that although the officers did not
have any indication of criminal activity, the initial approach and
subsequent questions were only intended to elicit information as a result
of the defendant’s evasive actions and the subsequent observation of the
bulge in the waistband. Thus, the intrusion was minimal and
“…reasonably limited in scope and intensity…” and thereby
constitutionally valid.
Analysis: The Court noted that the Fourth Amendment protects against
unreasonable searches and seizures by the government. Further, the
Court confirmed that any approach by police, whether it amounts to a
seizure or not, is a violation of the constitution if it is based on whim,
caprice, arbitrariness, or a desire to harass. In this case, however, the
Court reasoned that DeBour was not seized within the meaning of the
Fourth Amendment, but merely approached and questioned in a nonthreatening manner. DeBour’s attempt to avoid the officers in a high crime
area late in the evening justified the approach. Moreover, his failure to
produce identification coupled with the suspicious bulge necessitated
further inquiry. Thus, the police officer’s actions were reasonable based
on the amount of information known to them.
The Effect of People v. DeBour
The Court in DeBour went on to establish the four-tiered analysis that
dictates the permissible level of police intrusion. Although the State Court
agreed with the U.S Supreme Court in Terry that, “…there is nothing in the
Constitution which prevents a police officer from addressing questions to anyone
in the streets,” the State Court cautioned that an officer must have a justifiably
legitimate reason for intrusions that affect a person’s liberty.

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Therefore, as a police officer, your ability to confront or seize or to request
information or search will be based on your ability to articulate a legally
recognized level of permissible intrusion. They are as follows:
Level 1: Request for Information
Level 2: Common Law Right of Inquiry
Level 3: Reasonable Suspicion (Stop, Question, and Possibly Frisk)
Level 4: Probable Cause (Arrest)
LEVEL 1: REQUEST FOR INFORMATION
The request for information is the most insignificant and minimal
encounter or interaction an officer can have with a citizen. Under this level, an
officer can approach to request information when there is “some objective
credible reason for that interference which is not necessarily indicative of
criminality.” The intrusion cannot be based on whim, caprice, curiosity, bias, or a
desire to harass. The Court made distinctions between two types of requests for
information: public service and law enforcement.
Public Service. In this function officers are given more latitude to ask
questions. This includes situations where an officer may be looking for the
parents of a lost child, investigating an accident, or helping someone in
distress.
Law Enforcement Function. This is a more restrictive standard which
will “hinge on the manner and intensity of the interference, the seriousness
of the crime, and the circumstances” surrounding the interaction. The
questions must not be threatening or accusatory.
Types of Questions
The Court emphasized that under either approach, the objective is to
gather information and not to “focus on the citizen as a potential suspect in a
criminal investigation.” Officers may, therefore, ask a person questions regarding
his or her identity, destination, and reason for being in the area
Example: A detective observed the defendant purchase a holster for a
firearm. While such a purchase is not criminal, it did furnish a sufficient
basis for inquiry by the detective. People v. Samuels (1980)

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Example: Defendant was observed at 0445 hours carrying two large
garbage bags filled with bulky items in a burglary prone area. These
circumstances justified the officer’s initial approach for inquiry. People v.
Williamson (1985)
Example: The officer had an articulable reason for speaking to the
defendant, a possible witness to a kidnapping who was observed walking
away from the scene. People v. Hopkins (1980)
Example: A crowd of people stood around defendant’s open trunk
examining clothing and shoes that still had the original store tags. As the
officer approached, the defendant slammed the trunk closed and the
crowd began to disperse. This was an objectively credible reason for a
level one inquiry. People v. Wallace (1986)
Verbal Commands
The Court of Appeals ruled that an officer’s request to stop (“Excuse me,
may I speak with you?”) so that the officer may approach is permissible as long
as it is done in order to get the attention of someone who is unaware that the
officer wishes to speak to him or her and the command is general and nonthreatening.
Permission to Search
Because a level 2 inquiry is based on an “objective credible reason” and is
not necessarily indicative of criminality, the police may not ask for permission to
search at this level.
Right to Walk or Run Away
Although the police have the right to request information, a citizen has the
right not to answer the police, and that refusal, in itself, does not permit further
action by police. In fact, a citizen can even run away, and, without indication
of criminal activity, an officer may not pursue. However, false, inconsistent
or evasive answers may raise the officer’s suspicion to a founded suspicion of
criminality.
LEVEL 2: COMMON LAW RIGHT OF INQUIRY
A level 2 inquiry is based on an officer’s suspicion that some indication of
criminality exists. Courts refer to this as a “founded suspicion that criminal
activity is afoot.” The officer must be able to articulate that suspicious or

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unusual activity was taking place. The Court stated that under this level, an
officer may interfere with a citizen “to the extent necessary to gain explanatory
information, but short of actual seizure.” One court referred to this level as
“closing in on a defendant as a suspected law-breaker.”
Criminal Activity Afoot
Courts have defined this term to mean that there is a “present indication of
criminality based on observable conduct or reliable hearsay information.” It
cannot be based on a hunch, or “gut feeling.”
Types of Questions
This level results in a wider scope and more intense level of questioning
because the encounter focuses on the citizen as a possible suspect. The
officer’s questions can be pointed, invasive, and accusatory in nature and are
intended to elicit an incriminating response. The officer, however, may not touch
the person, display a weapon, or act in a threatening manner.
Permission to Search
An officer may ask for permission to search at this level, but may not
compel a person to submit to a search of their person or belongings. The
consent, if given, must be provided knowingly, intelligently and voluntarily.
Difference Between the First Two Levels
Even courts agree that the difference between the first two levels is subtle.
In the first level, the officer must have an objective credible reason to ask for
information. In the second level, the officer must have information that indicates
criminal activity and his or her questions are related to the possible criminal
activity. Therefore, innocuous (i.e. harmless, innocent) behavior may justify a
level 1 approach, but not a level 2 encounter.
Refusal to Answer or Flight of Suspect
While police can ask for explanations and answers, a citizen has no
obligation to cooperate. His or her silence cannot be used as a reason to
escalate the encounter into a more intrusive one. Innocuous answers to
questions, without further indication of criminal involvement, will not justify
additional questioning.

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If a confronted citizen walks away without answering, the officer may
follow to continue questioning, but may not forcibly detain. In instances where an
officer approaches to make a common-law inquiry and the person flees, the
officer is justified in pursuing because the person’s flight will elevate the officer’s
reason for the approach in the first place. In other words, if the officer already
suspects criminality (“founded suspicion”), the flight of the person is an additional
factor that raises the officer’s suspicion to that of reasonable suspicion.
Example: A radio run from an anonymous source furnishing a general
description of a man selling drugs gives officers the right to conduct a
common-law inquiry when the person fits the description. People v. Erazo
(1994).
Example: Police had a founded suspicion when they heard a gunshot and
noticed a group of people looking in the direction of defendant who was
the only person walking away from the area. People v. Salva (1996).
LEVEL 3: STOP, QUESTION, AND POSSIBLY FRISK
(“Reasonable Suspicion”)
The third level of permissible police intrusion is the right to forcibly stop a
citizen. Under this level, an officer may forcibly stop and detain a person when
he or she has a reasonable suspicion that the person has committed, is
committing, or is about to commit any felony or a penal law misdemeanor. The
officer may detain the person for a reasonable amount of time in order to
confirm or dispel his or her suspicion, and may conduct a limited search, or
frisk, of the individual under certain circumstances. As noted above, the U.S.
Supreme Court first addressed this type of forcible stop in Terry v. Ohio. The
specific elements of a stop, question, and possible frisk will be discussed in
greater detail later in this section.
LEVEL 4: PROBABLE CAUSE - ARREST
The fourth and final level of police intrusion is the arrest stage. An arrest
involves the seizure of a suspected criminal offender. The purpose for the arrest
is to bring the offender before the appropriate court to answer charges against
him or her.
The police officer must be able to articulate facts that support a finding of
probable cause. Probable cause is a legally recognized standard of proof
because it results in a significant interference of the person’s liberty and is the
initial stage of a criminal prosecution that may result in incarceration.

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Probable Cause
Probable cause consists of facts and circumstances within the arresting
officer’s knowledge, and of which he or she has reasonably trustworthy
information, that would warrant a person of reasonable caution to believe that an
offense is or has been committed and that the person to be arrested had
committed it. This area will be discussed in greater detail in the chapter on
“Authority to Arrest.”

ELEMENTS OF A STOP, QUESTION,
AND POSSIBLE FRISK
As previously discussed, the third level of permissible police intrusion is
the right to forcibly stop and investigate a person suspected of criminal activity.
Thus, a constitutionally valid stop, question, and possible frisk consists of the
following elements.
1.
2.
3.
4.
5.
6.
7.

Knowledge that amounts to reasonable suspicion;
A stop and detention of a person in a public place;
Reasonable force may be used;
Takes place within the officer’s geographical area of employment
(“GAOE”);
The officer may frisk under certain circumstances.
The officer conducts questioning regarding the crime;
Investigation lasts a reasonable amount of time.

REASONABLE SUSPICION DEFINED
The Court of Appeals has defined reasonable suspicion as that “quantum
of knowledge sufficient to induce an ordinarily prudent and cautious man under
the circumstances to believe criminal activity is at hand.” Additionally, the U.S.
Supreme Court requires that an officer have a “particularized and objective basis
for suspecting” the person of criminal conduct. The officer must supply specific
and articulable facts; hunches or gut feelings are not sufficient.
In New York, reasonable suspicion has since been codified under the
criminal procedure law. It requires that the officer have sufficient information
regarding a felony or a penal law misdemeanor.
N.Y.S. Criminal Procedure Law §140.50

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Section 140.50 of the New York State Criminal Procedure Law entitled,
“Temporary questioning of persons in public places; search for weapons” reads,
in part, as follows:
Subdivision (1) “…a police officer may stop a person in a public place
located within the geographical area of such officer’s employment when
he reasonably suspects that such person is committing, has committed
or is about to commit either (a) a felony or (b) a misdemeanor defined in
the penal law, and may demand of him his name, address, and an
explanation of his conduct.”
Subdivision (2) “…a peace officer…who provides security services for
any court of the unified court system may stop a person in or about the
courthouse to which he is assigned when he reasonably suspects that
such person is committing, has committed or is about to commit either (a)
a felony or (b) a misdemeanor defined in the penal law, and may
demand of him his name, address, and an explanation of his conduct.”
Subdivision (3) “…upon stopping a person under circumstances
prescribed in subdivisions one and two, a police officer or court officer, as
the case may be, reasonably suspects that he is in danger of physical
injury, he may search such person for a deadly weapon or any
instrument, article, or substance readily capable of causing serious
physical injury and of a sort not ordinarily carried in public places by lawabiding persons. If he finds such a weapon or instrument, or any other
property possession of which he reasonably believes may constitute the
commission of a crime, he may take it and keep it until the completion of
the questioning, at which time he shall either return it, if lawfully
possessed, or arrest such person.” (Emphasis added.)
The Stop and the Use of Reasonable Force
As previously noted, the issue of investigatory stops based on less than
probable cause was first addressed by the United States Supreme Court in the
landmark case of Terry v. Ohio and, as a result, some courts still refer to such
encounters as a “Terry stops.” It is important to remember that a stop is a
significant interruption in a person’s liberty and amounts to a limited seizure.
However, the Court in Terry held that this type of investigative stop did not
require probable cause.
Accordingly, a police officer may stop a citizen on less than probable
cause provided the officer can articulate reasonable suspicion that the subject is
committing, has committed or is about to commit a felony or a misdemeanor in
the penal law.

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A forcible stop may take many different forms. It can be constructive in
nature or it could be an actual stop. Surrounding a suspect, blocking their path
with an RMP, giving certain verbal commands or ordering a motorist to pull over
with the use of turret lights are all examples of constructive stops. Physically
subduing suspects by grabbing or holding them would be an actual stop. The
test is whether a reasonable person would know that they are not free to leave.
In any event, it is important for officers to understand that, in the eyes of the law,
they could be stopping people even though they do not physically touch them.
Officers should also understand that only the minimum amount of force
necessary could be used in achieving their objective.
Pursuit vs. Surveillance
The New York State Court of Appeals has determined that pursuing a
person amounts to a seizure and a violation of a person’s Fourth Amendment
rights. As was previously discussed, police can only use this amount of intrusion
when they have reasonable suspicion. On the other hand, no level of proof is
needed for an officer to simply conduct surveillance so long as the surveillance is
unobtrusive and doesn’t restrict the subject’s freedom of movement.
Public Place
The Penal Law defines a public place as any area “to which the public or a
substantial group of persons has access, and includes but is not limited to,
highways, transportation facilities, schools, places of amusement, parks,
playgrounds, and hallways, lobbies and other portions of apartment houses and
hotels not constituting rooms or apartments designed for actual residence.”
Geographical Area of Employment
A police officer’s geographical area of employment (“G.A.O.E.”) consists
of the county, city, town or village that employs him or her. If the local
government functions in more than one county, the geographical area of
employment of a police officer employed by the local government extends
throughout all such counties; for example, a New York City police officer's
geographical area of employment is made up of the five counties – or
boroughs - of New York City: Manhattan, Brooklyn, Queens, Staten Island, and
the Bronx.
A New York City police officer, therefore, may only conduct a stop,
question, and possible frisk within the five boroughs of New York City - your
G.A.O.E. Although you have arrest powers throughout New York State, arrests

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are based on probable cause; New York City police officers are not authorized to
conduct stops on less than probable cause outside the City of New York.
The Frisk
The N.Y.S. Criminal Procedure Law authorizes a search under certain
circumstances. Courts refer to these searches as frisks since the objective under
the law is to remove a deadly weapon or instrument. Usually, such items are
located by just “patting” the person’s clothing. Thus, a frisk is defined as a limited
touching of the suspect for the purpose of feeling for any dangerous weapons.
Thus, a frisk cannot be used to search for other contraband such as drugs; it is
strictly a protective measure. If an officer feels an object that he/she believes
may be dangerous, the officer may go into the pocket to retrieve and examine the
item.
The officer must be able to articulate that he reasonably suspected the
crime and that he reasonably suspected that the person was armed. There are
two situations in which the officer may lawfully frisk pursuant to a Terry Stop; they
are as follows:
Fear for Safety. The officer observes something on the person that she
reasonably suspects is a weapon or may be used as a weapon against
her. An example of this is a bulge in the shape of a firearm in or near the
waistband. At this point, the officer may conduct a frisk of the area to
ensure her safety or remove the weapon and place the subject under
arrest.
Reasonable Suspicion of a Violent Crime. In situations in which an
officer has reasonable suspicion that the subject has committed, is
committing, or is about to commit a violent crime, such as assault, rape,
etc., the officer may conduct a frisk to determine if the person is armed
with a weapon. Courts have included the suspicion of burglary among the
list of violent crimes since burglars tend to carry “tools” (e.g., screwdrivers,
picks, etc.) that can be used as weapons against police officers. An
officer need not articulate independent facts of a weapon; only facts
regarding a violent crime.
Frisk of a Portable Container. In the event an officer develops
reasonable suspicion that a portable container contains a dangerous item,
the officer may frisk by squeezing the container, or if the container is solid,
the officer may open it to determine whether a dangerous object is
present.

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Questioning
The officer may question the subject to the extent necessary to confirm
or dispel his suspicion. The questions, therefore, should be pointed and
accusatory, and directly related to the reason for the stop as well as for pedigree
information regarding the subject. Courts have held that as long as the
questioning does not go beyond the reason for the stop, Miranda advisements
(that a person who is not free to leave has the right to silence and to counsel),
are not required. (For a further discussion on Miranda, refer to the chapter on
“Criminal Procedures”)
Length of Time
The duration of the stop and question must be reasonable under the
circumstances. There is no set limit on how long an officer can detain a person
for the purpose of conducting an investigation. The Court of Appeals only
mentions “brief” time limits for the police to accomplish their goals. This means
that the officer must act reasonably and diligently, and not use the stop to “wait
out” a suspect. A longer detention will be upheld in situations where officers
transport a subject to a victim for identification purposes, while only a brief
detention is authorized to receive information over the radio to confirm a
description.
FACTORS THAT MAY LEAD TO REASONABLE SUSPICION
It is simple for an officer to know that he or she needs to have reasonable
suspicion before conducting a forcible stop. However, it can be difficult to
understand exactly when you actually have reasonable suspicion. Because this
is such an elusive concept, no judge, manual, or course could ever list every
single scenario in which you would or would not have reasonable suspicion.
The courts, however, have identified a few common factors which would
give an officer reasonable suspicion.
1.

Information from an Informant

Reasonable suspicion cannot be based solely on anonymous information.
Therefore, if an officer receives information from communications (job from
central dispatcher) about a suspect and the identity of the caller is not known
and/or the caller gave no contact number, the officer will only have a common
law right of inquiry at this point. (Exception to the rule: anonymous call of a man
with a bomb or an anonymous call of an intoxicated driver).

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In order for the officer to reach reasonable suspicion in “anonymous call”
situations, he or she needs at least one more piece of information that would
tend to show the reliability of the informant. The following would qualify as
additional information: a call back number given by the caller; the officer
observes the subject take specific actions that the caller predicted; the officer
observes actions consistent with criminal activity; or the informant gave the
information to the officer in person.
2.

Furtive Behavior

If an officer observes strange, suspicious, or evasive behavior, he or she
may have reasonable suspicion. The officer’s experience and/or expertise are
often taken into account in these situations. Furtive behavior in the form of
misleading or deceptive answers can also form the basis for reasonable
suspicion.
3.

Resemblance to the Suspect of a Crime

The police are justified in conducting a forcible stop on a person who
bears a strong resemblance to a known person who is wanted for a crime.
4.

Flight

Similar to anonymous information, flight alone cannot serve as the basis
for reasonable suspicion. The police cannot start chasing a person merely
because the person started running when he or she saw the police. Under
certain circumstances, flight can be considered an escalating factor that may
authorize an officer’s stop of a suspect.

SPECIAL CONCERNS RELATING TO INVESTIGATORY ENCOUNTERS
Racial Profiling
The Department defines racial profiling as the use of race, color, ethnicity,
or national origin as the determinative factor for initiating police action. As we will
emphasize throughout your training and your whole career, officers should be
cautioned not to confuse good police work with racial profiling. There is
absolutely nothing wrong with taking the above listed factors into account the
same way you would consider pedigree information such as height, weight, age,
etc. about specific suspects. However, just as you realize that not everyone over
6’4” in height plays basketball in the NBA; you should also realize that no action
is solely or completely attributable to one racial or ethnic group.

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Similarly, it would be unacceptable to stop an African American person
based solely on the fact that he or she is in a neighborhood that is not known to
have African American residents. Although a radical Muslim faction is
responsible for the World Trade Center attacks, we can’t make assumptions
about all Muslims nor can we assume that all white males want to bomb
government buildings, as did Timothy McVeigh.
Confrontation Situations
There have been incidents in the past where on duty officers have
mistaken plainclothes officers for armed criminals. The results were too often
tragic. The Department, in an attempt to avert these tragedies, has set up
guidelines to ensure the safety of all individuals involved. In such encounters,
the actions of the members in the first few seconds are crucial. It must be
absolutely clear in the minds of all members of the service that the burden of
proving identity rests with the confronted officer whether on or off duty. The
challenging officer, however, is responsible for using sound tactics and
judgment in approaching these situations.
General Business Law
Ordinarily, if a civilian detained a person against that person’s will, the
civilian could be charged with false imprisonment and/or assault. However,
§218 of the General Business Law provides an affirmative defense for merchants
or persons acting on behalf of merchants. According to this section, a merchant
or a merchant’s agent is allowed to detain a person providing the following
criteria are met:
1. The person must have been detained on the premises or in the
immediate vicinity of the premises of the retail mercantile
establishment.
2. The merchant or agent must have had reasonable grounds to believe
that the subject committed or attempted to commit a larceny of the
merchant’s merchandise.
3. The person must have been detained for a reasonable amount of time
for investigation or questioning.
For the purposes of this section, reasonable cause to believe means
knowledge that a person has concealed possession of stolen merchandise. A
reasonable time is the time necessary to permit the person detained to make a
statement or to refuse to make a statement and the time necessary to examine

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witnesses and store records. In addition to civilians, such as security guards,
§218 of the GBL also pertains to police and peace officers acting pursuant to
their official duties.

PREPARATION OF DEPARTMENT FORM:
“THE STOP AND FRISK REPORT”
There are two possible outcomes of an investigatory stop of a person
based on reasonable suspicion: either the officer develops probable cause and
places the suspect under arrest, or the officer’s investigation does not lead to
probable cause and he or she releases the suspect and continues to search for
the perpetrator of a crime. In either case, it is important to record all of the
details that convinced the officer to stop a suspect. This is because the courts
closely scrutinize all incidents that lead to an arrest or to the seizure of
contraband or evidence. Failure to accurately record details would mean that an
officer would have to rely only on memory while testifying in court. This is why
officers are mandated to record all information regarding a street encounter that
is based on reasonable suspicion in two places: the stop and frisk report and the
activity log.
Patrol Guide section 212-11, “Stop and Frisk” states that a member of the
service will prepare a Stop Question and Frisk Report Worksheet for EACH
person stopped. Patrol Guide Section 212-08, “Activity Logs” states that an
officer must make an entry in his or her Activity Log for all assignments received
and all tasks performed. So in ALL cases in which an officer detains someone
based on reasonable suspicion of a felony or a misdemeanor as defined in the
Penal Law, a Stop, Question, and Frisk Worksheet must be prepared, and an
Activity Log entry must be made.
Proper Documentation
In every situation in which a Stop, Question, and Frisk Worksheet is
prepared, Activity Log entries must also be made. All pertinent details regarding
a street encounter must be recorded. It is advisable to assume that the Stop,
Question and Frisk Worksheet may be lost or misplaced and the officer will have
to base his/her testimony regarding an incident solely on the entry he/she made
in the Activity Log.
Remember: A Stop, Question, and Frisk Worksheet is prepared only when
an officer has reasonable suspicion of a felony or a Penal Law misdemeanor.
Should a street encounter start out at probable cause (for example, a

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complainant points out a perpetrator from a past crime), it would be incorrect to
prepare a Stop, Question, and Frisk Worksheet in this case.

THIS SECTION
INTENTIONALLY LEFT BLANK

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LEVELS OF SUSPICION

BEYOND A
REASONABLE
DOUBT

CRIMINAL
CONVICTION
CLEAR &
CONVINCING
EVIDENCE
TRAFFIC COURT

CONVICTION
PREPONDERANCE
OF THE
EVIDENCE

CIVIL LIABILITY

PROBABLE
CAUSE

ARREST
REASONABLE
SUSPICION

STOP, QUESTION,
POSSIBLE FRISK
COMMON LAW
RIGHT OF
INQUIRY
INVESTIGATE
POSSIBLE
CRIMINALITY
REQUEST FOR
INFORMATION
RIGHT TO
APPROACH

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TYPE OF
ENCOUNTER

LEVEL OF SUSPICION
REQUIRED

NATURE AND
EXTENT OF
PERMISSIBLE
QUESTIONING

AUTHORITY
TO SEARCH

FORCE
AND DETENTION

I. Request for
information

Any articulable reason to
approach. Suspicion of
criminality is not required.
However, the member of the
service must be able to articulate
a basis beyond mere whim and
caprice.

Questions concerning
the subject’s name,
address, or presence
at the location

At this level of suspicion,
there is no basis to search. A
request for consent to search
a bag, pocketbook, luggage,
or other item of personal
property is improper

Force may not be used to
detain a subject at this level
of suspicion. The subject is
free to walk away from the
member of the service if
he/she so desires. He/she
need not answer questions

II. CommonLaw
Inquiry

A founded suspicion that
criminality is afoot. This could
be triggered by false responses
to questions posed during the
request for information, as well
as observations by the MOS

MOS may conduct
more extensive
questioning.
Accusatory-type
(guilt-seeking)
questions may be
asked

A subject may be asked to
consent to the search of an
item of personal property.
This consent must be
voluntary, intelligently, and
knowingly on the subject’s
part.

Force may not be used to
detain a subject at this level
of suspicion. The subject is
free to leave if he/she
desires. He/she need not
answer questions

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III. Stop,
Question,
and Frisk.

A reasonable suspicion that a
person is committing, has
committed, or is about to commit
a felony or Penal Law
misdemeanor. Reasonable
suspicion exists when the
information known to the MOS
is of such weight and
persuasiveness as to make the
MOS, depending on his/her
judgment and experience,
reasonably suspect criminality.

The MOS may stop
the subject, ask for
his/her name and
address, an
explanation of
conduct , and detain
him/her while and
expeditious
investigation is
conducted to
determine if there is
probable cause to
arrest the subject

In addition to the consent
search described above, the
MOS may frisk the subject
for a deadly weapon, or any
instrument or article readily
capable of causing serious
physical injury when the
MOS reasonably suspects
he/she is in danger of
physical injury {Criminal
Procedure Law 140.50(3)}.

IV. Arrest

Probable cause to believe that (a)
an offense was committed and
(b) that the subject arrested
committed it. Probable cause
requires the existence of facts
and circumstances which when
viewed together would lead a
reasonable person possessing the
expertise of the arresting officer
to conclude that an offense has
been committed

A MOS may engage
in constitutionally
permissible custodial
interrogation (i.e.,
Miranda waiver must
be lawfully obtained.
Miranda waiver not
required to obtain
pedigree information)

“Search incident to arrest
A MOS is permitted to use
(i.e., a search of a subject
reasonable force to arrest and
conducted immediately after detain a subject
the arrest to secure weapons,
prevent evidence destruction)
“Inventory” (i.e.,
examination of property that
comes into the lawful
custody of the Department),
etc.

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A MOS is permitted to use
reasonable force to stop and
question a subject. The
subject is not free to walk
away. The type and amount
of physical force used must
ultimately be objectively
reasonable under the
attendant circumstances
facing the MOS. Thus, the
more violent an encounter,
the greater the physical force
that may be employed.

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Index of LEGAL BUREAU BULLETINS
Regarding Street Encounters
TOPIC

CASE

VOLUME

ANONYMOUS GUN RUN

J.L.

32 No. 2

FRISK FOR VIOLENT OFFENSE

MACK

1 No. 3

FRISK BASED ON WITNESS INFO

ADAMS/WILLIAMS

2 No. 12

FRISK OF HANDBAG

MOORE

3 No. 7

FRISK ON INFO FROM UNIDENTIFIED
INFORMANT
STOP ON LESS THAN REASONABLE
SUSPICION

GREEN

4 No. 11

CANTOR

5 No. 3

FRISK EVERY SUSPECT STOPPED

SANCHEZ

6 No. 3

STOP AND REQUEST INFORMATION

DE BOUR

6 No. 11

APPLICABILITY OF MIRANDA WHEN
GUN IS DRAWN

HUFFMAN

7 No. 2

ANONYMOUS PHONE TIP AND FRISK

WILLIAMS/STEWART 7 No. 3

STOPPING A VEHICLE ON
REASONABLE SUSPICION

SOBOTKER

8 No. 3

DEVELOPMENT OF STOP AND FRISK

RAY

8 No. 8

RANDOM AUTO STOPS

DELAWARE/PROUSE 9 No. 3

NON-CONSENTING SUSPECT TO
STATION ON REASONABLE SUSPICION

DUNAWAY

9 No. 4

ANONYMOUS TIP MAN WITH GUN-FRISK

BENJAMIN

11 No. 1

NON CONSENTING PERSON TO STATION
HOUSE ON LESS THAN PROBABLE CAUSE

DUNAWAY

9 No 4.

ANONYMOUS PHONE TIP MAN WITH GUNS/FRISK

BENJAMIN

11 No 1.

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AUTO STOP/DIRTY RENTAL CAR

HARRISON

13 No. 2

TIME DETAINED ON REASONABLE SUSPICION

SHARP

15 No. 5

DETAINED ON REASONABLE SUSPICION
AND TRANSPORTED TO A CRIME SCENE

HICKS

17 No. 1

VEHICLE STOPS (SEE BELOW)

ROBINSON

20 No. 3

CIRCUMSTANCES IN WHICH A POLICE OFFICER
MAY APPROACH A PERSON IN A PUBLIC PLACE
TO ASK QUESTIONS

HOLLMAN/
SAUNDERS

22 No. 2

STOP, QUESTION, & FRISK- THE PLAIN TOUCH

DIAZ

23 No. 2

FORCIBLE STOP-PURSUING A FLEEING
INDIVIDUAL

MARTINEZ

23 No. 4

VEHICLE STOPS – ORDERING PASSENGERS OUT
OF CAR

ROBINSON

20 No. 3

VEHICLE STOPS – USE OF TURRET LIGHTS
SPOTLIGHTS AND/ OR LOUDSPEAKER

MAY

24 No. 1

PERSON WALKING AWAY FROM SCENE OF
SUSPECTED CRIMINAL ACTIVITY

BORA/REYES

25 No. 1

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STOP, QUESTION AND FRISK WORKSHEET (SIDE ONE)

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STOP, QUESTION AND FRISK WORKSHEET (SIDE TWO)

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Authority to Arrest

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW THE MATERIAL IN THIS CHAPTER?
Police officers are granted enormous responsibility and authority under the law.
One of the most important police powers is the authority to use force. Force includes
the power to take someone’s life (deadly force), the power to use less than lethal force,
and the power to deprive people of their liberty through arrest.
Despite the wide range of police functions, police officers devote considerable
attention to crime. When people think of the police, they think in terms of crime-fighting,
so that criminal matters will always be among the most important of our tasks. Compstat
figures indicate that the number of arrests by this Department in the year 2003 totaled
335,208. This is why, when people and officials try to evaluate our performance, they
do so in terms of our ability to prevent and solve crimes, and to arrest criminal
offenders.
As you can see, an arrest is one of the most fundamental aspects of policing
because of its enormous significance to society. Police officers must have a clear and
thorough understanding of their authority in this complex area that combines law, public
policy, and Department regulations. This chapter will provide such a foundation and
discuss the legal and technical components of a constitutionally valid arrest in a
comprehensive manner.
WHAT IS AN ARREST?
An arrest involves taking a suspected criminal offender into custody. The police
officer must decide whether it is probable that an individual committed the crime
suspected, and if so, whether to take him or her into custody. The purpose for the
arrest is to bring the offender before the appropriate court to answer the charges
against him or her. Improper or unlawful arrests can result in an innocent person being
unnecessarily prosecuted or the loss of a conviction against a guilty person. Therefore,
every arrest made by police is subject to judicial review. The specific components of an
arrest will be discussed in greater detail later in this chapter.

PROBABLE CAUSE
The Constitutional Standard
Probable cause is the standard of proof necessary for a police officer to lawfully
effect an arrest, seize evidence or contraband, or conduct a search. Section 140.10 of
the New York State Criminal Procedure Law refers to probable cause as “reasonable
cause to believe,” which is also defined by some courts as “reasonable grounds to
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believe.” These terms - probable cause; reasonable cause to believe; and reasonable
grounds to believe - all mean the same thing and are thus interchangeable.
The term probable cause itself originates from the Fourth Amendment to the
United States Constitution, which is the source of the current legal requirement for
arrest. The Fourth Amendment states, in part, that "...no warrants shall issue, but upon
probable cause, supported by oath or affirmation and particularly describing the place to
be searched and the persons or things to be seized." Because the arrest of a person is
a seizure, the Fourth Amendment requirement of probable cause is an essential
component of a constitutionally valid arrest.
Probable Cause Required in All Arrests
The Constitutional requirement that all warrants be supported by probable cause
does not mean that warrants are required for all arrests, or that warrantless arrests may
be made without probable cause. The same level of probable cause is required for an
arrest without a warrant, or with a warrant. This is so because in either case, a trial
judge at a suppression hearing can later review the case to determine whether, at the
time of the arrest, probable cause existed.
Most of the arrests that you make will be without a warrant. These types of
arrests are called summary arrests because they occur at the conclusion of a police
encounter. For example, you may stop people in a car that has been reported stolen.
When you investigate and find that they have no explanation for their presence in the
car, you have probable cause to arrest them and can do so without a warrant. When
time permits – as when detectives conduct lengthy investigations – police should seek
judicial approval, by obtaining a warrant, prior to making an arrest. Generally, however,
this will not apply to you as long as you are working in a uniformed assignment: patrol
officers will not have the time to obtain an arrest warrant and therefore must effect
summary, or pick-up, arrests.
Probable Cause Defined
Probable cause is an abstract term. Basically, it exists where the facts and
circumstances within the arresting officer’s knowledge, and of which he or she has
reasonably trustworthy information, would warrant a person of reasonable caution to
believe that an offense is or has been committed and that the person to be arrested had
committed it.
Probable cause is less than the amount of evidence needed to convict; there is
some room left for doubt. Thus, there is a major difference between the level of proof
required to establish guilt in a criminal case and that required to show probable cause
for an arrest or search. A person can be arrested when probable cause exists, yet be
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found not guilty after trial. If the police officer had probable cause at the time of the
arrest, the arrest is proper, even if the defendant is, in fact, later found to be not guilty.
Accordingly, probable cause is judged by the facts known at the time the arrest
was made, rather than on the basis of information that may become available later. It
involves a judgment of the facts surrounding an event and their relationship to a specific
person.
This cuts two ways. On some occasions, probable cause might exist at the time
of an arrest, but facts developed later may show that, in fact, there was no crime. Take
our stolen car example again. Suppose you find people driving in a car that has been
reported stolen by its owner. You may arrest them only to discover that, unbeknownst
to the car’s owner, his or her spouse had loaned the car to the people whom you found
driving it. This would make them not guilty of stealing or criminally possessing, but it
certainly would not make your arrest improper because, at the time you made the
arrest, the information available to you gave you reasonable grounds to believe that a
crime had been committed and that you had apprehended the people who had
committed it.
On the other hand, if there is insufficient information to establish probable cause
at the time you make an arrest, no information that develops later can make the arrest
proper. If probable cause does not exist when you arrest a person, the arrest is
improper even though the person may later confess his or her guilt, or even though
positive evidence of guilt is discovered in the search after the arrest.
There is no clear example of probable cause for all situations. In order to fully
grasp the concept of probable cause, you must be able to understand the fundamentals
of its meaning. This chapter will explain those basics and provide illustrations by
reviewing court cases that addressed the issue of probable cause.
Drawing Conclusions From Facts
Like many concepts in law, probable cause is easy enough to state, but difficult
to apply. This example may assist you:
You observe a man walk out of a midtown Manhattan
restaurant at 1:00 p.m. on a Friday afternoon. The man has
a toothpick in his mouth. As you continue to observe him,
you notice that he has money in his hand, which he appears
to count then place in his pocket. He then walks to a nearby
trashcan and throws away a small pink slip of paper.

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These facts, collectively, should give you, an ordinarily prudent person,
reasonable cause to believe that the man leaving the restaurant just finished eating
lunch, paid for it, counted his change, and threw away the restaurant receipt. Each fact,
standing on its own, however, may not be indicative of the man’s recent actions. It
would be difficult to show that someone with a toothpick in his or her mouth just ate
lunch. But when combined with all other factors, such as location, time of day, and his
actions, it is more probable than not that he ate lunch at the restaurant.
In order to decide whether a police officer has probable cause, facts are weighed
according to what they mean to the experienced police officer, not to a layperson. A
police officer, because of his or her training and experience, can draw certain
conclusions regarding criminal activity from a set of facts, which from the layperson's
viewpoint may appear totally innocent. One judge explained it in this manner:
A fact which spells reasonable cause to a doctor may make
no impression on a carpenter, and vice versa… An officer
experienced in a narcotics unit may find probable cause in
the smell of drugs and the appearance of paraphernalia,
which to the layman's eyes is without significance. His
action is not measured by what might be probable cause to
an untrained civilian passerby…The question is what
constituted probable cause in the eyes of a reasonably
cautious and prudent police officer under the circumstances
of the moment [Emphasis added.]

Note: For a detailed discussion regarding an officer’s training and experience when
establishing probable cause see Legal Bureau Bulletin Vol. 18 No.1.
The factors that form probable cause vary according to the type of crime being
investigated. Facts that are sufficient to establish probable cause in a bank robbery
case may not be sufficient to establish probable cause in a narcotics case. For
example, the fact that a suspect's car is riding low on the rear springs can be one
element of probable cause in a kidnapping case, but may be meaningless in another
type of case. This is because a person carried in a car trunk could be heavy enough to
weigh down the rear of the vehicle. It is, therefore, important that you show facts that
support a belief that a specific crime was committed. As long as you can show probable
cause existed prior to the arrest, the arrest is valid - even if the District Attorney
changes or adds to the charges.

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The “Fruits” of a Valid Arrest
The existence of probable cause also means that contraband or evidence
discovered incident to the arrest would be admitted into court as evidence. For
example: a police officer on a foot post observed a teenage boy approach an elderly
woman from behind, knock her to the ground, and run off with her purse. The woman
screamed for help as the officer pursued the perpetrator. After a brief pursuit, the officer
placed the youth under arrest for the robbery. A search of the youth, incident to the
arrest, revealed that the youth possessed a loaded .25 caliber semi-automatic handgun
and three vials of crack-cocaine. Although these items were not used in the original
crime, they are admissible as evidence for the additional weapons and controlled
substance charges. The fact that the officer had probable cause for the robbery arrest,
allowed the officer to search the youth for any other evidence or contraband, or anything
that might be used to hurt the officer or to aid in an escape attempt. Thus, any further
evidence of the crime or anything illegal that the officer might find in such a search (like
this young man’s illegally possessed gun) can be used as evidence against him.
Arrest Made Without Probable Cause
If, on the other hand, the officer had observed the youth running down the street,
and had no other information regarding criminal activity (e.g., did not witness a crime,
nor alerted by a complainant), but placed him under arrest without probable cause, and
a search yielded the firearm and drugs, the evidence found in his possession would not
be admissible in court.
Thus, an arrest made without probable cause will not be upheld in court, nor will
a court uphold the seizure of evidence made as a result of the arrest. Courts have
developed the “exclusionary rule” which provides that evidence obtained from an illegal
search or seizure will not be admitted into evidence in court.
Moreover, a police officer that knowingly makes an arrest without probable cause
has violated the constitutional rights of the citizen under the Fourth Amendment. Such
illegal arrests can result in the individual officer being held personally liable for civil
damages as well as possible criminal charges.
(For an example of the consequences of seizing a person on less than probable cause,
see Legal Bureau Bulletin Vol. 9, No. 4.)
Judicial Review of Probable Cause
The burden of establishing that probable cause existed at the time of arrest is
placed on the arresting officer. This is important, since arresting officers may be called
to testify before a Grand Jury, at pre-trial hearings, or at the defendant’s trial. Police
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officers should carefully document all relevant information that led to the finding of
probable cause as they develop and soon after the arrest is made. Since the
development of probable cause is based on an assessment of different facts, the officer
must be prepared to accurately testify as to how each piece of information connected
the arrestee to the crime. Facts that make up probable cause come in many different
forms, such as officer’s observations, eyewitness accounts, informant’s “tips,” physical
evidence, etc. Therefore, the officer’s testimony becomes a crucial part of the evidence
that will be needed to successfully prosecute the offender.
The police officer’s articulation of facts is also referred to as painting a word
picture. This metaphor is designed to indicate the importance of every detail that is part
of the “scene” or occurrence. Proper articulation will result in a visual recreation of all
the information that was available to the officer at the time of the arrest.
For example: it is probable that a guilty person who believes he or she is about to
be arrested will attempt to flee upon seeing a police officer. That attempt to flee, even if
it is only a step or two, is a factor that, when added to others, can establish probable
cause. Many police officers would consider it unimportant to mention this fact when
testifying, but you should realize that every detail becomes part of the picture that
establishes probable cause.
Lawful Encounters on Less than Probable Cause
The New York State Court of Appeals delineated three levels of suspicion that
permit an officer to lawfully encounter a person in a public place on less than probable
cause.
The lowest level is referred to as mere suspicion, or a request for information.
This level requires that the officer have an articulable reason to approach a person to
obtain information. The officer may request the person’s name, address, and
explanation for his or her conduct. The officer does not need any suspicion of
criminality. His or her reason for the approach must, however, be based on the
existence of known facts, not on whim, caprice, or personal bias.
The second level of suspicion identified by the Court is known as founded
suspicion, or the common law right of inquiry. At this level, an officer may approach a
person based on factual information that leads him or her to believe that, in the words of
the courts, “criminality is afoot. “ Once an officer has a founded suspicion, he or she
may ask direct and pointed accusatory type questions while conducting the
investigation. The officer, however, may not forcibly detain persons at either of the first
two levels.
Once an officer has developed enough information to reasonably believe that a
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person has committed, is committing, or is about to commit a felony or a penal law
misdemeanor, the officer may forcibly detain a person temporarily in order to prove or
dispel his or her suspicion. If the officer reasonably believes that the person is armed
with a weapon or an object that may be used as such, the officer may conduct a limited
search of the subject called a frisk, only for the purpose of seizing or securing the
dangerous item. This level, called reasonable suspicion, is most often used in relation
to the stop, question, and possibly frisk law, which is codified under New York Criminal
Procedure Law Section 140.50.
It is important to note that despite the custodial nature of these encounters, they
do not amount to an arrest. This is so because the amount of information required by
the officer at the various levels is less than probable cause. The officer’s authority to
intrude rises commensurately with the amount of information possessed. The highest
level of information is that of probable cause, and accordingly, it permits the greatest
intrusion: arrest - which also permits a search of the individual and his or her
belongings. (This area is discussed in greater detail in the chapter on “Policing Legally:
Street Encounters”).

SOURCES OF PROBABLE CAUSE
Information supplied to the police that forms the basis of probable cause in arrest
situations can come from a variety of sources. When probable cause is based solely on
a police officer’s observations, courts will take into account the totality of the
circumstances to determine whether the officer has developed probable cause. When
information is based on hearsay, police must verify (1) the reliability of the informant and
(2) how the informant formed the basis of the information, before an arrest can be
made. This analysis is referred to as the “Aguilar-Spinelli” two-pronged test.
Information can come from the following sources:
1.
2.
3.
4.
5.
6.
7.

Confidential informant;
Victim or witness to the offense;
Another police officer;
Police officer from another agency;
Accomplice to the crime;
Anonymous person
Any other source of information.

Generally, the courts presume police officers, victims of crimes, and properly
identified witnesses to be reliable. Paid informants, who are sometimes criminals, often
provide information to the police to avoid their own prosecution or to eliminate their
criminal competition. Thus, the courts view testimony given by them to be less reliable
than that of a victim or witness who has no apparent personal interest in the outcome of
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an event. The fact that they have a criminal past or are being paid to furnish information
weakens their testimony in court, and as a result, a greater amount of corroboration
(additional evidence) is required to establish probable cause.

THE TOTALITY OF THE CIRCUMSTANCES
In establishing probable cause, the courts will allow the use of almost any fact
that tends to show that the crime was committed and who the person or persons were
who committed the crime. There is no single blueprint or checklist of facts that will
establish probable cause for a particular offense. As stated previously, police officers
must be prepared to accurately paint a picture of all relevant facts or pieces of
information; no matter how trivial or innocent they may seem by themselves. Each bit of
information is part of a larger picture. Courts refer to such an accumulation of
information as the totality of the circumstances.
The totality of the circumstances test avoids the “technical” aspect of the
probable cause determination. Instead it relies on a practical common sense
application that considers the trustworthiness of the information. Probable cause does
not demand the certainty associated with formal trials such as “proof beyond a
reasonable doubt.” The standard of probable cause is that there be a showing of a fair
probability that the crime was committed.
It is important to note that the totality of the circumstances test does not apply to
a probable cause determination based solely on an informant’s tip. In those instances,
a reviewing court will look to see whether both prongs of the Aguilar-Spinelli test were
satisfied.
CORROBORATING THE INFORMANT'S REPORT:
The Aguilar-Spinelli Two-Pronged Test
Generally, there are many ways in which information can be corroborated. New
York courts, however, have recognized the “Aguilar-Spinelli” two-prong test as the
standard for corroborating information from informants. This analysis requires the
police officer to establish that (1) the informant is reliable, and (2) that the informant's
information is reliable. The following factors are a guide in determining whether both
prongs of the Aguilar-Spinelli test are satisfied.
The First Prong: The Reliability of the Informant
An informant who provides information to the police will be considered reliable if
one or more of the following elements exist:

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1.

The informant has previously supplied information that led to at least one
arrest and conviction, or arrests in more than one criminal incident.

2.

The informant has previously supplied information in the past that led to
the seizure of evidence, contraband, or stolen property.

3.

The informant swears to the truth of the information under oath.

4.

The information constitutes a declaration against penal interest connecting
the informant to the crime or otherwise implicating him in criminal activity.
This information is considered reliable because one does not usually
falsely implicate himself in a criminal act. For example, an informant tells
an officer he just purchased drugs in a storefront building from the janitor.

5.

Two or more informants, not known to each other and acting
independently, corroborate the information.

6.

The information, whether criminal or not in nature, is detailed and precise.

7.

The police observe sufficient details corroborating the information thereby
indicating that the informant was correct. For example, the police observe
the following details that are consistent with information supplied by the
informant:

8.

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a.

The suspect's clothing, mannerisms, vehicle or route traveled; or

b.

The suspect’s appearance at a time and place, engaging in an
activity as previously described by the informant; or

c.

The suspect's possession of an object or container matching the
shape, physical characteristics and location of reported contraband.

The informant's information corresponds with information already known to
the police. For example, a confidential and reliable informant told a police
officer that two named persons were selling narcotics in a specific
apartment at a stated address on the previous day. The officer knew
these persons, and also knew that they had in the past admitted to the use
of narcotics and had visible needle marks on their arms. The Supreme
Court held that this was sufficient probable cause for the issuance of a
search warrant.

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The Second Prong: The Reliability of Information
An informant will be considered to have a basis of knowledge for the information
he or she supplies to police if one or more of the following elements exist:
1.

The informant states that he or she obtained the information by personal
observations of the suspect or in direct conversations with the suspect.

2.

The information regarding criminal activity is so detailed that it is clear that
it must have been based on the informant's personal observations of the
criminal activity.

3.

The police observe conduct suggesting or directly involving the activity
reported by the informant.

4.

Other factors exist that lead the police to reasonably believe that the
suspect is committing a crime.

Note: For a further discussion regarding the establishment of probable cause based on
an informant’s report, see Legal Bureau Bulletin Vol. 18, No. 6 and Vol. 23, No. 5.
INFORMATION FROM NON-CRIMINAL SOURCES
The Aguilar-Spinelli two-pronged test applies to the corroboration of information
generally from informants who were engaged in some sort of criminal activity. Often,
police will receive information from non-criminal sources such as other police officers,
crime victims, and ordinary citizens. In these cases, the standard for developing
probable cause is more lenient.
Probable Cause from Other Police Officers
It is not necessary that the arresting officer have first-hand knowledge of all the
facts that make up probable cause. It is not even required that the officer has first-hand
knowledge of any of the facts because courts have held that probable cause may be
imputed from one officer to another. In other words, an officer may act on information
supplied by other officers in his or her department or another police department and rely
on that information to effect an arrest. An officer may, for example, respond to (1)
statements from other police officers, (2) official department communications (wanted
poster, radio transmission, FINEST message, etc.), (3) active warrants, or (4) orders
from a supervisor. In such circumstances, the arrest is valid only if the originator of the
communication acted with probable cause.

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Suppose, for example, that officers have been notified at roll call that the
detective squad has secured an arrest warrant for a particular individual wanted for a
bank robbery. The subject was identified by name and address, and a photograph was
circulated. One officer recognized the subject as someone he had arrested on several
occasions in the past. While on patrol, the officer observed the subject sitting on a park
bench and immediately placed him under arrest for the bank robbery. Although the
arresting officer did not have personal information regarding the bank robbery (i.e., he
did not witness it, nor did he interview witness/victims, or respond to the scene), his
probable cause was imputed from the information supplied by the detective squad.
While the arresting officer will still be required to provide testimony regarding the actual
arrest of the person, the burden of showing that probable cause was properly developed
is placed on the investigating detective squad member that secured the warrant.
Probable Cause from Crime Victims
Courts have presumed that a properly identified victim of a crime (complainant) is
a reliable informant, even though his or her reliability has not been previously tested.
The victim’s reliability is assured because he or she can be prosecuted if the report
turns out to be a fabrication. There is also no need to establish the source of
information since it is based on the victim’s personal knowledge. In the case of an
unidentified victim, he or she will be presumed reliable as long as the officer has an
opportunity to assess the victim’s credibility in a face-to-face encounter based on
demeanor, or can confirm or corroborate some of the information through observations.
For example, a crying woman with a scratch on her neck approaches a police
officer on a foot post and states that someone ripped a gold chain from her neck. She
points to a man running and excitedly states, “There he is!” The officer orders the man
to stop and places him under arrest. In this case, the officer was able to assess the
reliability of the victim based on her condition and statements.
Suppose that in the above case, the officer became involved in a foot
pursuit, and after apprehending the perpetrator, the victim had left the scene. Courts
have held that the finding of probable cause will not be invalidated where the failure to
ascertain the identity of the victim was due to an emergency response to locate the
perpetrator.
Probable Cause from Citizen - Informants
A “citizen-informant” is a citizen, other than a crime victim, who makes an
allegation against another individual regarding a crime. If the citizen is properly
identified, he or she is presumed reliable because, as mentioned above, a deliberate lie
will result in the citizen’s prosecution. Police will only be required to show that the
information provided was reliable. This is the second prong of the Aguilar-Spinelli test
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and requires a showing of either personal knowledge on the part of the citizeninformant, or corroboration of the information by the police.
When a citizen-informant refuses to provide his or her identity to the police, both
prongs of the two-part test: reliability of the informant and reliability of the information,
must be satisfied in order to establish probable cause for an arrest.
CORROBORATION BY POLICE OBSERVATION OR INVESTIGATION
Corroboration by police officers through observations or investigations is the
most practical, most often used, and probably the most accurate manner in which to
corroborate information from non-police sources because it involves the officer’s
personal knowledge. The following are examples of facts, patterns of behavior, or
evidence which, when added to information already given to a police officer, have been
held by the courts to establish probable cause for the purpose of making an arrest or
obtaining a warrant.
1.

Surveillance reveals a pattern of unusual activity at the suspect's home or
place of business. For example, during daytime hours, when people
should be up, there is no activity, however, during evening hours, when
people are asleep, the location is alive with activity.

2.

Sounds or conversations overheard from a public place (without the
benefit of electronic devices) that suggest the offense being investigated is
taking place. For example, a conversation is overheard from the hallway
of an apartment building discussing a drug transaction, or an offer on the
street to purchase drugs.

3.

Odors connected with offense coming from the premises, such as the odor
of marijuana coming from a hotel room.

4.

The officer observes objects reasonably believed to be a part of the crime
in plain view (no unreasonable search) at some time during the
investigation, such as where the officer observes capsules of a kind
usually containing narcotics in the hands of the suspect.

5.

Surveillance finds the suspect entering or frequenting a well-known
location or area where the suspected type of criminal activity is known to
take place and he or she is observed meeting or associating with known
criminals.

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6.

Conferrals with the local police, sheriff, FBI, or other law enforcement
entities reveal a criminal record for the kind of offense suspected, or a
related one.

7.

Statements from other officers and informants or official reports show that
the suspect has a reputation for committing this kind of offense or a
related offense.

8.

An informant willing to testify or an officer, working in an undercover role,
makes contact with the suspect. The suspect tells the undercover officer
that he can deliver narcotics.

9.

An encounter with the suspect by police officers prior to arrest (e.g., mere,
founded, reasonable suspicion, traffic stop, etc.), and the suspect gives
confused or conflicting answers, which raises the officers level of
suspicion, under circumstances in which an innocent person would not.
Suspicion does not rise to probable cause merely by the suspect's refusal
to answer. Additionally, any encounter must be lawful in nature, and not
a ruse to approach the person.

10.

The suspect makes an admission to the crime.

11.

The suspect surrenders evidence of the crime to the officer.

WHEN CORROBORATION IS NOT POSSIBLE
As previously mentioned, courts will uphold arrests where an officer may not be
able to corroborate all facts. These include face-to-face confrontations with crime
victims in emergency type situations. The standard that should guide you in all your
actions is that of reasonableness. If you act reasonably under the circumstances, the
court will, in most cases, uphold your actions.
Typically, in a planned arrest (e.g., arrest on a warrant) the police officer has the
necessary time and opportunity to investigate the circumstances surrounding the event
and to decide on a proper course of action. However, in most cases in which the
uniformed police officer becomes involved, the luxury of planning an arrest is not
possible because of the emergency nature of the circumstances. The arrest is based
on a severely limited number of factors. The decision must be made on the spot,
without an opportunity for the officer to check his conclusions regarding probable cause
with a prosecutor or judge. The pick-up, or summary, arrest is the real test of an
officer's ability to determine what is and what is not sufficient probable cause for an
arrest. When comparing probable cause for a pick-up arrest with probable cause for a
planned arrest the courts expect the officer to produce enough evidence to establish, as
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a prudent and cautious officer, that:
1.

A crime has been committed; and

2.

It was committed by the person arrested.

Although these same standards are required for all arrests, a somewhat easier
interpretation of probable cause has been held to apply to arrests made under certain
conditions. The following cases demonstrate the standards that the courts have applied
for arrests under "emergency situations."
Probable Cause Case Study No. 1
Two plainclothes officers in an unmarked car were parked in a residential area at
4:30 A.M. when they heard a woman's continuing screams. At the same moment, the
officers saw a male run out of an alley near the point where the screams came from.
Upon seeing the officers, the male stopped running and began to walk. One officer
stopped him, showed a badge, and identified himself as a police officer. The suspect
told the officer that he was on his way home from a party, but the direction he was
taking was not toward the place in which he claimed he lived. The police officers also
noticed some ladies' jewelry dangling from the suspect's pocket and a small crow bar in
his back pocket. The suspect could not provide a clear answer as to why he possessed
these items. Each of these elements had a possible innocent explanation as well as a
guilty one.
Question:

Did probable cause exist for the arrest of the suspect?

Answer:

Yes. The court stated that …”when the officers heard screams for
help at 4:30 A.M. and saw the suspect running near the point from
which the cries came, minimum prudence and diligence dictated that
the person in seeming flight be stopped and interrogated. When his
statement that he was on his way home from a party was found not
to coincide with the direction of his travel, further investigation was
called for to determine whether the suspect's seeming flight was
connected with the cries for help. Also, the suspect's vagueness of
the type of jewelry in his pocket and the ownership of the items was
another fact the police officers had. At this point, there was
abundant probable cause for arrest. Indeed, it would have been an
astonishing lack of sound judgment for the police to act otherwise.
The action of the police was no more than to approach, confront and
question the suspect."

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Probable Cause Case Study No. 2
At about 1:30 A.M. a male and a companion were walking down a street. There
had been a series of robberies in the immediate area during this time of night. The
robbers reportedly were two young men whose description fit those of the male and his
companion. Police officers in an unmarked car approached to question them. The
officers called for the men to stop but they ran away. As they ran, an object fell out of
the coat of one of the men. The officers jumped from the car, shouted to the men that
they were under arrest, captured them and, on examination after the arrest, the object
turned out to be a sawed-off shotgun. The officers then charged them with illegal
possession of the shotgun.
Question:

Did these officers have probable cause to arrest under these
circumstances?

Answer:

Yes. The court held that probable cause existed. Some of the
factors that supported that conclusion were:
1.
2.
3.
4.
5.
6.

The time of night - 1:30 A.M.;
The location - a city street;
Knowledge regarding robbery pattern (time, type, etc.);
Descriptions of the men;
Flight of the suspects;
Abandonment of possible evidence.

Based on the above, the police officers had probable cause to believe that the
suspects had committed a robbery. The fact that the suspects were not charged with
robbery is not important. If later investigation revealed that they were not the
perpetrators of past robberies, they still could be properly arrested for illegal possession
of the shotgun since probable cause existed that they had committed a crime (at the
time of the arrest).
PROBABLE CAUSE IN NARCOTICS CASES
Illicit drug use and abuse is a serious problem in today’s society. Therefore, an
officer must be thoroughly familiar with the elements required to establish probable
cause in narcotics cases.
The following factors illustrate the minimum requirements, which courts have
held establish probable cause to make an arrest:
1.

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An officer observed money passed in exchange for a glassine envelope
and/or;
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2.

Furtive or evasive behavior on the part of the participants coupled with the
passing of a glassine envelope and/or;

3.

The exchange of a glassine envelope in a narcotics prone location and the
officer can present evidence in court demonstrating the area is truly
narcotics prone and/or;

4.

An experienced officer observed the passing of a glassine envelope.

Note: For a further discussion regarding probable cause in narcotics cases see Legal
Bureau Bulletins Vol. 11 No. 2 and Vol. 2 No. 9.
POLICE POWERS OF ARREST- GENERALLY
The New York City Charter provides that the "Police Department shall have the
power and it shall be their duty to detect and arrest offenders." Thus, a basic duty of a
police officer is to arrest those persons who have violated the law.
As previously discussed, an arrest is the apprehension of a law violator by a
legally recognized and competent authority based on the standard of probable cause.
The Constitution of the United States and of New York State provide that, "...no person
shall be deprived of liberty without due process of law.” Therefore, a lawful arrest can
only be made in accordance with the law or it will be unconstitutional, and thus illegal.
The remaining sections of this chapter will focus on the specific elements of an arrest as
well as the various laws that regulate how, where and when officers may make a lawful
arrest.
ELEMENTS OF AN ARREST
An arrest is effected when the offender is brought within the control and will of
the officer, under lawful authority, for the purpose of delivering the person before the
appropriate court. Actual physical touching by the officer is not necessary. A verbal
command by an officer to a suspect that he or she is under arrest, accompanied by a
voluntary submission to the officer is an arrest, even though the officer never physically
touches the person. However, mere words do not result in an arrest unless there is a
voluntary submission by the suspect. Of course, an arrest may also be made by the
proper use of physical force. Arrests can be made in several ways such as, holding the
person at gunpoint, handcuffing someone, or by any other proper means of physical
restraint. Regardless of the manner employed to make a lawful arrest the following
elements must be present (1) intent, (2) authority, (3) custody, and (4) recognition.

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The Intent of the Officer
The intention or purpose of the police officer must be to take the person into
custody. The intent makes an arrest different from lesser forms of detention (e.g.,
forcible stop under reasonable suspicion [CPL 140.50].) Thus, an arrest requires that
the detention be for the purpose of bringing the person before the appropriate court to
answer to a charge of violating the law. A distinction must be made from circumstances
where a person is merely approached by a police officer and questioned as to his or her
identity and actions (e.g., mere suspicion or founded suspicion), or when he or she is
detained for a few minutes and issued a traffic summons.
The Officer’s Authority
An officer must act under real or assumed legal authority in order to take a
person into lawful custody. Real authority refers to a police officer’s statutory ability to
effect an arrest, based on probable cause, under N.Y.S. Criminal Procedure Law
Section 140.10. Assumed authority refers to a police officer’s ability to effect an arrest
under the authority of a judge via an arrest or bench warrant.
Custody of the Person under Arrest
A proper arrest also requires that there be actual or constructive seizure of the
person by the arresting officer. Actual seizure may be defined as direct physical control
of the person (e.g., handcuffed), while constructive seizure is where a reasonable
person knows that he or she is not free to leave (e.g., surrounded by officers). If there
is no restraint of the person's liberty, there is no custody, and thus no arrest. However,
where an officer attempts to place someone in actual custody and announces his or her
intention to arrest, it is an arrest, even though the officer may not succeed in stopping or
holding the person because they resist and flee. Remember that verbal commands
alone (e.g., "hands up!" or “stop!”) have been held insufficient for an arrest.
Recognition by the Person Arrested
The arrested persons must know they are being arrested. This element is
ordinarily shown when the officer communicates his or her intention that the person is
under arrest. This is also accomplished when the circumstances are such that a
reasonably prudent person would know they are under arrest. In all cases where there
is no physical or actual seizure, the intentions of the parties become especially
important since there must have been intent and purpose on the part of the officer to
arrest the suspect along with an intention by the suspect to submit under the belief that
such submission was necessary.

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The Importance of Satisfying Each Element
The determination of when an arrest has been made and whether it is based on
probable cause has great importance in the criminal justice system. Once a lawful
arrest is established, prosecutors (“A.D.A.’s”) can argue that evidence was lawfully
seized. This can consist of: evidence seized from the defendant’s person, or area of
control; evidence properly recovered from defendant’s auto pursuant to search or
inventory; or any statements made to police. Conversely, evidence seized or
statements made after an unlawful arrest cannot be used to validate an arrest not based
on probable cause. Courts will always consider THE actions of the police officer to
make the appropriate determination.
Rights of the Defendant
Once the arrest is made, the defendant must be fully advised of his or her
constitutional rights in the form of Miranda warnings, prior to questioning. (This will be
discussed in greater detail in a separate chapter).
WHO MAY ARREST?
There are three categories of persons who are authorized to effect arrests
without arrest warrants. Each category is different from the other. The categories are
(1) police officers, (2) peace officers, and (3) private persons/citizens. The arrest
powers of each group differ. Therefore, before we begin, a distinction must be made
between peace officers and police officers. The Criminal Procedure Law enumerates
dozens of agencies whose members or employees are designated police officer and
peace officer.
The term "police officer" applies to members of duly organized police forces such
as municipal police departments and/or sheriffs departments. "Peace officer" refers to a
different category of law enforcement persons including court officers, parole and
probation officers. A complete list of both police officer and peace officer titles may be
found in the Criminal Procedure Law, Sections 1.20 (34) and 2.10 (1-54).
The police officer has the main, and often the sole, power and obligation with
respect to enforcement of the criminal law. An example of your sole power is the
authority to stop, question, and frisk individuals under certain circumstances. This
particular power applies only to police officers and does not apply to peace officers.
(Exception: peace officers who provide security for courts in New York State may also
utilize the stop and frisk laws under certain circumstances.)

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GEOGRAPHICAL AREA OF EMPLOYMENT OF POLICE OFFICERS
(“G.A.O.E.”)
The boundaries of the State of New York make up the geographical area of
employment of police officers employed by New York State, or any authority that
function throughout the state (i.e., New York State Police). The county, city, town or
village that employs the police officer is considered to be his/her geographical area of
employment.
If the local government functions in more than one county, the geographical area
of employment of a police officer employed by the local government extends throughout
all such counties; for example, New York City police officer's geographical area of
employment is the five counties – or boroughs - of New York City (Manhattan, Brooklyn,
Queens, Staten Island, and the Bronx).
ARRESTS WITHOUT A WARRANT BY POLICE OFFICERS
As a New York City police officer, it is essential that you have a thorough
understanding of Article 140 of the Criminal Procedure Law. This law provides police
officers the authority to arrest for crimes and petty offenses.
When and Where Authorized
A police officer is authorized to make an arrest at any hour of the day or night.
The following is a list of rules, pursuant to C.P.L. Article 140, that must be adhered to in
order to legally arrest a suspect:
Crimes (Felonies and Misdemeanors)
When Committed: You may arrest when you have reasonable cause to believe
that a person has committed a crime, whether in your presence or not, and the
crime is committed in New York State.
Where You May Arrest: You may arrest anywhere in New York State. In
addition, if necessary, you may pursue the suspect outside of New York State
and arrest in any state that contains provisions equal to those of the "Uniform
Close Pursuit Act, Section 140.55” of the Criminal Procedure law.
Note: States adjacent to New York State have these provisions.

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Petty Offenses (Violations and Traffic Infractions)
When Committed: You may arrest when you have reasonable cause to believe
that a person has committed a violation or traffic infraction in your presence and
in your GAOE (within the five boroughs of New York City).
Where You May Arrest: You may arrest the suspect in the county of
commission or an adjoining county. Furthermore, you are permitted to follow a
suspect in continuous close pursuit throughout New York State and apprehend
the suspect in any county of New York State. The Criminal Procedure Law
extends the officer’s arrest power one-hundred (100) yards beyond his/her
Geographical Area of Employment, for Petty Offenses.
Petty Offense Exceptions
There are three exceptions to the general requirement that arrests for
petty offenses may be made only when the offenses are committed in the
officer's presence:
1.

As per V.T.L. Section 602, An arrest for Leaving the Scene of an
Accident Without Reporting - a traffic infraction (V.T.L. sections 600 and
601) - may be made, even if not committed in the officer's presence,
provided the officer has reasonable cause to believe the offense was
committed by a certain individual.

2.

As per V.T.L. Section 1194, an arrest for Operating a Motor Vehicle
While Under the Influence of Drugs or Alcohol - a traffic infraction
(V.T.L. section 1192) - may be made, even if not committed in the officer's
presence, provided it occurs in conjunction with a vehicle accident or
collision.

3.

As per Patrol Guide 209-09, a uniformed member of the service assigned
to the Highway Unit may serve a summons for an offense not personally
observed which is revealed as a result of a vehicle accident
investigation.

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ARREST CHART- This chart summarizes the Law of Arrest for N.Y.P.D. officers:

Type of
Offense

Crimes
(Felonies
or
Misdemeanors)

Petty Offenses
(Violations or
Traffic
Infractions)

Standard
of Proof

In
Presence?

Probable
Cause

Yes or No.
May arrest
whether
committed in
your
presence or
not.

Probable
Cause

Yes.
May arrest
only if
committed in
your
presence.

Where
Committed?

N.Y.S.

G.A.O.E.
(N.Y.C.)
* Extends 100
yards beyond GAOE

Where can
you arrest?

Close
Pursuit?

Anywhere
in N.Y.S.

Yes. May
pursue
anywhere to
any state that
has similar
close pursuit
provisions.

G.A.O.E.
(N.Y.C.) and
adjoining
counties
(Nassau &
Westchester)

Yes. May
pursue and
arrest
anywhere in
N.Y.S.

Note: For arrest purposes, the five (5) boroughs (counties) of New York City are
considered one (1) county.
ANNOUNCING YOUR POLICE AUTHORITY
When you arrest someone, you must inform the person of your authority,
purpose, and the reason for the arrest unless:
1.
2.
3.

You encounter physical resistance; or
You encounter flight on the part of the suspect; or
Other factors make it impractical.

Examples:
•
•
•
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While attempting to physically apprehend the suspect, he pushes you.
You approach a suspect to effect an arrest and the suspect runs away.
While arresting a person at a demonstration, a crowd begins to gather. In
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this case, you take the suspect to another location and advise him or her
of the arrest.
PHYSICAL FORCE
You are authorized to use physical force in making the arrest as permitted by
Article 35 of the Penal Law. As a New York City police officer, you are also required to
comply with New York City Police Department policy relating to the use of force as
outlined in the Patrol Guide, Legal Bureau Bulletins, Interim Orders, and other
Department directives. This area is discussed in greater detail in the chapter on “The
Use of Force.”
UNIFORM CLOSE PURSUIT OUTSIDE OF NEW YORK STATE
A police officer may arrest a person for a crime anywhere in New York State, on
reasonable cause to believe, whether or not committed in his or her presence.
Additionally, if necessary, an officer may pursue a suspect out of New York State if in
continuous and close pursuit. You must remember that this procedure only applies to
crimes and not petty offenses.
UNIFORM CLOSE PURSUIT ACT
(C.P.L. Section 140.55)
1.

Close pursuit is defined as the unrelenting continuous pursuit immediately
after commission of a crime or an escape.

2.

A peace officer may arrest the suspect in another state.

3.

The act committed must be a crime in both states.

4.

Arrests made after close pursuit are honored in New York only if the
arresting officer's state has a similar close pursuit law that authorizes our
police officers to arrest in close pursuit in the other state.

5.

Persons arrested must be brought before the local criminal court
immediately to determine if the arrest was made in close pursuit.

6.

If such a determination is made, the prisoner is given to the custody of the
arresting officer for return to the other state for trial.

7.

If the arrest was not made in close pursuit, the prisoner will be released.

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CLOSE PURSUIT FOR PETTY OFFENSES
A New York City police officer may arrest a person for committing a petty offense
within New York City on reasonable cause to believe and may effect the arrest in New
York City, Nassau or Westchester County. Furthermore, if necessary, a police officer
may pursue the person continuously and closely through any county of New York State
to make the arrest.
LIMITATIONS OF WARRANTLESS ENTRIES OF PRIVATE PREMISE
IN ORDER TO MAKE ROUTINE ARRESTS
In 1980, the U.S. Supreme Court, in two separate decisions involving New York
cases, Payton v. New York and Riddick v. New York, prohibited the routine summary
arrest of a person within a private residence unless one of the below listed conditions is
present:
1.

Exigent circumstances exist; or

2.

The officer has consent of a co-occupant; or

3.

The officer has a warrant.

Prior to these decisions, it was commonplace that the routine seizure of a person
included the right to a warrantless entry into private premises without applying the rules
typically required for the seizure of evidence.
The Court rejected this idea and ruled that the same conditions apply to the
seizure of persons and property. Therefore, you must be prepared to explain your
reasons for going into a private premise without a warrant to effect an arrest. The
burden of establishing a lawful basis for going into a suspect's home without a warrant
(consent, emergency exigent reasons, etc.) will be upon you as the arresting officer.
For a further discussion regarding entering a private residence to effect an arrest see
Legal Bureau Bulletin Vol. 10 No. 4.
ARREST BY A PRIVATE PERSON (CITIZEN'S ARREST)
New York State Law permits private persons to make arrests for offenses that
are committed in New York State. These arrests require a higher level of proof than
those made by police officers. Stated simply, citizens are not permitted to make
mistakes. The rules of arrest for private persons state that a private person may arrest
for an offense only when the defendant has in fact committed the offense in question.
There are additional restrictions for private persons making arrests; thus a private
person may arrest as follows:
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When:
1.

For a felony which has been in fact committed by the person arrested (in
presence or not).

2.

For any offense in fact committed in arresting person's presence.

Where:
1.

For a felony, anywhere in New York State.

2.

For a misdemeanor or petty offense, only in the county of commission.

Note: As with police officers, New York City is considered one county for arrest
purposes.

ARREST WITH A WARRANT
Laws regarding arrests with a warrant are codified under C.P.L. Article 120. In
addition and as previously discussed, the Fourth Amendment to the Constitution
provides the basis for the law itself. It states: "...no warrants shall issue but upon
probable cause, supported by oath or affirmation and particularly describing the place to
be searched, and the persons or things to be seized."
The Fourth Amendment was intended to protect individuals from illegal seizure of
their person; that is, an illegal arrest. In addition, the probable cause basis for the
warrant must arise before the warrant is issued and must be presented to a judge in the
form of a sworn affidavit. The judge will then issue the warrant if he or she finds that
there is sufficient probable cause. You should remember that the sole function of an
arrest warrant is to get the defendant into court for the purpose of arraignment in a
criminal action.
The Criminal Procedure Law provides that an arrest warrant may be addressed
to any police officer or classification of police officers whose geographical area of
employment includes either: (1) the place where the offense was committed; or (2) the
locality of the court issuing the warrant.

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PARTICULARS RELATING TO ARRESTS
The “No Sock” Law (P.L. 35.27)
A person may not use physical force to resist an arrest that is being effected or
attempted by a police officer or a peace officer when it would reasonably appear that
the person making such arrest is a police officer or peace officer.
Persons Aiding in an Arrest (P.L. 195.10)
Any person who, after being commanded by a peace or police officer, identifiable
or identified to him as such, reasonably fails or refuses to aid such peace officer or
police officer in making an arrest, or in preventing the commission by another person of
any offense, is guilty of Refusing to Aid a Peace Officer, a class B misdemeanor.
Onlookers at the Scene of an Incident
When a police officer arrests a person in a public area, other persons in the area
may remain in the vicinity of the arrest as onlookers. The right to observe is limited by
reasons of safety and allowed as long as there is no substantive violation of law.
Actions such as speech alone, making notes of shield numbers or names, taking
photographs or videotaping, or remaining in the vicinity of a stop or an arrest do not
constitute probable cause for arrest or detention of an onlooker. (See P.G. 208-03,
page 10).
SPECIAL ARREST SITUATIONS
In the course of your duties, there will be occasions where special procedures
take effect when you arrest certain persons. The following selected Patrol Guide
sections discuss these procedures. As the arresting officer it is your responsibility to
comply with these procedures.
Diplomats and Foreign Nationals (P.G. 212-56)
New York City, as the headquarters of the United Nations, is home to
ambassadors and other public ministers, along with their secretaries, advisors,
attachés, assistants, families and staff. Persons who hold such title and are accredited
by the United States Government possess diplomatic immunity from all arrests. This
means that they cannot be arrested or issued a summons. You should contact the
Operations Unit to verify the diplomatic status, if such status is in doubt. You should
also request the response of the patrol supervisor. In all incidents involving diplomats
you should:

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1. Obtain the name and title of the individual concerned, the name of the
government represented and the names and addresses of witnesses; if a
motor vehicle is involved, write down the plate number of the vehicle.
2. Immediately notify the Operations Unit, patrol supervisor, Intelligence
Division and desk officer concerned, and provide full details of the
incident.
3. Do not detain an individual entitled to diplomatic immunity once his identity
and status are satisfactorily established. You should remember when
dealing with diplomats, that they are here as guests of the United States
Government. They should be afforded every courtesy possible. If the act
that they have committed would be considered a crime, P.G. 212-56
should be followed so that the Department of State may take appropriate
action.
Juvenile Delinquents (P.G. 215-09)
A juvenile delinquent is a child who is at least seven (7) and less than sixteen
(16) years of age, who commits an act which, if committed by an adult, would constitute
a crime. A juvenile delinquent may sometimes be processed with a Juvenile Report but
must be taken into custody and charged with juvenile delinquency for the following (1)
felony, (2) Unlawful Assembly, or (3) any misdemeanor listed in the "Photographable
Offenses" procedure found in P.G. 208-07. Section 305.2 of the Family Court Act gives
peace officers and police officers the authority to take children into custody.
Juvenile Offenders (P.G. 215-10)
A juvenile offender is a child between the ages of 13 and 15 years old who
commits certain serious felonies. A juvenile offender is treated in the court system as
an adult.
Note: Additional information regarding juvenile delinquents/offenders will be provided in
a later chapter of this guide.

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HOMEWORK QUESTIONS
1.

2.

Probable cause is necessary before an arrest can lawfully be made. If a police
officer was to find a loaded weapon without first having probable cause on a
suspect and arrested him:
A.

The loaded weapon would be admissible.

B.

The arrest would be appropriate.

C.

The weapon would not be admissible.

By definition, probable cause exists if facts and circumstances known to the
officer would cause him/her to reasonably believe that :
________________________________________________________ and
____________________________________________________________.

3.

Police Officer Jones has probable cause to believe that Mr. Smith has committed
a crime. Mr. Smith is, in fact, innocent. If the officer arrests Smith, would it be an
illegal arrest and would Police Officer Jones be liable in a civil lawsuit?
Explain.

4.

In order to decide whether the police have probable cause, the facts are weighed
according to what they mean to the experienced police officer, not to a layman.
TRUE __________

FALSE __________

Why? Explain your answer.
5.

An officer on patrol observes activity that gives her reasonable cause to believe
that a larceny of an auto is being committed in her presence. She arrests the
suspect and searches him. She finds narcotics in his left pocket but the auto
turns out to be the suspect's. Would the narcotics be admissible in court?
YES __________

NO __________

Why? Explain your answer.
6.

List the 4 elements of an arrest.

7.

How is constructive seizure different from actual seizure?

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HOMEWORK QUESTIONS (cont.)
8.

When may a police officer make an arrest without a warrant?

9.

Why is geographical area of employment important to a police officer when
arresting a person?

10.

What are the basic differences in arrest powers of civilians and police officers?

11.

What is meant by the "No Sock Law"?

12.

Why are diplomats and other people handled in different manners?

13.

What are the special procedures in handling juveniles?

14.

Police Officer John Dean, while on patrol in Manhattan, observes three males
engaging in violent and tumultuous (loud) behavior. The offense is called
disorderly conduct, which is a violation. He approaches them and they run,
escaping the approaching officer. Based upon these facts, answer the following
questions.
A.

If P.O. Dean observes one of the males on his way home in Westchester
County, can he now arrest the suspect?
Why? Explain your answer.

B.

If P.O. Dean was able to continually pursue the males from the time he
observed them in Manhattan until he caught them in Suffolk County, would
the arrest be valid?
Why? Explain your answer.

15.

A man who was involved in a car accident approaches you and asks you to
follow him to the scene. You follow him to the scene of the accident where the
other motorist is waiting. Then, the man that you followed to the scene angrily
states to the other motorist, “Now explain to the cop why you ran the light and hit
my car.” You then ask the motorists not to argue, and then ascertain if there are
any injuries. After finding that there are no injuries, you gather all credentials
from both motorists.
What is your next course of action? Why? Explain your answer.

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HOMEWORK QUESTIONS (cont.)
16.

You are standing on the subway platform when you hear two people arguing at
the top of the steps leading to the mezzanine. After reaching the top of the steps
to see what is happening, you are approached by a woman holding her face and
crying. She tells you that her boyfriend slapped her, and that she wants him
arrested. You see no visible injuries. She points to young male walking up
towards the platform.
What is your next course of action? Why? Explain your answer.

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Legal Bureau Bulletin Index
For more information on this topic, read the following Legal Bureau Bulletins:
1.

Vol. 2 No. 9, “PROBABLE CAUSE TO MAKE AN ARREST,” People v. Freddy
Meyers (1972).

2.

Vol. 5, No. 9, “PROBABLE CAUSE BASED ON TELETYPE MESSAGE,” People
v. Lypka (1975).

3.

Vol. 9, No. 4, “DETENTION OF A PERSON ON LESS THAN PROBABLE
CAUSE,” People v. Dunaway (1979).

4.

Vol. 11, No. 2, “PROBABLE CAUSE IN NARCOTICS CASES,” People v.
McRay/People v. Charles J./People v. Hester (1980).

5.

Vol. 18, No. 1, “PROBABLE CAUSE,” People v. Acevedo (1982).

6.

Vol. 18, No. 6, “SEARCH AND SEIZURE – INFORMATION SUPPLIED BY AN
INFORMANT,” People v. Griminger (1988).

7.

Vol. 6, No. 6, “IMMIGRATION LAWS,” United States Code, Title 8, Section 1357.

8.

Vol. 10, No. 4, “ARRESTS WITHOUT WARRANTS,” Payton v. New York/
Riddick v. New York (1980).

9.

Vol. 11, No. 5, “WARRANTLESS SEARCH OF THIRD PARTY HOME,” Steagald
v. United States (1981).

10.

Vol. 20, No. 8, “THE PAYTON RULE - ARREST IN THE HOME WITHOUT A
WARRANT,” Minnesota v. Olson (1990).

11.

Vol. 21, No. 6, “THE AUTHORITY OF BAIL BONDSMEN.”

12.

Vol. 23, No. 5, “THE ‘AGUILAR/SPINELLI’ TEST – PROVING THE RELIABILITY
OF AN INFORMANT,” People v. DiFalco (1993).

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Use Of Force

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT USE OF FORCE?
Egon Bittner, a police scholar, has a good answer to this question. He suggested
that the reason the police exist is that, when all else fails, civilized societies need some
way to forcibly maintain order and protect the public, and that the police have been given
this job. As Bittner sees it, the thing that makes police unique is that they are given more
leeway than anybody else in using or threatening to use force. According to him, other
organizations could perform many of the service functions of the police – handling Aided
and Accident Cases, looking for lost children, helping people who have locked
themselves out of their apartments. But, he argued, only the police can handle situations
that already are violent or that have the potential for becoming so. In most of these
situations – enforcing laws, chasing disorderly groups, maintaining order at parades and
demonstrations, breaking up street fights, resolving domestic disputes – the people
involved typically follow the directions of the police because they know that, if they do
not, the police have the authority to force them to do so.
When police officers ask traffic violators for their licenses, for example, the
violators typically turn them over because they know that, if they do not, the police have
the authority to arrest them, using whatever force is necessary to do so. When asked to
do so by police officers, noisy kids usually leave their street corners not because they
want to, but because they know that officers can forcibly maintain order in these
situations by arresting them. One reason to know about force, therefore, is that you will
soon be authorized to use more of it than anybody else in our society.
But society will only reluctantly give you the authority to use force, and will
demand that you use no more of it than is reasonably necessary. As a result, you also
need to know how to avoid using force when it is possible to do so; how much force you
may use in different situations; and how you will be held accountable for using no more
force than is allowed. You will obviously be held accountable for using force lawfully, but
you will also be required to follow the Department’s far more restrictive policies and rules
related to use of force.
Ordinary citizens also are authorized to use force in some situations and, if you
are to properly enforce the law, you need to know the differences between legal and
illegal use of force by citizens.
The material in this chapter deals with life and death issues so that, before you
will be permitted to carry a firearm, you must fully understand it. You must learn how to
define and apply force in a way that is consistent with the law and the New York Police
Department’s responsibility to protect life. You must be able to apply the contents of this
chapter and Patrol Guide Sections 203-11 and 203-12 regarding the use of force.
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HOW MUCH FORCE IS REASONABLE AND NECESSARY?
Police officers are granted a number of options or tools that can be used to gain
compliance or to restrain the behavior of others in different situations. When used as
authorized by law and Departmental policies, these tools provide the flexibility that you
will need to meet your responsibility to protect life and liberty while also gaining the
cooperation of individuals who may put up varying degrees of resistance. Skilled use of
these options require that you use no more force than is appropriate to the situation. In
this section of this chapter, we describe the method the Department has developed to
help you quickly analyze situations and to choose from various force alternatives the
ones that are most appropriate. First, however, we briefly discuss your responsibility for
avoiding the use of force whenever it is possible to do so.
Avoiding the Use of Force
In this chapter, you will learn about both the legal standards for the use of force
and about the police professional standards reflected in the Department’s policies and
rules. The first thing you should know about these is that they are not the same. The
legal standards on use of force generally are found in the New York State Penal Law
sections on Justification, as well as in federal court interpretations of the Constitution.
These draw the distinction between force that is legally justifiable and force that is
criminal. If you follow the legal standards, therefore, you will not be charged with any
crimes; but this does not mean that the Department will approve all legally justifiable
uses of force. This is so because the Department’s standards for use of force are more
restrictive than the legal standards, and not all legally justifiable force is acceptable in
this agency.
The Penal Law says nothing about using your firearm to defend yourself against a
person in an oncoming car, for example, so that doing so would not be likely to result in
criminal charges. The Department, however, prohibits the use of deadly force against
the occupants of moving vehicles except in situations in which the vehicle occupants are
using deadly force by means other than the vehicle. In practical terms, this usually
means that NYPD officers cannot shoot at moving cars unless they are under fire from
the occupants of such cars. Violating this policy – by shooting at an oncoming car when
its occupants are using no other force – may involve no crime on the part of the officer
involved, but is very likely to result in disciplinary action.

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In much the same way, the legal standard for use of force focuses upon the
circumstances that exist at the instant that officers use force. If, for example, an officer
has reason to believe that his or her life is in real danger at the instant he or she shoots
the person presenting the danger, the shooting is very unlikely to result in any criminal
charges. But, in determining whether a use of force was within policy, the Department
will look not only at the circumstances at the instant force was used, but also at factors
that helped to create these circumstances. In such cases, the tactics used by officers
will come under careful review by the Department.
Here’s an example: Officer Adams responds to a report of an emotionally
disturbed person (EDP) who is wielding a knife. Instead of following approved
procedures for such a situation – by trying to contain and calm the EDP and to talk him
into custody – Adams challenges the EDP. He draws his firearm, walks up on the EDP,
and loudly demands that the EDP drop his knife immediately. All of this agitates the
EDP even further, and he suddenly runs at Adams with his knife raised. At that point,
Adams’ life is in imminent danger, and he shoots the EDP.
In such a case, the District Attorney might not indict Adams because, at the
instant he fired, Adams had reason to fear that his life and safety were in imminent
danger from the EDP. The Department is very unlikely to be so generous to Adams,
however, and is likely to discipline him for unnecessarily forcing this confrontation and
helping to create the circumstances that gave Adams no choice but to shoot in order to
save him.
Thus, even though a shooting or other use of force may be legally justifiable, it is
likely to result in Departmental discipline if it occurred because an officer unnecessarily
put himself or herself in harm’s way by using poor tactics or by violating other
Department procedures. Because the Department takes its responsibility to protect life
so seriously, officers who have to hurt or kill people in order to get themselves out of
danger- that they should have avoided by using proper tactics - are very likely to be
disciplined.
Such cases also are likely to result in civil suits against officers and the
Department. In civil court, as in Departmental proceedings, the focus also is upon the
tactics used by officers immediately prior to the use of force, and upon whether improper
tactics contributed to the need for force that could otherwise have been avoided. If an
attorney in such a case can show that officers violated Department policy or did not act
as they were trained to act in such circumstances, the officer and the Department are
likely to lose.
In such cases, the Department and officers also lose in terms of public trust and
credibility. Citizens expect that we will act with restraint and concern, and that we will do
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whatever is possible to avoid having to resort to the use of force. This is especially true
in cases involving emotionally disturbed persons, angry kids, domestic disputants, and
others who are not hardened criminals. Right or wrong, when officers use force against
such people, critics have something to say about it. But, regardless of whether it is
legally justifiable, the use of force in situations in which officers have engaged in
unnecessary confrontations or otherwise used bad tactics alienates the people who most
need us and damages our relationship with the whole community.
Clearly, it is in everybody’s best interest if, whenever possible, officers avoid the
use of force. This is not always easy and, in subsequent chapters, as well as in Physical
Training and Tactics and at the Outdoor Range, you will learn techniques that have
helped officers in avoiding force in specific situations. For now, be aware that tactics is
the science of structuring potentially dangerous confrontations in ways that keep the use
of force to a minimum and that best assure the safety of the public, officers, and
suspects.
Good tactics is intelligent policing. Good tactics save lives and have meant that,
year in and year out, NYPD officers are less likely than officers in other large police
departments to hurt and kill people or to be hurt and killed. We value good tactics highly,
and will expect you to use them in every encounter you have. Thus, you will learn a lot
about them here and throughout your career.

WHAT IS THE PURPOSE OF POLICE FORCE?
It is critical that you understand the authorized purposes of police use of force. In
the most general terms, in certain situations (which we’ll define later), the police are
permitted to use force to stop people from doing things that are illegal and/or dangerous
to themselves or others; or that threaten public order; or to take people into custody to
answer for criminal behavior. Thus, in some carefully delineated situations, the police
can use force to take control of people who would otherwise be imminent threats to the
lives and safety of innocent people or even themselves; or who otherwise would
successfully complete or escape from crimes; or who otherwise would threaten public
order. Officers cannot arbitrarily select from the force options available to them,
however. As you will see below, the amount of force you are permitted to use must be
carefully matched to the nature of the situation you are confronting and the danger it
presents.

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The police are not authorized to use force to punish people, or to teach them
lessons: when police officers do this, they engage in criminal brutality. To paraphrase
the United States Supreme Court, the police may use force only to take control of people
who cannot otherwise be controlled. When police use force against people who can be
controlled in other ways, they act wrongly.
Even when police use of force to control people is fatal, the Supreme Court has
stated that police use of force is a form of seizure. Therefore, in determining whether
police have used force reasonably, the federal courts use a Fourth Amendment test that
uses a single question: was the force used reasonable and necessary to seize, or bring
under police control, the person against whom it was used?

THE ESCALATING SCALE OF FORCE
Because the term reasonable and necessary is a bit vague, we have developed
an escalating scale of force to clarify it, and to assure that NYPD officers’ actions always
pass this constitutional test. The scale matches several general types of situations or
provocations with the degree of force that is reasonable and necessary for each. As you
study the scale, it is important to keep in mind that the techniques described below are
not necessarily to be applied one after the other in an escalating manner. One of the
lowest levels of force on this scale, for example, is verbal persuasion, which generally
consists of making requests of citizens and attempting to calmly convince them to
comply with your wishes. This technique is appropriate in minor situations, in which the
potential for violence is remote. In such cases, like noise complaints or routine traffic
stops, it is appropriate to engage in verbal persuasion – “Hey, guys, we’re getting
complaints about the noise. Why don’t you turn down the radio and leave the corner?” or
“May I see your license, registration, and proof of insurance, Ma’am?” In more serious
cases, you will begin your encounters much higher up the scale than this.
When confronting a suspect in the midst of an armed robbery, trying to use verbal
persuasion (“Pardon me, Sir, but you are engaged in a violent felony. Please stop
pointing your gun at that cashier and put it down”) would be both insufficient and very
dangerous. In such a situation, it would instead be reasonable and necessary for you to
begin somewhat higher up the scale, by taking cover, drawing your weapon, pointing it at
the suspect while he is in a vulnerable position (e.g., when he is totally exposed and/or
looking in another direction), and shouting the Department challenge “POLICE! DON’T
MOVE!” When you do this, you are protected by both your cover and the advantage of
having the suspect in your gun sights. This will leave the suspect to decide whether you
move further down or up the scale. If, as almost always happens, the suspect realizes
that he has no real choice but to surrender, you will be able to move down the scale and
to take him into custody. When this happens, your good tactics will have made it
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possible for you to avoid using higher degrees of force while still taking the suspect into
custody.
If, on the other hand, the suspect tries to shoot it out with you, you probably will
have to move up the scale, and use deadly force. If this happens, your good tactics and
his foolhardiness will protect you and make him a certain loser. Behind your cover and
backed by your partner, you will be a small target and the suspect will be a big one.
You, and your partner, will already have the suspect in your gunsights, but he will have
to turn, find you, and point his gun at you before he can fire.
Whether such a situation results in a quiet arrest or an unfortunate shooting, the
Department will recognize that you did everything possible to avoid using deadly force. If
you did have to use your firearm in such a situation, the Department will recognize that
doing so was both a reasonable and necessary reaction to the suspect’s decision to
attempt to fight rather than to surrender.

SCALE OF ESCALATING FORCE
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Provocation or Condition

Appropriate Force Response

Imminent threat of death or serious
physical injury

Deadly force: usually the firearm.

Threatened or potential lethal assault

Drawn and/or displayed firearm

Physical assault likely to cause physical
injury
Threatened or potential physical assault
likely to cause physical injury
Minor physical resistance: grappling,
going limp, pulling or pushing away, etc.

Impact techniques: batons, fists and feet.

Verbal resistance: failure to comply with
directions, etc.

Refusal to comply with requests or
attempts at persuasion (see below)

Minor violations or disorderly conditions
involving no apparent threats to officers or
others
Orderly public places

Pepper Spray
Compliance techniques: wrestling holds
and grips designed to physically overpower
subjects and/or to inflict physical pain that
ends when the technique is stopped and
that causes no lasting injury.
Firm grips on arms, shoulders, etc., that
cause no pain, but that are meant to guide
people (e.g., away from a fight; toward a
police car)
Command voice: Firmly given directions
(e.g., “I asked for your license, registration,
and proof of insurance, Sir. Now I am
telling you that if you don’t give them to
me, I will have to arrest you.”
Verbal persuasion: Requests for
compliance (e.g., “May I see your license,
registration and proof of insurance, Sir?”)
Professional presence: The officer on
post deters crime and disorder; the
Highway Unit deters speeding.

In increasing order of severity, the steps on this escalating scale are as follows:

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Professional Presence
Preventive policing is based on the idea that the visible, professional presence of
uniformed police officers deters crime and maintains order. Even without speaking to
people or interacting in any way with members of the public, uniformed officers –
whether in cars, or on bikes, motorcycles, horses, scooters, or foot – have an enormous
effect on the conduct of people on the streets and the quality of life on them: merely by
their presence, officers persuade people to act in legal and orderly manners. It is not
enough to merely be there, however. Whether assigned to routine patrol or some
special detail (like a labor dispute or a sporting event), uniformed officers must present
themselves as unbiased, knowledgeable, competent, and capable. In doing so, they
should keep in mind that the best way to maintain order and to assure citizens’
compliance with the law is to win their cooperation voluntarily, rather than to do so
forcefully.
This last point – the need to win voluntary compliance with the law – is an
important one. More than a generation ago, the great African-American writer, James
Baldwin, wrote that many inner-city people regarded the police as soldiers in an
occupying army, on duty and present to forcibly keep local residents in line. Clearly,
Baldwin saw the police as apart from the community. The Department did little to
change this view: at the time, officers wore no name tags and the NYPD had a regulation
prohibiting officers from engaging in “unnecessary conversation” with citizens. We have
learned a lot since then and, as you become a professional presence on our streets, you
should instead strive to become a part of the community. Do not be a forbidding
presence: talk to people; get to know them and their problems, and what you might be
able to do to help them. If the community gets to know you, trust you, and know that you
are interested in them and their problems, your work will become much easier and more
rewarding and, in the long run, you will be less likely to have to resort to higher degrees
of force to get your job done.
Verbal Persuasion
Verbal persuasion provides a second means by which police officers can gain
compliance. In some situations police presence is not enough to convince people to
behave appropriately. In other cases, you will come across persons who have
committed minor violations and will have to obtain their identification so that you can
issue summonses to them. When this is so, you will have to talk with them. Whenever
possible you should do this in a friendly way, by making requests or suggestions: It
always is to your advantage to convince suspects and others to peacefully submit to
your authority so that, whenever possible, verbal persuasion is preferable to physical
force.
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Command Voice
When persuasion, or rational urging, is not appropriate to a situation or does not
get the desired results, a command, the next level on the scale, may suffice. Here, you
should let people know, firmly and authoritatively, that you mean business, and that it is
in their best interest to submit to you. In most situations, proper use of this technique
gets the desired results, and makes it unnecessary to resort to actual physical force.
Commands should be given clearly and without profanity. Swearing, in the manner of
movie and TV police, is offensive and causes people to question both your authority and
professionalism which might make things worse rather than better. It also is a cause for
discipline, and should be left to the movie cops.
The advantages of verbal means of coercion have been proven by our
Department's Hostage Negotiation Team, which consistently defuses extremely volatile
situations without going beyond the use of verbal force. Their experience has taught us
that a well-trained officer is able, in many situations, to combine requests, commands,
and appeals to reason in order to successfully convince a suspect of the futility of
continuing or engaging in violent or evasive behavior. In many situations, the suspect
who is being arrested offers resistance partly because he or she is anxious about what
will follow. A simple explanation given by the arresting officer may alleviate the subject's
fears and allow him or her to peacefully surrender.
When dealing with emotionally disturbed persons, keep in mind that commands
are likely to increase their anxiety and to make them even more difficult to subdue. As
long as nobody is in imminent danger, therefore, officers should try to stabilize EDP
situations through persuasion and by taking as much time as necessary to talk them into
custody without resorting to commands or higher levels of force. By definition,
emotionally disturbed persons are irrational, so that it is difficult to intimidate them.
Instead, commands, directions, and orders may simply increase these persons’ paranoia
and fright, causing violence to increase, rather than decrease.
Physical Force: Hands-On Techniques
Thus far, we have discussed only verbal techniques that do not involve physical
contact with subjects. Although these almost always convince people to obey the law or
to submit to officers’ authority, there are situations in which higher levels of force must be
used. As we move further up the scale, these techniques involve the use of increasing
degrees of physical force, beginning with firm grips and moving to compliance holds.
Firm Grips
A firm grip is a form of persuasion that involves actual contact with a subject who,
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usually, has not been responsive to persuasion or commands. A firm grip is a hold on an
arm, shoulder, or other body part that is not intended to cause pain or to physically
disable a subject. Instead, it is used to gain a subject’s undivided attention, to reinforce
verbal techniques and, usually, to move or guide a person from one place to another. In
responding to disputes, for example, officers may find that disputants are so involved in
arguing with each other that they do not – or choose not to – hear officers’ commands to
break it up. In such cases, officers can use firm grips, usually on shoulders or biceps, to
gain the subject’s attention and to turn them and lead them away from their disputes. In
other cases, subjects of stop and frisk encounters may resist officers’ verbal attempts to
assume positions in which they may be frisked: a firm grip on the arm which guides them
to a wall or car is usually enough to do the job. Similarly, drunk driving suspects
frequently try to talk officers out of conducting field sobriety tests: in such cases, a firm
grip may be a useful way of moving them to a location where they can safely be tested
out of the way of traffic. When officers place firm grips on subjects, they are saying, in
effect, that they mean business, and are sending subjects a clear message that
continuing resistance will result in the application of greater degrees of force.
Compliance Holds
In some situations – like responses to assaults or fistfights in progress – it will be
clear from the start that firm grips are not likely to restore order. In other situations,
subjects’ active resistance to firm grips will require that the level of force be increased. A
person who is not actively attempting to hurt officers, but who is resisting arrest by
squirming, pulling or pushing away, or attempting to flee is a suitable candidate for
compliance holds. In your tactical training, you will be taught a variety of these holds,
mostly arm locks and wrist holds that gain compliance by causing temporary pain that
ends as soon as, or shortly after, subjects comply. One additional technique is speed
cuffing, which involves distracting a subject and applying handcuffs in a way that causes
temporary discomfort and compliance. Other compliance techniques involve simply
overpowering a resistant subject by forcing him or her up against a wall or to the ground
in ways that usually involve more than one officer and that do not inflict pain. During
your tactical training, you will learn a number of these techniques.

Before employing any compliance technique, there are several things to keep in
mind:

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•

The purpose the police using force is to gain control of people, and
not specifically to cause pain. The police are on the scene to control
and/or to arrest; not to punish. Our job is to restore order and to take
people into custody. Sometimes, unfortunately, we have to hurt people to
do this job; but whatever pain we have to inflict should be as little and as
temporary as possible, and should be for no purpose other than to gain
control of people who cannot otherwise be controlled.

•

When in doubt that a firm grip or compliance technique will succeed,
don’t use it. Using any firm grip or compliance technique requires you to
come into actual contact with subjects who are not yet in custody or
control, and thereby compromises the security of your firearm and any
other weapons (baton; OC spray) that are within the suspect's grasp. This
is a serious concern: around the United States, about 15 percent of all
officers who are shot in the line of duty are shot with their own weapons
after they have been disarmed of them. Thus, you should enter into
hand-to-hand confrontations only when you are virtually certain that
your strength and skills are adequate to decisively control a subject.
Often, this means that you should not engage alone in forcible hand-tohand contact with subjects: it is your responsibility to protect life, to
enforce the law, and to maintain order: it is not your responsibility to be
able to physically overpower everybody who refuses to submit to
your authority. If you find yourself alone in a situation in which you must
subdue someone who has not submitted to persuasion or commands, you
should call for assistance before physically confronting the subject. If
there is no time to wait for help – as when the subject warns you that he or
she intends to leave and will fight you if you attempt to stop him or her –
the subject has escalated the situation into one that authorizes you to skip
right past unarmed techniques in favor of using OC spray to accomplish
your mission. This is not cowardice: it is common sense. When you fail to
physically overpower someone with whom you have initiated hands-on
techniques, you risk losing your gun, your baton, your spray and, therefore,
your life and the lives of everybody in the vicinity, including the officers who
respond to help you.

•

Size does not matter in these situations. Especially if you are alone,
you should never base a decision to use compliance techniques, rather
than OC spray, on the fact that you are bigger than a subject, or that you
are younger, or that you seem to be in better physical condition than a
subject. Consider - before you use physical force on someone- that you
have no way to know the answers to the following:
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ƒ

What does this person have to lose by submitting to you?
When you respond to a domestic disturbance or a fight on the
street, for example, you will usually know only what the radio
dispatcher has told you about the situation. You usually will not
know whether one of the parties may have outstanding warrants for
serious crimes, or may be a suspect in investigations of far more
serious offenses than a street fight or misdemeanor domestic
assault. Think about that by putting yourself in the other person’s
shoes for a moment: if you were wanted for a murder in another
state or for a series of robberies in another precinct, how vigorously
would you fight a police officer who was trying to take you into
custody for punching someone in the nose on a New York City
street?

ƒ

Is this person a martial artist? By the time you graduate from
the Police Academy, we will have made you aware of and
competent to use a wide variety of force techniques. But, unless
you have had martial arts training prior to entering the Department,
you still will not possess any black belt except the ones that hold up
your trousers and carry your equipment. There is no way for you to
know in advance whether the people who resist you on the street
have such training; many gang members do; many paranoid people
do; and many prison inmates spend their time honing their physical
skills. Trying to deal forcibly with these people one-on-one may turn
out to be a losing proposition.

ƒ

Is this person’s behavior influenced by drugs or some mental
imbalance? Most of us have heard stories about emotionally
disturbed persons or drug abusers who demonstrated “superhuman
strength” in struggles with police officers or others who were
physically attempting to bring them under control. Most scientists
agree that “superhuman strength” is a myth, and that the real
problem is that, in struggles with the police, some emotionally
disturbed or drug induced persons are so irrational that they have no
fear of injury and are unresponsive to pain. That presents a big
problem for police officers like you because, as a rational person,
you do have a fear of injury and you do respond to pain. As the
world’s current struggle with suicide bombers demonstrates, it is
very difficult for rational people who feel fear and pain to subdue
individuals who do not care about what happens to themselves.
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ƒ

Is this person really alone? If you become involved in a physical
struggle with a person you are attempting to take into custody, you
may find that the individual suddenly develops allies who join him or
her against you. This is not at all uncommon at domestic situations,
where officers who have attempted to subdue a person who has
been assaulting another suddenly find that the original assault
victims have joined in the struggle against the police. On the street,
as well, when struggles to take people into custody last more than a
few seconds, officers have sometimes been surprised to find that
bystanders have jumped into the fray against them.

The point is this: especially in one-on-one situations, officers who attempt to
forcibly subdue subjects give up the advantages of special equipment (spray; baton,
firearm; radios to call for the assistance of other officers) designed to help them get the
job done. When you attempt to subdue a person alone, you are betting, in effect, that
you are more capable than he or she is. On the street, you may win this bet over and
over again: but you can only lose it once. Thus, if it is at all possible, it is advisable to
wait for assistance before using compliance techniques to subdue offenders. When it is
not possible to wait, it is usually advisable to show resistant subjects that you are
equipped with OC spray and that you are willing to use it. If need be, of course, you may
actually have to use it.
If you are getting the idea that we are encouraging you not to use compliance
techniques when you are alone with subjects, you’re right. You represent the laws and
the people of the State and City of New York. When you take action, therefore, you
should always succeed in what you attempt, and you should use as little force as
necessary in doing so. This means that you should always attempt to structure your
confrontations with subjects in ways that make it unlikely that you will have to use any
force at all, and that also stacks the deck so that, if force does become necessary, it will
get the job done.
When you are working at demonstrations, disorders, or other events at which
large numbers of officers are present, your supervisors and commanders will closely
control decisions about whether and how much force should be used. When you are on
patrol or taking action in other situations, however, you will have to make most of the
decisions yourself. In doing so, try to follow these guidelines:
•

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Before you forcibly subdue subjects, especially in ways that involve more
than firm grips, always try to have them outnumbered. If at all possible, try
to freeze the situation and to get help to the scene before you employ
compliance techniques.
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•

If it is not possible to get help to the scene before taking forcible action to
control subjects, give serious consideration to using pepper spray rather
than compliance techniques.

•

If you forcibly subdue someone by pinning him or her on the abdomen to
the ground or floor or against a wall or other hard object, get the subject off
his or her abdomen as soon as possible. Always be alert to the dangers
and signs of positional asphyxia, and make sure that it does not affect
anybody you take into custody.

Pepper Spray
One of the great advances in police technology has been the development of
aerosol pepper sprays. The version employed by this Department is oleoresin capsicum
cayenne pepper spray, or OC spray, which is issued by the Firearms and Tactics Section
and is the only variety of spray authorized for use by officers. This spray can be used
when physical force is required to protect the officer or others from assault, or to restrain
or subdue a suspect or emotionally disturbed person who cannot be taken into custody
by lesser means. The Penal Law would also allow its use against people who are fleeing
arrest, but a fair reading of Department policy indicates that such flight would have to be
accompanied by the subject’s use of force.
OC spray offers several advantages over other force techniques:

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•

It is an unknown entity for most subjects, and, therefore, is likely to
create great fear. Many of us, police and citizens alike, know from our
experience as children what it is like to be struck or to engage in a physical
struggle. Few of us know what it is like to be sprayed in the face with a
chemical, and would face such a situation with great fear and anxiety.
Consequently, the experience of this Department, and of officers
throughout the country, is that subjects most frequently submit to officers
simply when officers unholster and display the spray and announce that
they will use it unless resistance ceases. Thus, it has great value as a
deterrent to violence.

•

It can be used at a distance. Unlike compliance techniques, OC spray
can – and should – be used from a distance of several feet. This means
that it keeps officers out of physical contact with suspects. Using OC while
officers are in actual contact with subjects would mean that they would also
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become contaminated, and should be avoided.
•

Its effectiveness is independent of physical strength or martial arts
expertise. It is a great equalizer, just as effective in the hands of slightly
built officers as in the hands of large and powerful officers and just as
effective against black belt karate experts as against drunken bar fighters.

•

It has no lasting effects. OC spray causes stimulation and irritation on
the mucus membranes of the eyes, nose, mouth, and throat. The most
common reaction is intense burning and tearing of the eyes, so
overwhelming that it temporarily disables people who have been hit with it.
But this is relieved with rinsing and typically fades within a short period
(less than an hour), sometimes leaving people with slightly reddened eyes
that return to normal over the next several hours. This is a great
advantage over compliance techniques and impact weapons (like the
baton) which have, on occasion, caused fractured bones and other
unintended injuries.

When consistent with personal safety, a verbal warning should be given before
using pepper spray against an unarmed subject.
Pepper spray may not be used on suspects who passively resist arrest. (i.e.,
going limp, offering no physical resistance). If possible, avoid using pepper spray on
persons who appear to be in frail health, young children, women believed to be pregnant
or persons with known respiratory conditions.
Pepper spray may also be used effectively to control dangerous animals. Pepper
spray should be used as an initial defense against vicious dogs, with firearms used only
as a last resort. Firearms fired at animals are often discharged at close range and in
close quarters. There is a substantial risk of injury to nearby persons if a discharged
round misses or passes through the target animal.
The police world is full of rumors about OC spray. These include claims that it
does not work against certain groups of people, like intoxicated persons and the mentally
disturbed. There is no basis for this claim; the United States Justice Department’s
studies show that it works equally well against all classes of subjects. Most specifically,
it produces the desired results immediately about 85 percent of the time. This may
sound low, but it is perfectly comparable to the success rates of other force techniques.
If persuasion were always effective, for example, officers would never have to resort to
higher degrees of force. If deadly force always disabled subjects immediately, officers
would never have to fire more than one shot. The fact is that there is no police force

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technique that works 100 percent of the time. Where OC spray is concerned, the 85
percent success rate means that officers should always be prepared to resort to other
means of force in the event that OC spray does not disable a subject.
Another rumor is that OC spray kills. The Justice Department has investigated
this as well, and has reported that some people have indeed died after being sprayed
with OC. In these cases, however, death was attributable to factors other than OC, most
typically to positional asphyxia caused by confining them longer than necessary in the
face down positions we want you to avoid. Probably the most bizarre rumor about OC
spray is that it caused one subject who was sprayed with it to explode into flames. We
are aware of no documentation for this one either (see Granfield, Onnen, and Petty.
1994; Edwards, Granfield, and Onnen, 1997). As soon as possible after a sprayed
person has been subdued, his or her face and other affected areas should be rinsed and
the person should be transported to an emergency room for medical examination.
When subjects are threatening or using deadly force, pepper spray should not be
utilized. In these circumstances, assuming that verbal persuasion is ineffective or cannot
be used because of the immediacy of the threat, an appropriate response would be the
use of the baton or firearm. Pepper spray is not considered effective against dangerous
weapons or against deadly physical force. Keep in mind also that patrol sergeants and
the Emergency Service Unit have available to them additional non-lethal devices. You
should become familiar with the contents of Patrol Guide Procedure 212-95, Use of
Pepper Spray Devices.
Impact Techniques
Impact techniques may be used to protect officers or others against assault.
Such techniques include the use of batons and the use of fists and feet. Whenever
possible, it is preferable to use OC spray to ward off such assaults, but this is not always
possible. Officers occasionally find themselves in confined spaces in which they cannot
spray subjects without also contaminating themselves, other officers, or innocent
persons. In other cases, aggressive subjects may close the distance between officers
and themselves before officers have an opportunity to use their spray. In such cases,
impact techniques must be employed.
Here, there is another preference: whenever possible, officers should use the
baton rather than their fists or feet. The baton is by definition a deadly weapon, but this
does not mean that every time officers use their batons they are using deadly physical
force. It simply means that officers should understand the capability of the weapon while
using it within the limits of law and Departmental policy to gain the desired goals
(compliance, self-protection, and/or to subdue the subject and take him or her into
custody). You may use the baton as an instrument of force to steer a disorderly crowd
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into a designated area; or you may use it to defend your life.
In your physical training, you will learn how and where to strike with your batons,
fists, and feet. For now, it is sufficient to point out that strikes to some parts of the body
– the head, throat and neck, solar plexus, and groin constitute a form of deadly force in
that, while they are not likely to kill, they are likely to cause serious physical injury. Stay
away from these areas unless the circumstances justify the use of deadly force.
Drawn and/or Displayed Firearms
Merely drawing a weapon, regardless of whether it is pointed at anybody, causes
no injury to anybody. Still, this should be considered a high level of force, because it
certainly changes the nature of officers’ contacts with citizens. Drawing and displaying
the firearm often is a deterrent to violence, because it lets suspects know that they are
very close to a much higher degree of force.
Because drawing the firearm is so provocative and alarming, it should be done
only under circumstances in which officers reasonably believe that they may soon have
to use deadly force to defend themselves or others against lethal assaults. Such
circumstances may include:
•

responses to violent crimes in progress;

•

searches for hidden or fleeing violent crime suspects;

•

confrontations with known violent offenders or persons alleged to have
committed crimes punishable by lengthy sentences (e.g., as in serving
warrants on armed robbers or drug traffickers; making felony or high-risk
vehicle stops).

There also is a difference in the way a firearm may be handled once it is drawn.
In trying to talk down a knife-wielding emotionally disturbed person, for example, it is
usually a good idea for at least one officer to have a firearm drawn. All that such a
person has to do is charge an officer and these situations escalate so that they justify the
use of deadly force, which had better be available quickly. At the same time, allowing
such a person to see that a firearm has been drawn escalates this situation and may
cause the EDP to believe that the police are lying when they tell him or her that they
mean no harm and are present only to help. In such a situation, any drawn weapon
should be concealed from the subject (e.g., by holding it down and out of sight, behind
cover). In the same way, letting participants to domestic violence see that firearms have
been drawn (e.g., because one participant not yet in custody is holding a knife or a

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hammer, or has committed a serious violent assault) may cause the situation to
escalate.
Letting more rational offenders, like robbery and rape suspects, see that weapons
have been drawn sends a different message. It lets them know that officers are
prepared for any possible escalation, and usually acts as a deterrent to further violence
or resistance.
One additional caution on drawing weapons: except in the most extreme
circumstances, officers who are holding drawn firearms should never come within
striking distance of suspects. Instead, officers who are holding drawn firearms
should keep a safe distance away – ten feet or more. If they are alone, officers should
freeze confrontations in this manner until assistance arrives to help cuff and search
suspects. There are several reasons for this:
•

As previously indicated, about 15 percent of U.S. officers who are shot in
the line of duty are disarmed of their own weapons and shot with them.

•

If an offender who is being held at gunpoint by an officer who has come too
close to him or her decides to forcibly resist the officer, he or she has great
advantages over the officer. Such an offender has both hands free to
overpower the officer, but one of the officer’s hands – almost always the
stronger hand – is tied up in trying to safeguard the weapon. It is nearly
impossible for officers who are handicapped in this way to overcome such
a suspect and, if they fail to overcome them, either officers or suspects
become victims of shootings that should not have happened.

•

Such situations greatly increase the chances of accidental or unintended
shootings. Should suspects make some unanticipated movement – like
turning to explain themselves, reaching for their identification, slipping, or
tripping – officers are likely to be startled and to pull their triggers. Should
suspects try to forcibly resist, the chances of an accidental shooting that
will strike the suspect, an officer, or a bystander are increased significantly.

Deadly Physical Force
Deadly physical force is physical force which, under the circumstances in which it
is used, is readily capable of causing death or other serious physical injury. Across the
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United States, police officers have used deadly force in a variety of ways: they have
used dogs, explosives, batons, and martial arts techniques in ways that have killed
people or caused serious physical injury. For us, however, deadly force almost always
means the firearm; it is a weapon of deadly force and may be used only under very
specific conditions.
The New York State Penal Law defines situations in which deadly force by police
officers is justifiable. In its 1985 decision in Tennessee v. Garner, the United States
Supreme Court defined the circumstances in which police may constitutionally use
deadly force. It is important to know both sets of rules, but it is most important to know
and thoroughly understand this Department’s policies on the use of firearms. This
Department’s policy is more restrictive than either the law or the Garner rules.
Consequently, it is possible to engage in firearms use that does not violate the law or the
Constitution, but that does violate Department policy. On the other hand, so long as
your conduct falls within the limits of Departmental policy, it also will fit within the limits of
the Penal Law and the United States Constitution.

THE NYPD POLICY ON USE OF FIREARMS
This Department’s firearms policy is based on the principle that the primary duty
of all members of the service is to preserve human life. The New York City Police
Department recognizes the value of human life and is committed to respecting the dignity
of every individual.
But there are situations in which members of the service will find it necessary to
use physical force or deadly physical force to defend themselves or other persons. The
most serious act a police officer can engage in is the use of deadly force, and you will
be held responsible for having a complete understanding of the Department's policy on
the use of deadly physical force.
There are two major reasons for the existence of a deadly force policy that is
more restrictive than the law. First, the law is very vague, and does not give adequate
guidance for the life or death decisions that may confront some of you over your careers.
Second, the New York State Penal Law applies with equal force to police officers in this
huge and crowded city, in tiny upstate towns, and in the Adirondack Wilderness. This is
useful in defining most criminal behavior, but it creates some problems when trying to set
guidelines for police officers’ discretion. Thus, this Department, like most others
throughout the state, has developed its own deadly force policy and mechanisms for
enforcing it.

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This Department’s policy has been designed to protect the public by keeping
shootings to a minimum and, combined with the Department’s training, supervision, and
equipment, to protect officers, as well. It has been very effective at both tasks, and has
had no undesirable effects on public safety or crime rates. By now, you already know
that New York has, for several years, enjoyed the lowest crime rates of any large
American city. You should also know that police work in this city is safer than it has ever
been, and that New York City police officers have long been less likely than police in any
other large city to resort to their firearms.
As far as officers are concerned, the major purpose of the policy is to relieve them
of the responsibility of having to decide what to do next in situations that may legally
authorize the use of deadly force. Certainly, there must be a certain amount of
discretion left to all officers in the use of their weapons. But the purpose of the deadly
force policy is to help officers to make the right decisions by placing reasonable limits on
their discretion.
These guidelines are as follows:
1.

In all cases, only the minimum amount of force necessary will be used,
consistent with the accomplishment of a lawful objective. Firearms are to
be used as a last resort, and then only to protect life.

In reading the policy, and the law, one is apt to glance quickly over the word
necessary but, upon reflection, it has very important meaning. It means that you are
justified in using physical and deadly physical force only when it is essential and then,
that you may use only the amount needed to accomplish the objective.
The phrase dictating that shooting should be a last resort means that you should
shoot someone only when there are no other available ways of protecting yourself or
someone else against imminent death or serious injury. This is not as simple as it
sounds. If you are involved in a shooting, the Department will review it carefully to
determine whether you used appropriate tactics prior to the shooting. This includes an
analysis of whether you may have unnecessarily put yourself into a position that gave
you no choice but to fire your weapon. Among the questions the Department will ask
are the following:
• Did the officers involved in this shooting approach this situation cautiously and in
a manner that is consistent with their training?
• Did the officers take advantage of all reasonably available assistance, information,

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and tactical considerations (i.e., cover), before confronting the individual they
shot?
• Did the officers avoid forcing an unnecessary confrontation with the individual they
shot?
• Was the officer’s reaction at the time of the shooting reasonable, or is there
evidence that the shooting was the result of panic or carelessness?
2.

The firing of warning shots is prohibited.

The Department had several goals in establishing this provision. The first was to
see that officers know where every shot they fired is headed. It is impossible to know
where shots fired into the air will fall to earth or whether, when they do, they will strike
someone or something. Further, in areas where there are high rise buildings, it is
impossible to know whether warning shots will hit someone on high floors, or whether
they will ricochet off some hard surface and then strike an innocent person. The
Department also sought to assure that officers would refrain from using their firearms
except in the most dangerous situations, and that they would then only do so against the
persons presenting the danger.
3.

Discharging a firearm to summon assistance is prohibited, except in
emergency situations when someone's personal safety is endangered and
when no other means of getting help are reasonably available.

When you need help, the best way to get it is to use a telephone or portable radio,
or simply to call out. When such means are available, there is no reason to fire shots
into the air and hope that they will attract assistance. Again, good judgment is the rule
that should be followed. If you or someone else is in great danger and no other methods
of communication are available, it is permissible to fire shots for the purpose of
summoning assistance. Such circumstances are extremely rare, however. One
example of such a situation involves a police officer who fell through a floor into a
darkened basement, and was injured. In his fall, he lost his radio and flashlight, and was
too badly injured to call out. To let his colleagues know where he was and that he was
hurt, he fired shots into the basement wall.

4.

Discharging a firearm from or at a moving vehicle is prohibited, unless the
occupants of the other vehicle are using deadly physical force against the
officer or another by means other than the vehicle.

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In plain language, this provision prohibits officers from shooting at vehicle
operators who are attempting to run them down. Instead, it allows officers to shoot only
at or from moving vehicles when some other type of deadly force – typically gunfire – is
being directed at them from people in the subject vehicle.
This provision drew a lot of controversy when it was first established in 1972. The
years since then have shown the wisdom of this provision. It has not endangered
officers or anybody else, and has had no negative effects on rates of crime or public
safety. Instead, it has helped this City eliminate some of the most controversial
shootings and save the lives of officers and the public, as well. Here’s why:
•

It is almost impossible to get off an accurate shot from a moving vehicle.
Perhaps the best evidence of this is the great number of innocent people and
unintended targets who were shot in the drive-by shootings that plagued the
United States during the 1980s.

•

Except in the rarest of circumstances, firing a shot at an oncoming vehicle
protects nobody. In such situations, officers have to make stationary targets of
themselves to get off accurate shots. A far more effective means of protecting
oneself in these circumstances is to get out of the way of the oncoming vehicle.

•

If a vehicle is traveling fast enough to place officers or other people in danger, its
operator is such a difficult target that hits with a handgun are extremely unlikely.
When you practice at the Firearms Range, you will be instructed to shoot at
subjects’ torsos. There is a reason for this: The torso is the largest part of the
body, the most difficult to move, and therefore, the easiest target to hit. The torso
of the operator of an oncoming vehicle is not even visible. Instead, the only body
parts visible in such circumstances are the head and, if the operator is sitting
straight up rather than crouching low for cover, the neck and parts of the
shoulders and arms.

•

Because other persons in an oncoming vehicle are so close to its operator,
attempts to hit the operator are very likely to hit one or more passengers instead.
This is a serious problem for two reasons. First, even when they are involved in
criminal activity themselves, passengers in an oncoming car rarely are the people
who are endangering officers. Only the vehicle’s operator is responsible for this
and, therefore, even under the broad justification provisions of the New York State
Penal Law, only the operator would be a suitable subject of deadly force. 1

1 This discussion illustrates one of the differences between the Department’s policy and the New York State
justification statutes. Unless other deadly force also is involved, the Department prohibits officers from shooting at
operators of oncoming vehicles and is very likely to seriously discipline officers who take such actions. The Penal Law

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Second, the passengers in a vehicle that is endangering the police or others may
not even be voluntary participants in the operator’s actions. Instead, they may
have gotten into the vehicle without any idea that it was stolen, or that its operator
was involved in some wrongful activity, or that its operator intended to flee from or
run at police officers. Scattered through the United States are police officers who
have fired into moving vehicles and killed innocent children and other passengers
who had no part in what their operators were doing, and who had no way to get
out of their dilemma. Punishment aside, it is very difficult to live with this; officers
who follow this Department’s policy will never have to.
•

Many of the shots fired at moving vehicles ricochet off sheet metal – or even
windshields and windows – into unknown directions. This may not be a big issue
in isolated rural areas, but it is a great danger in this densely populated city,
where such a ricochet might hit some innocent person. If such a ricochet does hit
someone, it is likely to cause especially grievous wounds. When a bullet bounces
off a surface, it typically becomes extremely deformed and jagged, inflicting much
greater tissue damage than would be caused by a direct hit.

•

Shooting at the occupant of an oncoming car is one situation in which success is
worse than failure. When bullets strike vehicle operators, they disable operators,
but do not disable or stop their vehicles. Instead, they turn their vehicles into
high-speed, two-ton, unguided missiles. There is no place in New
York City where this is safe and, therefore, there is no place where it is acceptable
or consistent with our primary responsibility to protect life.
Would you like to test these claims? Put yourself into the following situation:
A vehicle occupied by persons wanted in connection with a
robbery is bearing down on you at 60 miles per hour.
Although you have no way to read the operator’s mind, he
is, in fact, willing to kill you or anybody else to get away.

Consider your options: you can jump out of the path of the vehicle, or you can
draw your firearm, assume a combat shooting position, and fire at the oncoming car.
Either action might not result in criminal charges against you, but which is more sensible
and more likely to get you home to your loved ones at the end of your tour?
Let’s say that you ignore your training and the Department’s policy, and that you
is silent on this question, however. Therefore, a criminal prosecution for such an act would not be likely unless it also
endangered or hurt other people – like the passengers of such vehicles, or people who may have been run over by the
vehicle after its operator was disabled by an officer’s shots...

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stand and fire. How many shots do you think are going to strike the driver? 2 In all
probability the windshield will deflect all or most of the bullets which could then strike and
kill an innocent bystander.
But let’s assume that one or more of your shots does penetrate the windshield
and that the driver is killed or disabled. What have you accomplished? Did your action
stop the wheels from rolling? How much time did you spend drawing your firearm and
firing? Could it be two, three or four seconds? A car traveling at 60 miles per hour is
moving at the rate of 88 feet per second, or about half a city block every second. You
have lessened the time you have to get out of the way of the car. After you have finished
firing and see that the car is still coming at you, what are you going to do? How likely is it
that you or someone else will be seriously injured by a car with an incapacitated driver?
The Department does not consider this to be sensible or wise. Neither should you.
5.

The use of deadly physical force, such as the discharge of a firearm, against
any animal may only be done as a last resort, when such animal either
appears to be too dangerous to control or poses an immediate threat of
physical injury to a human being.

Whether your target is a human being or an animal, you should use deadly force
only as a last resort. Before shooting a dog to defend yourself or others, make every
reasonable attempt to use other means to contain threats from dangerous animals.
This would include utilizing such non-lethal means as pepper spray mace, or having
the Communications Division request that a unit from the Center for Animal Care and
Control (C.A.C.C.) or a unit from our own Emergency Service Unit (E.S.U.) respond
with a dog noose, tranquilizer gun, etc. Shoot at animals only as a last resort.
6.

To minimize the possibility of accidentally discharging a weapon, firearms
shall not, under any circumstances, be cocked. Firearms must be fired
double action at all times.

Cocking a weapon by pulling its hammer back into a rest position allows it to be
fired on single action: the single action is the hammer falling. Firing a weapon without
cocking it is double-action shooting; the first action occurs when the trigger moves the
hammer back; the second action occurs when the hammer falls. The weapon you will be
authorized to carry, whether off-duty or on-duty, will not be capable of being cocked and
discharged in single action, but some veteran officers still carry .38 caliber revolvers that
can be fired on single action. They owned these weapons before the Department
prohibited officers from carrying firearms that could be cocked and fired single-action.
Since they are the only officers who can have single-action firearms, this provision
2 Keep this question in mind, and answer it again after you have fired at the Range.
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generally applies to them.
There is a reason that the Department has long prohibited cocking and singleaction shooting, and why it has made sure that you will not be able to do so with your
authorized weapons. Cocking a gun reduces its trigger pull from the 8-12 pounds
typically required to fire a gun double-action, to 2-3 pounds. It also greatly reduces the
length of distance the trigger must be pulled to fire the weapon. In other words, cocking
a gun gives it a hair trigger: This is useful for sharpshooters and competitive shooters;
however, it has caused nothing but problems for police officers. The hair trigger of a
cocked weapon is very likely to be fired accidentally and, thereby, cause unintended
injury or death.
Thus, even if you somehow come to be in possession of a weapon that can be
fired single action (as in an undercover assignment where you might use a nonregulation gun), you are strictly prohibited from cocking the weapon.
7.

Deadly physical force shall not be used against another person unless
officers have probable cause to believe that they must protect themselves
or another person present from imminent death or serious physical injury.

This important provision makes our shooting policy a defense of life policy.
Consistent with our responsibility to protect life, police officers should make every
reasonable attempt to use other means of protecting life (i.e., verbal challenge,
appropriate pursuit, portable radio, etc.) before resorting to the use of a firearm. Your
firearm is to be used against others only when there is no other way to protect yourself
or another against imminent death or serious injury.
8.

Where feasible and consistent with personal safety, some warning, such as
a verbal warning, must be given before shooting at another person.

The standard NYPD challenge in armed confrontations is “Police! Don’t Move!”
We will expect you to use this particular challenge, rather than any other, whenever you
can do so without endangering yourself or others. We expect also that you will be alert
and prepared to hear this challenge whenever you may be taking police action. If this
happens, especially if you are in civilian clothes, do not turn toward the direction of the
voice. Almost certainly, what you will have heard will be another police officer who has
come upon you in the midst of your action. When this happens, the very worst thing you
can do is to turn toward the voice – especially with your firearm in hand – and to try to
identify yourself. If you turn, as you should readily understand, you may give the
challenging officer – who has no way to know who you are – reason to believe that you
and the gun in your hand present an imminent danger to his or her life and safety.

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Instead, you should follow the officer’s directions: don’t move. Instead, hold your
position and identify yourself by shouting “I am a police officer.” Then, very carefully and
slowly, follow the officer’s directions for identifying yourself.
If you are the challenging officer in such a situation (e.g., as when somebody you
have challenged in this way identifies himself or herself as a police officer), you should
hold your position – which, if at all possible, should be behind cover. From there, direct
the individual to tell you where his or her shield and ID card are, and to slowly remove
and display them.
The best way to make certain that you have the opportunity to safely identify
yourself and to warn a suspect before having to shoot him or her is to be behind cover
before you confront anybody. If you confront armed people while you are in an exposed
position, you may have left yourself no real option but to shoot immediately should they
react to your “Police! Don’t Move!” challenge by instinctively turning on you with firearm
in hand. If, on the other hand, you have made yourself a very small target by finding
cover, you will have given yourself the protection you need to allow them a second or
two to recover from their surprise, and to obey your directives. These few seconds are
critical; Because you will have no way to know in advance whether the people in your
gun sights are off-duty or plainclothes police officers, other law enforcement officers, or
simply licensed gun holders, these few seconds may mean the difference between life
and death for an innocent person or a fellow officer.
9.

Deadly physical force shall not be used to apprehend fleeing felons who
present no threat of imminent death or serious physical injury to
themselves or another person present.

The short version of this provision is that it prohibits officers from using deadly
force except in defense of life. The Department’s policy is that officers may not shoot
merely to apprehend people.
This provision is more stringent than either the United States Supreme Court’s
rulings or the New York State Penal Law’s Justification statutes. In Tennessee v.
Garner (1985), the United States Supreme Court ruled that it is unconstitutional for
police officers to use deadly force as a method of seizing, or arresting, unarmed
suspects who are fleeing from non-violent felonies. This decision did not affect New
York police very much, because such shootings had been prohibited by the New York
State Penal Law since 1967. Here, Article 35 of the Penal Law has authorized police
officers to use deadly force when all other alternatives have been exhausted in order to
arrest persons when officers reasonably believe that one of the following circumstances
exists:

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(a)

The offense committed by such person was:
(i) a felony or an attempt to commit a felony involving the
use or attempted use or threatened imminent use of
physical force against a person; or
(ii) kidnapping, arson, escape in the first degree, burglary
in the first degree or any attempt to commit such a crime;
or

(b)

The offense committed or attempted by such person was a
felony and that, in the course of resisting arrest therefore or
attempting to escape from custody, such person is armed
with a firearm or deadly weapon; or

(c)

Regardless of the particular offense which is the subject of
the arrest or attempted escape, the use of deadly force is
necessary to defend the police officer or peace officer
or another person from what the officer reasonably
believes to be the use or imminent use of deadly
physical force (New York State Penal Law § 35.30;
emphasis added).

This is a very complicated set of restrictions, but the Department has made things
simple for officers: the NYPD’s deadly force policy prohibits shootings in all these
situations except for those defined in section (c). In other words, if you use your
weapon in any of the circumstances defined in Sections a or b, above, you probably will
not be criminally charged – but you are virtually certain to be severely disciplined for
violating the Department’s policy. One more time: This Department does not want its
officers to shoot merely to apprehend suspects, but only to defend life.
This does not mean, however, that deadly force can be used to defend yourself
only against people who are actually standing and fighting, or shooting it out, with you.
On occasion, offenders who are attempting to escape arrest fire shots at police from
positions of cover, and then run to more distant positions of cover from which they fire
shots, and then run to even more distant positions, where they fire more shots, and so
on. These are fleeing felony suspects who present a great danger to our officers and the
public, because they attempt to use deadly force to escape. As such, they are
exceptions to the Deadly Force Policy’s section 9, above, and deadly force may be used
against such a person.

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10.

Deadly physical force shall not be used in defense of property.

This provision should need no explanation. We value life much more highly
than we value property, and permitting officers to wound or kill people in order to
protect property would be inconsistent with our primary responsibility to protect life.
11.

Deadly physical force is not authorized when using it will unnecessarily
endanger innocent persons.

Since officers are authorized to use their firearms only in order to protect lives, it
would be senseless to allow them to use deadly force under circumstances that actually
endanger innocent lives.
You should know also that the Corporation Counsel of the City of New York (the
attorneys who represent New York City in civil suits) and the Police Department’s Legal
Bureau take this provision very seriously. When officers who have acted properly and in
the line of duty are sued, the general policy of the City is to supply them with legal
representation and to indemnify them, or to pay any damages that may be awarded
against them. They have also determined, however, that, under certain circumstances,
police officers who use deadly physical force may not be indemnified by the City for any
judgments and may not be represented by attorneys from the Corporation Counsel’s
staff. When this determination is made, the officers involved are on their own when it
comes to finding and paying for legal counsel and for any damages that a judge or jury
may award the person suing the officers. Shootings that unnecessarily endanger
innocent citizens are very likely to produce determinations that the City will not defend or
indemnify officers. This is true especially when officers’ improper or ill-advised conduct
contributed to situations in which they arguably had to use deadly physical force under
circumstances that endangered innocent people.
Here are hypothetical examples. As you read them, consider whether the
taxpayers of the City of New York should bear the costs of defending and compensating
victims for the actions of these officers:

The Graduation Party
Probationary Police Officer Jones decides to celebrate his graduation from the
Police Academy by bar-hopping with a few of his classmates. In one crowded
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bar, he starts a conversation with an attractive young woman who is standing
next to Charlie, another bar patron who has obviously had too much to drink.
The young woman is very receptive to Jones. Charlie glares at Jones, and says
“Hey Pal. Take a hike. I was here first.” Jones suggests that Charlie go home
and sober up. Charlie shoves Jones. Jones shoves Charlie back. Charlie
shoves again. Jones punches Charlie, who breaks his long-neck beer bottle and
comes at Jones menacingly. Jones says,” Police! Don’t Move!” and pulls out his
shield and gun. The crowd parts. Charlie says, “I don’t care who you are. I’m
gonna cut your heart out!” and slashes at Jones. Jones, fearing that his life is in
imminent danger, backs up and fires three shots at Charlie, who falls to the floor,
dead. The young woman, who was standing slightly behind and to the side of
Charlie, also falls, her spinal cord severed by one of Jones’ shots. Charlie’s
family sues Jones and the City, alleging a wrongful death. The young woman,
paralyzed for life, also sues. Jones visits the Corporation Counsel’s office, where
an attorney interviews him and says:
“Okay, I’ll grant that you had reason to fear for your life
when you shot Charlie and that you certainly didn’t
mean to hurt the young woman. The District Attorney
knows that, and that’s why there won’t be any criminal
charges against you. But why should the City
represent you or indemnify you in these two civil
cases? Didn’t you put yourself into this situation? You
saw this guy was drunk. Why didn’t you just walk
away from him? This was not police business. This
was you out for a good time and, when it went bad,
you suddenly became a cop again, and you wound up
firing shots in the middle of a crowd. Don’t you think
you should have seen where this was going right from
the start?”
Christmas Shopping
As you will learn elsewhere in this Student Guide, the NYPD’s policy for
encounters with emotionally disturbed persons (“EDPs”) requires that officers take
advantage of as much time and distance as possible, and that they try to calmly
talk EDPs into going for examination and treatment. Right at the end of her tour
of duty a few days before Christmas, however, Officer Smith and her partner
responded to a report of an EDP with a knife. The last thing Smith needed at that
point was a delay in finishing work, because she and her fiancé had reservations
for dinner and tickets to a Carnegie Hall Holiday Christmas Concert. When they
arrived at the scene, Smith and her partner found the subject of the call standing
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on the sidewalk, waving a large screwdriver, and talking incoherently. Smith took
immediate charge. She told her partner, a junior officer, to let her do the talking
and to “just back me up.” Smith walked to within a few feet of the man, and
shouted, “Listen up! We don’t have all day here. We’re here to help you! Put that
screwdriver down now and get in the ambulance before somebody gets hurt!” The
man backed away from Smith, until he was right up against a department store
window. Smith and her partner followed, and stopped a few feet from the man.
The man looked around anxiously (witnesses later said he looked as though he
was trying to escape the officers), and saw that he had no place to go. He waved
the screwdriver directly at Smith, who drew her weapon and shouted “Drop it right
now!” The man turned toward Smith’s partner and ran in his direction with the
screwdriver in his hand. The partner backpedaled quickly but, fearing for her
partner’s safety, Smith fired three shots at the running man. One hit him, and two
hit a woman who was inside the department store, waiting on the cashier’s line to
pay for the gifts she had selected for her grandchildren. How do you think the
Corporation Counsel’s Office would view this event?
Choke Holds
Choke holds are one type of force that we have not yet discussed. Choke holds
include, but are not limited to, bar arm holds and carotid holds, and any pressure to the
throat or windpipe that may prevent or hinder breathing, circulation or reduce the intake
of air. Around the country, in places that permit them, the police officers who have used
them have not done so intending to kill or to cause serious injury - but they are deadly.
The Department’s policy on them is clear: choke holds may not be used by members of
the New York City Police Department against other persons.
NYPD Deadly Force Policy: A Summary
The decision of whether to use deadly force is the single most serious choice any
police officer ever has to make. This choice typically is presented to police officers in
dark alleys and streets, and under hurried circumstances in which there is little time for
careful deliberation. Worse, once the decision to shoot is made, it is irreversible: there is
no way to put a fired bullet back into a gun, or to undo the damage it causes. Every one
of your trainers, supervisors, and commanders knows how serious and far-reaching this
decision is, and how important it is that you understand its ramifications. We also know
how important it is that you have available to you in advance as much as possible of the
information you will need to make this decision wisely. If you are ever confronted with
this decision, you are unlikely to have time to think about what is permissible and what is
not. It is for this reason that the Department’s policies may be reduced to a single simple
question that you should be able to answer in the milli-seconds while you decide whether
to pull the trigger: Is there anything I can do besides shooting this individual to protect
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myself or whoever else is in danger from being killed or seriously hurt?
If there is some other action you can take, you must take it. But if the answer to
this question is NO, you may have to discharge your firearm.
The following table also provides some information that summarizes the Department’s
firearms and deadly force policy. Read it and know it.

Question
Can you shoot to prevent, terminate or
arrest for a felony?

Can you shoot to arrest a fleeing felon
suspect?

Can you shoot to defend against a suspect
who presents an imminent threat of deadly
force?
Can you fire warning shots?
Can you fire shots to summon assistance?

Answer
NO - Unless you reasonably believe that the
victim may be killed or seriously injured
and no other reasonable means are
available.
NO - Unless the suspect presents an
imminent threat death or serious physical
injury to you or others (e.g., the suspect is
shooting at you or at others)
YES

NO – This is never allowed
NO - Unless you are in a life or death
situation and there is no other way to get
life-saving help to the scene
Can you fire shots at or from moving
NO – Unless the occupants of the other
vehicles?
vehicle are using deadly force other than
the vehicle (e.g., they are shooting at you
or others)
Can you shoot animals?
NO – Unless there is no other reasonable
way of protecting you or others from
physical injury caused by the animal
Can you cock and fire weapons on single
NO – This is never permitted. Weapons
action?
must always be fired double-action
What must you do before firing in any
Exhaust all other reasonable means or
situation?
have no other reasonable means available
to you
THE DEFENSE OF JUSTIFICATION
In addition to knowing the Department’s use of force policies, you need to
understand the New York State Penal Law’s provisions on use of force. These
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distinguish between criminal behavior and force that is legally justifiable because it is
used to defend against criminal assault, to prevent or terminate crimes, or to arrest
offenders.
As you read this material, keep three things in mind:
•

First, the Penal Law allows police officers to use more force than ordinary
citizens;

•

Second, the Penal Law’s provisions on use of force by police officers are
much broader than the Department’s. As we have previously pointed out,
it is possible for you to use force within the law, but to be disciplined
because you have violated the Department’s policies. Thus, you should
base your actions in the field on Departmental policy. As long as you do
this, you will also be acting within the law.

•

Third, the law recognizes a difference between the use of force at two
different stages. The first is the prevent/terminate stage, during which
persons or police officers defend people or property by using force to
prevent or stop crimes against such people or property. The second is the
arrest stage, at which persons or police officers use force to arrest people
who have committed crimes against people or property. The major
distinction between the force that may be justifiably used at these two
stages is that force used by citizens who are trying to arrest others (rather
than to prevent or terminate a crime) is justifiable only if the subjects of the
force actually committed the offenses. When citizens use force to defend
people or property (the prevent/terminate stage), they act justifiably if they
reasonably believe the force is necessary. In practical terms, this means
that citizens who take it upon themselves to arrest other people had better
be certain that the people they are trying to arrest actually committed
crimes because reasonable belief is not enough to make their force
justifiable.

Definition of Terms (P.L. 10.00)
Physical force is that type of force not amounting to deadly physical force; i.e.,
punches, kicking, pushing, grabbing, holding, restraining, etc.

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Deadly physical force means physical force which, under the circumstances in
which it is used, is readily capable of causing death or other serious physical injury; i.e.,
shoot, stab, strike with a weapon.
Physical injury means impairment of physical condition or substantial pain; i.e.,
swollen eye, sprain, etc. The injury does not have to be visible as the victim can have
internal unseen injuries.
Serious physical injury means a physical injury which creates a substantial risk
of death, or which causes death or serious and protracted (for an extended period of
time) disfigurement, protracted impairment of health or protracted loss or impairment of
the function of any bodily organ; i.e., broken bones, amputation, disfigurement, severed
arteries.
A person licensed or privileged is a person who has the right to be in a building
or upon premises. This includes owners, tenants and authorized guests or employees,
etc. In addition, police officers or peace officers acting in the performance of their duties
are considered to be licensed and privileged.
Necessary: Necessary force is the least amount of force that can safely
accomplish a legitimate police objective under the circumstances.

SPECIAL CASES FOR THE USE OF PHYSICAL FORCE
In certain situations, the Penal Law (at § 35.10) gives designated groups of
people special authority to use physical force that would otherwise constitute an offense.
Such force is justifiable and not a criminal act in the following special cases:
1.

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Parent or guardian - A parent or guardian or other person charged with
the care and supervision of a person under the age of 21, or incompetent
person, and a teacher or other person entrusted with the care and
supervision of a person under the age of 21 for a special purpose may use
physical force upon such person when, and to the extent that he or she
reasonably believes it necessary to maintain discipline or to promote the
welfare of such a person. This provision does not allow the use of deadly
force, however. Instead, it means that a parent, guardian, etc., may
discipline a minor or incompetent person in his or her care by using a
reasonable amount of physical force. For example, a mother might
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getting down. If a parent/guardian uses excessive force and causes a
serious physical injury, he or she may not be justified. The test in applying
this law is reasonableness: a schoolteacher would be justified in trying to
pull apart fighting teenagers, but would not be justified in striking one or the
other to end their combat.
2.

Warden or jail official - A warden or other authorized official of a jail,
prison or correctional institution may, in order to maintain order and
discipline, use physical force to the degree that is authorized by the
Correction Law.

3.

Person in charge of a common carrier - A person responsible for
keeping order in a common carrier (such as a bus driver or a train or
subway conductor), or a person acting under his or her direction, may use
physical force when and to the extent that he or she reasonably believes is
necessary to maintain order. However, he or she may use deadly physical
force only when he or she reasonably believes it is necessary to prevent a
death or serious physical injury. For example, a bus driver may use
physical force to put a person who is disorderly off a bus.

4.

Preventing suicide - A person acting under a reasonable belief that
another person is about to commit a suicide or inflict serious physical injury
upon himself or herself may use physical force upon such person to the
extent that he or she reasonably believes is necessary to prevent the death
or serious physical injury. However, you would not be justified in using
deadly force to keep someone from killing himself or herself. This is
because you would be assisting the person in committing suicide by using
deadly force.

5.

Licensed physician - A duly licensed physician or a person acting under
his or her direction, may use physical force for the purpose of giving a
recognized form of treatment. Such a person must reasonably believe that
the treatment will promote the physical or mental health of the patient. In
addition:
•

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the treatment must be given with the consent of the patient, or if the
patient is under the age of 18, or an incompetent person, with the
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OR
•

the treatment must be given in an emergency situation in which the
physician reasonably believed that no one competent to consent could
be consulted and that a reasonable person wishing to safeguard the
welfare of the patient would have consented.

JUSTIFICATION
Justification is a defense to criminal charges. A justification defense occurs when
a person admits he or she has committed an act (like using force or deadly force) that
might be a crime in some situations but claims that it was not criminal because it
occurred under circumstances in which it was authorized by law. If the existence of
special circumstances justifying the action is not disproved beyond a reasonable doubt
by the prosecution, the person committing the act will be found to have acted properly
(within the Justification section of the Penal Law) and will be cleared of the charge. In
other words, once a defendant claims a defense, the prosecutor must prove that it does
not exist.
This sounds more complicated than it is, so here’s an explanation that may clarify
it. Homicide is the killing of another person. In some situations, homicide is a crime, but
under other circumstances, homicide is not criminal. If a son deliberately kills his father
by poisoning him with the intent of coming into his inheritance a few years ahead of
schedule, he commits murder which, along with manslaughter, is one of the three forms
of criminal homicide. Suppose, however, that a daughter shoots and kills her abusive
father to stop him from beating her mother with a club. She also has committed a
homicide but, if she can show that there was no other way to defend her mother from
death or serious injury, it will be ruled a justifiable homicide.
The defense of Justification, as provided in Penal Law Article 35, applies to the
actions of civilians, police officers, and peace officers. As you would expect, police
officers and peace officers have more authority than ordinary citizens in this area of law.

Justification for the Use of Physical Force in Self-Defense or Defense of Another
Penal Law § 35.15
For the purposes of this discussion, think of the term “person” as applying to
individuals other than peace and police officers. Under the terms of § 35.15, persons

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may use physical force to defend themselves or other persons against individuals whom
they reasonably believe are using or about to use physical force against themselves or
others. This right, however, does not apply in the following three circumstances:
1.

Provocation: The person claiming the defense provoked the other individual(s)
into using physical force with the intent to injure them or any other person. For
example: Larry approaches John with the intent of provoking him to the point
where John will punch him. If John does punch Larry and Larry uses physical
force to defend himself, Larry would not be justified because he was the initial
aggressor. Likewise, if Larry approached John and punched him in the nose,
any force that Larry subsequently used to defend himself against John's
retaliation would not be justified.

2.

Self-Initiation: As suggested above, an individual who starts a fight or other use
of physical force against another person cannot successfully use the justification
defense to excuse whatever force he or she then uses when the other person
fights back. If, however, the original assailant communicates to the other person
that he or she is quitting and the other person does not stop using physical force,
he or she can then use physical force in self-defense. The logic here is that the
other person becomes the aggressor if he or she does not stop the assault after
the original assailant communicated a wish to withdraw from the fight. For
example, if John’s reaction to being punched by Larry was so physically
overpowering that John quickly indicated that he did not want to continue the fight,
John would become the aggressor if he did not stop. In such a case, Larry would
then be justified in using physical force to defend himself.

3.

Agreement: There was an agreement or understanding to fight unlawfully. For
example, if Larry and John agreed to “take it outside,” and to engage in a fistfight
to settle a dispute, neither would have a defense of justification for their actions
during the fight.

Justification for the Use of Physical Force in Defense of Premises or Real Property
Penal Law § 35.20
Physical force may be used where necessary in the following circumstances:

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1.

Damage: When a person reasonably believes that the use of physical force is
necessary to prevent or terminate (stop) another person from committing or
attempting to commit a crime involving damage to premises. The right to use
physical force in these cases applies to anybody, not just to the owner of the
property or to persons with some special license to be on the property. Thus, for
example, if Joe observes an individual using a baseball bat to break the windows
of his neighbor’s house, Joe would be justified in using physical force to stop the
illegal activity.

2.

Trespass: When a person reasonably believes that the use of physical force is
necessary to prevent or terminate a criminal trespass or an attempted criminal
trespass on premises. The right to use physical force under these circumstances,
however, applies only to the owner of the property, or someone in possession or
control, or someone who is otherwise licensed or privileged to be therein. Thus, if
Mary was renting a piece of real property and saw John enter the fenced property,
she could, if necessary, use physical force to terminate (stop) the criminal
trespass. This is so even though Mary does not own the property: she has
possessory interest in the land as a tenant. In addition, you need to know that,
where trespasses are concerned, police officers and peace officers, while in the
performance of their duty, are considered to be licensed and privileged for the
purpose of this section. This license and privilege includes the crimes of
Trespass, Criminal Trespass, Criminal Mischief and Burglary.

Justification for the Use of Physical Force in Defense of Personal Property Penal Law
§ 35.25
Any person – not just the owner – may use physical force to prevent or stop
another from committing or attempting to commit what he reasonably believes is a
larceny (stealing) or criminal mischief (damage to another's personal property).
Examples of personal property include television sets, cars, jewelry, etc.
The offenses for which the use of force may be employed in defense of oneself or
another or real/personal property are as follows:
•
•
•
•

Criminal Mischief Offenses;
Assault Offenses;
Larceny Offenses;
Trespassory Offenses: Trespass, Criminal Trespass, and Burglary.

Justification for the Use of Physical Force for Arrests by Civilians

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The definition of the word arrest includes preventing an escape from custody. A
civilian is justified in using physical force:
1.

To arrest another person when he or she has reasonable cause to believe such
other person committed an offense and who IN FACT committed such offense.

In practice, it is not always easy to distinguish between the prevent/terminate
stage (where civilians may use physical force on the basis of a reasonable belief) and
the arrest stage (where civilians may use force only to arrest people who have, in fact,
committed offenses). Here are two hypothetical cases that show that the time elapsed
between the commission of a suspected crime and the use of force by citizens may
determine whether force was used to prevent and terminate or to arrest:
a.

Suspected Crime and Immediate Contact with Civilian:
Larry saw John smash a window on a parked car. Larry
watched as John reached into the car and removed
something from inside. John then ran down the street.
Larry chased him and used the physical force necessary to
arrest him (basically catching him and forcibly holding him
until the arrival of the police). As it turned out, however,
John owned the car and the item inside it; he had locked his
keys in the car and was retrieving them. Thus, Larry could
not argue that the force he used was a justifiable way to
arrest John because John had not in fact committed any
offense.
In court, however, this would probably turn out to be
less significant than you might expect. In this case, Larry
pursued John directly from what Larry believed to be the
scene of John’s crimes. Therefore, Larry’s lawyer would be
sure to argue that, in trying to catch John and to retrieve
whatever he had taken from the car, Larry was attempting to
prevent and terminate a successful larceny, rather than
merely to arrest John. If this argument were convincing,
the justification statute would cover Larry’s actions.

b.

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Suspected Crime and Delayed Contact with Civilian:
Larry saw John smash a window on a neighbor’s parked
car. Larry watched as John reached into the car and
removed something from inside. John then ran down the
street. Larry called his neighbor and the police. The police
responded, and the neighbor told them that the man
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apparently had stolen a very expensive briefcase from his
car. Larry gave the police a description of John. On the
street, two days later, Larry saw a man he believed to be
John. Larry tackled the man and knocked him to the
ground. The man fought and screamed, “Police! Police!
Stop! Stop!” By the time the police arrived, Larry had
knocked the man unconscious while struggling to hold him
for the police. As an officer approached, Larry said, “This
guy broke into my neighbor’s car and stole a briefcase the
other day.” The officer replied, “No, he didn’t. The guy who
broke into your neighbor’s car was John. We caught him this
morning with the briefcase. The guy you’ve knocked out is
one of our undercover officers. He was put here to stop
larcenies from autos.”
In this case, Larry has a real problem. Because two
days had passed between the crime and Larry’s attempted
arrest, Larry’s lawyer could not plausibly argue that he was
trying to prevent or terminate any crime when he mistook
the undercover officer for John and tackled him. Instead,
he was trying to arrest, and would not have the defense of
justification because the man against whom he used force
had not broken into the neighbor’s car. The fact that the
man John subdued was a police officer probably won’t do
much to help Larry in court, either.
These examples illustrate some complexities in the law. 3 These are more
meaningful to desk officers and prosecutors than to new patrol officers. But they also
point up an important difference between the powers of civilians and of police officers
and peace officers. As you will see below, police officers and peace officers can use
physical force when necessary to make an arrest when they have reasonable cause to
believe that the person committed the offense, regardless of whether the arrest takes
place immediately at the time of the crime or at some later time. Where police are
concerned, there is no requirement that the suspect have in fact committed the offense.
Where arrests by citizens are concerned, however, the person must actually have
committed the offense.
2.

A civilian may use physical force to arrest another person when the civilian is

3 The case of Larry and the undercover officer illustrates another point, as well: the difficulty of identifying yourself as
a police officer when you are not in uniform. As you read the account, did it occur to you that the man was yelling
“Police! Police! Stop! Stop!” because he was trying to tell Larry that he was a police officer?

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directed to (or told to) do so by a police officer or a peace officer. This justification
holds except in cases in which citizens know that arrests are unauthorized.
For example: A police officer directed a passerby to help
her forcibly subdue a person who was being arrested. As
long as the citizen did not know that this arrest was illegal,
he would be justified in using force to make the arrest even
if it later turned out that the officer did not have the legal
authority to make the arrest.
Justification for Police Officer’s Use of Physical Force in the Arrest Stage
1.

A police officer or a peace officer can use physical force, when necessary, to
arrest a person when he or she has reasonable cause to believe that the person
has committed an offense.
For example: This story is strange, but true. Late at night,
Police Officer Thomas received a detailed description of a
man who had been seen climbing on a fire escape and trying
to force an apartment window open. A block away, Thomas
saw a man who perfectly matched the description, and who
was carrying a flashlight and a big screwdriver. The officer
attempted to arrest the man for attempted burglary, but the
man resisted the arrest. Officer Thomas used physical force
to make the arrest. It later turned out that the man was
drunk and had locked himself out of his own apartment. He
had been trying to get into his place by forcing open a
window, because he did not want to wake his wife and let
her see that he was drunk. When he couldn’t get into the
window with his bare hands, he walked a couple
of blocks to his parked car, got his tools, and was returning
to try the window again.

In this case, Officer Thomas was justified in using
physical force even though the man did not commit a crime.
The law provides that a police officer need only have
reasonable cause to believe that an offense was being
committed. It does not require that the offense be in fact
committed. At the same time, the man would not have been
justified in resisting the police officer's efforts to arrest him.

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Thus, while this individual was not a burglar, he was guilty of
resisting arrest
Note: Even though an arrest is invalid, a person who resists is still
criminally liable for any Harassment or Assault charge he committed while
resisting the police officer (see Penal Law § 35.27, the "No Sock Law").
2.

A guard, police officer, or peace officer who is responsible for guarding prisoners
in a detention facility, or while in transit to or from a detention facility, may use
physical force to the extent that he reasonably believes necessary to prevent the
escape of a prisoner from a detention facility, or from custody while in transit to or
from such facility.

Justification for Use of Deadly Force
Article 35 of the Penal Law permits a civilian, police officer, or peace officer to use
deadly physical force in the prevent/terminate and arrest stages for specific crimes under
certain circumstances. In cases where a civilian has used deadly physical force, you will
hold that person pending a determination of whether that person was justified in doing so
by an Assistant District Attorney (or a supervising officer).
As we have previously discussed, police officers’ use of deadly physical force is
more closely regulated by our Department Guidelines (P.G. 203-12) and by the U.S.
Supreme Court ruling in Tennessee v. Garner, 471 U.S. 1, (1985) than by the Penal
Law. Garner involved the police shooting of an unarmed 15-year-old boy who was
fleeing from a neighbor’s empty home from which he had apparently stolen ten dollars.
In the case, the Supreme Court ruled that a police officer's use of deadly physical force
to prevent the escape of an unarmed felon who posed no threat of death or serious
physical injury to the officer or others was unconstitutional. The Department’s
Guidelines take into account both Garner and the Penal Law so that, as long as you
follow the Guidelines, your actions will be well within both New York State and federal
law. If you do not follow these Guidelines, you will be disciplined, and you will also run
the risk of criminal prosecution at the federal and state levels, as well as the loss of City
representation and indemnification if you are sued in civil court.
There is an easy way to avoid all this trouble:

FOLLOW DEPARTMENT GUIDELINES.

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Remember that the primary duty of all
members of the service is to preserve
human life, and use your firearm only
when there is no other way to protect life.
Use no more force than is necessary to
overcome resistance to an arrest, or to taking a
mentally ill or emotionally disturbed person
into custody.
The Use of Force Involving Mentally Ill or Emotionally Disturbed Persons
The law allows police to seize and confine to hospitals, mentally ill persons who
pose a threat of harm to themselves or others. As a police officer, you will almost
certainly encounter situations in which obviously mentally ill persons act in a dangerous
manner.
What should you do in such a situation? First, you should be guided by the
principles and procedures outlined in the chapter titled “Policing the Emotional Disturbed”
and in PG 216-05. Unless immediate action is necessary to protect someone's safety,
you must attempt to ISOLATE AND CONTAIN the mentally ill person without unduly
alarming him or her and thereby causing the situation to escalate. As a police officer you
must take actions that promote the safety of all involved. You must ensure that a patrol
supervisor and an ambulance are responding. The Communications Division will
automatically send an Emergency Service Unit to your location.
If an emotionally disturbed person appears to be having difficulty breathing or
otherwise presents life-threatening symptoms, medical assistance will immediately be
requested. Keep in mind that positional asphyxia is a real danger in struggles with
EDPs, and make certain that you do not confine people on their abdomens for any
longer than is necessary to subdue them. Follow closely the directions of your patrol
supervisor and remember that, when no supervisor is at the scene of a police incident,
the senior member present will direct and coordinate police operations, pending the
arrival of a supervisor.

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References
Bittner, E., The Functions of Police in Modern Society (Cambridge MA: Oelgeschlager,
Gunn and Hain, 1980).
Edwards, S. M., J. Granfield, and J. Onnen, Research in Brief: Evaluation of Pepper
Spray (Washington DC: National Institute of Justice, March 1997).
Flynn K.W., “Training and Police Violence” in R. G. Burns and C. E. Crawford, eds.,
Policing and Violence (Saddle River NJ: Prentice Hall, 2002).
Fyfe, J J., “Training to Reduce Police-Citizen Violence,“ in W. H. Geller and H. Toch,
eds., Police Violence (Yale University Press, 1996).
Granfield, J., J. Onnen, and C. S. Petty, Pepper Spray and In-Custody Deaths
(Washington DC: National Institute of Justice, March 1994).
Hunt, J.C. “Police Accounts of Normal Force,” Urban Life 13:4, 1985.
Skolnick, J.H. and J.J. Fyfe, Above the Law: Police and the Excessive Use of Force.
(New York: Free Press, 1993).

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Arrest Processing
WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT ARREST PROCESSING?
The professional police officer should always be cognizant of criminal
activity. Once probable cause is established by a police officer and a valid arrest
is made, he or she must follow appropriate Department arrest processing
procedures. Following these procedures properly can provide accurate crime
statistics, detailed tracking of crime recidivists, and important investigative
information for law enforcement agencies nationwide. Arrest processing includes
information obtained at the scene of the arrest, identification of suspects,
identification of victims and witnesses, accurate and complete paperwork, proper
fingerprinting, photographs, and above all security of your prisoner. Let us take
an in depth look at arrest processing.
We will begin at the arrest location. Each arrest situation you’ll encounter
will be different. The procedures in this topic will be used as a guide to introduce
you to arrest processing. The more arrests you make, the more comfortable you
will be with the procedures.
Procedures also vary depending on the borough court that has jurisdiction
over the arrest. Keep in mind that the information contained in this chapter is in
accordance with Patrol Guide procedures; however, additional measures may be
required.
Upon Taking a Person Into Custody
Inform prisoner of authority and cause for arrest, unless physical
resistance, flight or other factors render such procedure impractical. Immediately
field search/ frisk prisoner and search adjacent vicinity for weapons, evidence
and/ or contraband. Remove prisoner to precinct of arrest and inform desk
officer of charge(s).

SEARCHES OF PRISONERS
Frisk/Field Search
The frisk/field search is performed primarily to ensure the personal safety
of the arresting officer and conducted while the subject is still at the arrest
location. This is a methodical external body examination of the subject
conducted immediately after apprehension to find weapons, evidence or
contraband. A frisk should be conducted before or immediately after the subject
is rear cuffed. A thorough external body examination is made by sliding the hand
over the subject’s body, feeling for weapons or other objects. Special attention
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should be given to the waistband, collar, armpit, and groin area. If an unusual
object is detected, the officer will reach into or under the clothing to remove it.
Transporting Prisoners
Once the prisoner has been frisked at the scene, he/she must be
transported to the station house, unless medical attention is needed. When
transporting a prisoner in a R.M.P., there are various security measures to be
employed by members of the service. The prisoner must be rear cuffed and the
cuffs must be double locked. The prisoner will be placed in the rear seat and
secured with a seat belt. All personal property (e.g. flashlights, batons,
briefcases, etc.) will be removed prior to placing a prisoner inside the R.M.P. The
prisoner will be placed in a position in the rear seat to allow the recorder to
visually monitor the prisoner during transport.
If the R.M.P. is equipped with a fiberglass partition, the recorder and
operator will ride in the front seats. If R.M.P. is not equipped with a partition, the
recorder will ride in rear seat, directly behind the operator, with the prisoner
seated on passenger side of vehicle. While a member of the service is securing
the prisoner with the seat belt, the other member will remain on the opposite side
of the R.M.P. with the rear door open to be tactically able to assist in the event of
an unforeseen occurrence.
Search at Police Facility
Once you arrive at the station house with the prisoner, you will report
directly to the desk officer. At this time, you or a designated member of the
service (of the same sex as the prisoner) will conduct a thorough search of the
subject’s person and clothing to ensure the safety of all persons within the
facility. The search of a prisoner performed at the command is more thorough
than that conducted on the street. During this search, the officer will be removing
weapons, contraband, and evidence not discovered by the initial frisk. Other
items that are lawfully carried but are dangerous to life, may facilitate escape or
may be used to damage Department property will also be removed from the
prisoner. The search includes removing the outer garments, such as, overcoats,
jackets, hats, wigs, ties, shoes, socks, handbags and wallets. All pockets are to
be emptied, and all clothing not removed will be examined by grabbing, crushing
and squeezing the garments. The officer will slide their hands across the body to
detect articles that may be underneath or sewn to the clothing.
Strip Search
There are times when a prisoner should be strip-searched. A strip search
is defined as the exterior search of a prisoner and his/her clothing with the
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articles of clothing removed. Prisoners should be strip searched when the
arresting officer reasonably suspects that weapons, contraband or evidence may
be concealed upon the person or in the clothing in such a manner that they may
not be discovered by previous search methods. The desk officer will determine
if a strip search will be conducted and will ensure that the search is conducted
properly.
Some of the factors that the arresting officer should consider to determine
the necessity of a strip search are:
•
•
•
•
•
•

Discoveries from previous searches
Nature of the crime (serious violent felony)
Arrest circumstances
Subject’s reputation (extremely violent person)
Act of violence
Unaccountable reading from a metal detector

Strip searches will be conducted by a member of the same sex as the
prisoner, in a secure area and in the utmost privacy. It should not be necessary
to touch the subject’s body, except for examination of hair. Under no
conditions shall a body cavity search be conducted. When a strip search is
conducted, such information will be entered in the command log, OLBS/Arrest
Supplement, the A/O’s activity log and the prisoner movement slip. A strip
search will not be conducted after a decision is made to void an arrest or to
release the prisoner immediately upon issuance of a Personal Service
Summons.

GENERAL PROCESSING PROCEDURES
The Prisoner Pedigree Card is used to carefully document and monitor
all prisoners in custody within a Department facility. This card establishes a
standardized procedure for the exchange of information between the arresting
officer and the desk officer. You will fill out this card for every prisoner and
present this card to the desk officer at the facility where processing an arrest.
You will then place the prisoner in the command holding pen and enter the
prisoner’s name in the Holding Pen Roster. If the prisoner is a juvenile
delinquent/juvenile offender, the prisoner will be taken to the location in the
command specifically designated as suitable for the interrogation of juveniles.
Note: A list of locations approved for the interrogation of juveniles
is maintained in the Precinct Reference Library.

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You will notify the desk officer if force was used to effect the arrest. The
desk officer also determines the validity of the arrest unless the arrest is made by
an off duty member of the service (MOS), then the Commanding Officer/Duty
Captain will determine the validity of the arrest. The MOS will request the
assistance of the detective squad if the prisoner is arrested for homicide, serious
assault, robbery, burglary, grand larceny, or other serious or unusual crime. The
arresting officer (A/O) will then prepare arrest related documents as provided by
the arrest processing officer. The complainant will be provided with the
prisoner’s name, charges, A/O’s information and location of appropriate court.
Telephone Calls
You will advise the prisoner of the right to make three (3) phone calls
within the city without charge or to make collect calls, outside the city, if toll
charges are accepted. Permit the prisoner to talk on the phone, except where
the ends of justice may be defeated or a dangerous condition may be created. If
the prisoner refuses to make a phone call, notify the desk officer so that an entry
can be made in the command log.
Notifications
You must notify relatives or friends if the prisoner is under nineteen (19)
years of age, or is admitted to a hospital, or is apparently emotionally disturbed.
If notification cannot be made, prepare a Missing – Unidentified Person Report
and notify the precinct detective squad and the Missing Persons Squad.
Completion of Applicable Department Forms
You will complete and deliver the Arrest Documentation Checklist and
photocopies of the following Department forms to the desk officer in every case
in which they are prepared:
•
•
•
•
•
•
•
•
•

On Line Booking Arrest Worksheet (OLBS)
Complaint Report Worksheet, if applicable
Aided Report Worksheet, if applicable
Activity Log entries
Property Clerk’s Invoice, if applicable
Request for Laboratory Examination, if applicable
Supporting Deposition
Stop and Frisk Report, if applicable
Sprint Incident Inquiry

In order to obtain the information you will need to fill out the captions on
the required paperwork, you are allowed to ask the prisoner for pedigree
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information. Asking the prisoner’s name, age, date of birth, etc. is not
considered interrogation and does not require Miranda Rights. Once you start to
inquire about details of the crime, Miranda Warnings must be given. Miranda
Warnings and interrogations are discussed in the Criminal Procedure chapter.
Processing requirements for Juvenile Delinquents/ Juvenile Offenders are
different from processing requirements for adults. These procedures are
discussed in more detail in the Children and Adolescents chapter.
Desk Appearance Ticket (“DAT”)
A Desk Appearance Ticket (DAT) is defined as an appearance ticket
issued in lieu of detention, at the direction of a desk officer, for misdemeanors,
violations and certain Class “E” Felonies for hospitalized prisoners.
The desk officer determines who is eligible for a D.A.T. by considering,
validity of identification, likelihood to appear in court, warrants, etc. D.A.T.’s are
becoming increasingly harder for a defendant to qualify for (e.g., a person who
has failed to appear for one (1) traffic summons will not be issued a D.A.T.).
Patrol Guide procedure 208-28 “Identification Standards for Desk Appearance
Tickets” describes a sequential six-step process to be followed during arrest
processing in order to determine a defendant’s eligibility for a D.A.T. and involves
the following components:
ƒ
ƒ
ƒ
ƒ
ƒ
ƒ

Stricter Identification Standards
New York State Probation/Parole Status Inquiry
WNAM Warrant Check/ OCA Identification
Department of Motor Vehicle Name Check
Beta System Inquiry
Warrant On Line File System (WOLF)

A Desk Appearance Ticket will not be issued under the following
circumstances (for a detailed explanation see Patrol Guide procedure 208-27):
•
•
•
•
•
•
•
•

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Arrest on a Warrant
Photographable Offenses (unless prisoner is hospitalized
Prisoner intoxicated/ on drugs and are dangerous
Family Offense
Violation of Order of Protection
Harassment 1, Menacing 2nd , and Stalkings Offenses
Criminal Sale of Marijuana 4th or 5th Degree
Assault 3rd (or attempt), Menacing 2nd or 3rd, Harassment 1st ,
Aggravated Harassment, or Reckless Endangerment 2nd
against a city, state enforcement agent performing duty
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•
•
•
•
•
•
•
•
•
•
•
•

Intoxicated Driver (if hospitalized for 24 hours can be eligible
for a D.A.T)
Vehicle Offenses (Attempted Grand Larceny 4th, Intentionally
damages a vehicle up to $250 when in connection with attempt
to steal auto, or larceny of contents of auto
Offenses that would constitute child abuse, neglect or
maltreatment
Misdemeanor Recidivists
Graffiti Offenses (Criminal Mischief 4th and Making Graffiti
Aggravated Unlicensed Operation of Motor Vehicle 2nd
Criminal Trespass 3rd, when in connection with a building
utilized for commercial/ office purposes
When arrest for threatening, harassing or menacing a UMOS,
an elected official or any other city, state or federal employee
Arrest for Unlawful Eviction
Arrest for Resisting Arrest
Arrest for Obstructing Governmental Administration 2nd
Degree
Arrest for Interference with Professional Sporting Event

Fingerprinting
One of the functions you will be performing quite often as a police officer is
that of fingerprinting. Prisoners will be fingerprinted as part of the arrest process.
Fingerprints allow law enforcement officers to verify the identity of arrested
persons, who quite often use aliases. In addition, by becoming part of a data
bank network, fingerprints can be used to identify people wanted on warrants, or
whose prints match those found at a crime scene.
To improve the quality of fingerprints forwarded to the Identification
Section and the Division of Criminal Justice Services in Albany and to expedite
the production of a prisoner’s arrest history (RAP sheet), the NYPD has replaced
conventional ink fingerprinting with Livescan. Livescan is a state of the art,
inkless computerized fingerprinting system and is operational in all patrol
commands. The practical utilization of Livescan training is provided by the Police
Academy, Computer Training Unit during your Academy training.
There are three (3) classifications of fingerprints:
•

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Patent – Fingerprints visible in dust, blood and paint. These
cannot be lifted and are rarely preserved. They must be
photographed.

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•

Latent – Not visible to the eye. Results of secretions from the skin
(99% water, 1% oily acid). Raised with powder or chemicals.

•

Plastic – These prints are left in putty, soft wax or tar. Like visible
prints, these are not easily lifted and must be photographed.

There are three general pattern types: arches, loops and whorls.
Patterns are formed by ridges. Each pattern contains a primary focal point
referred to as a core. There is a secondary focal point referred to as a delta that
can be found in the loop and whorl patterns. Both of these focal points are used
in finger image classification.
Fingerprint Safety Precautions
•
•
•
•
•
•
•

Never take prints when alone with the prisoner.
Weapons (guns, mace, and baton) should be secured with the desk
officer or in a locker.
Check fingerprinting area for potential weapons prior to taking
prints.
Never leave the prisoner alone or unattended before, during, or
after taking prints.
Never cuff the prisoner to portable objects (such as chairs).
Never attempt to force prints if the prisoner resists or is intoxicated.
Never leave items such as keys, pens, etc. within prisoner’s grasp.

MEDICAL TREATMENT OF PRISONER PROCEDURES
There are times when prisoners in police custody require medical/
psychiatric treatment. It is important for you to understand and be able to apply
these procedures because the prisoner’s safety and well-being is your direct
responsibility. You must also understand that while a prisoner is in your
custody, you will care for their immediate medical needs whether they are
arrest- related or not.
An “Aided Report Worksheet” will not be prepared for a prisoner who
requires medical aid or attention. In lieu of an Aided Report
Worksheet, you will prepare a Medical Treatment of Prisoner form. This form
is prepared for every prisoner who:
•
•
•
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Receives medical/ psychiatric treatment
Refuses treatment after claiming injury or illness
Is in apparent need of treatment
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•
•
•

May require prescribed medication
Volunteers their positive status regarding a communicable disease,
if not documented on Prisoner Movement Slip
Already has previously treated injuries

To monitor and document the medical treatment of prisoners while in the
Department’s custody, this form is comprised of two sections. Section I is
completed by the MOS and then reviewed and signed by a supervisor. Indicate
the ACR or PCR number in this section. Enter in the remarks section any
specific instructions from EMS staff regarding the care of prisoner, and/or if EMS
staff brought the prisoner to a hospital emergency room for further treatment.
Also use this section if prisoner refused medical aid.
The attending physician or member of a hospital staff completes section II
of the form. It addresses any medical screening/ treatment a prisoner receives in
the hospital, including psychiatric care. If a prisoner, attending physician, or
hospital staff member refuses to complete or sign the form, you will note such
fact on both the form itself and in your activity log. Make sure to include the full
title and name of the person refusing and all details involved. The Health and
Hospitals Corporation is entitled to a copy of the form.
The most common errors or omissions are as follows:
•
•
•
•
•
•

No escorting officer information provided
No nature of illness/injury information provided
No EMS at Court Section information provided
No NYPD Court Section Supervisor information provided
No check boxes (located immediately above EMS Required
information) were filled out
No Prescription Medication Processed at arrest check boxes were
filled out

Do not overlook the importance of this form. The prisoner will not be
accepted at Central Booking, Court, etc. if the prisoner has an apparent injury
and the Medical Treatment of Prisoner form has not been prepared.
Sick or Injured at Arrest Scene
Request an ambulance and remove prisoner to hospital directly from place
of arrest, if necessary. You or another officer must accompany the prisoner to
hospital. Make activity log entries include the following:
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Include name of person notified regarding Medical Alert Emblem, if
worn
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•
•

Include ACR number or PCR number related to prisoner
Notify D.O.

When a prisoner is taken directly to the hospital from the scene of arrest,
remember to search the prisoner in front of witnesses and to search his/her
clothing once they are removed by hospital authorities for: evidence, weapons or
contraband. Male prisoners should be searched by male members of the
service. Female prisoners should be searched by female members of the
service. If a uniformed member of the service of the appropriate sex is not
available have hospital personnel carefully search the prisoner.
Procedures when Guarding a Prisoner at the Hospital
As you are probably aware, hospitals are usually crowded, busy places.
Whether you are assigned to guard a prisoner who has been admitted, or is there
for emergency room treatment, you shouldn’t let hospital activities distract you.
To prevent escape, leg restraints will be placed on all prisoners transported to a
hospital for medical treatment. Only the desk officer can determine whether leg
restraints will not be used. The hospital environment poses many problems,
especially in the emergency room area. Non-police personnel are often in close
proximity to the prisoner. Also, medications and medical instruments may be
within reach creating potentially dangerous conditions.
Therefore, stay alert and never let down your guard. Keep your attention
directed toward the prisoner. There are key rules that you should follow:
•
•
•
•
•

Keep prisoners rear handcuffed whenever possible and double lock
the cuffs.
Never leave prisoners unattended.
Keep your prisoner under constant observation at all times to
prevent escape
Utilize a second pair of handcuffs to handcuff prisoner’s free wrist
to a bed or gurney, before removing first pair of handcuffs for
treatment
Notify D.O. (pct. of arrest)/ Central Booking regarding Medical Alert
Emblem and ACR/ PCR number

If an attending physician requests removal of handcuffs from your prisoner
inform the doctor of the arrest circumstances. If the physician still requests
removal, request response of the Patrol Supervisor to evaluate the need for
additional personnel and equipment (including ESU) to insure safety during
prisoner treatment prior to removal of handcuffs. You must maintain a
continuous visual contact, even if requested to leave the examination room. If
requested to leave the examination room, remain immediately outside. Replace
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the handcuffs after the examination is completed and request the doctor to sign
your activity log. If the doctor refuses to sign your activity log, write refused.
Procedure When a Prisoner is Admitted to a Hospital
When a prisoner is admitted to a hospital you must notify the desk officer,
precinct of arrest. You must also request the desk officer – of the precinct where
the hospital is located – to provide relief.. You will remain with the prisoner until
relieved. You may have to escort a prisoner to the bathroom by yourself. Utilize
caution and check the bathroom before the prisoner enters. Ensure that there are
no dangerous items that may be utilized as potential weapons such as, razors,
matches, drinking glasses or hypodermic needles to name a few. Ensure that
the prisoner is handcuffed to the bed and watch to make sure that the prisoner
does not attempt to escape. The Department has long chain handcuffs and leg
shackles are available if needed. The desk officer, precinct of hospitalization,
has the discretion to authorize the use of such methods.
The guarding of a hospitalized prisoner is an extremely important
responsibility. You must prevent unauthorized objects from being passed to or
obtained by the prisoner. Make periodic inspections of the prisoner’s immediate
area for possible means of escape. These inspections should include (but are
not limited to) window area, dropped ceilings, bathrooms and closets. Critical
times for these inspections are upon relieving another officer and after authorized
visitors and hospital personnel have been with the prisoner. You must also take
charge of any telephone in the prisoner’s room and allow only authorized calls.
Confer with the patrol supervisor/ desk officer before allowing the prisoner to use
the telephone. Guarding officers are to make an activity log entry to include the
name of the supervisor authorizing the calls as well as the name, relationship
and telephone number of the person called.
There are times when you, as the guarding officer, will allow someone to
visit the prisoner. Persons that may interview a hospitalized prisoner on official
business are as follows:
•
•
•
•
•
•
•
•
•
•
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Ranking Officer, NYPD
Supervisory Officer – other city agencies (i.e., prisoner’s employer)
Social Worker
Chief Medical Examiner or Representative
Hospital Personnel (assigned to treat prisoner)
Detective
Parole or Probation Officer
Federal Law Officer
Clergy (if requested by prisoner)
District Attorney or Representative
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The recipients of a telegram from the Hospital Superintendent with
notification that prisoner is seriously ill may also visit the prisoner. A lawyer may
visit if requested by the prisoner and members of their family. Members of the
family must receive an Official Letterhead from the desk officer, precinct of arrest.
Only the following family members can visit a prisoner:
ƒ
ƒ
ƒ
ƒ

Spouse
Parents
Brothers and sisters
Children sixteen (16) years or older

You will check the identification of all visitors and record in your activity log
the name, address and relationship to prisoner. You will also have the visitor
sign your activity log. At the end of your tour, you must notify the desk officer,
precinct of arrest of all visitors on your tour.

CONCLUSION
As you have seen, processing arrests is much more than completing
paperwork. It requires you to use all of the police instincts and skills (that you will
develop over time) in order to properly secure, search, and safeguard a prisoner.
Effective arrest processing also involves a thorough understanding of department
procedures. The following page lists some of the most important ones. Read
them carefully and learn them. Knowledge of the procedures will prepare you,
guide you, and finally result in efficient and professional arrest processing.

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MANDATORY PATROL GUIDE READING
The following are Patrol Guide procedures that must be added to this chapter –
Arrest Processing. These procedures must be read in conjunction with this
chapter. Questions for the Trimester Exam may come from these procedures:

208-02

Arrests – Removal to Department Facility for Processing

208-03

Arrests – General Processing

208-05

Arrests – General Search Guidelines

208-06

Arrests – Security Measures

208-07

Photographable Offenses

208-08

Fingerprintable Offenses

208-09

Rights of Persons Taken into Custody

208-11

Arrest Processing – “Livescan” Fingerprinting

208-15

Arrest Report Preparation at Stationhouse

208-20

Turnover Arrests

208-27

Desk Appearance Ticket – General Procedure

208-28

Identification Standards for Desk Appearance Tickets

208-29

Desk Appearance Ticket – Preparation of Court Complaint Prior to
Return Date

210-01

Prisoners General Procedure

210-02

Hospitalized Prisoners

210-04

Prisoners requiring Medical/ Psychiatric Treatment

210-13

Release of Prisoners

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Summonses

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW THE MATERIAL IN THIS CHAPTER?
As you are already aware, policing is a profession of service, protection,
and enforcement. While the majority of your time on patrol will involve service to
the community, such as aided cases, response to vehicle accidents, and the
enhancement of the overall quality of life for all New York City residents, you will
also be called upon to impartially enforce the laws governing New York City and
New York State. There are different tools available, for you to enforce the
various laws, statutes, ordinances and regulations that govern the city.
Article 140 of the Criminal Procedural Law provides you the authority to
arrest persons who have committed or are believed to have committed an
offense. However, certain offenses permit you to issue a summons (or Notice of
Violation), in lieu of arrest, returnable to the various courts or agencies charged
with their interpretation. Depending on the charge, a violator may be
commanded to present him or herself before a judge, or may be required to pay
a monetary fee. In either case, the failure of a violator or respondent to
appropriately answer a summons may result in the issuance of a “warrant of
arrest” by the appropriate court.
What is a Summons?
A summons is an accusatory instrument and, as such, requires a police
officer to affirm, or swear to, the indicated charge. In the courtroom, you will
raise your hand and swear to tell the truth. When issuing a summons, you will
affirm the commission of the offense by signing your name. Whether false
statements are made in a courtroom or written on a summons, this is an
intolerable act that will subject you to a criminal charge of perjury, as well as
termination of your employment with the NYPD.
In order to gain the utmost compliance when issuing a summons, police
officers need to maintain a professional demeanor. Issuing a summons can be a
stressful experience, based on the persona of the civilian, as well as the officer.
The actions of the police officer, adversely affect the outcome (whether positive
or negative). Verbal Judo along with Impression Management are two useful
methods of communication that instruct the officer how to deflect negative
responses, and use body language – along with certain phrases – to gain
voluntary compliance. Professional presence is a component of impression
management, which states that an immaculate appearance, coupled with
respectful deflective statements, leads to the goal of voluntary compliance.

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Summonses

CONDITIONS OF SERVICE
This lesson introduces the various summonses issued by the New York
City Police Department as well as the appropriate application for each. We begin
by studying the “Conditions of Service,” as delineated in Patrol Guide section
209-01.
A uniformed member of the service is authorized to issue a
summons/notice of violation instead of arresting the violator, when the violator is
16 years old or more, except when the violator is unable to care for self due to
illness, injury, intoxication, or any other circumstance which would preclude the
issuance of a summons/notice of violation, for the following:
Any Misdemeanor or Violation Listed in the:
•

Agriculture and Markets Law, concerning animals

•

General Business Law

•

Labor Law

•

Multiple Dwelling Law

•

Workers Compensation Law

•

New York State Tax Law, Article 21, Section 289, (Highway Use Tax)

•

Alcoholic Beverage Control Law (Sections 64B, 65, 100, 101, 101a, 101b,
103, 104, 104a, 105, 105a, 106, 108, 114, 116 and 117)

•

Navigation Law (Sections 33, 40, 41, 43, 44, 45, 47, 70, 71, and 73)

•

Vehicle And Traffic Law, except:
o Section 600
o Section 380
o Section 392
o Section 392a

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Leaving Scene of Personal Injury Accident
Motor Vehicle Transporting Dangerous Articles
False Statement, Alteration of Records or
Substitution in Connection With Examination
Sale of False License, Certificate of
Registration or Number Plate

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o Section 421
o Section 422
o Section 423

o Section 426
o Section 1192

Sale of Motor Vehicle or Motorcycle with
Changed Identification Number
Wrongful Possession of Motor Vehicle or
Motorcycle with Changed Identification Number
Peace Officer’s Duties Re: Stolen Motor Vehicles
and Motorcycles with Changed Identification
Number
False Statement, Sale or Transfer of Stolen
Motor Vehicle or Motorcycle
Operating Motor Vehicle or Motorcycle While in
Intoxicated Condition or Ability Is Impaired By
Use of Drugs or Alcohol.

•

New York City Charter

•

New York City Administrative Code (except Section D46-18.0 Cigarette Tax)

•

New York City Health Code

•

New York City Traffic Regulations (except Section 148)

•

New York Codes, Rules and Regulations - Part 1050

•

For any misdemeanor or violation listed in any provisions of any code,
rule, regulation or order enacted by any bureau, authority, agency or
commissions affecting facilities located in the City of New York.

All Penal Law Violations, Except:
•

Criminal Solicitation

•

Failure to Respond to Appearance Ticket

•

Appearance in Public Under the Influence of Narcotics or a Drug Other
Than Alcohol

As you can see, numerous bodies of laws, statutes, regulations and
ordinances govern New York City. In order to assist you in appropriately
identifying the various violations for which a summons may be issued, you will be
provided a copy of the activity log insert COMMON SUMMONSABLE
OFFENSES for your reference. In addition to the various charges, the insert

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contains important information concerning fines and court locations. Although
Department policy does not require you to carry this reference, it is strongly
recommended that you do. When issuing summonses, the encounter with the
violator should be as brief as possible. Any unnecessary delay in preparing a
summons increases the risk of a confrontation between you and the violator.
Summonses and Notices of Violation – Returnable Agencies
•

Offenses concerning Stopping, Standing and Parking offenses are
returnable to the N.Y.C. Department of Finance, Parking Violations
Operations.

•

Traffic infractions other than Stopping, Standing and Parking (including
traffic infractions committed by bicyclists) are returnable to N.Y.S.
Department of Motor Vehicles, Traffic Violations Bureau.

•

Pedestrian offenses and traffic misdemeanors, offenses concerning
garages and parking lots, and all other summonsable offenses, except
violations of Environmental Control Board and Transit Adjudication
Bureau are returnable to N.Y.C. Criminal Court.

•

The following regulations are returnable to the Environmental Control
Board:
o Food Vendor Regulations
o General Vendor Regulations
o Health Code Regulations
o Public Health Law (Canine Waste Law)
o Noise Code Provisions
o Sanitation Provisions
o Air Code Provisions
o Graffiti Law Violations

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General Rules for Summons Preparation and Issuance
When preparing summonses, regardless of the type or agency to which
they are returnable, certain rules apply to all, such as:
•

Summonses will be prepared in numerical order

•

Do not use military time

•

Use a black ink ballpoint pen and legibly print information in block letters.
Cross-outs are not permitted.

•

Do not pre-sign summonses. That is, do not affirm the commission of the
violation prior to preparing the summons.

•

Record only one violation per summons. For example, if you observe a
vehicle pass a steady-red light signal and later discover the driver has
allowed the inspection to expire, two summonses are required. Two
violations on the same summons will cause automatic dismissal.

•

Summonses are obtained from the desk officer. When receiving a
package of summonses from the desk officer, the member concerned will
count the summonses to ensure the package is complete. If any
summonses are missing, damaged or altered, the Commanding Officer
will be notified.

•

If a member prepares a summons in error, the remaining parts of the
summons will be brought to the command and given to the Commanding
Officer along with a complete explanation of the circumstances.

•

Under no circumstances will an issuing member of the service write on the
side margin of the summons.

•

ACTIVITY LOG entries will be made for all summonses prepared.

•

All completed summonses will be placed in a receptacle that is designated
by the Commanding Officer. This receptacle is typically located in the
vicinity of the Desk Officer. Each type of summons will have its own
receptacle.

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Summonses

The preparation of summonses, regardless of type, usually involves seven
steps:
1. Observation of the violation(s)
2. Preparation of the appropriate form, for example:
•

PARKING SUMMONS for violations returnable to Parking
Violations Bureau

•

PERSONAL SERVICE SUMMONS for violations returnable to
Criminal Court or Traffic Violations Bureau

•

ENVIRONMENTAL CONTROL BOARD NOTICE OF
VIOLATION AND HEARING for violations returnable to the
Environmental Control Board

•

TRANSIT ADJUDICATION BUREAU – NOTICE OF
VIOLATION issued by members of the Transit Bureau only for
violations occurring within the jurisdiction of the Transit
Adjudication Bureau.

Note: See appendix for illustration of above summonses
3. Issuance of the appropriate copy of the summons to the violator.
4. ACTIVITY LOG ENTRIES reflecting complete details concerning violation.
5. Completion of appropriate CERTIFICATION OF SUMMONS SERVED
card. (Appropriate copy of summons will be attached to the card and
presented when additional summonses are required).
6. Submission of remaining copies to the designated location within the
command.
7. Courtroom testimony, if appropriate. You will not be called upon to testify
for every summons you prepare, but you should prepare your ACTIVITY
LOG entries in anticipation of testifying in every case.

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TRAFFIC SUMMONSES (“B” SUMMONS)
Traffic enforcement has three goals:
1. To prevent accidents and protect life and property;
2. To maintain the safe and expeditious flow of traffic;
3. To ensure compliance with state and local traffic regulations.
Upon observation of a traffic infraction or violation of a traffic law, a police
officer must determine what enforcement or corrective measure is necessary.
You may decide to warn and admonish, issue a summons, or in some situations,
arrest the violator.
If an officer decides to issue a summons it must be prepared
correctly or the Traffic Violations Bureau will not process it. The section
and subdivision of the law that was violated must be correct. Additionally, certain
other facts – if missing or incorrect – may result in a voided (or dismissed)
summons. A summons may also be dismissed if the issuing officer does not
appear at the hearing on the scheduled date, unless a valid reason for the
officer’s absence is made in advance of the hearing. Therefore, police officers
have an obligation to appear as required, or to make proper notifications of their
unavailability.
When you personally serve a summons returnable to Traffic Violations
Bureau (TVB) or Criminal Court, the five-part snap-out form PERSONAL
SERVICE SUMMONS will be prepared. However, prior to actually putting pen to
paper, you need to obtain information from the violator as well as ensuring the
eligibility of the violator to receive the summons in lieu of arrest.
When a violation is observed, inform the violator of the offense committed
and request that the violator show proof of identity and residence. In traffic
cases, examine driver’s license, vehicle registration, and insurance
identification card for vehicles registered in New York State. For all cases in
which you prepare a PERSONAL SERVICE SUMMONS (returnable to either
Criminal Court or Traffic Violations Bureau), if the violator presents a driver’s
license, check “Motorist Exhibited License” box on top of summons.

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Personal Identification
As a general rule regarding the issuance of summonses, the following
forms of government photo identification are considered valid forms of
identification:
•
•
•
•
•
•

Valid Photo Driver’s License (from New York State, another state,
or another country)
Valid passport
Citizen or naturalization papers
New York State Non-Driver Identification
New York State Driver’s Permit
Other government photo identification

Note: UNDER NO CIRCUMSTANCES WILL YOU ISSUE A PERSONAL
SERVICE SUMMONS TO AN UNIDENTIFIED VIOLATOR.
The most prevalent form of identification that will be presented by a
violator, prior to the issuance of a summons, is a New York State driver’s license.
The important elements of the license are:
•

Nine digit ID number

•

Red highlighted sections, including:
o
o
o
o
o

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Statement “Under 21 Years of Age”, if applicable
Date of Birth, if under 21
“Conditional Use,” if appropriate
“Restricted Use,” if appropriate
“Expiration Date”

•

Date of Birth

•

Name and Address

•

Sex

•

Eye Color

•

Height

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•

Class

•

Endorsements

•

Restrictions (indicated on the rear of license)

•

Date of issuance

•

Date of expiration

The New York State Department of Motor Vehicles (DMV) may issue an
interim license in certain circumstances at DMV offices. The interim license is
predominantly issued in cases where a motorist is requesting a replacement
license, initial license or change of class. These documents are computer
generated and are valid for a period of 45 days. The licensee’s “Record of
Convictions” is attached to this interim license and is required when pleading to a
violation of the Vehicle and Traffic Law (VTL). The driver is not required to carry
this portion of the document when driving.
Registration
The following items are contained on a New York State Registration
sticker:
•

Vehicle Identification Number (VIN)

•

Vehicle plate check digit number

•

Vehicle body type

•

Vehicle plate number

•

Expiration date

•

Vehicle make and year

New York State law no longer requires a driver to present the registration
card. All relevant information is contained on the registration sticker that is
located in the lower-left corner of the driver’s side of the windshield.

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Insurance Card
New York State Law requires that all vehicles operating on public
highways be insured and that drivers are able to demonstrate proof of insurance
by presenting a valid insurance card. The following vehicles are exempt from
this requirement
•
•
•
•

Taxis, buses and rental vehicles
Government-owned vehicles
Interstate commerce or Public Service Commission vehicles
Certain farm vehicles

License and Warrant Check
The following circumstances require a mandatory license check prior to
issuing a summons:
•

Car stops and the vehicle operator does not present a New York
State Driver’s License.

•

All car stops if the Radio Motor Patrol car (RMP) is equipped with a
Mobile Digital Terminal (MDT).

•

Other situations, e.g., arrest, traffic violation, etc., which under the
circumstances require further investigation.

If you are not assigned to Radio Motor Patrol (RMP), your RMP does not
have a Mobile Digital Terminal (MDT), or if the MDT is inoperable, request the
response of a police vehicle equipped with an operable MDT. If the required
license check cannot be conducted because the Department of Motor Vehicles
computer (accessed by the MDT) is inoperable, the license check as indicated
above cannot be conducted. When circumstances do not warrant detention and
the operator of the vehicle possesses a valid driver’s license, vehicle registration,
insurance card, etc., you will make an ACTIVITY LOG entry including the
operators name, address, telephone number, date of birth, and driver’s license
number. (See Patrol Guide section 209-24 for more information regarding license
checks)
Note: Remove the violator to the command if doubt concerning identity exists.

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Multiple Offenses
As stated earlier, prepare only one summons per violation. If the violator
commits multiple offenses arising out of a single traffic incident, and one
offense is returnable to Criminal Court, make all related summonses
returnable to Criminal Court.
In order to establish a prima facia case for Disorderly Conduct, the
criminal court judge must know what precipitated the violation. In this case,
pulling over the vehicle for passing the stop sign established the basis for the
stop and was the precursor to the violation. If the only violation were the passed
stop sign, the summons would be returnable to Traffic Violations Bureau.
Personal Service
Upon completing the summons and prior to issuance, you have the option
to request the violator to sign the bottom of the summons. This signature is
merely an acknowledgement for receipt of the summons and is not an admission
of guilt. Regardless, if you feel that requesting the signature may precipitate a
confrontation or place you at a tactical disadvantage, you may opt out of
requesting the signature. If the violator refuses to sign, note the refusal in your
ACTIVITY LOG and take no further action.
Provide the violator the part of the summons designated for the agency for
which the summons is returnable. If the summons is returnable to the Traffic
Violations Bureau, give the violator the copy of the summons labeled “Motorist
Copy.” If the summons is returnable to Criminal Court, give the violator the copy
labeled “Criminal Court.”
Activity Log Entries
Enter the information concerning the summons(es) on CERTIFICATION
OF MOVING/CRIMINAL COURT SUMMONSES SERVED, as well as making a
complete ACTIVITY LOG entry. Your entry will include:

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•

Description of the offense

•

Summons number

•

Motorist’s/Defendant’s name and date of birth

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•

Type, and serial number, of government photo identification used
to determine name and date of birth of motorist/defendant

•

License plate number and state/province of registration

•

Make and model of vehicle

•

Number of passengers in vehicle

Remember; think about courtroom testimony when you prepare your
ACTIVITY LOG entries. You may be called to testify months, or years, after the
offense occurred. Chances are you will not recall specific aspects of the violation
and referring to your ACTIVITY LOG entries may refresh your recollection. If you
have thoroughly documented events, you will be able to testify to them fully,
truthfully, and in a highly credible, professional way.
In addition to the above-required ACTIVITY LOG entry, you have the
option of utilizing the area on the rear of the white “Officer” copy of the summons
entitled “Officer’s Notes.” This area is meant to serve as additional information
for you to assist in recording the pertinent details of the offense. Again, the
utilization of this section of the summons is optional; however, ACTIVITY LOG
entries are required.
Detach and retain the last two copies of summons marked Police/Agency
and Officer. You will retain the white Officer copy, and the yellow Police/Agency
copy will be attached to the CERTIFICATION OF SUMMONSES SERVED card.
The remaining copies will be delivered intact to the designated location within
your command.
“B” Summonses – General
Members of the service shall NOT ordinarily issue summonses for local
license plate cover violations (Section 402 of the New York State Vehicle and
Traffic Law/Code 74 of the New York City Traffic Rules) to vehicles bearing outof-state license plates. Such a summons should be issued only if the member of
the service is aware that the controlling law in the motorist’s home state also
prohibits license plate covers.
Section 207, subdivision 5, of the Vehicle and Traffic Law (Disposing of a
Uniform Traffic Summons), does not apply to situations where a motorist
destroys or discards his/her copy of the summons that was issued by the

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member of the service. That section is applicable only when someone prevents
or interferes with the processing of the part of the summons destined for the
adjudicating body (i.e., the “Court copy”). Members of the service may, however,
issue a Criminal Court summons for littering (Administrative Code section 16118, [subdivision1]) in appropriate circumstances.
A person operating a limited use vehicle (mini-bike, moped, etc.) on a
highway (road, street, avenue, highway, etc.) is subject to all applicable
provisions of the Vehicle and Traffic Law and Traffic Regulations. Although
registration and licensing provisions do not apply to bicycles, persons riding
bicycles on public streets are subject to many of the same traffic laws as
operators of motor vehicles. When a bicyclist is issued a summons for a violation
of the traffic laws, the word “BICYCLE” will be entered in bold print on that
portion of the summons designated for the year and make of the vehicle. On the
reverse side of both the yellow motorist’s copies of the summons, a line will be
drawn through the instructions that direct the violator to answer the summons by
mail.
Note: A JUVENILE REPORT will be prepared for individuals who are at least
seven and less than sixteen years of age who violate applicable provisions of
the traffic laws.
Hazardous Violations
Sustained attention and priority in enforcement should be given to those
hazardous violations that are the major cause of most accidents, deaths, and
injuries on the roadways. The 19 most hazardous violations are:
1. Failed to yield the right of way to vehicle
2. Following too closely
3. Speeding
4. Reckless driving
5. Improper turn
6. Fail to obey traffic signal
7. Disobey sign

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8. Improper passing
9. Fail to yield right of way to pedestrian
10. Backing unsafely
11. Fail to keep right
12. Driving while intoxicated
13. Defective brakes
14. Unlicensed operator
15. Driving while ability to operate is impaired by alcohol or drugs
16. Failure to wear seatbelt, use of child safety seat
17. Spill-back
18. Use of a cellular telephone while driving
19. Disobey pavement markings
Return Date – Traffic Violations Bureau
Return dates are not entered on a summons for violations returnable
solely to Traffic Violations Bureau. However, as previously stated, if the violator
commits multiple offenses arising out of a single traffic incident, and one offense
is returnable to Criminal Court, make all related summonses returnable to
Criminal Court. In this case, a return date, time, and location will be indicated.

GENERAL TRAFFIC PROVISIONS
Single Broken Line: This line defines traffic lanes. White separates lanes of
traffic moving in the same direction. Yellow separates lanes of traffic moving in
opposite directions. Motorists may pass if crossing will not interfere with traffic.
Single Solid White Line: This is a warning line. Normally, motorists should not
change lanes, but they may if conditions require.

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Double White Lines: Motorists may not change lanes if the line is solid. If said
line is broken, they may change lanes if traffic permits.
Double Yellow Lines: Crossing such a marking to turn in or out of a driveway or
alley is permitted. A driver may cross this line to make a “U” turn, but not to pass.
Such turn, however, is not permitted where prohibited by signs.

COMMON SUMMONSABLE OFFENSES
NYS VEHICLE AND TRAFFIC LAW
Failure to Stop For a School Bus (Section 1174, subd. a)
This law mandates the driver of a vehicle, upon a highway or street, to
stop before meeting or overtaking, from either direction, any school bus that has
stopped for the purpose of receiving or discharging school children and has in
operation a flashing red signal and/or stop sign. The driver shall not proceed until
the school bus resumes motion or until signaled by the school bus driver or a
police officer to proceed.
Operation of Vehicles with Safety Seats and Safety Belts (Section 1229[c])
Safety Seats: All passengers under the age of four (4) must be restrained
by a car seat, regardless of where the child is seated in the car (front or rear
seat).
•

All passengers under the age of sixteen (16) must be restrained by
means of a safety belt regardless of where the passenger is seated in
the car (front or rear seat).

•

All front seat passengers must be restrained by means of a safety belt.

•

For all passengers under the age of four (4), a safety seat must be
used.

•

No person shall operate a motor vehicle unless such person is
restrained by means of a safety belt.

•

For rear seat passengers, age sixteen (16) or older, safety belts are
optional.

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Note: Violation of the above statutes constitutes a traffic infraction.
Each adult violator may be personally issued a summons. In all cases
where a juvenile (less than 16) is the violator, the operator will be
issued a summons.

Exemptions From Safety Belts Include:
1. School Bus passengers four (4) years old or older
(However, school bus drivers must wear safety belts, and all passengers
under the age of four (4) must be restrained by car seats.)
2. Authorized Emergency Vehicles
3. Taxis
4. Liveries
5. Buses, other than school buses
Safety Belt Reference Chart:

AGE

V.T.L. SECTION

REAR SEAT

FRONT SEAT

DRIVER

N/A

SEAT BELT

1229(C), (3)

16 OR OVER

OPTIONAL

SEAT BELT

1229(C), (2)

4-15 YEARS

SEAT BELT

SEAT BELT

1229(C), (1 &2)

LESS THAN 4

CAR SEAT

CAR SEAT

1229(C), (1)

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Unlawful Use of a Hand-Held (Mobile) Cellular Phone by an Operator of a
Motor Vehicle - Traffic Infraction (V.T.L., Section 1225-c, subds. 2[a], 2[c],
3[a], 3[b], 3[c]):
•

Subd. 2(a) - No person shall operate a motor vehicle upon a public
highway while using a mobile telephone to engage in a call while such
vehicle is in motion.

•

Subd. 2(c) - The provisions of this section shall not be construed as
authorizing the seizure or forfeiture of a mobile telephone, unless
otherwise provided by law.

•

Subd. 3(a) - A defense to this law is attainable if the use of a mobile
telephone is for the sole purpose of communicating with any of the
following regarding an emergency situation: an emergency response
operator; a hospital, physician's office or health clinic; an ambulance
company or corps; a fire department, district or company; or a police
department.

•

Subd. 3(b) - A defense to this law is attainable if the use of a mobile
telephone is for any of the following persons while in the performance of
their official duties: a police officer or peace officer; a member of a fire
department, district or company; or the operator of an authorized
emergency vehicle as defined by V.T.L. Section 101.

•

Subd. 3(c) - A defense to this law is attainable if the use of a mobile
telephone is conducted with a hands-free mobile telephone.

Motorized Scooters and Skateboards (VTL section 401 [1] [a])
The operation of a motorized scooter or skateboard on the streets of New
York City violates this section of the V.T.L. (unregistered vehicle), among other
charges. Individuals that are stopped for this infraction on a public street may be
issued a summons, returnable to criminal court, or arrested. Should the offender
be a juvenile, a Juvenile Report will be issued. In addition, the device will be
seized as arrest evidence and invoiced.

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Pedestrians (Sections 1150, 1151):
(a)

Pedestrians shall be subject to traffic control signals and pedestrian
control signals as provided in Section 1150, 1151 of these rules and to the
lawful orders and directions of any law enforcement officer.

(b)

Right of way in crosswalks

(c)

1)

Operators to yield to pedestrians in crosswalk

2)

Pedestrian shall not cross in front of oncoming vehicles

Restrictions on crossings
1)

No pedestrian shall enter or cross a roadway at any point where
signs, fences, barriers, or other devices are erected to prohibit or
restrict such crossing or entry.

2)

No pedestrian shall cross any roadway at an intersection except
within a crosswalk.

(d)

Operators to exercise due care. Notwithstanding other provisions of these
rules, the operator of a vehicle shall exercise due care to avoid colliding
with any pedestrian.

(e)

Hitchhiking and soliciting prohibited.
1)

Talking or selling: No person shall stand in the roadway to talk with
or sell/offer to sell anything to an occupant of any vehicle.

2)

Soliciting rides: No person shall solicit a ride from the occupant of a
vehicle by word or gesture.

3)

Washing, polishing, cleaning and assisting parking: No person shall
approach an operator or other occupant of a passenger vehicle on
any street, while the vehicle has stopped temporarily, is about to
stop, is parked or is about to be parked, for the purpose of washing,
polishing or cleaning such vehicle or any part of it.

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CRIMINAL COURT SUMMONSES (“C” SUMMONS)
Thus far, we have discussed the preparation of the PERSONAL SERVICE
SUMMONS in general terms. Now, we will discuss the preparation of this
summons for violations returnable to Criminal Court. Generally, “C” summonses
are issued to persons who violate specific rules of the New York City
Administrative Code and Violations in the NYS Penal Law (i.e. Consuming
Alcohol in Public, Urinating in Public, Disorderly Conduct, Unlawful Possession of
Marijuana, etc.).
For these violations, the reverse of the top copy of the summons contains
the “Criminal Court Information” section. This section is required for all violations
returnable to Criminal Court. A summons with a properly completed
“Information” section will eliminate the need for the issuing officer to appear in
court on the return date to prepare a complaint and will enable the court to issue
a warrant for a defendant who fails to appear. When preparing this section, you
must indicate the specific actions of the offender, not just a recitation of
the law, for example:
•

Incorrect – “The defendant did commit the Penal Law violation
of Disorderly Conduct.”

•

Correct – “The defendant did sit in the roadway in the middle of
the intersection at 50th Street and 5th Avenue, thereby
obstructing vehicular traffic. When asked to leave, the
defendant refused.”

Additionally, you must ensure that the specific violation cited on the front
of the summons is described. For example, the case will be dismissed if you
indicate on the front of the summons that the defendant committed “Trespass,”
and incorrectly describe the Penal Law violation of Disorderly Conduct on the
rear of the summons in the “Information” section.
The uniformed member or civilian complainant must sign the “Information,”
and the date must be entered. A summons will not be issued by uniformed
members for violations not personally observed. If a misdemeanor is committed
in the presence of a uniformed member, that member will sign the “Information”
section. When not committed in the member’s presence, that member must
ascertain that a crime was committed and request complainant to sign the
“Information.” If complainant refuses, the member may sign on “information and
belief,” providing all details (as related to member by the complainant) are
included in the “Information” section.

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Warrant Checks
When issuing a Criminal Court summons, a warrant check must be
conducted to determine if the individual is eligible for the summons, or is
“wanted” and must be arrested. Notify Communications of the nature and
location of the stop and request a warrant check:
•

If the warrant check is positive (10-18), the officer will remove the
individual to the command facility for further investigation.

•

If the warrant check is negative (10-19), the officer will issue a
summons and release the individual.

Return Date – Criminal Court Summons
When preparing summonses returnable to Criminal Court, the summons
return date, time, address of the court, and specific part (room) will be indicated
on the specific sections on the front of the summons. At your daily roll call
briefings, a specific return date will be provided for all summonses returnable to
Criminal Court for that specific day.
Issuance of a Disorderly Conduct Summons
The issuance of a Criminal Court summons for violation of Penal Law
section 240.20 – Disorderly Conduct, at the scene of an incident in which the
summonsing member is the complainant, occasionally results in a civilian
complaint against the member. To verify and document the circumstances of the
incident, the summonsing member will request the response of the patrol
supervisor to the scene whenever:

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•

Physical force/restraint was used by the uniformed member, OR

•

It was necessary to search or handcuff the violator, OR

•

Violator was placed in, or transported from the scene in, a
Department vehicle

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If the patrol supervisor is not available to respond, the violator will be
removed to the command where the desk officer/supervisor will determine the
validity of the charge and make an appropriate entry in the Command Log.

PARKING SUMMONSES (“A” SUMMONS)
The appropriate summons to prepare upon observing a violation of the
New York City Traffic Rules is the PARKING SUMMONS. The following
definitions will be necessary in this section:
•

Highway – Any public roadway, street, or avenue.

•

Abandoned Vehicle – A motor vehicle shall be deemed to be
abandoned if it is left unattended:
ƒ With no license plates affixed, for more than six (6)
hours, on any highway or other public place.
ƒ On a public street or area which is not otherwise
restricted by posted signs, including a residential area, in
excess of seven (7) consecutive days.
ƒ For more than ninety-six (96) hours on the property of
another without the permission of the owner.

•

Derelict Vehicle – A motor vehicle which is so dilapidated, burned out,
stripped, vandalized, etc., as to be of no apparent value other than
scrap.

When issuing a summons for a violation of the traffic rules, a query of
NYSPIN (New York State Police Information Network) through the FINEST
system, if circumstances warrant, may be necessary to determine if the vehicle is
reported stolen. The following are circumstances that may warrant such a query:

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•

Presence on vehicle of any summons issued to the vehicle on a
previous date

•

Vehicle has damage consistent with theft (e.g., broken windows,
damaged locks)

•

Vehicle discovered at a location where the parking of vehicles is
unlikely or at a time that is unusual

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•

Any suspicion by a member of the service arising either from the
member’s own observations or experience, or from credible statements
made by others, that the vehicle may be stolen.

If such a vehicle is deemed to be abandoned or derelict, a summons will
never be issued.
When indicating the location of the vehicle, the description must be
specific. A member may need to indicate the number of feet
north/south/east/west of street, avenue, or front or opposite specific address.
For example:
•
•

Incorrect – Midway between East 20th Street btwn 2nd and 3rd Ave.
Correct – In front of 235 East 20th Street

•
•

Incorrect – Opposite of McDonalds on East 23rd Street
Correct – N/S East 23rd Street, 50 feet West of 2nd Avenue

Utilize the vehicle registration sticker as the primary source of information
for vehicles registered in New York State. Any omission or mis-description of
any of the following mandatory identification elements will result in
dismissal of the summons:
•

License plate number

•

License plate type

•

Expiration date

•

Make of vehicle

•

Model of vehicle

•

Operators name, if present

Cite only valid applicable violations and sections of the New York City
Traffic Rules when issuing a Notice of Parking Violation. No violations of other
rules or laws (e.g., VTL) will be cited on a Notice of Parking Violation.
No more than three summonses may be issued to any parked vehicle at
the same location on the same day. In cases where more than three violations

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are evident, summonses should be prepared for the three most serious
violations. Do not issue additional summonses to a vehicle displaying three or
more summonses. In this case, the member will ascertain if the vehicle is
abandoned, derelict or stolen.
Place the “service copy” of the Notice of Parking Violation and the orange
self-addressed envelope on the windshield of the auto. During inclement
weather (rain, snow) fold summons to ensure information entered thereon
remains legible. After placing the summons on the vehicle, record full details of
the event in ACTIVITY LOG, as well as appropriate captions of the
CERTIFICATION OF PARKING SUMMONSES SERVED. The pink copy of the
Notice of Violation will be attached to the CERTIFICATION OF PARKING
SUMMONSES SERVED and turned in upon completion of the package of
summonses. The remaining two copies will be delivered intact to the command
and placed in the appropriate receptacle.
Parking Offenses Involving Vehicles from Another State
When issuing a summons to vehicles registered outside of New York
State, the officer will provide as much information as possible based on his/her
visual observation of the vehicle. If the officer intentionally does not complete an
information caption on the summons, a reason for the omission must be entered
in the caption (e.g., unreadable, covered, or not shown). Write “N/A” in a caption
when the required caption information is not available (e.g. registration stickers
on New Jersey vehicles are not printed with an expiration date).
Certain violations involving registration and inspection requirements only
apply to vehicles registered in New York State and are not applicable to vehicles
registered outside of New York State.
Vehicles registered outside of New York State will not be issued a notice
of parking violation for expired/missing registration, expired/missing inspection,
improper display of a registration sticker, or improper display of an inspection
sticker. These violations are only applicable to vehicles registered in New York
State.
Parking Offenses Involving Diplomatic Related Vehicles
Official “Diplomat,” “Consul,” and “S” (Staff) vehicle license plates, colored
red, white and blue, are issued by the United States Department of State ONLY
and will be one of the following three types:

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•

Diplomat – plates bearing the word “Diplomat” imprinted thereon are
issued to representatives of foreign missions, Secretariat of United
Nations, and Organization of American States.

•

Consul – plates bearing the word “Consul” imprinted thereon are issued
to representatives of foreign governments having consular status.

•

Staff – plates bearing the letter “S” imprinted thereon are issued to
members of staffs of various foreign governments.

Although “diplomatic/consul/staff” plates will not be issued without proper
insurance coverage, operators of such vehicles are not required to carry
insurance cards. However, the operator must carry a certificate of registration. A
Notice of Parking Violations will be placed upon an unoccupied, illegally parked
vehicle bearing “Diplomat” or “Consul” registration plates that creates a safety
hazard. The following violations create safety hazards:
•
•
•
•
•
•
•
•

Double Parking
Fire Zone
Fire Hydrant
No Standing
No Stopping
Bus Stop
Parking in a Crosswalk
Parking on a Sidewalk

If a Notice of Parking Violation is issued to a vehicle bearing
diplomatic/consul registration plates, the code “DP” will be entered under the
caption “Other” on the line used to identify the state of vehicle registration.
Note: Vehicles bearing the letter “S” (for staff) do not have parking
immunity; however, if such vehicle is occupied, the occupants have
diplomatic immunity and will be treated accordingly.
Special Parking Identification Permits for People with Disabilities
The New York City Department of Transportation issues laminated parking
permits to people with certain disabilities. This permit, which hangs from the
vehicle’s rear-view mirror, is authorized for use on city streets. An operator of a
vehicle displaying a NYC Special Parking Identification permit may park at:

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•

All No Parking signs (except taxi stands) including those for: Street
Cleaning Rules (formerly known as “alternate side of the street”),
Diplomatic (DPL), New York Press (NYP), and authorized Signs for City,
State and Federal Agencies.

•

No Standing Except Trucks Loading and Unloading, except in the
Garment District (in Manhattan, 35th to 41st streets, 6th to 8th Avenues).

•

Meters without depositing a coin, including on-street metered spaces as
well as off-street metered municipal parking facilities including muni-meter
lots.

•

In “Blue Zone” areas, the No Permit areas in downtown Manhattan and
downtown Brooklyn.

An operator of a vehicle bearing a valid NYC Special Parking Identification
permit may not double park or obstruct any traffic lanes and may not park
at:
•

No Standing or Stopping signs (except as specified above).

•

Fire Hydrants

•

Bus Stops

•

Crosswalks and Driveways

•

Taxi Stands

•

Garment District cross-town streets

•

On sidewalks

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THE ENVIRONMENTAL CONTROL BOARD (“ECB” SUMMONS)
The Environmental Control Board (ECB) is the city’s most diverse
administrative tribunal, adjudicating violations of the city’s laws and rules as
brought before it by the various city agencies empowered to monitor the city for
compliance with the law. ECB’s jurisdiction ranges from “quality of life” sanitation
and vendor violations and important environmental issues such as air, water and
noise pollution to other very serious health and safety concerns.
The Environmental Control Board is governed by a 13-member board
comprised of seven members, including the Commissioner of Department of
Environmental Protection (who serves as Chair) as well as the Commissioners of
Sanitation, Buildings, Fire, Consumer Affairs, Police and Health Departments.
The Board also includes six citizen members, required by the City Charter to
have expertise in the following areas: real estate, small business, air pollution,
noise pollution and water pollution. The citizen members are appointed by the
Mayor and are confirmed by the City Council.
Adjudications
The “Hearing Division” of ECB employs hearing officers to determine
whether the City’s allegations of Code violations are supported. You must
properly cite the section of law or rule violated, the date and time of offense and
the location of the offense, you must properly identify the respondent, and give
details of what you observed to support your allegation that a violation of the
Code has been committed.
ECB Jurisdiction
ECB’s jurisdiction includes:
•
•
•
•
•
•
•
•
•
•

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Air Code (including Air Asbestos) & Rules
Building Code & Rules
Canine Waste
Community Right to Know Law & Rules
Environmental Conservation Law (Lead Acid Batteries)
Fire Prevention Code & Rules
General & Food Vending Codes & Rules
Hazardous Materials Law & Rules (Spill Bill)
Health Code
Medical Waste Code & Rules

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•
•
•
•
•
•
•
•
•
•
•

Noise Code or Rules
NYC Market Code & Rules
Parks Department Rules
Recycling Rules
Sanitation Asbestos Code & Rules
Sanitation Code, (including dirty sidewalk, sidewalk obstruction,
failure to clean 18 inches into the street)
Sewer Code & Rules
Transportation Codes & Rules (Street Construction & Permits)
Vehicle & Traffic Law (abandoned vehicles)
Water Code & Rules
Waste Transfer Station Rules

Note: UNDER NO CIRCUMSTANCES WILL ECB VIOLATIONS
BE RETURNABLE TO CRIMINAL COURT.
In addition, a Criminal Court Summons will NOT be prepared for
violations under the jurisdiction of the Environmental Control Board. The
Board may only impose civil sanctions, i.e., monetary penalties. The Notice of
Violation establishes a prima facie case. The burden of proof is by a
“preponderance” of evidence, unlike a Criminal Court summons.
Rules Regarding an Incident in Which Both ECB & Criminal Court Offenses
Are Involved
•

If an individual violates a statute that is returnable to ECB and is also
charged with an offense returnable to Criminal Court arising from the
same incident, the charges must be separate.

•

When assigning a return date, SEPARATE dates will be used for Criminal
Court summonses and for the ECB Notice of Violation.

•

Upon observing a violation under the jurisdiction of the Environment
Control Board, inform the violator of the offense committed.

A separate Notice of Violation and Hearing will be prepared for each
offense charged. Refer to the Activity Log insert COMMON ENVIRONMENTAL
CONTROL BOARD NOTICE OF VIOLATION OFFENSES. If the insert is not
available on patrol, request the Desk Officer to refer to the COMMON
ENVIRONMENTAL CONTROL BOARD NOTICE OF VIOLATION OFFENSES
maintained at the desk.

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Return Date – Environmental Control Board Summonses
When determining the return date for the offense charged, utilize the
following guidelines:
•

If food or property is removed, make return date 21 days after date of
issuance unless that date is on a weekend or holiday, in which case the
return date is the next business day.

•

If no property is removed, make return date not less than 30 days or more
than 37 days from the date of issuance.

Give the violator the pink (respondent) copy of the Notice of Violation.
Record complete details in your activity log, as well as the appropriate captions
on the CERTIFICATION OF MOVING/CRIMINAL COURT SUMMONSES
SERVED. It should be noted that this is the same item utilized when utilizing
PERSONAL SERVICE SUMMONSES. ECB NOTICES OF VIOLATION do not
have a service record card.
In the event a violator cannot be properly identified, the member
concerned should confer with the desk officer. The violator will be arrested as a last resort only - when the violation committed has criminal sanctions
in addition to civil penalties that may be imposed by the Environmental
Control Board and the desk officer directs that the arrest be made. The
Environmental Control Board has civil jurisdiction only; therefore, an arrest may
not be made for a violation returnable solely to ECB.

Guidelines for the Issuance of E.C.B. Summonses
1.

You MUST personally witness a violation in order to issue an ECB Notice
of Violation and Hearing. (Note: Unreasonable noise violations 24-218
and 24-220 are unclassified misdemeanors and you need not actually
witness or hear the offense before taking action).

2.

You must take care in tearing apart the form to ensure that the violation
number (found on top, beginning with the letter “E”) is not obliterated or
ripped off in error.

3.

Warn the respondent that their failure to answer the violation will subject
them to the maximum penalties allowed under the law.

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Note: After the Notice of Violation is filled out, the pink copy of the form is
issued to the respondent, the original, with the Affidavit of Service is
forwarded to ECB, and the bottom two (2) copies are for the agency’s use.
The original must be forwarded within five (5) days of issuance.
Canine Waste Law (Public Health Law Section 1310)
Each person who owns, possesses or controls a dog must remove any
feces left by the dog in any street, gutter, sidewalk or other public area. A person
is in compliance with this law if he removes the waste and carries it away for
disposal or puts the waste in a container, bag wrapper, etc., and deposits it in a
litter basket. A person who disposes of canine waste in a “catch basin” or the
sewer is not complying with this law.
Note: Do not take enforcement action against a blind person for violation
of the Canine Waste Law, and use discretion when elderly or handicapped
persons are observed violating the Canine Waste Law.
Dog to Be Restrained
A person who owns, possesses or controls a dog will not permit the dog to
be in any public place unless the dog is effectively restrained by a leash or chain
not more than six (6) feet in length.

TRANSIT ADJUDICATION BUREAU (“TAB” SUMMONS)
The Transit Adjudication Bureau (TAB) is an administrative court that was
established to process and adjudicate summonses issued by police for violations
of NYC Transit rules (also known as the New York Codes, Rules and
Regulations Governing the Use of the Transit System "NYCRR").
Prior to TAB, transit violations were under the jurisdiction of the already
overburdened Criminal Courts, where they received low priority and no effective
follow-up of unanswered summonses. In establishing TAB, NYC Transit created
a more productive enforcement tool against violators. This is evidenced by the
fact that the TAB collection percentage rate is more than twice that of Personal
Service Summonses. A certain satisfaction should be derived from the fact that
when a TAB summons – also known as a Notice Of Violation (NOV) - is issued,
the respondent is twice as likely to pay the resultant penalty. Thus, your
enforcement efforts are more likely to prevent the recurrence of such actions,
thereby creating a deterrent effect.

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TAB has concurrent jurisdiction with the local Criminal Court (criminal
matters), over infractions committed on the Transit System. TAB’s jurisdiction
extends only to those persons sixteen (16) years of age and older.
Department Policy Regarding the Issuance of a T.A.B. Summons
The Department's policy regarding the issuance of TABs is that officers
will issue TABs (if available), for violations of the NYC Transit rules in the subway
whenever applicable. If either a Personal Service Summons or the TAB/NOV
can be issued in a particular situation, the TAB/NOV should be issued.
If you are not assigned to the Transit Bureau, you will issue a Personal
Service Summons when enforcing violations of the NYC Transit rules (NYCRR
part 1050), which will be dealt with by Criminal Court. In addition, if there is
property which is to be confiscated from an illegal peddler and must be invoiced,
a Personal Service Summons must be prepared, returnable to Criminal Court.
If the violator commits a TAB/NOV offense and the situation escalates to
an arrest (e.g., assault, harassment, etc.), the arrest will be made for the Penal
Law violation and the TAB/NOV will be issued for the original offense. The
TAB/NOV will NOT be attached to arrest papers but processed in the normal
manner. In addition, the TAB/NOV serial number will be indicated on arrest
reports.
Guidelines for the Issuance of T.A.B. Summonses
Upon observing a person committing an offense for which a Notice of
Violation may be served, the following guidelines should be followed:
•

Inform the respondent of the offense committed and correct the condition.

•

Determine the most appropriate course of police action to follow under the
circumstances.
Note: Appropriate police action may consist of warning and
admonishment, ejection from the transit system, issuance of a TAB /
Notice of Violation, or arrest. The determination of the most appropriate
action to take should be based on a prudent consideration of the severity
of the offense, the apparent deliberateness or inadvertence of the act and
the full circumstances of the occurrence. As mentioned earlier, when
serving a TAB/Notice of Violation, you will maintain the demeanor of
courtesy and professionalism expected of members of the Department.

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•

If a TAB/Notice of Violation is to be issued, request the violator to show
proof of identity and residence.
o DO NOT handle the violator's wallet, purse, etc.

•

If doubt concerning identity exists, notify the Desk Officer and be guided
by his or her instructions relative to removing the violator to the Transit
District of occurrence for investigation.

•

If identity is verified, serve the TAB/Notice of Violation, and upon issuance
immediately release violator.

•

Enter only one (1) offense on each notice.

•

If the violator commits offenses resulting in both the issuance of a Criminal
Court Summons and a TAB/Notice of Violation, assign different return
dates for each.

•

Give the violator the yellow copy of the TAB/Notice of Violation
appropriate for the type of offense. If the violator is ejected from the
subway system, the BLUE copy “EJECTION REPORT” is turned in to the
Desk Officer.

•

Enter completed data in your ACTIVITY LOG.

•

Detach the last copy of the TAB/Notice of Violation from those remaining
after the violator's copy has been issued.

•

Retain last copy detached until all notices from the same batch have been
issued. Attach this copy to the CERTIFICATION OF TAB/NOTICES OF
VIOLATION SERVED and deliver to immediate supervisor after all
TAB/NOV have been served

•

Deliver the remaining parts of the notice to the Desk Officer at the
conclusion of the tour.

Only Transit Bureau members of the service who regularly perform
enforcement duties on the subway are required to obtain full packets of TABs in
accordance with the above procedure. However, if a member is temporarily
assigned to a Transit Bureau command for enforcement duties, those members
shall obtain a sufficient number of TABs from the Transit Bureau command

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where temporarily assigned. Unused TABs will be returned at the end of the
assignment. Uniformed members of the service who are not assigned to the
Transit Bureau will issue a Personal Service Summons when enforcing violations
of the NYC Transit Authority Rules (NYCRR Part 1050), which will be adjudicated
in Criminal Court.
If the TAB/NOV was issued on the basis of a complainant's statement, the
Witness/Complainant box must be checked and the Witness/Complainant
information section on the reverse side of the NOV must be completed. Before
preparing the NOV, the complainant must be advised that his or her signature will
be required and he or she MAY be required to appear at a hearing.
Remember, no matter how much time and care you take to issue a
summons, it will be all for nothing if the information listed on the summons is
incorrect or unverifiable. If the person issued a TAB/NOV does not pay, and the
information you collected and entered on the TAB/NOV cannot be verified to
assist in the collection of the fines, your time has been wasted. Here are some
helpful hints when writing a TAB/NOV:
•

High school/College Identification cards and N.Y. State drivers’ licenses
and NYS Non-Driver I.D. cards have been the most reliable identification
used.

•

Telephone calls to friends and relatives to verify information given has
proven to be fairly effective in establishing credibility.

•

Identification in the form of Medicaid cards and public assistance (HRA)
cards have proven virtually useless as a means of locating respondents
who fail to pay their fines.
Social Security cards without additional verifiable information (e.g.,
employers’ name/address, home phone number etc.) have proven to be a
highly unreliable form of identification.

•

•

When verified employer information has been obtained and recorded, the
fines are four (4) times more likely to be paid than without such
information.

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Enforcement of Rules
It is believed that the reduction of crime is significantly assisted by
aggressive summons enforcement. Many people who enter the transit system to
commit crimes have no qualms about committing other offenses. If someone is
going to take the train to commit a robbery, they are certainly unlikely to pay their
fare or follow other minor rules. In fact, officers involved in Fare Evasion
Sweeps, in which fare evaders are arrested, routinely discover weapons or
outstanding warrants on perpetrators.
By enforcing rules, we can prevent criminals from entering the system and
cause those on the system to be less likely to commit crimes therein. Since the
Department adopted these patrol strategies, crime has been reduced.
Statistics indicate that enforcing the rules has a direct spillover into more
serious offenses. By reducing rules violations, the department also reduces the
level of fear between subway riders and encourages more people to pay their
fare and use the transit system. Reducing disorder clearly makes for a safer
transit system with less criminal activity and a better working environment for
officers. Ultimately, everyone benefits from this philosophy.

The police response to unlawful behavior will be to inform the violator that
their behavior is unlawful and that it must stop. In most cases, this will be
immediately followed by the issuance of a summons, and/or ejection, or possibly,
arrest. Obviously, there can be other circumstances that will lead you to use
your discretion to take no further police action beyond that level of warning and
admonishing the violator. Some examples: a tourist who is caught smoking and
is honestly unaware that it is not permitted on the subway or a person drinking
beer on the subway on New Year's Eve (in fact Operation Orders are frequently
published advising officers to use their discretion during parades and public
events).

RETURN DATES
When issuing all of the above types of summonses, the violator will be
requested to return to court on a specific date to answer for the charges stated
on the summons. These dates vary according to summons type:

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Criminal Court
•
•
•

As per FINEST message transmitted daily
Enter address of borough Criminal Court in appropriate caption of the
summons.
Enter room number in captioned “Summons Part.”

Traffic Violations Bureau
•

Advise motorist to answer summons in accordance with the instructions
printed on summons.

Transit Adjudication Bureau
•

Make return date 28 calendar days from date of issuance, unless return
date falls on weekend, regular day off or holiday. If return date falls on
weekend, regular day off or holiday, make returnable on next business
day thereafter.

Parking Violations
•

Do not enter time or date returnable for summonses returnable to PVB
(Information for violator is printed on the summons).

Environmental Control Board
•

If food or property is removed, make return date 21 days after date of
issuance unless that date is on a weekend or holiday, in which case the
return date is the next business day.

•

If no property is removed, make return date not less than 30 days or more
than 37 days from date of issuance.

CONCLUSION
In general, it is believed that merely warning and admonishing a person
for a rules violation only corrects the immediate problem. By aggressively
summonsing violators, the message is sent that people must abide by the rules
or risk receiving a fine or possible jail time. In most cases this enforcement
action is effective in getting people to comply with the law.

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APPENDIX

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Summonses

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HOMEWORK QUESTIONS
1.

Indicate whether each of the following would be eligible for a summons / notice of
violation:
A.
B.
C.
D.
E.

2.

16 year old female
Intoxicated 20 year old male
Man without valid identification
Double parked car with “Diplomat” plates
Taxi driver without a valid insurance card

YES
YES
YES
YES
YES

NO
NO
NO
NO
NO

During a car stop, a motorist hands a police officer his driver’s license and insurance
card. The motorist is unable to produce a valid registration card. The officer should…
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________

3.

Indicate who (if anybody) would be issued a summons for failing to wear a seat belt:
A.
B.
C.
D.
E.
F.

4.

60 year old man riding in the front passenger seat _________________________
16 year old riding in the back seat ______________________________________
15 year old riding in the front passenger seat _____________________________
30 year old man riding in the back seat __________________________________
15 year old man riding in the back seat __________________________________
35 year old driver ___________________________________________________

The NYC Department of Transportation issues laminated parking permits to people
with certain disabilities. Indicate whether a vehicle with one of these permits can
legally park in the following areas:
A.
B.
C.
D.
E.
F.

Double parking
Parking meter (without depositing a coin)
Fire hydrants
No Parking sign (Street Cleaning Rules)
Bus stops
Taxi stands

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LEGAL
LEGAL
LEGAL
LEGAL
LEGAL
LEGAL

ILLEGAL
ILLEGAL
ILLEGAL
ILLEGAL
ILLEGAL
ILLEGAL

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5.

P.O. Mays pulls a motorist over for running a red light (“B” Summons – returnable to
Traffic Court). After approaching the vehicle, he observes a marijuana cigarette in the
ashtray (“C” Summons – returnable to Criminal Court). Regarding the issuance of the
two summonses, the officer should…
A.
B.
C.
D.
E.

6.

Issue 2 summonses – both returnable to Criminal Court
Issue 2 summonses – both returnable to Traffic Court
List both offenses on one summons - returnable to Criminal Court
List both offenses on one summons - returnable to Traffic Court
Have the red light summons returnable to Traffic Court and the marijuana
summons returnable to Criminal court.

Using the below information, today’s date and time, and the location of E/B 20th St. at
3rd Ave. (N/W corner), issue a summons for the following violations:
•

Defective right brake light (375 (40b) VTL) (“B” summons)

•

Possession of an open container of alcohol in public
(22 oz. Beer) (10-125 (2b) AC) (“C” summons)

•

Double parking (“A” summons)

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Criminal Procedures

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT CRIMINAL PROCEDURE?
Criminal procedure is the study of the laws and rules that govern the
criminal justice system. Many of the procedural rules discussed in this section
stem from the United States Constitution and the Constitution of the State of New
York. The Bill of Rights also contains several provisions that apply specifically to
the area of criminal law.
Ideally, police officers would prefer the proverbial "smoking gun case"
where they catch a criminal in the act. Unfortunately, this is more the exception
than the rule. As a result, police are required to conduct investigations. These
investigations may include questioning victims, suspects, and witnesses,
collecting physical evidence at the scene, conducting surveillance, applying for
warrants, etc.
Many rules within the criminal process were designed to limit
government’s intrusion on the rights of innocent people even though, in the end,
some of those people may not be so innocent after all. Thus, many of the
concepts in this section such as the right to counsel, the right to be protected
against self incrimination, and the right to suppress unlawfully obtained evidence,
to name a few, may become critical issues in the process of arresting and
successfully prosecuting criminals.
Tied into the above factors is the reality that police, prosecutors, and
judges often end the process before a case reaches maturity. Sometimes these
cases end due to successful investigative work and sometimes due to improper
investigative work. Still, others are dismissed because the person arrested did
commit the act – but on legally defensible grounds. Most importantly, you should
become familiar with the contents of this section because cases are too often
dismissed as a result of improper police conduct at some stage of the process.
This is what you, as a professional police officer, must learn to avoid.

OVERVIEW OF THE CRIMINAL JUSTICE PROCESS
The process of criminal justice essentially begins with the criminal act
and the investigation that follows. When an arrest is made the process goes into
full swing as the defendant is brought into the court system. Some view the
introduction of court involvement as the beginning of the criminal justice process.
This, however, is not the case since the actions of police - prior to making an
arrest - can impact the outcome of various steps within the process, such as
conferrals with prosecutors, grand juries, pretrial hearings, and criminal trials.

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Thus far, you have studied various components of the process, some of
which will only be mentioned in passing, if at all in this section. They include
street encounters, authority to arrest, and documenting initial investigations.
Other sections, such as the collection of evidence, the arrest process, pretrial
hearings and courtroom testimony will be discussed in greater detail in later
segments of your Student’s Guide.
This section will take you through the chronological sequence of events
that are directly related to your actions throughout the process. It begins with a
comprehensive discussion on search and seizure and continues with warrants,
identification of suspects, interrogations, and right to counsel.

SEARCH AND SEIZURE
This topic begins by discussing an important law enforcement power; the
authority to search individuals and seize property. When used correctly, your
authority relating to search and seizure is an effective law enforcement tool.
Enforcement in this area of law must be based upon probable cause and utilized
with a search warrant, or a court recognized exception to the search warrant
requirement. It will give you authority to retrieve contraband, evidence, or fruits
of a crime, and may aid in the conviction of a defendant.
It is crucial that you are knowledgeable of the rules that apply to search
and seizure. Your knowledge will allow you to maintain a balance between this
effective law enforcement tool and the public's right to privacy, and will enhance
the Department's values to respect the dignity of all, to value human life and
serve the community with courtesy and civility.
The Fourth Amendment
When the American Revolution ended, the people were concerned about
giving too much power to the central government. They felt that much of their
trouble resulted from the British government ignoring the wishes of the people.
The colonists wanted to make certain their new government would treat them
fairly. To accomplish this goal, they passed the Bill of Rights, which contain the
first ten amendments to the Constitution. At first, these amendments applied
only to the central (federal) government. It was felt that the local state
government would be more responsive because it was closer to the people than
the federal government. Also, the state government would be more easily
controlled, making a bill of rights unnecessary for the states.

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The Fourth Amendment addresses searches and seizures. It was
included in the Bill of Rights to prevent unwarranted searches conducted by
agents of the federal government. A search refers to an individual’s interest in
privacy, while a seizure deprives the person of dominion over his person or
property. The Fourth Amendment provides:
"The right of the people to be secure in their persons,
houses, papers and effects, against unreasonable
searches and seizures, shall not be violated, and no
warrants shall issue, but upon probable cause,
supported by oath or affirmation, and particularly
describing the place to be searched, and the persons
or things to be seized."
To provide a clearer understanding of the 4th Amendment, it is helpful to
divide it into two sections. The first part, which states that, "The right of the
people to be secure in their persons, houses, papers, and effects, against
unreasonable searches and seizures, shall not be violated…” guarantees
personal privacy and prohibits searches and seizures that are unreasonable.
Unreasonableness has been interpreted by the Supreme Court to mean arbitrary
and/or without a warrant or an exigency. 1
The second section of the Fourth Amendment states: “... and no warrants
shall issue, but upon probable cause, supported by oath or affirmation, and
particularly describing the place to be searched and the person or things to be
seized." This section sets guidelines for the issuance of a warrant and makes it a
requirement for conducting a lawful search or seizure. Although the Supreme
Court has allowed several exceptions it has a definite preference for the use of a
warrant.
Application of the Fourth Amendment
It is important to recognize that the purpose of the Fourth Amendment is to
protect citizens from unlawful governmental activity. Thus, it does not guarantee
against all searches and seizures, just unreasonable ones made by agents of the
government. In addition, it does not protect a citizen from an unreasonable
search or seizure by another citizen that is not an agent of the government.

1

Exigencies are emergency type situations where no warrant is required. These will be discussed in greater
detail later in the chapter.

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The Creation of the Exclusionary Rule
The Fourth Amendment establishes the standard for government searches;
however, the Amendment says nothing about the penalty for its violation by
government agents. As a result, in 1914 the United States Supreme Court, in the
landmark case of Weeks v. United States, ruled that evidence obtained through
an illegal search or seizure could not be used against an accused in a criminal
prosecution. In 1961, the Court, in the case of Mapp v. Ohio, applied the rule to
criminal actions in state courts, stating: “all evidence obtained by searches in
violation of the Constitution is, by the same authority, inadmissible in a state
court.” 2
Thus, the Exclusionary Rule prohibits evidence obtained by an
unreasonable search and seizure from being used in court. Illegally
obtained evidence cannot be used in a trial against a person charged with a
crime. Moreover, other evidence which is discovered as a direct result of an
illegal search - for example, a gun which is discovered by illegally seizing a
safety deposit box key - will likewise be suppressed (excluded) under the
doctrine the courts have named "Fruits of the Poisonous Tree." This rule
states that if the initial search is invalid, any evidence subsequently
discovered as a result of that search must be declared invalid as well.
In most arrest cases, the physical evidence that is discovered from a
search is needed to obtain a conviction. Often, the Exclusionary Rule results in a
guilty person being set free. The criminal is not punished for the crime he
committed and he is free to commit more crimes. It is the court's hope that this
result will cause law enforcement officers to conduct only reasonable searches
and seizures.
Essentially, there are three reasons, or theories, that support the
Exclusionary Rule.
1. Personal Right. The law seeks to restore injured parties to the position
they held prior to a violation of law. Therefore, when a court excludes
illegally obtained evidence, it restores the situation that would have
existed if the illegal search had never occurred.
2. Judicial Integrity. If courts were to admit illegally obtained evidence,
they would, in essence, condone improper police behavior. Thus, if a
court is to dispense justice, it cannot punish or condemn criminal activity
by private citizens while it ratifies illegal police conduct.
2

New York also applies the Exclusionary Rule to administrative hearings, probation, and parole revocation
hearings

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3. Deterrence. The most oft mentioned reason for the Exclusionary Rule is
that the rule exists, not to remedy the current case, but to discourage
improper police conduct in future cases. This is because the 4th
Amendment was created to protect “innocent” persons from having their
privacy violated by the government.
How is the Exclusionary Rule Asserted?
In order to assert the Exclusionary Rule, one must establish that he or
she had a privacy interest infringed, or violated, by the government. This is
referred to as “standing.” In order to have standing under the 4th Amendment,
the person must show that he possessed:
1.
2.

an actual expectation of privacy; and
that the expectation is one that society is prepared to recognize as
reasonable.

Areas Protected by the 4th Amendment
As previously mentioned, the 4th Amendment protects persons from
unlawful government intrusion in the form of searches and seizures. This
protection also extends to the following:
•

Private Homes – People have a reasonable expectation of privacy in
their homes.

•

Curtilage – The immediate area, not necessarily enclosed, around a
dwelling. However, an expectation of privacy is determined by:
o Proximity to house;
o Whether area is enclosed;
o Uses of the area;
o Steps taken to keep people away from area.

Court Recognized Exceptions to the Search Warrant Requirement
There are no provisions in the 4th Amendment specifically authorizing a
search without a warrant. However, the Supreme Court has recognized
exceptions and, on the basis of necessity, approved searches without a warrant.
New York State has adopted the searches approved by the Supreme Court and
added further restrictions in some instances. No state may add any further
exceptions to the necessity of the search warrant that have not been recognized
by the U.S. Supreme Court.

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The following is a complete list of the circumstances that would authorize
you to conduct a search or seizure without a warrant and the only courtrecognized exceptions to the search warrant requirement.
1.
2.
3.
4.
5.
6.
7.
8.

Search Incident to a Lawful Arrest;
Plain View;
Auto Exception;
Consent;
Emergency;
Stop/Question/Frisk;
Hot Pursuit;
Inventory.

Search Incident to a Lawful Arrest
Searches incident to a lawful arrest account for the largest percentage of
searches by police officers. The search is authorized because courts realize that
at the moment of arrest it is necessary to:
•

Prevent the prisoner from securing a weapon or object that would
endanger the safety of the police officer or the public; and/or

•

Prevent the prisoner from acquiring any object which might provide a
means of escape; and/or

•

Prevent the concealment or destruction of evidence.

Elements of Search Incident to Arrest
Valid Arrest. Probable cause must exist before the arrest is made. If the
arrest is not lawful, the fruits from the search will not be admitted into evidence.
Most searches of the person held to be improper by the courts have followed
illegal arrests. The arrests were held illegal because the police officer lacked
probable cause to make the arrest initially. Probable cause to believe that a
person committed an offense must exist before the arrest can be made.
Evidence found after an illegal arrest may never be the basis of an arrest.
“Good Faith” Arrest. The arrest must be made in good faith. Even if the
arrest is technically valid, if the court finds it was used as an excuse or “pretext”
to make a search, the search will be regarded as unreasonable and the fruits of
the search will be inadmissible. If you claim this exception, you must be able to
show probable cause for the arrest and that the arrest was not made as an
excuse to search.

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Example: A police officer arrests a traffic violator instead of issuing
him a summons because the officer wanted to search.
Note: In situations where you cannot issue a summons, such as no
identification, an arrest would be authorized. The arrest would then be
in good faith.
Limited in Time, Scope, Intensity. The search must be limited in time,
intensity and scope. A warrantless search, following a lawful arrest, is permitted
in order to:
•

Protect the officer, from a possible weapon or object that could
endanger the officer.

•

Prevent the escape of the prisoner.

•

Prevent the destruction of evidence.

Note: While probable cause is needed to legally arrest, no separate standard of
proof is necessary to conduct a search incident to arrest. This search is
automatic, however, there are limitations on the search concerning:
•

The time of the search in relation to the arrest;

•

The degree of intrusiveness (to what extent the privacy of the
person may be violated);

•

The extent of the search.

Intrusiveness - The officer's search is limited to accessible areas since
they afford the prisoner the means of immediately getting a weapon or
concealing evidence. "Accessible" includes unlocked areas and areas that are
locked, but have a key available.
Scope - The U.S. Supreme Court, in Chimel v. California (L.B.B. Vol. 1
#7 at the end of this chapter), stated:
"…it is reasonable for the arresting officer to search the person
arrested in order to remove any weapons that might be used to
resist his arrest or help him escape. Otherwise, the officer's safety
might be endangered and the arrest itself frustrated. In addition, it
is entirely reasonable for the arresting officer to search for and
seize any evidence on the arrestee's person in order to prevent its

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concealment or destruction. The area into which an arrestee
might reach in order to grab a weapon or destroy evidence may
also be searched."
A gun on a table or in a drawer in front of a person under arrest may be as
dangerous to the arresting officer as a gun hidden on the prisoner. Therefore,
there is a basis for a search of the arrestee's person and the area within his
immediate control; the area where he might gain possession of a weapon or
destroy evidence. However, there is no automatic basis for routinely searching
rooms other than the one in which the arrest occurs, or for searching through
desk drawers in another room, or other closed or concealed areas in room
searches. Such searches, unless conducted with another exception, may be
made only with a search warrant Therefore, if the police officer plans to arrest a
suspect at his home, office or other premises, and has no exception to search
the entire house, office, etc. for contraband or other evidence, a valid search
warrant based on probable cause should be obtained before making the arrest.
The point is if you have the time, it is best to obtain a search warrant.
The police officer may look into other rooms and closets for wanted or
dangerous persons if he has reason to believe there is more than one suspect
present. Such belief might rest on a factor as small as an unexplainable noise
coming from another room. If during the course of a check of other rooms and
closets he finds evidence that is in plain view, it may be seized.
However, the police officer has no right to look for evidence. He is only
permitted to check for accomplices to protect himself. This exception only
applies when there is reason to believe that more than one suspect is
present.
Points to Remember Regarding Searches Incident to Arrest
When a search is made incident to an arrest:
1. Be sure that probable cause has been established prior to making
an arrest.
2. This search must follow a valid, lawful arrest.
3. If the arrest is based on the evidence seized and probable cause
for the initial arrest did not exist, any evidence will be excluded.
4. The defendant will be charged with the crime for which he was
arrested, based on probable cause.

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5. Additional charges will then be added if a search incidental to the
arrest uncovers anything unlawfully possessed.
The Following Guidelines Apply to Personal Property Possessed By
Arrested Persons:
1. Containers concealed on the arrestee's person or in the clothes he
is wearing, may be searched without a warrant contemporaneous
to the arrest. The search is justified in every arrest situation. The
search is automatic in that the officer need not suspect that
weapons, contraband or evidence will be found.
2. Portable containers such as suitcases, attaché cases, clothing
bags, handbags, shoulder bags, sports bags, duffel bags, etc., that
are being carried by the arrestee or located within his grabbable
area at the time of arrest may be seized contemporaneous with the
arrest. Under normal circumstances, a search warrant must be
obtained in order to search these items.

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•

In order to search a seized portable container without a
search warrant, the officer must be able to articulate a
reasonable belief that at the time of the arrest the
container contains: (1) a weapon; (2) a means of escape;
(3) evidence which could have been hidden, destroyed or
removed in the moments before the arrest.

•

As long as the suspect had control of the container at the
time of the arrest, it may be searched even though the
suspect is handcuffed and the container is within the
exclusive control of the police, provided that the search is
contemporaneous with the arrest and a reasonable belief
exists that a weapon or means of escape could have been
reached at the time of the arrest or evidence could have
been destroyed/concealed at the time of the arrest.

•

A container may not be searched if it is apparent that it is
so securely fastened that the person arrested cannot
reach the contents inside or could not have reached the
contents inside before being handcuffed.

•

If the contents are accessible, however, it may be
searched.

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3. The contents of an unlocked container are to be considered
accessible.
4. A locked container will be presumed accessible if the suspect has
the keys in his possession or if it can be readily opened without
damaging it.
Note: The courts have developed a standard of proof called a
reasonable belief. It is required to search a portable container that
is being carried by the arrestee at the time of arrest or to conduct a
protective sweep for additional suspects in a constitutionally
protected area incidental to an arrest.
Arrest of an Auto’s Occupant
Police may search the person arrested and containers concealed on the
arrestee's person or in the clothes he/she is wearing, i.e., wallet, pillbox, etc.,
automatically.
When an officer arrests an occupant of a vehicle and has neither an
independent basis to search the vehicle nor do the circumstances that supply
probable cause to arrest the occupant supply probable cause to search the
vehicle, the officer can conduct a limited search incidental to that lawful arrest.
This exception to the search warrant requirement is much narrower in scope than
the automobile exception. It exists to protect against the danger that the arrested
person might gain access to a weapon or may be able to destroy or conceal
evidence. A search incidental to an arrest must be limited to the area within the
arrestee’s immediate control. This area, known as the “grabbable area,” is
limited to the space within the arrestee’s immediate reach. The grabbable area
can never be measured in precise feet or inches, its boundaries must be
reasonable. Therefore, when an officer has lawfully arrested an occupant of
a vehicle, and he or she has a reasonable belief that the vehicle contains a
weapon, a means of escape, or evidence related to the crime for which the
occupant was arrested, the officer may search the grabbable area within
the passenger compartment or any containers within that grabbable area
immediately after the arrest. If the search of the person or the passenger
compartment reveals evidence that would create probable cause to believe that
contraband, fruits of a crime, or mere evidence is present in the vehicle then this
nexus would lead to the automobile exception.
The court ruled that this nexus, or connection, is a flexible standard. The
search is not limited to the crimes for which the suspect is formally arrested. For
example, the Court has upheld a search, after an arrest for a traffic infraction,

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when the circumstances surrounding the stop gave the arresting officer probable
cause to believe the car contained a firearm.
In addition, this inquiry is not limited to facts uncovered in the "narrowly
constricted time frame immediately before and during the automobile stop." The
proper inquiry is whether the circumstances as a whole, including facts learned
before the car stop, gave the officer probable cause to search the vehicle. The
Court noted that "when the occupant of a vehicle is arrested, the very
circumstances that supply probable cause for the arrest may also give the police
probable cause to believe the vehicle contains contraband, evidence of a crime,
a weapon or some means of escape. If so, a warrantless search of the vehicle is
authorized . . ."
Plain View Exception
The Plain View Exception exists when a police officer is in a
constitutionally protected place and he/she inadvertently observes contraband or
other evidence. Strictly speaking, the Plain View Exception is not a search; the
officer just happens to observe the evidence while he or she is engaged in
his/her lawful duties. For example, if an officer while on his or her post was
invited into the back of a store by the owner who hoped to gain advice on
security, and while back there the officer observed illegal drugs, he or she would
properly seize the drugs and arrest the owner. The drugs were in plain view. The
officer would not have violated any of the owner's rights in having seized them.
The Plain View Exception requires the following:
1)

The officer must be where he has a legal right to be;

2)

The officer must inadvertently see the item of evidence;

3)

The police officer has reasonable cause to believe that items to be
seized are contraband, mere evidence or fruits of a crime;

Automobile Exception - Search of Motor Vehicles
The Fourth Amendment guarantees privacy by protecting "persons,
houses, papers and effects". As a result, automobiles are guaranteed
protections under the Fourth Amendment. This protection is somewhat limited
because the courts rationalize that cars are primarily a means of transportation
and not repositories of property. They and their contents are often visible are
subject to government regulation. Additionally, cars are inherently mobile and
can quickly be moved to unknown locations beyond the jurisdictional reach of an

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officer. Therefore, search requirements must be different. The Courts have
been more lenient towards automobile searches because automobiles have a
lesser degree of Fourth Amendment protection than a home.
In 1925, an exception to the warrant requirement was carved out by the
Supreme Court in its landmark decision, Carroll v. United States. Because of this
case, a warrantless search of a vehicle is permitted under the following specific
circumstances:
1)

There is "probable cause" that evidence or contraband is
contained in a vehicle; and

2)

Exigent circumstances exist (e.g., obtaining a warrant is not
possible or practical because of the mobility of the vehicle to be
searched).

Carroll v. United States
On September 29, 1921, government agents tried to buy whiskey from
three men in an apartment in Grand Rapids. After a price of $130.00 per case
was agreed upon, the three men indicated they would have to go to the east end
of Grand Rapids to pick up the liquor and that they would return in a short time.
They were seen leaving in an Oldsmobile Roadster, but they never returned to
the apartment. On October 6th, the agents saw two of the men traveling east
from Grand Rapids to Detroit in the same Oldsmobile. The agents followed them
but lost track of them in East Lansing, halfway between Grand Rapids and
Detroit. On December 15th, the agents saw the men again. This time, however,
the agents stopped the car, searched it and saw it contained 68 bottles of liquor.
The Supreme Court held that a warrant is not necessary when probable
cause exists to search a vehicle on a highway. A car is mobile, the occupants
are alerted, and the contents of the car may never by found again. Therefore, an
immediate search of the car is permissible. This decision, called the Carroll
Doctrine, has proved over the years to be an important tool of law enforcement.
Current Rule of Automobile Exception
If a police officer has probable cause that a vehicle contains evidence or
contraband (regardless of whether moving or parked), the officer may, without a
warrant, search any part of the vehicle, locked or not, and any containers within
the vehicle as long as such containers are large enough to hold the evidence for
which the officer is searching.

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Note: If a police officer has probable cause that a container (a
suitcase, for example) holds evidence prior to the container being
placed in a vehicle, the police officer would need a warrant to
search that container. In other words, a police officer is not allowed
to "create" the automobile exception as a matter of convenience.
If a police officer has probable cause that evidence is contained in a
particular area of the vehicle (the trunk, for example), the police officer may
search that specific area and any container in that area large enough to hold the
item for which the police officer is searching. If the police officer does not find the
evidence he is looking for in that particular area of the car (i.e., the trunk), he may
then search the rest of the vehicle and any container therein large enough to hold
the item for which the officer is searching.
If a police officer has probable cause that evidence is located in a
particular container (a red suitcase, for example) somewhere in the vehicle, the
police officer may search the entire vehicle for the container. If the police officer
finds the container, the officer may then open it. If, during the course of a vehicle
search, a police officer discovers a firearm or narcotics, the police officer may
logically infer that he has probable cause that more firearms or narcotics may be
located in other areas of the vehicle. Therefore, the automobile exception would
attach and the police officer would be able to search the entire vehicle and any
package or container capable of holding the firearm or narcotics.
If the evidence the officer is looking for is not found within the container,
the officer may then search the entire auto and any container within the vehicle
large enough to hold the evidence for which the officer is searching. If the officer
finds the items for which he/she is searching, the search must cease.
Note: The distinction between auto exception and the search of an
auto incident to a lawful arrest of an occupant is that while both
require probable cause that evidence or contraband is present
inside the auto, the search incident to a lawful arrest is preceded by
a lawful arrest of an occupant and a nexus between the arrest and
the probable cause to search the vehicle. There is no provision in
the law that gives a police officer the right to automatically search a
vehicle. Probable cause must be established whether the
automobile exception or the search incident to a lawful arrest
exception is applicable.

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Consider the following situations:
1. A man commits an assault by beating his wife with his fists and flees in his
auto. The car is stopped by a patrol car and the man is placed under arrest.
The arresting officer may search the grabbable area of the vehicle but not the
entire vehicle based on these facts. There is no probable cause to search
the entire auto.
2. A man commits an assault by beating up his wife with a baseball bat and
flees in an auto with the bat. The car is stopped by a patrol car and the man
is placed under arrest. The arresting officer is aware a bat was used in the
attack. The arresting officer may search the auto for the bat. Under the
search incident to a lawful arrest exception, the police officer has probable
cause to search any area of the auto capable of container the weapon used
in the attack. The officer can articulate a nexus between the assault and the
auto.
3.

A man beats his wife with a bat and flees on foot. As he passes his auto that
is parked on the street, he puts the bat inside, closes the trunk and continues
to flee on foot. The man escapes, but an eyewitness informs a police officer
the bat is in the trunk. The police officer has probable cause to search the
auto under the Automobile Exception and may break into the trunk, if
necessary, to recover the bat.

Search by Consent
Generally, the law allows the person who has a right of possession to
consent to a search of the premises. Possession does not necessarily mean
ownership or title. The Constitution does not address who has the legal title to
the premises. Rather, what it is concerned is the right of the individual to be
protected from unreasonable searches by the government or its agents in any
constitutionally protected place, be it a home or another location. The one who
has a right to possession (expectation of privacy) is the one who is
protected; therefore, he is the one who must give consent.
Tenants - One who receives the right to possession but not ownership of
a house, apartment, room, office building, ranch, farm, etc. The length of time a
person is a tenant or the existence of a written agreement is not important. A
tenant, while he has the right of possession, is the one who can give consent to a
police officer to search the premises. If the tenant consents and the search
uncovers evidence, that evidence may be used against the tenant or person
present therein, if probable cause exists to make an arrest. If the tenant or
person with the right of possession is not present, no one else may give consent

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to a search of his premises. Even the owner or superintendent cannot give
consent. The owner surrenders his right of possession once he rents to a tenant.
Joint Tenants And Common Occupants - Where two or more persons
possess the premise, one may give consent to a search that would be effective
against all the occupants. If two men share an apartment or a hotel room, and
one is a suspect, a police officer could get valid consent from the roommate to
search the room for evidence as long as the search is limited to areas mutually
possessed. But if part of the room or apartment is exclusively used by the
suspect, i.e., his own private room or private closet, drawer, etc., that part of the
premises could not be searched without a warrant or consent of the suspect. In
mutually possessed areas, if both persons are present and one objects to the
search and the other consents, the consent given by the one person would be
valid against the person refusing to give consent. In theory, the parties have
given up their right to privacy to each other; therefore, they could give it up to the
police.
Partners - The same principles as above applies to partners. The rule is
that if two persons share the right to use or occupy a premise, either one may
consent to a search and any evidence found may be used against either
occupant.
Husband And Wife - Both a husband and a wife have equal right of
possession to the family home and property possessed. The same principles as
above, regarding consent, apply. However, one may not consent to the search
of the personal effects which are solely possessed by the others.
Parent And Child - Parents may consent to search the home in which
they permit their child to live. However, if the child is "emancipated" (an
emancipated minor is a person under 18 years of age that is totally selfsupporting), he or she would be considered a tenant and the parents would be
considered landlords or owners. In cases where the child is emancipated, the
parents could not give consent to search areas that the child exclusively
possesses.
Host And Guest - Generally, the host can consent to a search of the
premises. The fruits of the search may be admissible against the guest. This
permission only applies to the premises itself, not the guest's personal property.
However, when the host is not present, a guest or visitor, lawfully present, has a
constitutional right to object to an unreasonable search of the premises if the
fruits of the search could be used against him. It should be noted that without
actual authorization, the guest cannot consent to the search of the premises in
the absence of the person in possession.

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Custody - If an owner gives another person full control of his property,
that person can consent to a search of the property in the same way the owner
could. A valid consent was given where a friend consented to searching the
trunk of a borrowed car. But where limited control is given no consent to search
can be given (e.g., if the property is in custody for the purpose of storage or
shipment, the person in temporary possession cannot consent to search).
Hotel Room - The police cannot use the consent from the management of
the hotel to search a guest's room. However, if hotel employees, not acting as
police agents or at the request of the police, make a search, any fruits obtained
from the search will be admissible.
Elements of a Search Based on Consent
Voluntary Consent - In general, a valid consent must be given
voluntarily; that is, it must not be coerced. Courts consider this question
carefully. Some courts doubt that consent can ever be given freely. One case
said that no sane man who denies his guilt would ever be willing to let the police
search his room for contraband that is certain to be discovered. The U.S.
Supreme Court has stated that a consent to a search would be carefully looked
at. In other cases, the courts have said the criminal might think he could outwit
the police; he may consent to a search because he thinks the police will not find
anything. For example, where the evidence is secreted, i.e., trash can, a
washing machine, hollow pencil, etc.
No Duress - When the police claim consent to search was voluntarily
given, they must show that there was no duress or coercion present. Even if a
police officer acts in good faith, a court may sometimes infer duress from other
factors:
• Time - Police arriving in the middle of the night may
appear to be coercive. The best time to request a
consent search, if possible, is during the day or during
normal business hours.
• Number Of Officers - A larger group of officers than
necessary may seem like a show of force. The court
may say that the person was frightened into giving
consent.

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• Displaying Weapons And Symbols Of Authority - The
sight of a weapon or uniformed police officer, or even a
shield, may seem coercive to a person about to be asked
for consent. It is best for the officer to tell the person that
he or she does not have to give consent, and that he will
not suffer if he refuses. While this is a better course of
action, a police officer is not required to tell the person
from whom he requests consent to search that such
person has the right to refuse.
• Language - Should be in the form of a request to search;
not an order.
• Approach - Avoid unnecessary appearance of force;
flashing lights, sirens, numerous police cars.
• Entry - When a police officer asks for, and receives
permission, to enter a premises -he is not trespassing;
any contraband in plain view could be seized. But
consent to enter is not a consent to search; such consent
must be independently obtained. Once inside lawfully,
anything he sees in plain view could be used in
establishing probable cause for an arrest. If it is illegal to
possess it, it may be seized and used in evidence against
the possessor.
• Fraud - Consent to search obtained by fraud is not valid
and, therefore, unreasonable. Consent obtained by
saying such things as, "You might as well let us search
because we can always get a warrant," or, "If you let us
search, we may not have to arrest you," seem to coerce
a party to permit the search against the person's will.
• In Custody - Where a person is under arrest or in
custody, it is very difficult to show that consent to search
was freely given. The very fact that he is a prisoner
strongly suggests coercion. In such cases, it is most
difficult to prove that the prisoner voluntarily consented to
a search.
• Age - Consent to search a premises should not be taken
from children under 16 years of age.
.
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Searches by School Authorities
Although school officials are not law enforcement personnel, the case law
requires that they establish probable cause before effecting any searches of
their students. The standard of probable cause may not be as strict as that
required of law enforcement but probable cause is nevertheless required.
With regard to student lockers, school officials can search them and
authorize the police to search them provided the school retains title and a strong
possessory interest in the locker.
Inventory Procedure
Similar to the plain view exception, the inventory exception is not a search
for evidence. It is an administrative procedure aimed at protecting the
prisoner's property from loss or damage while in police custody. To that end, it is
reasonable and proper that an officer inspect all items that come into the officer's
custody. For example, when the property is too large to remain with the prisoner
or when it presents a danger to the officer, the officer should inventory those
items listing each one on a property invoice. Upon the prisoner's release he/she
will be able to reclaim his/her property and the City and the officer will be free
from any civil claim that the property was lost or damaged. Since the reason for
such inspection is not to obtain evidence of a crime; it is not considered a search
within the definition of the Fourth Amendment and is governed by different
standards.
This procedure must be used solely as a measure to safeguard property
and not as a means to search for evidence. However, if while conducting an
inventory of personal property the officer finds contraband or incriminating
material, he may seize it and commence criminal charges against the owner. If
asked in court about the discovery, the officer must make it clear that his sole
purpose for conducting the inventory was to protect the suspect's property and
comply with Department procedure and that the discovery was purely
inadvertent. The discovery of contraband or incriminating material does not
require a police officer to stop the inventory procedure and apply for a search
warrant
Automobiles represent a large amount of personal property that comes
into police custody. This Department, for example, must safeguard a stolen
vehicle that has been recovered by police. The following guidelines will be
adhered to when conducting an inventory of a vehicle in police custody:

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1)

The interior passenger compartment of the auto may be searched;
however, it must be kept in mind that the purpose of an inventory
procedure is not to find evidence but to protect persons and
property. Thus, the scope of the inventory search must be
consistent with the above purpose.

2)

The trunk, glove compartment, console and any closed containers
found in the auto during the inventory search can be opened and
their contents inventoried. If any of these items are locked, an
officer should attempt to obtain the key from the driver, owner,
passenger, etc. The above items should not be opened if to do so
would cause more than minimal damage to them, unless there is an
emergency, the item is in plain view, or may be inferred by its
outward appearance, or valid consent was given.

The inventory procedure is not, however, limited to automobiles.
Suitcases, handbags, duffel bags and similar items, if unlocked, must be
inventoried after an arrest if there is no person present to whom the prisoner
wishes that his property released. Property taken from a person can be opened,
even if locked, if only minimal damage will occur or if the officer feels the
container contains weapons, explosives, hazardous materials, or toxic
substances that pose immediate danger.
The courts will closely review such seizures to determine their true
purpose. If the circumstances show that the real purpose was to search for
evidence, the fruits of the search will not be admitted into evidence. For
instance, should an officer conduct an inventory not authorized by Department
procedures, any evidence uncovered will be excluded. Cutting into the
upholstery to look for narcotics, or vacuuming the inside of a car for hair or other
physical evidence are examples of conduct that would not fall under the inventory
procedure.
Emergency Exception
Police act daily to save lives and to prevent physical injury. Where an
emergency exists and immediate police action is needed to protect lives or
property, police can search without a warrant. There are three (3) elements that
must be satisfied before the police may rely on the emergency exception to a
search without a warrant:
1)

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2)

The search must be confined to the area where the emergency is
believed to exist; and

3)

The purpose of the search must be to "cure" the emergency and
not to seize evidence.

Hot Pursuit
The exigent circumstances known as hot pursuit may be best illustrated
under circumstances where the police have established probable cause and are
chasing a suspect for the purpose of making an arrest. When these conditions
exist, the police may follow the suspect into any constitutionally protected area,
i.e., the suspect's home or a third party's residence. This is usually based upon
an officer's direct observation of the suspect's flight. An exception may occur
when an officer momentarily loses sight of the suspect and is informed by a third
party of the suspect’s location.
When a police officer enters a premise in hot pursuit, he/she may enter
those areas of the premise that the suspect has entered to search for the suspect
and/or any weapons the officer has probable cause the suspect possesses. If
during the course of the pursuit the officer finds more evidence, contraband, or
fruits of the crime, it may be seized and it will be admissible as evidence. Once
the suspect is apprehended the search is generally over unless the weapon has
not been recovered and the premise cannot be secured.
Arrests in the Home Under Exigent Circumstances
Exigent Circumstances Defined: When the police have probable cause to
believe that if they don't act immediately, a person will be endangered, or a
suspect will escape, or evidence will be hidden, altered or destroyed before they
are able to obtain a search warrant, a warrantless search is permitted under the
Fourth Amendment.
A police officer cannot enter the home or residence of a suspect simply to
make a routine arrest unless one of the following three conditions exists:
1. The officer can set forth facts indicating that exigent
circumstances exists; or
2. The officer has consent to enter the premises; or
3. The officer has an arrest warrant.

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MISCELLANEOUS SEARCH AND SEIZURE ISSUES
Garbage. Garbage left in a public or common area may be searched without a
warrant. A warrant should be obtained, however, if there is probable cause to
believe the garbage contains evidence and there is no immediate need to seize
it. Furthermore, absent exigent circumstances, garbage located within private
property should not be searched without first obtaining a warrant.
Driving While Intoxicated (D.W.I.) Checkpoints. D.W.I. checkpoints are
constitutional if administered in a non-arbitrary manner maintained in accordance
with uniform procedures such as a roadblock.
Vehicle Dismantlers. The N.Y.S. Vehicle and Traffic Law provides that all
vehicle dismantlers must maintain a record (called the police book) of all vehicles
or parts coming into their possession and the subsequent disposition of such
vehicles or parts. The statute further permits the police inspections of such
premises without a search warrant. The N.Y.S. Court of Appeals held this statute
unconstitutional maintaining that it lacked standards for the dismantling industry
to follow and inspection criteria for the guidance of the police. Thus, in order to
search the premises of a vehicle dismantler, probable cause must be obtained.
Vehicle dismantlers remain subject to other V.T.L. requirements, such as record
keeping and the obligation to maintain a police book.
WARRANTS – GENERAL
Types of Warrants
Arrest Warrant: A court order directing a police officer to arrest a
defendant and to bring him before such court for the purpose of initial
arraignment.
Bench Warrant: A court order directing a police officer to take a
defendant who has previously been arraigned into custody.
Supreme Court Warrants: A Police Department liaison from the Warrant
Section must collect warrants from each court, photocopy them, and send high
priority “worst of the worst” (WOW) warrants to borough warrant squads so that
investigations will begin immediately. The original warrants are delivered to the
Warrant Section’s Central Warrant Unit.

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Criminal Court Warrants: The court clerk sends information on warrants
issued to the Office of Court Administration, which enters the data into their
system (CRIMS). All warrants entered into the Court Administration system are
printed at the Central Warrant Unit, usually within one (1) day of issuance. The
data is then manually entered into the Warrant File.
Family Court Warrants: These warrants are processed in a manner
similar to Supreme Court warrants. Urgent child abuse warrants are treated like
Supreme Court high priority warrants and are investigated immediately upon
receipt at the appropriate warrant squad. Other Family Court warrants, after
processing at Central Warrant Unit, are distributed to precincts for investigation.
Investigative Tools
There is a wealth of information available to the police officer in many
different computer databases. You will receive in depth information regarding
these databases during your computer school training. Some of these databases
are:
•

NYSPIN is the New York State Police Information Network. It can retrieve
a subject’s criminal record from the Division of Criminal Justice Services
(DCJS) and the National Crime Information Center (NCIC). Misdemeanor
warrants entered into NYSPIN through the Warrant Master File are
available throughout New York State. It is also used to transmit messages
to and from other law enforcement agencies concerning arrested fugitives
and extradition matters.

•

NCIC is a national database. Felony warrants are entered into NCIC
through the Warrant Master File and are available to police officers
nationwide.

•

CRIMS (Court Record Information Management System) provides court
records relating to a defendant. CRIMS is used to verify the status of a
warrant. It provides the last status on a criminal court case.

•

NYSID # New York State Identification number - provides a numerical
code kept on file in Albany of anyone who has ever been fingerprinted.
The specific fingerprint pattern is assigned a series of numerals and can
identify an individual who gives a false name when arrested.

•

COLES Check provides the telephone number of a subject when you only
have an address, or provides the address when you only have the
telephone number.

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Note: The NYC Housing Authority keeps records of all residents residing
in public housing complexes. This information can be obtained by visiting
the Management Office in a particular housing development or by asking
neighbors who reside there of the subject’s whereabouts.

ARREST WARRANTS
Contents of Arrest Warrant: An arrest warrant must contain:
1.
2.
3.
4.

Date of issuance;
Name of issuing court;
Name of offense concerned;
Name of defendant, or any name or description by which he can be
identified;
5. Police Officer(s) to whom addressed;
6. Judge's endorsement.
Execution of a Warrant (C.P.L. Section 120.60)
Who Can Execute A Warrant: A warrant of arrest may be executed
by:
A.

Any police officer to whom it is addressed; or

B.

Any other police officer delegated to execute it; or

C.

A parole officer or probation officer under special
circumstances.

Where a Warrant May Be Executed (P.G. 208-01)
A.

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An arrest warrant issued by a judge of the District Court, the
New York City Criminal Court or by a Superior Court judge
sitting at a local court may be executed anywhere in the
state.

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B.

An arrest warrant issued by a city, town or village court may
be executed:
•

In the issuing county or an adjoining county; or

•

Anywhere else in the state with a written endorsement
by the local Criminal Court of the county of arrest.

When and How a Warrant is Executed (C.P.L. Section 120.80)
A.

A warrant of arrest may be executed on any day of the week
and at any hour of the day or night.

B.

Unless there is physical resistance, flight or other factors
making normal procedure impractical, the arresting officer
must:
•

Inform the defendant of the warrant and the charge
indicated on it;

•

On request, the officer must show the defendant the
warrant if it is in the officer's possession.

C.

The officer need not have the warrant in his or her
possession at the time of the arrest. However, the officer
must show the warrant to the defendant as soon after the
arrest as possible.

D.

To make the arrest, the officer may use force consistent with
Article 35 of the Penal Law.

E.

An arrest warrant does not authorize a police officer to enter
any premise in which he reasonably believes that the
defendant is present. Only the address listed on the arrest
warrant may be forcibly entered. If the person wanted is at a
third-party residence, then a search warrant must be
obtained unless you have consent of a person who has
power and control over the premise or exigent
circumstances exist (hot pursuit, gunshots, screams, etc.).

However, before he enters he must make a reasonable effort to
give notice of his authority and state his purpose to the occupant,
unless giving notice will:

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A)

Result in defendant's attempting to escape; or

B)

Endanger the life or safety of the officer or another; or

C)

Result in the destruction or hiding of material evidence.
Note: If the officer is authorized to enter the premises
without giving notice, or after giving notice he is not
admitted, he may, if necessary, enter by breaking.

Warrant of Arrest: Post-Arrest Procedure
(C.P.L. Section 120.90; P.G. 208-42)
The procedure after effecting an arrest on a warrant deviates
depending upon where the arrest is made and the offense listed on the warrant.
Felony Warrant
If an arrest is made based on a felony warrant within New York State, the
defendant will be brought to the court that issued the warrant. It does not make a
difference where the arrest is made as long as it was made in New York State.
Misdemeanor or Petty Offense Warrant
If an arrest is made based on a misdemeanor or petty offense warrant, and:
•

The arrest takes place in the county in which the warrant was issued – or
an adjoining county – the defendant will be brought to the court that issued
the warrant.

•

The arrest takes place outside of the county in which the warrant was
issued – or an adjoining county – the defendant has the option of being
brought to the local criminal court.

Warrant of Arrest: Bench Warrant (C.P.L. Section 530.70)
A bench warrant is a post-arraignment process. It is issued when a
defendant has been arraigned and released on bail or on his own recognizance
and fails to return for a subsequent court appearance. It can be issued by N.Y.C.
Criminal Court, District Court or by a Superior Court judge sitting on a local
Criminal Court. (Read Patrol Guide Reading: Section 208-42 Arrest on a
Warrant)

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Desk Appearance Tickets
The NYPD issues Desk Appearance Tickets (D.A.T.’s), in lieu of
detention, to a large number of individuals arrested for certain misdemeanors
and violations. Unfortunately, in many cases, individuals fail to appear, resulting
in the issuance of a warrant. According to Office of Court Administration
statistics, of the D.A.T.’s issued in the City of New York, nearly half of the
defendants failed to appear on the designated return date, and a bench warrant
was issued.
Criminal Court Summonses
Under New York law, a summons may be issued for certain low level
offenses. A summons directs a person to appear in Criminal Court on a later
date. Failure to appear on that date can result in the issuance of an arrest
warrant. Summonses are the primary method for dealing with quality of life
offenses. In the past, wanted fugitives who committed minor offenses such as
turnstile jumping or drinking beer on the street were issued summonses and
released. Because of the department’s stricter screening standards, and access
to central criminal databases, these mistakes are easier to avoid.
Patrol Officers’ Duties
Officers assigned to precincts and all other patrol duties will:
•

Conduct a warrant name check via FINEST on every person arrested,
regardless of the offense, (i.e., all violations, misdemeanors and
felonies) to determine if a person is wanted or under investigation by
this Department. Officers in the field can apprehend fugitives in the
course of daily activities by conducting name checks; the matching of a
name and date of birth to computer records of those who are wanted.

•

Conduct warrant inquiry checks as a routine part of patrol duties when
you encounter criminal suspects or individuals who will be issued
summonses. Subjects brought to commands for investigation will also
be checked.

•

Conduct name checks of respondents prior to service of Orders of
Protection for domestic violence cases. While serving these orders,
officers can apprehend those respondents who are wanted.
Experience in other states has shown that these respondents often
have arrest records for other violent crimes.

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•

Conduct name checks prior to all court and adjudicative appearances,
to determine if the person whom they are testifying against is wanted
on a criminal charge or warrant since the original date of arrest or
issuance of a summons.

•

Visit selected released parolees to advise them of the Department’s
knowledge of their presence in the community.

•

Use name checks extensively in the field as part of quality of life
operations, car & bicycle stops, fare evasion operations, and other
street encounters.

•

For the purpose of conducting warrant name checks via your portable
radio, two (2) radio codes have been introduced for dispositions from
Central on name checks:
10-18 Warrant check shows an Active warrant - Arrest
will be made.
10-19 Warrant Check negative - No “hit” on name.
Individual may be summonsed and released.

Transit Bureau
The Transit Bureau has a unique role in warrant enforcement because
many individuals who are wanted regularly ride the subway system. Officers
assigned to the Transit Bureau work with precinct warrant officers to obtain
photos of those wanted for felonies. Transit Bureau officers continue to conduct
fare evasion sweeps where large numbers of individuals are stopped after
evading the subway or bus fare. A name check of the violator is conducted prior
to their release in search of open warrants.
Housing Bureau
The Housing Bureau dedicates officers to work with precinct personnel
and members of the Fugitive Enforcement Division. Together they conduct joint
operations within housing developments. When appropriate, the Department
works with the Housing Authority to pursue evictions of select fugitives. Two
officers from each PSA are assigned to warrant duties.

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SEARCH WARRANTS
Purpose for Which a Search Warrant May Be Issued
A search warrant may be issued authorizing the search and seizure of
property that constitutes evidence or contraband. The most commonly used
method to obtain one requires that a police officer, after conferring with his
supervisor and the District Attorney's Office, appear before a Criminal Court or a
Supreme Court Judge who, upon determining the validity of the application, will
approve it and issue the warrant.
Note: Although CPL section 690.36 allows for oral applications of search
warrants, members of the service that are faced with a situation that
requires an immediate application for a warrant- during a time when court
is closed- will confer with their supervisor who will determine the need for
such an application. Such requests may only be processed by
Department attorneys, upon conferral with the borough
executive/counterpart.
Execution of the Warrant
A search warrant must be executed between 6:00 A.M. and 9:00 P.M.,
and it must be executed within ten (10) days after the date of issuance. The
officer is required to announce his authority (the warrant) and his purpose (to
conduct a search). He may detain any person present, but he may only search
them if they are specifically named on the warrant or if the warrant specifies that
every person found in the premise is to be searched. Unlike an arrest warrant,
the officer must have the search warrant physically with him. If to preserve
evidence or to prevent escape, the officer needs to enter silently (a no knock
warrant); the judge must specify this on the warrant. Last, as in the case of an
arrest warrant, an officer may break into a premise to execute a search warrant,
if necessary. A search warrant must be addressed to a police officer whose
geographical area of employment includes the county of issuance.
Scope of the Search
The scope of the search is limited to the area specified on the warrant. If
while conducting the search the officer discovers contraband or fruits of the
crime, the officer may seize them immediately, even if these particular items are
not listed on the search warrant. But, if on the other hand, he discovers "mere
evidence" (for example, a blood-stained shirt), and that "mere evidence" is not
specifically named on the search warrant, the officer should secure the area and
obtain a second warrant naming that item specifically.

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Receipt for Property Removed
You must give a receipt - for any property you seize - to the person who
possessed the property, whether the property was taken from his person or the
premises. If no person is present, it should be left in the place where the
property was found. You must then immediately return the warrant, the written
inventory of property seized, and the property itself (if possible) to the court
named in the search warrant.

INTERROGATIONS
Miranda v. Arizona
Police officers and society at large feel more secure in assigning guilt
when the person has admitted his or her wrongdoing. Confessions have always
been used as an added means of proving the guilt of persons involved in criminal
activity. In some cases, where there is little or no physical evidence or
eyewitnesses, a confession or admission becomes a critical factor. In some
criminal prosecutions, defense attorneys have won acquittals or had charges
against their clients dropped, as a result of suppressed or inadmissible
confessions.
In 1966, the landmark case on this issue was decided by the Supreme
Court of the United States (Miranda v. Arizona, 384 US 436). This decision
mandates that when persons are in custody and the police want to interrogate
them (known as custodial interrogation) the police must inform these persons
that:
1. They have a right to remain silent.
2. They have the right to the presence of an attorney.
3. Anything they say can be used against them in court. If they cannot afford
an Attorney, one will be appointed for them prior to any questioning if they
so desire
The Miranda decision thus requires a police officer to advise suspects of
their Fifth Amendment right against self-incrimination and their 6th Amendment
right to counsel whenever they are interrogated while in custody. If defendants
have not been so advised and they are questioned by police, their pre-trial
statements are not admissible in court to prove their guilt. Therefore, it is very
important that police officers be aware of the point at which the suspect is
considered to be in custody.

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Definitions of Terms
1. Custody – Any restraint of a person that would lead a reasonable person
to believe that she or he is not free to leave.
2. Interrogation – Asking questions designed to elicit responses from the
suspect that may acknowledge guilt, or implicate the suspect as being a
party to a crime.
What Is Custodial Interrogation?
Custodial interrogation takes place where persons are led, as any
reasonable person would be, to believe that their freedom has been restrained in
any significant way. Significant restraint is determined by the circumstances
under which a person is interrogated. Time, place, atmosphere and the extent of
the questioning are essential elements in each determination. The facts and
circumstances of each situation must be carefully examined in applying these
standards.
Any physical restraint, for example: holding suspects, handcuffing them or
pointing your gun at them, is considered placing a person in custody. General,
on-the-scene questions, that are limited, are not considered interrogation and
thus, even though a person is in custody, warnings need not be given if there is
no interrogation.
The test is objective; that is, based upon the reasonable man. The test as
laid down by the New York State Court of Appeals is stated as follows:
"The test is not what the defendant thought, but rather
what a reasonable man, innocent of any crime, would
have thought had he been in the defendant's position."
Simply stated, the issue is whether the person is free to go. If not free to
go, then custody exists and when coupled with interrogation, Miranda warnings
are required. The Courts will generally consider all the circumstances of the
interrogation to determine if the suspect was actually in custody.
As a general rule, the following elements will be used to determine if a
person is in a custodial interrogation situation:
1)

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The nature of the interrogator, for example, is he/she intimidating or
bullying the defendant? Is he/she in uniform? Visibly armed? Is
there more than one interrogator present?

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2)

The type of suspect you are dealing with. The type of person the
suspect is will greatly influence the point at which he/she is
considered to be in custody.
Factors include:
a) The suspect's age (the younger the suspect is, the more
likely the courts will find the suspect is in custody);
b) The suspect's mental or physical condition (intoxicated or ill);
c) The suspect's intelligence (low I.Q.);
d) The suspect's sophistication and experience with life as well as
the Criminal Justice System (past arrests or other involvements
with the law).

3)

The location and time of the questioning. Generally, "on-the-scene"
questioning is not custodial interrogation, but taking a person from
his home or other familiar surroundings to another place for
questioning will bear strongly on the issue of custodial interrogation.
The lateness of the hour will also have some bearing on the
custodial interrogation issue.

4)

The following areas are also factors in determining whether there is
custodial interrogation:
a) The nature of the investigation - What crime do you suspect
the subject of having committed?
b) The length of time it takes to question the suspect. The
longer the period of questioning, the more likely that it is
custodial interrogation. Therefore, try to keep the questioning
as short as possible.
c) The manner in which the interview is conducted; for example,
was the suspect separated from others. This is particularly
important in the area of questioning juveniles. Whenever
questioning juveniles, a parent or guardian must also be
advised of the child's constitutional rights, if available.

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The presence of the above factors may make an "on-the-scene"
investigation custodial even when the subject has not been arrested. A police
officer is not required to warn each and every person he speaks to before
questioning him. It is only required when the questioning is custodial.
As a guide for members of the force in the area of Miranda Warnings, the
following points are worth noting:
1)

You should know the Miranda Warnings.

2)

You must have and use your memo book insert or Activity Log
cover containing the Miranda Warnings. Do not try to give them
from memory. The exact wording of the warnings will become very
important when you get to court.

3)

Miranda Warnings must be given when juveniles are in custody and
you want to interrogate them. In addition, a parent or someone in
loco parentis (in control of the juvenile) such as a legal guardian
should be present if a juvenile waives his rights (discussed in
greater detail in a subsequent chapter).

4)

Whenever a person is in custody, you must advise that person of
his or her constitutional rights before interrogating him or her, even
if the person has not been told that he/she is under arrest. It must
be noted that the Supreme Court in the Miranda case defined
custody "as the deprivation of a person's freedom in any
significant way."

The Miranda Warnings
1) Police officers are required to give to every person in police custody, whom
they intend to question, the following warnings (which are printed on the
cover of every Activity Log):
a)
b)
c)

d)

"You have the right to remain silent and refuse to answer questions.
Do you understand?"
"Anything you do say may be used against you in a court of law. Do
you understand?"
"You have the right to consult an attorney before speaking to the police
and to have an attorney present during any questioning now or in the
future. Do you understand?"
"If you cannot afford an attorney, one will be provided for you without
cost. Do you understand?"

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e)

f)

"If you do not have an attorney available, you have the right to remain
silent until you have had an opportunity to consult with one. Do you
understand?"
"Now that I have advised you of your rights, are you willing to answer
questions?"

2) Each warning must be given. It is not enough that some are given. When
the warnings are not given properly, the courts will not permit the admission
or confession to be used as evidence against the defendant.
3) The warnings should be read in a loud clear voice. After each question,
persons in custody should be asked if they understand the statement or
question. If they state that they understand, ask them what they wish to do
with respect to each question. If the person in custody does not understand
English, or if there is any doubt that he/she understands English, an
interpreter, (who must be obtained through the Operations Unit) should be
used. Failure to obtain an interpreter may jeopardize the use of the
confession or statements if the court determines that the suspect is not
capable of understanding English.
4) If at any point the person in custody indicates he/she does not wish to
answer any questions and that he/she wishes an attorney, all questioning
must cease.
5) Advising a person who is in custody of his/her rights more than once after
he/she has refused to waive his/her rights is improper. Even if he/she does
make a statement, the court may interpret your repeated requests as
coercion.
6) After being read these rights, the suspect must waive them by answering
“yes”, or the equivalent, to each specific miranda question and to the waiver
question, before the interrogation may start. The waiver need not be
expressly articulated, although that is the best method. The waiver may be
implied from the suspect's conduct. However, the officer must be able to
describe in detail the actions of the defendant that constitute the alleged
waiver. An individual's silence to the waiver question can never be
interpreted as a valid waiver. These rights must be voluntarily, intelligently
and knowingly waived. Any "waiver" secured in violation of the rules on
coercion - discussed previously - is not considered voluntary.
The police, acting on behalf of the people of the State of New York, bear a
strong burden in showing that the defendant waived his or her rights voluntarily,
intelligently and knowingly.

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The following will be factors in determining whether a defendant's rights
were voluntarily, intelligently and knowingly waived:
1. Individual is under the influence of drugs or alcohol;
2. There is a language barrier;
3. Individual has a low I.Q. or where it is obvious to the officer that the
defendant is not "too bright";
4. Age of the subject;
5. Previous contact with the police;
6. Coercive nature of the questioning.
Right to Remain Silent
If, after the rights have been read, a person states that he or she does not
want to talk to the police, he or she may not be questioned. Even when a person
has waived his/her rights and talks to the police, he or she is free to change his
or her mind at any time and refuse to continue with the interrogation. In such
cases, all questioning must cease at that point. Repeatedly giving the warnings
until a waiver is obtained is not permissible.
However, under certain circumstances, a person who has invoked his or
her right to remain silent may be read the Miranda rights a second time to
determine whether he or she will answer questions. This second reading would
be appropriate if:
1) There is a reasonable amount of time between the first and second
reading of the Miranda warnings;
2) The questioning is to be done by another police officer;
3) The suspect indicates that he/she has changed his/her mind and wishes
to speak to the police.
Note: A specific request for a lawyer invokes a suspect's Right to
Counsel. In such cases, a person may not be given subsequent
warnings nor validly "waive" his or her rights unless his lawyer is
actually present when he or she does so. This is covered more fully in
the next section, "Right to Counsel.”

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Right to Counsel
The New York State Court of Appeals, in interpreting the New York State
Constitution, has created "Right to Counsel" rules that are more restrictive than
those recognized by the United States Supreme Court or, for that matter, most
other states. Thus, when a "Right to Counsel" has been established, an attorney
must be present at any questioning of a suspect and a suspect may not waive
his/her right to an attorney unless the waiver occurs in the physical presence of
the suspect's attorney. The key to understanding these complex rules is to grasp
when the right to counsel attaches on a specific charge.
The "Right to Counsel" attaches in the following situations:
1) Whenever suspects are in custody and indicate they want an attorney.
2) Whenever suspects are in custody on a particular charge and have an
attorney on that charge;
3) Whenever a suspect is in custody and an attorney contacts the police
advising them that he represents the suspect.
Note: Once an attorney calls the police looking for a person in custody,
the right to counsel attaches. This is so whether the call is to the
location where the person is detained, or not. Thus, for example, a call
to 911 would prohibit the questioning of the suspect concerned.
Note: In the above-described situations #s 1, 2, and 3 - the suspect
who is in custody and is represented on the charge for which he is in
custody, also has an absolute right to counsel on any unrelated
charges about which the police may want to question the suspect.
Note: A suspect who is in custody and is represented by an attorney
on a prior unrelated charge(s) would have an absolute right to
counsel on the prior unrelated charge(s), but would not have an
absolute right to counsel on the current charge(s) for which the suspect
is not represented.
4) Even when a suspect is not in custody, but has retained an attorney with
respect to the particular matter under investigation, and the police are aware
that an attorney has been retained, the suspect has an absolute right to
counsel regarding matters for which an attorney has been retained.

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5) Whenever an attorney advises the police he represents a suspect who is not
in custody, the suspect has an absolute right to counsel regarding any
matters on which the attorney represents the suspect.
6) Whenever an accusatory instrument has been filed, the suspect has an
absolute right to counsel on charges covered in the accusatory instrument.
Note: In situations # 4, 5 and 6 the suspect may be questioned on
unrelated matters for which the suspect is not represented by counsel.

Questioning Without Giving Miranda Warnings
You owe a duty to the public to investigate crimes and suspicious
conditions. The law does not require that the Miranda Warnings be given every
time you ask a question. We have already seen that the police officer who
responds to a radio assignment and finds a large crowd gathered can ask
questions such as, "What happened here?" or "How long ago did the shooting
take place?” These are questions of general inquiry and at the time they are
asked, no one is in a custodial interrogation situation.
There may be situations that pose a threat to public safety which outweigh
the rule protecting a person against self-incrimination. In two (2) court decisions,
the "public safety" or "emergency" exception was created, whereby a police
officer may question a person in his/her custody prior to reading him the Miranda
Warnings. The purpose of this exception is to minimize or eliminate an
immediate danger of physical injury to the police and/or the public. The nature of
the danger should be of a kind where immediate police action is required to
protect the safety of the person(s) involved; for example, a missing person, bomb
threat, a concealed weapon in a public place.
This exception should not be used for the sole purpose of obtaining
evidence with which to prosecute the suspect. If it is used as a trick to
circumvent the Miranda requirements, then the suspect's statements and any
evidence derived from the statements will be inadmissible in court. Once the
danger has been eliminated, the Miranda Warnings must be read and a valid
waiver obtained before any further police questioning takes place.
Questioning Of Juveniles
The courts and the legislature have attempted to provide every protection
to persons under the age of 16 when they are subject to custodial interrogation.

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In accordance with the Family Court Act, a police officer must:
1) Immediately notify the parent or guardian legally responsible for the
care of the juvenile that he has been taken into custody.
2) Not question the child unless he and the parent or guardian have been
advised:
a) Of the child's right to remain silent;
b) That the statements made by the juvenile may be used in a
court of law;
c) Of the child's right to have an attorney present at such
questioning; and
d) Of the child's right to have an attorney provided for him
without charge if he cannot afford one.
3) The parent or guardian, if available, must be present with the child
when the warnings are given to both. In addition, the parent or
guardian must be present during the questioning if they are available.
4) When questioning a juvenile, Miranda warnings should be read to the
juvenile while the parent/guardian is present. The juvenile may be
questioned if he/she waives the Miranda rights in the presence of the
parent/guardian. The parent/guardian does not have to separately
waive the Miranda rights; they only need to be advised of such rights.
However, if the parent/guardian objects to the questioning or
requests an attorney for the juvenile, no questioning should
occur, even if the juvenile is willing to answer questions.
5) The child can only be questioned for a reasonable period of time.
Each case will be different, but factors such as: the age of the child,
the seriousness of the crime, the presence of the parents, etc., will
help you decide what is reasonable.
6) The questioning must take place in a facility designated by the Chief
Administrative Judge. Most precincts have a room that has been
approved as appropriate for questioning juveniles. Any statements or
admissions obtained as a result of questioning in other than an
approved location will be inadmissible in court. A Juvenile Offender
(prosecutable in Supreme Court) should also be questioned in these
designated locations in order to protect statements that are made
should the case eventually be transferred to Family Court.

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Questioning of Juveniles without Parent/Guardian Present
Normally, the questioning of a child without their parent/guardian present
should not be done. However, if circumstances make questioning essential, you
should be guided by the following:
1) Every reasonable effort has been made to notify the parent or
guardian.
2) Determine the necessity for questions at this time.
3) The age of the juvenile.
4) The apparent intelligence of the juvenile.
5) The ability of the juvenile to understand the Miranda Warnings.
If a decision is made (based on the above factors) to question a juvenile,
the following procedure will be followed:
•

The juvenile will only be questioned at a designated facility.

•

A good faith attempt must be made to have a competent adult, other than
law enforcement personnel, present during any questioning; i.e., a
relative, clergyman, teacher, etc.

•

The juvenile and competent adult must be advised of their rights as
previously stated.

•

Special care must be taken to insure that juveniles understand their rights
and the effect of a waiver of those rights.

In any situation where a juvenile is questioned in the absence of his parent
or other person legally responsible for his care, the officer must be prepared to
establish beyond a reasonable doubt that the statement or admissions were
voluntarily and intelligently made, and that prompt valid attempts to reach the
child's parents were made.
When giving the Miranda Warnings, you must indicate in your Activity Log
that the juvenile was given his or her rights in the presence of a parent or
guardian or, if the parent/guardian cannot be contacted, the efforts made to
reach the parent or guardian must be fully outlined. In addition, the actual
responses to the questions are to be indicated.

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Ramifications of Failing to Adhere to the Miranda Requirements
The Supreme Court, in the Miranda Case, clearly indicated that any
evidence obtained as a result of an inadmissible confession would also be
inadmissible. This is known as "the fruits of the poisonous tree doctrine.”
For instance, while making a confession of a murder, the prisoner tells the officer
where he hid the gun he used. If the confession is inadmissible, for example, the
officer did not properly warn the defendant of his rights, the court will also refuse
to admit the weapon as evidence because it was obtained as a result of the
improper confession.
An exception to this rule is where the gun was in such a place that the
police would have found it, even without the defendant's confession or statement
(Inevitable Discovery Rule). However, there should never be a time where you
do not give the Miranda Warnings properly.
When an officer makes an arrest, careful consideration should be given to
the proper implementation of all judicial and constitutional requirements and
consider the following points:
•

You are permitted to ask general questions on the street without warning
persons of their Miranda rights so long as they are not in a "Custodial
Interrogation" situation.

•

Once you reach the point in your questioning where suspects are not free
to leave, they are in custody.

•

Officers may not question a suspect in custody, whom they know to be
represented by counsel or who has requested counsel on the charge for
which he/she is presently in custody unless the suspect waives his/her
rights in the presence of his/her lawyer.

•

Special rules apply to juveniles. It is essential that the juvenile's parent or
guardian be present and advised of the youth's constitutional rights before
any statements will be admitted into evidence.

•

If suspects do not understand the rights as set forth on your activity log
cover, attempt to explain them in your own words. If they still do not
understand, then any questioning is improper, since they cannot
intelligently waive a right, which they do not understand, and you should
treat it as a refusal to answer any questions.

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Notwithstanding the rules set forth in the preceding paragraphs, the following
exceptions are applicable:
Non-Custodial Interrogation - Statements made by persons being
questioned who are not in custody and free to go, will be admissible
provided they do not have an attorney on the matter.
Spontaneously Volunteered Statements - Those statements which
are made freely by a person and are not the result of any inducement,
coercion or encouragement, will be admissible.

THE EYEWITNESS IDENTIFICATION PROCEDURE
The police officer often responds to a scene moments after a crime is
committed. In those instances where the suspect has left the scene, it is
essential that the responding officers record and broadcast an accurate
description, thereby enhancing the possibility of a swift and proper apprehension.
Proper eyewitness identification can be an effective tool in the apprehension and
prosecution of criminal suspects.
Note: Identification procedures ordinarily are not necessary where the
witness or victim and the, perpetrator are known to each other, including
relatives or other close acquaintances or the perpetrator is apprehended
by a police officer in the act of committing an offense. Any doubt
concerning the need for - or legality of - conducting a lineup or show-up
should be resolved by conferring with the Patrol Supervisor or Desk
Officer.

LINEUPS
Identification Lineup – This involves the placing of a criminal suspect in a
lineup with at least five (5) other persons for the purpose of identification by
victim or witnesses. Prior to conducting a lineup, the detective supervisor
concerned or a qualified supervisor of an investigative unit will be consulted and
will personally supervise the entire procedure.

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The Suspect’s Rights
•

A suspect must be advised of his Miranda Warnings only if he is going
to be interrogated - whether before, during, or after the lineup.

•

A suspect must be advised that he will be placed in a lineup so that his
identity may be established concerning a particular crime or crimes.

•

If a suspect has a lawyer and the lawyer requests to be present at the
lineup, allow him or her a reasonable time to appear.

•

In the rare instances where the lineup must be held immediately, and it
is unreasonable to await the arrival of the lawyer, the lineup can be
conducted without him or her. However, there will be a heavy burden
on the officer conducting the lineup to prove there was a compelling
need to go forward immediately to avoid jeopardizing the investigation.
A thorough written record of all the factors that went into the decision
to hold the lineup without the lawyer must be made.

•

If a prisoner is already incarcerated, and the police wish to place
him/her in a lineup to be held in connection with the charge for which
he/she is in jail, the prisoner has an absolute right to counsel at the
lineup. The police must obtain a court order to remove the prisoner
and place him or her in the lineup, and they must arrange to have the
lawyer present.

•

If an accusatory instrument has been filed, the suspect has an
absolute right to counsel at the lineup, only for those charges
relating to the accusatory instrument.

•

If the police discover that a suspect in a new crime is already in jail on
an unrelated offense, they can obtain a court order, remove him from
jail and place him in a lineup for the new charge. The prisoner has a
right to counsel at the lineup for the new crime, but this right is not
absolute and can be waived by the prisoner.

Note: In New York, an “absolute” right to counsel means the defendant
cannot waive his right to a lawyer without the lawyer being physically
present.

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The Attorney
A. If an attorney is present at the lineup site, he must be allowed to
view the lineup.
B. If the attorney for the suspect is present during the lineup, he shall
be permitted to observe the manner in which the lineup is
conducted. He may view the lineup in the room in which it is
conducted or, if he prefers, in a place in which he cannot be
observed. (Note: If necessary, a witness’ identity may be shielded
by use of a mask or face covering.)
C. The suspect’s attorney should not be permitted to talk to any of the
witnesses participating in the identification of the suspect. He shall
be free, however, to confer with his client. The attorney should be
permitted to hear the officer’s interview of the witness after viewing
the lineup.
D. If the attorney makes suggestions to improve the fairness of the
lineup, the officer conducting the lineup should follow them if he
deems the suggestions reasonable and practical.
E. The attorney should not be permitted to interfere with the conduct
of the lineup but should be advised that all suggestions concerning
the lineup should be addressed to the officer conducting the lineup.
The Police Officer Conducting the Lineup
A. The member of the service conducting the investigation is
responsible for the proper conduct of the lineup. The officer should
personally make sure that everyone is advised as required.
B. The officer should see that the identifying witnesses are interviewed
before the lineup. If there is more than one witness, they should be
interviewed separately and, if possible, a description of the
suspect(s) should be obtained and recorded by the officer.
C. The officer should make a complete record of:

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The details of the procedure used;

ƒ

Specific statements of any person (i.e., speaking the words
used at the scene of the crime);

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ƒ

Any actions of the group required to aid identification (i.e.,
trying on clothes, etc.);

ƒ

All responses or statements made by viewing witnesses;

ƒ

Names, addresses/commands of all persons present,
including but not limited to suspects, victims, other
witnesses, police officers, other officials (D.A.), any lawyer,
friend, or relative of the suspect.

D. The officer must make sure that the viewing witnesses see no
person who is to be placed in the lineup before the lineup; for
example, you cannot use police officers who have had any contact
with the witnesses.
E. The officer should prepare a sheet of paper with a circle
representing each person in the lineup. This is to be used by a
witness to note persons he or she recognizes. After identification is
made, the paper should be marked and retained.
F. A lineup report (PD303-141) should be completed for each lineup.
The Lineup Procedure
Whenever a lineup is to take place, the following procedure should be
used (except in emergency situations and on-the-scene show-ups):
A. The suspect should be viewed with at least five (5) other persons
(fillers). No one can be used who may be known to any witness.
B. All persons in the lineup must be of the same sex and race.
C. All persons in the lineup should be about the same age, height and
physical makeup, i.e., an obvious 16-year-old could not be shown
with adults; a suspect with red hair cannot be shown with blackhaired persons; a suspect with a scar on his face cannot be shown
unless all persons in the lineup have some similar markings, or a
bandage or something similar is covering the area.

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D. All persons in the lineup should be similarly clothed, i.e., if the
suspect has a suit on, everyone should wear one; police officers
used as fillers must not be allowed to wear any distinctive part of a
police uniform (pants, etc.); if the suspect is unusually dressed, or
in so distinctive a manner as to stand out from the others, this
clothing should be covered in some manner.
E. The suspect should be allowed to pick his position in the lineup.
F. All non-suspect participants must be advised that they should not in
any manner reveal who the suspect is (i.e., turning towards the
suspect.).
G. The suspect must not be interrogated while the viewing witnesses
are present.
H. No person in the lineup may be asked to say or do anything
connected with the crime unless all are asked to do the same thing;
(i.e., “This is a robbery” or “Put up your hands”).
I. The officers conducting the lineup should not in any manner
indicate who the suspect is, nor should they help the witness to
identify the suspect (i.e., “Is this the guy?” or “How about the guy in
the brown coat?”).
J. Two (2) or more victims or witnesses are not permitted to view the
suspect at the same time, nor are they permitted to speak with
each other before or during the lineup. Also, after one witness has
viewed the lineup, he should be separated from other witnesses.
K. No witness may be told whether or not another witness has made
an identification of someone.
L. Witnesses must be told not to speak if they recognize someone in
the lineup. They should mark the position of this person on the
position sheet given to them.
M. Witnesses must be present at the lineup scene.
N. If necessary, the witnesses may be masked or hidden while viewing
the lineup. If the suspect has counsel, counsel should be able to
see the witness viewing the lineup.

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O. A photograph should be taken of the lineup as viewed by the
identifying witnesses, unless it is videotaped.
P. If at any stage of this procedure problems develop, the supervisor
in charge should consult with the Legal Bureau or the District
Attorney.
Q. If minors under eighteen (18) years of age are recruited as nonsuspect lineup participants.
•

Obtain written permission of parent or legal guardian prior to
lineup. (Use consent forms printed in English or Spanish as
appropriate.)

•

Institute measures to isolate minors from harmful influences
in area of lineup.

•

Have representative of Youth Services Section present, if
possible.

•

Prevent photographs of lineup from being used for purposes
other than evidence.
PROMPT ON-THE-SCENE SHOW-UPS

This is a one-on-one display of a suspect to a victim, usually within
minutes after a crime is committed. A suspect fitting a description given by a
witness is held for identification by the witness. This is standard practice, but it
raises two questions:
•

Is the suspect entitled to counsel?

•

Is this one-on-one identification (show-up) prohibited when
conducted promptly, or where there is a hospital emergency?

The answer to both questions is “NO.” However, certain factors must exist
before a show-up is considered a “prompt on-the-scene identification.” These
factors are:
• Time;
• Area;
• Reasonableness;
• Fairness.

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Putting these factors together, a police officer should conduct a prompt
on-the-scene show-up identification if:
A. Within a reasonable time after the crime was committed, the officer
catches the suspect, and
B. The suspect is caught in an area reasonably near the scene of the
crime, and
C. The officers show the suspect to the witness as fairly as possible
under the circumstances.
This type of show-up is permitted because any delay may cause the
detention of innocent persons, as well as reduce the reliability of any
identification made.
Guidelines for Prompt On-The-Scene Show-Ups
This is the most difficult area in eyewitness identification for which to set
guidelines. The one-on-one display of a suspect to a victim is suggestive in
nature; the witness is not asked to pick out a perpetrator from a group. Therefore,
if it must be conducted fairly, generally the following must be adhered to when
conducting a prompt on-the-scene show-up:
A. The apprehension and viewing of a suspect should take place
within minutes. There is no set time limit, however. If more than an
hour had elapsed since the commission of a crime, a show-up
should not be employed (conduct a lineup at the station house).
B. The suspect must be apprehended within an area that could be
reasonably covered within the time he was caught.
C. A suspect should be shown to one victim or witness at a time.
D. A suspect should be shown to a witness in the fairest manner
possible under the circumstances:

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He or she should not be shown with handcuffs on, if possible –
considering safety and prevention of escape; and

•

Officers should not make statements to influence the witness.

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• Do not ask witnesses “Is this the guy?” Rather, ask “Do you
recognize anyone?”
E. Transporting a suspect back to the scene of a crime is considered
an arrest and must be based upon probable cause. It is therefore
important that officers at a crime scene secure and broadcast a
detailed description. Where a broadcast description is not detailed
or no other basis for an arrest exists, you may forcibly stop a
suspect under C.P.L. 140.50 (Stop, Question and Frisk), but the
victim should be brought to the location where the suspect is being
detained for viewing and possible identification, unless this is
practically impossible (i.e., victim is seriously injured and/or likely to
die). Then, the intrusion must be completed as soon as possible.
F. Show-ups should not be conducted at the station house.
Emergency Hospital Show-Ups
An emergency show-up may be utilized provided the following guidelines
and procedures are followed to ensure it is reasonable and fair.
A. It should be a one-on-one showing of a suspect to the victim.
B. It will only be utilized when a victim of a crime that is critically
injured and likely to die has been removed to the hospital and may
die before a lineup procedure can be employed.
C. A suspect who is under arrest may be removed to hospital for a
show-up.
D. A suspect who is stopped under C.P.L. 140.50, Stop and Question,
may be removed to the hospital for a show-up due to the
seriousness of the injuries, etc.
E. A show-up under these circumstances should be done as fairly as
possible with as little suggestion as possible.
Show-Ups and Right to an Attorney
Generally, suspects may be viewed in an on-the-scene show-up or
hospital show-up when there is an emergency. Suspects need not be given an
opportunity to obtain an attorney for photo, emergency and on-the-scene
identifications.

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GROUP IDENTIFICATIONS
Occasions will arise where an officer will ask a witness if he/she can pick
out the suspect from a group of persons not in police custody.
Accompany a witness to an area where suspect is likely to be with other
persons, i.e., let the witness watch persons coming and going from suspect’s
place of employment, at a park, playground, etc.
Procedures
A. Allow a witness to view the area, with instructions to look carefully
at people on the street, in doorways or in stores, etc.

B. If a police officer sees a possible suspect, he may draw the witness’
attention in that direction.
C. The officer should avoid pointing out a single individual, or if
necessary, do so in a non-suggestive manner.

PHOTO IDENTIFICATIONS
The United States Supreme Court recognizes the legitimate role of photo
identification in law enforcement. Improper use of photographs by police may
sometimes cause witnesses to make mistakes in identifying criminals. Generally,
when a suspect is in custody, a lineup, not a photo identification, should be used.
Photo identification may be used when:
•

The suspect is not in custody and the victim and/or witnesses can
describe him, but his identity is unknown - mug file.

•

The suspect is NOT in custody and the victim and/or witnesses can
describe him, and there is some idea - based on the description or
other information - who the suspect is - photo array.

Note: The display of a single photo of a suspect to a witness is prohibited.

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How to Conduct a Photo Identification
A Mug File is used when the suspect’s identity is unknown.
•

The source of all photos used should be known (i.e., photos supplied
by the Identification Section or precinct detective files, mug books) and
recorded. Individual marking of photos is not necessary.

•

If more than one witness is involved, each witness should view the
photos separately, not in each other’s presence.

•

The officer must record whether the witness(es) made an identification.
The fact that a witness did not identify the photo of a suspect who is
later arrested could be important in determining the guilt or innocence
of the person.

A Photo Array is used when the police have a suspect in mind, but not in
custody.
1. At least six (6) photos should be used.
2. Photos should be placed on a table or desk top, similar to a lineup.
3. All persons in the photos should be physically similar. Nothing in
the photos should make the suspect’s photo stand out.
4. If mug shots are used, any marks on the photos that show they are
mug shots (i.e., numerals) should be covered. Where possible,
mug shot photos should not be used with other types of photos.
Where it is necessary to use both, however, the photos should be
as similar as possible.
5. Each witness must view the photos separately and apart from any
other witness. No witness should be told whether or not another
witness identified a photo.
6. Investigating officer may not:
•
•
•
•

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Help a witness pick a photo;
Answer questions that may suggest the identity of the suspect;
Pressure or encourage the witness to pick out a photo;
Set photos to draw attention to a particular photo.

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7. Where there is more than one (1) suspect, each suspect’s photo
should be viewed separately in different photo groupings. The use
of fillers from a previous photo viewing by the same witness is
prohibited.
8. All photos used should have a notation on the rear and should be
kept in case they are needed in court. Each photo notation should
show the time and the date used, case name and position in photo
grouping.
9. The officer conducting the viewing should keep a written record of
the whole procedure including:
•

All persons present during the viewing;

•

All photos used and their source;

•

A visual outline of how photos were displayed;

•

Whether or not an identification was made;

•

Whether witness(es) had difficulty in identifying a suspect or
picked out one (1) or more photos before picking out the
suspect’s photo;

•

Any statement made by witness(es) concerning the photos
during or after the viewing;

•

The time it took for the witness(es) to identify a suspect.

10. There is no right to counsel at a photo identification procedure.
11. Positive identification on a photo array gives an officer probable
cause to make an arrest.

CONCLUSION
Your job is only as easy as the cooperation you receive from witnesses.
Be patient and treat each job as the different and unique case it is. When
stopping suspects on the street (show-up procedure), and when consistent with
your personal safety, explain the reason for the stop. When identification is not
made, release the suspect immediately, prepare the necessary Department
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forms and attempt to explain the intrusion. Remember, although as a member of
the department you pledge to aggressively fight crime, you are still committed to
respecting the dignity of each individual and rendering your services with
courtesy and civility. You will appear more professional and will advance the
Department’s desire to be trusted by the community. More importantly, that
person you treat courteously may assist you in some investigation in the future.

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Collecting and Processing Evidence

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT COLLECTING AND PROCESSING EVIDENCE?
Many members of the service believe that it is primarily Detectives who
gather evidence and conduct preliminary investigations at the scene of past
crimes. Often, this is not the case. As the responding officer you will be called on
to interview victims/witnesses and to identify, gather, preserve and safeguard
potential evidence. This chapter will discuss the proper way to conduct these
investigations, as well as, the procedure for preserving evidence for court. Any
information or objects that a police officer gathers during an investigation or
arrest may become evidence in court. Failure to handle, preserve and voucher
this evidence properly will have a negative impact on the potential criminal case.

PRELIMINARY INVESTIGATIONS
It is the responsibility of the officer on patrol to respond to the scene of a
reported crime and conduct a preliminary investigation. This section will provide
insight and guidance regarding the types of assignments you will encounter on
patrol and your role as the responding officer.
Alarm Investigations
Officers on patrol are frequently alerted to possible crimes by alarms, both
audible and silent. These can come to your attention as a pick-up job (one not
previously reported), or from the Communications Division.
Frequently, a telephone call to 911 will result in a "10-11 Alarm" assignment.
This can result from a civilian hearing a building or auto alarm and notifying the
police. The activation of a silent alarm can also result in a notification to the
police (Example: a manually-triggered alarm, such as a bank holdup alarm or an
electronic alarm which detects a window breaking, a door opening or motion
inside a premise).
When certain alarms are activated, they cause a prerecorded message to
be transmitted, either to 911 or to an alarm company. If an alarm company is
notified, they will call 911 and advise whether an alarm company employee is
also responding. It is important to note this, as you may find alarm company
personnel on the scene. Be sure that you properly identify any person found at
the scene.

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Each alarm assignment requires a thorough investigation to determine its
authenticity. These assignments are common, and frequently result from an
accidental activation of the alarm. You should never assume that you are
dealing with "another routine alarm job." Consider each assignment you respond
to as "founded" until an investigation proves otherwise.
Bank robbery ("holdup") alarms require a carefully planned response. Avoid
making a premature entry into the premises; wait until you have requested and
received adequate backup. If an alarm is founded (meaning a crime has
occurred), you should conduct a preliminary investigation into that crime. Your
investigation may reveal that no crime has occurred. The Communications
division dispatcher would then be notified and the assignment would be classified
(disposition) as “unfounded” or “unnecessary.” This is a fairly common
occurrence, particularly when dealing with a “taped” alarm.
The Chronic Alarm Abuser Procedure was established to save manpower
by reducing police response to locations when three or more alarms (within a
three month period) were determined to be unnecessary or unfounded. When
responding to Radio Code signal 10-11 (Alarm Condition) and an investigation at
the scene determines that the transmission of the alarm was unnecessary or
unfounded. You will prepare a NOTICE OF UNNECESSARY ALARM (PD 310120) (Patrol Guide procedure 214–08).
Burglary Investigations
The crime of burglary is a serious crime that deeply impacts the lives of its
victims. Therefore, it is very important that you are knowledgeable of procedures
utilized to bring these cases to a successful solution. Burglary investigations
involve both residential and commercial properties.
When assigned to handle a "past burglary," officers should extend every
consideration to the complainants. Although the actual monetary loss is
sometimes small, the thought that their place of business or the sanctity and
privacy of their home has been violated is extremely disconcerting not only to the
victim, but to the community in general.
The first information you should obtain from the complainant during your
investigation is how the entry was made, the time of entry and the manner in
which the burglary was committed (the burglar's modus operandi). A canvass
will be conducted for all burglary complaints. You will record the results of the
canvass in the “DETAILS” portion of the COMPLAINT REPORT WORKSHEET.

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Attempt to learn the identity of the burglar if possible. Try to ascertain who had
prior knowledge of the existence and location of the property taken. You will need
information about the property, such as:
•

A list of items taken, including a description, serial numbers, model
numbers, etc.
A brief history of important items taken.

•

The complainant should be requested to indicate if any items (other than
property stolen) have been moved, so that those items can be checked for
fingerprints. Fingerprint evidence can establish the presence of a suspect at a
crime scene if he or she touched an object at that scene. Three types of imprints
or impressions may be encountered:
•

Latent: Impressions (usually invisible) that remain on objects because of
the secretion of natural body fluids such as perspiration, oils and acids.
These must be developed via fingerprint powders or chemicals.

•

Patent (visible): Fingertip impressions that remain on objects because of
the presence of some substance on the fingers such as blood, paint and
dirt. These must be photographed because the prints may not be
preserved and they cannot be developed by lifting.

•

Plastic (visible and molded into an object): Impressions that are formed
when the fingers have touched soft materials such as putty, butter or
wax.

The clarity of latent fingerprints is dependent on factors such as:
•
•
•

The amount and composition of a person's body secretions that change
at various times and under various conditions.
The object's surface characteristics - Latent fingerprints will usually not
be found on a coarse surface, rusted metal, heavily grained leather or a
dust-covered item.
The elements to which the fingerprints have been exposed - rain, snow,
high humidity and wind will reduce the probability of obtaining an
identifiable print.

Items that must be processed for latent prints should be handled carefully.
Latex gloves should be worn when handling. Avoid crushing, bending, folding,
etc. To ensure that a thorough investigation is conducted of all burglaries that
occur in private residences or commercial establishments, the Evidence
Collection Teams will conduct an investigation to detect any latent prints or
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physical evidence, which may disclose the identity of the perpetrator involved.
Therefore, if the officer conducting the preliminary investigation finds that there is
a possibility that latent prints are present, he must request the response of
Evidence Collection Team through communications. If you are not ECT qualified,
do not handle items unnecessarily.
After interviewing the complainant and ascertaining whether the possibility of
latent prints exists, a search of the scene for other physical evidence should be
made. Search both inside the premises and outside the point of entry. Look for:
•
•

Tool marks, obvious fingerprints, vehicle tracks, bits of clothing fiber,
footprints, scratches, damage inside the premise, etc.
Check the roof, fire escape, or other areas for property left behind by the
perpetrator.

When the investigation is completed and you have obtained the required
information for the Complaint Report worksheet, you should instruct the
complainant to call the precinct and obtain the complaint number. The
information and complaint number may be needed to file an insurance claim.
In the event that keys have been taken, reassure the complainant that
burglars rarely, if ever, return to the scene while anyone is at home. It is,
however, wise to change the locks after such an occurrence to prevent it from
happening again (do not recommend a specific locksmith). You may also
advise the complainant of the following two services provided by the Department,
free of charge:
•
•

Crime Prevention Officers - are available for assistance in
recommending prevention measures against burglary.
Operation Identification - under the guidance and direction of the
Crime Prevention Officer, citizens can borrow a special engraver to mark
their personal possessions.

At times, you may become aware of a burglary which involves apparent
forced entry and the victim (person in charge of the premise) is not present, or
aware that the premise has been broken into. This may occur when an alarm
system is activated, or when a neighbor or passerby notices a door or window
ajar.
When an apparent forced entry is discovered, and the person in charge of
the premises is not present, you will request and await the arrival of the Patrol
Supervisor BEFORE entering the premises. This does not preclude you from
taking summary or other police action, which may be warranted by the
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circumstances (for example, the immediate pursuit of a suspect or immediate
action required to protect life or imminent threat of property damage). Upon
arrival at the scene, the Patrol Supervisor will supervise the search of the
building/premises, utilizing required uniformed personnel only (officers in civilian
clothes should not be used).
When this investigation is completed (and also in case of emergencies,
such as fires), it may become necessary to notify the owner of a business
establishment. Pending the arrival of the owner of the business or the occupant
of the premises, the Patrol Supervisor will arrange for the safeguarding of the
building/premises by a uniformed member of the service.
The timely assessment of emerging patterns is critical to solving burglaries.
To properly combat this crime, responding officers must conduct proper
canvasses, record all relevant information, and provide investigators with any
follow-up intelligence. Be sure to check the precinct pin map to ascertain whether
there is a pattern of burglaries in the sector you are assigned to, or within an
adjoining sector.
Grand Larceny Investigations
Under NYS Penal Law section 155.30, there are 10 ways to commit a grand
larceny. While the specifics of this offense (a felony) will be discussed in a later
chapter, grand larceny generally deals with the taking of property valued at over
$1000 or property (regardless of value) taken directly from the person of another.
Examples:
•
•

A man’s pocket is picked on a crowded street corner.
A man’s new car is stolen from in front of his house.

When investigating a grand larceny, the officer should obtain the following
information (if applicable):
•
•
•
•
•
•
•

Identify the type of property taken.
Was property purchased new?
When was it purchased?
What was its original purchase price?
Does the person have a receipt available?
What is the current condition of the property?
What is the current market value of the property?

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If Credit cards were involved:
•
•
•
•
•
•
•

Were the credit cards cancelled?
Which Credit Card company?
Are the account numbers available?
Were the credit cards used after the theft?
If so, how much was charged and where were they used?
Does the credit card company offer insurance against theft or
damage?
Does the person plan to file a claim with the insurance company?

If investigating a report of a stolen computer, the officer should find out:
•
•
•
•
•
•
•

Brand, model, speed, processor type, etc…?
Owned or leased?
Date of purchase/lease?
Expiration date of lease?
Purchased/leased from?
Internet service Yes/No?
Internet address? (E-mail)

Internet service records will be checked from time theft occurred to see if
service is being accessed.
Some questions that should be raised if there is a report of a stolen cellular
phone from a complainant:
•
•
•
•
•
•
•

Name of phone service (e.g., Sprint, Verizon, AT&T)
Is there a service contract?
Length of contract?
Expiration date of contract?
When was cell phone last used?
What is the telephone number of the cell phone?
Does the phone require a PIN number?

All phone records will be checked from the time theft occurred to see if the
same numbers are being called.

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Assault Investigations
After safely assessing the situation, the first responsibility of the responding
officer is to aid the victim. This will be done, even if it allows the suspect to
escape. If the perpetrator is still on the scene, common sense would dictate that
an arrest should be immediately effected, as long as this can be done without
endangering the victim. The officer should realize that in addition to providing aid,
proper attention must be given to identifying the perpetrator of the crime.
All assault cases require that you interview the complainant. Try to ascertain the
required information while rendering aid to the victim. Witnesses should also be
interviewed (separately, if possible). Always obtain the following information:
•
•
•

Type of assault and degree of injuries
Weapons used (if any)
Identity of the perpetrator (if known).

If the perpetrator has fled the scene, determine the following:
•
•

Method and direction of flight, including description of any vehicle
used (with plate number) and possible destination.
Full physical description of the perpetrator(s) and weapons used or
possessed.

Once a description has been obtained, an alarm should be transmitted via
radio. This is so that other officers in the area will be alerted to check possible
escape routes. Some descriptions you obtain will be limited; others will be
lengthy and very detailed. In order to alert other officers quickly, quickly provides
as accurate a description as possible. Then as soon as practical, transmit a
more complete description.
Any weapons or other items involved in the crime should be safeguarded
and processed as evidence. The higher relative evidential value of information
obtained from things as compared to information obtained from persons has
been firmly established in courts throughout the world.
Sex Crime Investigations
The first police officer on the scene of a sex crime plays an important part in
minimizing trauma and in maximizing the chances of successful prosecution. In
these cases, you must realize that the victim is probably suffering the most
traumatic experience of his/her life. You should, therefore, demonstrate extreme
patience, compassion and understanding in these encounters.

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•
•
•
•
•
•
•
•

Do no touch the victim.
Address the victim by title and name.
Don’t ask judgment questions.
Try to develop a “helping” relationship with the victim
Interview the victim, (if victim requests - allow same sex officer to
conduct the interview).
Explain the need to ask detailed, graphic questions.
Use professional terminology.
Avoid using judgmental language or questions.

More specifically, be aware that the victim and their family are literally
experiencing a catastrophe, that their normal responses and functions may be
impeded to the point of helplessness. It is up to you to serve as a "shoulder" for
them to lean on.
Conversely, you must avoid coming on too strong. Try to build a sound
helping relationship. You should not be overbearing in attempts to gain
information. Address him/her by title and surname (e.g., Ms. Jones, I am Officer.
. . . I am here to help you). Remember, the victim has just been dehumanized
and humiliated. Addressing him/her in formal terms will help restore their dignity.
You must be reassuring, allowing the victim to ventilate any hysteria, and you
must try to convince him/her that you are there to help.
If you are the first officer on the scene, safeguard the crime scene and
request the Patrol Supervisor to respond. Ensure the victim of their safety. Let
him or her know that you are there to help. It is absolutely essential that the
victim feel safe and that you are patient and comforting. Victims have often
expressed that their immediate reaction upon seeing a uniformed police officer
was that of “the cavalry coming to the rescue.”
Executive Law mandates that victims of sex offenses be interviewed in a
private setting. Private means an enclosed room from which the occupants are
not visible or otherwise identifiable and whose conversations cannot be heard
from outside such room. Only those persons directly and immediately related to
the interviewing of a victim (ex. rape crisis counselors) will be present during the
interview unless the victim objects to the presence of such persons. Where
appropriate, the parent or parents of the victim, if requested by the victim, may be
present during the interview.
The preservation of evidence in sex offense cases is very important. The
victim should be asked not to wash or douche, brush her teeth, use mouthwash
and will be accompanied to the hospital (or private physician) to obtain medical
assistance and physical evidence of the crime.
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Accompany the victim to the hospital, and advise him/her that they will be
examined by medical personnel in the privacy of an examination room. At the
hospital, the doctor treating the victim will obtain evidence from the victim’s body
and place it in the Sexual Offense Evidence Collection Kit (you will not be
present). The evidence kit will be invoiced at the precinct of occurrence.
Note: If it is suspected that the victim was drugged to facilitate the
crime, then a Drug Facilitated Sexual Assault, Blood and Urine
Specimen Collection Kit will be utilized.
Your observations of the scene, as well as the appearance of the victim
should be documented in your Activity Log. In addition, torn or stained
undergarments, clothing or bed sheets should be safeguarded for subsequent
serological examinations. Each item will be invoiced at the precinct of
occurrence. The processing of this evidence will be addressed later in this
chapter.
Forcible rape and other specified sex offenses discussed in Patrol Guide
procedure 207-07 require the referral of the case to the Special Victims Squad.
In addition, if the sex offense in question is forcible rape, the services of the
Crime Scene Unit may be required. The Patrol Supervisor will determine this
need based upon the circumstances of the case. Under NO circumstances will
the identity of a sex offense victim be released to the media or other
unauthorized persons.
In an effort to enhance the services provided to victims of sex offenses, the
New York State Executive Law as it relates to the Fair Treatment Standards for
victims of sex offenses has been amended. The new law mandates that this
Department provide written notice to victims of sex offenses with the name,
address and telephone numbers of the nearest Rape Crisis Center. This is
essential, as the victim should have a “support” base to assist him/her in dealing
with, and recovering from this crisis. This referral will be documented on the
Complaint Report under the "Details" section.
Robbery Investigations
Robbery is the taking of property from another with the use of force, or
taking property with the threat of its imminent use. When investigating robberies,
the interview with the complainant is the most crucial source of information.
Therefore, it is imperative that you arrive without delay at the scene, as the victim
will most vividly recall what transpired during the crime. Some responsibilities of
members responding to robbery complaints include:

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•

•

Know where you are going - it is of paramount importance to know the
address and exact location. It is equally important to know the building
address before entering the location as well as the cross streets. The type
of location should also be considered (commercial, residential, street, etc).
The Communications dispatcher will supply all pertinent information to you
when you are assigned to the job.
Be aware of the area - look for perpetrator(s) along with hiding areas and
possible escape routes. If uncertainty exists of an area or location, await
arrival of back-up units!

•

Assess the robbery scene and situation- Determine the correct
classification of the incident (is it a robbery?, a larceny?, a burglary...).
Gather accurate information about suspects’ behavior and descriptions.
Determine if back-up is needed, and request assistance of specialized
units, if necessary. Keep Communications informed of important facts
initially gathered at the robbery scene and perform a thorough search of
the area. Be aware of perpetrators changing their appearance.

•

Secure the robbery crime scene - the first officer at the scene must
safeguard evidence, weapons and any other items that may be of use in
an investigation. Witnesses must be secured and isolated from each
other. It may facilitate the investigation to have witnesses removed to the
command if possible. Some “witnesses” may in actuality be perpetrators
who were attempting to escape by blending in with the crowd. Use
appropriate tactics to ensure your safety.

•

Protect the victim – advise Communications dispatcher to tell the victim
to lock interior doors after a suspect has left so re-entries and hostage
situation is avoided. Your first responsibility after the danger is over is to
search for and attend to any injured persons. Request medical assistance
if needed.

•

Apprehension / Custody
1.
If you are not assigned to a robbery scene, don’t go there.
Stay in the area, cover likely escape routes and await a
description. Look in parking lots and commuter lots for “switch
cars,” etc.
2.
Ask for descriptions of pants and shoes. Perpetrators
committing a robbery often only change clothes from the waist
up.
3.
Always ask if there is a security camera at the location.
4.
With available resources, check garages, parking lots, etc.

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5.

Street muggers often run into large stores, hotels, restaurants
and movie theaters.

Generally, you should not enter in-progress robbery locations. Obtain cover
and await their exit. Watch for get away vehicles. Don’t get in the middle! In well
planned robberies, the “switch car” is within ½ mile of the robbery location.
In robberies, the perimeter is just as dangerous as the scene. Be alert
because perpetrators could be coming towards you to make their escape. Use
concealed deployment and observe. A hostage situation can develop if you are
seen.
Interview complainant and any witnesses to ascertain what type of robbery
occurred:
•
•
•

Was there any weapon displayed or inferred?
What property was removed?
Immediately transmit any description of perpetrator(s) and other
pertinent information, i.e., weapons, direction of flight, over your
radio.
Accuracy, speed & completeness are the elements of an alarm.
If an area search is conducted with negative results, transport the
complainant and/or witnesses to PDS or RAM if possible.
If complainant or witness cannot return to command, immediately
notify command via a telephone and advise assigned Detective.

•
•
•

Homicide Investigations
The homicide investigation is the most physically and psychologically
challenging of all criminal investigations. Police Officers frequently respond to
assignments involving dead human bodies. Until determined to be a nonsuspicious/natural death, the first officer on the scene should work under the
assumption that an offense is involved, (treat all DOA’s as suspicious, until you
know further) and take the following precautions:
•
•
•
•

Preserve the crime scene
Prevent unauthorized persons from entering
Detain witnesses
Preserve the integrity of the evidence

All dead human body cases require a notification to the Patrol Supervisor,
Desk Officer, and the Precinct Detective Squad. The detectives will conduct the
investigation to determine whether a crime has been committed, and any
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subsequent investigation to identify the perpetrator. Patrol officers can assist in
this investigation.
Once the detectives have initiated an investigation, your role is generally
limited to providing assistance as directed by the patrol supervisor. At times, you
may be directed to invoice and/or transport physical evidence.
CRIME SCENES
Crime scenes are established to safeguard evidence and detain witnesses
for further investigation. What the first officer on the scene does, or fails to do, in
protecting and preserving the crime scene will often determine whether the
suspect is identified and apprehended. Speed is an essential element as the
condition of the crime scene may quickly deteriorate.
The record of events that transpired during a crime is recorded at the scene
and can be reconstructed by scientific technology. The record is very fragile,
consisting of such things as a drop of blood, a fingerprint, or a strand of hair.
They can easily be destroyed if procedures and precautions discussed herein are
not carefully noted.
What follows will outline the important duties of the first officer on the scene
of a reported crime. The role of the uniformed officer is pivotal in the protection
of physical evidence. In certain serious cases, the Patrol Supervisor or
investigating Detective will request Crime Scene Unit (CSU) to collect required
evidence. If the first officer on the scene fails to properly perform his or her
duties, there will be little for the investigators to collect. As a result, a strong
possibility exists that any further investigation necessary to apprehend the
perpetrator(s) will be fruitless, or there will be insufficient evidence to convict
anyone who is arrested.
With today’s advanced technology, DNA testing takes just hours to
complete and needs only minute samples to create a genetic marker. Detectives
can now retrieve a suspect’s DNA from the slightest residue of a sneeze. Just as
we learn to look for fingerprints to identify the perpetrator of a crime, we need to
think routinely about evidence that may contain DNA.
A crime scene is defined as the area where a crime was committed
including routes to and from the location where additional evidence of the crime
may be found. The size of the initial crime scene will depend on the
circumstances. Initially, the crime scene should be very large. As time
progresses and facts indicate, it may be reduced in size.

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•
•
•

If the incident occurred inside one room of a private home, an
apartment, small business premises, etc., the entire premises should
be considered the crime scene.
The crime scene should not be reduced in size or released without
the approval of the Detective Bureau duty captain.
If the crime scene is released before daylight, ESU will always be
asked to respond back to perform a daylight search.

Inner Perimeter - Includes the crime scene and the immediate surrounding area.
Outer Perimeter - The purpose of the outer perimeter is to attempt to apprehend
perpetrators, identify witnesses, and prevent physical evidence from being
inadvertently removed (garbage trucks collecting garbage, mail boxes, etc). The
size of the outer perimeter will depend on the circumstances of the incident and
will include potential escape routes. Initially an outer perimeter of a four-block
area would not be considered unreasonable. Uniformed members of the service
should be posted on this perimeter as well as apartment building lobbies in the
immediate area of the crime. If assigned to outer perimeter or lobby, uniformed
members assigned should interview person(s) leaving the area and, if possible,
identify those persons.
The first officer at a crime scene is in charge of the scene until the
arrival of a Supervisor or Detective. Your first duty is to ascertain the need for
medical assistance. Arrest any perpetrator(s) if they are still present on the
scene, but the victim is the first priority. Check the victim to determine whether
they are still alive. Be aware of moving the victim or objects. If the victim is alive
and injured, render reasonable aid. If the victim is conscious, question him or her
about the incident. Descriptions and means of flight should be broadcast
immediately via your portable radio. A dying declaration may need to be
obtained (discussed later in this chapter).
The first officer on the scene has the responsibility to determine the size of
the crime scene. If the crime scene is indoors in an apartment, carefully back out
of the door and close it. Permit no one to enter the scene unless they are directly
involved with the investigation. Be courteous, professional & respectful with any
officers who may “just want to have a look,” but remind them that you are
obligated to record their name, command, time of arrival and departure and their
reason for being there. You should also remind them that they may be required
to appear before a Grand Jury, hearing or trial. If the crime scene is outdoors, it
should be marked off and secured by using items such as rope, ribbon, boxes,
crime scene tape, chairs, garbage cans. Crayons or chalk should never be used.

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Establish the crime scene as large as initially warranted. If the crime scene
is determined to be smaller than earlier anticipated, it may at that time be
reduced. However, to expand a crime scene is difficult since an opportunity has
been created for contamination during the time the scene was unprotected.
Crime scene signs and tape prohibiting passage are carried in RMP’s and
should be posted until a search is completed. In large areas, a sufficient number
of officers should be posted to establish police lines. Again, only authorized
personnel should be permitted to enter the area. Residents, family members and
bystanders must be kept away. Members of the service not immediately
concerned with the case are to be restricted from entering the sealed area.
EMS personnel are frequently present at crime scenes involving injured
victims. These emergency medical personnel have existing procedures which
govern their operation at such incidents, and their involvement is generally
limited to care of the victim, determining death and, if in a public place, the
removal of the victim (when requested by this Department). You should caution
these persons not to disturb evidence when providing emergency aid to the
victim.
If the crime scene is indoors, do not:
•
•
•
•
•

Use or flush the toilet;
Use the telephone;
Smoke or use ashtrays;
Run any water in the sink;
Turn lights on or off.

If the crime scene is a bank robbery:
•
•
•

Do not allow surveillance cameras to be touched;
Detain witnesses, suspects or persons with any information;
Close off the teller window involved.

On occasion, it may be necessary to alter the crime scene to protect
evidence, as in the case of a blood stain in direct sunlight, where a window
shade may be drawn. It might be necessary to open a window because of
noxious fumes, or for an EMS technician or paramedic to roll an injured victim
over to provide medical care. Any alteration to a crime scene should only occur if
absolutely necessary. However, the remainder of the scene should remain
untouched. Document and make sure that all interested parties are informed of
the alterations.
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Firearms are frequently a part of crime scenes. As long as there is no risk
of injury, do not touch the firearm. Resist the urge to pick it up, just leave it
where it lays, and ensure the gun is not disturbed. There are situations where a
firearm will have to be moved (A gun lying in the street with crowd gathering). If
the gun must be moved, pick it up by the knurled surface on the grip, using only
two fingers to do so, and place it in the trunk of an RMP (an officer should be
posted to remain with the RMP to maintain a “chain of custody”). If firearm or
other firearm related evidence is to be processed for fingerprints, handle all items
while wearing latex gloves.
In any case, a firearm which is part of a crime scene involving a shooting
contains a wealth of information which is best left unaltered. If it is necessary to
move the firearm from the location where it was discovered:
•
•
•
•
•

Point it in a safe direction
DO NOT put fingers near the trigger
DO NOT push or pull any levers of knobs
DO NOT unload the weapon
DO NOT change or adjust any setting on the weapon.

Ultimately, it will become necessary to unload the firearm in order to
process it as evidence. If you are unable or unsure of how to “make the weapon
safe,” notify the Desk Officer. This should not be done until after the responding
Crime Scene Unit has completed their investigation.
Any witnesses or persons with information pertinent to the crime should be
detained. Obtain their names, addresses, and home, business, cellular or pager
numbers.
To verify the identity of witnesses, you should request documents that will
provide “positive identification,” (Driver’s License, vehicle registration, credit
cards, social security cards, military I.D., medical plan cards, etc.). We should
seek the cooperation of witnesses by appealing to their civic pride and sense of
justice. Make activity log entries of all pertinent information including names of all
persons entering the crime scene.
The Patrol Supervisor (or PDS member or other Detective, if the Patrol
Supervisor is not available) will assess the crime scene and determine whether
the services of the Crime Scene Unit will be required. The Crime Scene Unit will
be requested in the following crimes: (Refer to Patrol Guide procedure 212-04).
•
•
•
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Homicides;
Forcible rapes;
Robbery or hijacking with injury caused by a firearm;
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•
•
•

Assault with a dangerous instrument and victim is likely to die;
Burglaries involving forced safe and / or circumvented alarms;
Any other crime in which services of the crime scene Unit will
assist in the investigation.

GENERAL RULES FOR COLLECTING EVIDENCE
The proper gathering of evidence is a major factor in the successful
prosecution of criminal cases. When it becomes necessary for you to collect
evidence at a crime scene, the rules listed below should be followed to assure
that the evidence you have collected is both meaningful to the investigation and
can be properly presented in a court hearing. For material to be admitted into
evidence, its integrity must be maintained.
One of the ways of doing this is by controlling its “chain of custody.” The
chain of custody may be defined as a record of the persons who have handled,
examined or stored the evidence. The chain of custody begins when the
evidence is discovered and continues until the time it is presented in court. It is
best to make the chain as short as possible, (least number of people handling the
evidence), since the possibility that evidence has become contaminated
increases with the number of people who have handled it. One should be
prepared to establish possession at all times! The NYPD has established
procedures to be utilized when handling evidence. The procedures MUST be
carefully followed to maintain this chain of custody. All evidence that is
recovered should be properly:
•

Recorded - Use notes, sketches and measurements of the location
where the evidence was discovered. For example: a suspected blood
stain found at a Crime Scene would be recorded as follows, “A reddish
brown stain found on the ground, in the rear courtyard of 289 East 117th
Street. It was located 6 feet south of the north wall and three feet east of
the metal fence post.”

•

Collected - By careful handling so as not to damage or contaminate the
evidence.

•

Identified - By a detailed description of the article and the officer’s
initials in order to preserve the chain of custody. When you appear in
court on a case involving physical evidence, you are required to prove
that the evidence presented is the same property found at the scene of
the crime. In order to be able to do this, the officer must have “marked”

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the evidence. Each piece of evidence should be clearly marked for
future identification with the officer’s initials.
•

Packaged - To avoid contamination, destruction or loss. Seal the entire
package, requiring the seal to be broken if the package is opened.

Note: Confer with the Desk Officer if you believe that taking a photograph of the
evidence may be beneficial to the prosecution of the case.
DNA Evidence
DNA, or deoxyribonucleic acid, is the fundamental building block for an
individual’s entire genetic makeup. It is a component of virtually every cell in the
human body. A person’s DNA is the same in every cell. For example, the DNA
in a man’s blood is the same as the DNA in his skin cells, semen and saliva.
DNA is a powerful tool because each person’s DNA is different from every
other individual’s, except for identical twins. Because of that difference, DNA
collected from a crime scene can either link a suspect to the evidence or
eliminate a suspect, similar to the use of fingerprints. It can also identify a victim
through DNA from relatives, even when no body can be found. When evidence
from one crime scene is compared with evidence from another, they can be
linked to the same perpetrator locally, statewide, and across the nation.
Forensically valuable DNA can be found on evidence that is decades old.
However, several factors can affect the DNA left at a crime scene, including
environmental factors (e.g., heat, sunlight, moisture, bacteria, and mold).
Therefore, not all DNA evidence will result in a usable DNA profile. Just like
fingerprints, DNA testing cannot tell you when the suspect was at the crime
scene or for how long.
The human body has three trillion cells. All except red blood cells contain
DNA. Even after being multiplied millions of times, DNA is invisible to the naked
eye. DNA is contained in blood, semen, skin cells, tissue, organs, muscle, brain
cells, bone, teeth, hair, saliva, mucus, perspiration, fingernails, urine, feces, etc.
To avoid contamination of evidence that may contain DNA, always take the
following precautions:
•
•
•
•

Wear gloves.
Use disposable instruments or clean them thoroughly before and
after handling each sample.
Avoid touching the area where you believe DNA may exist.
Avoid talking, sneezing and coughing over evidence.

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•
•
•

Avoid touching your face, nose, and mouth when collecting and
packaging evidence.
Air-dry evidence thoroughly before packaging.
Put evidence into new paper bags or envelopes, not plastic bags. Do
not use staples.

Processing Property
As a Police Officer, your responsibility is to process the many types of
property that come into the custody of the Department. Property must be
carefully classified, identified, documented and safeguarded. There are two
reports that are utilized to record all property; the PROPERTY CLERK’S
INVOICE and the PROPERTY CLERK'S MOTOR VEHICLE/BOAT INVOICE.
In addition to preparing a Property Clerk’s Invoice, certain types of property
that come into police custody require the implementation of other related
procedures.
Property coming into the custody of the Police Department may be placed
into several categories, including:
•
•
•
•
•
•

Arrest evidence;
Investigatory;
Decedent’s property (deceased person);
Peddler property;
Found property;
Other (prisoners’ personal property, safekeeping).

The locations where property will be stored are:
•
•
•
•

The property room;
The narcotics/controlled substances locker;
The gun locker;
Property Clerk's storage facilities.

There is a Property Clerk's storage facility located in each borough.
Ultimately if the property is not disposed of at the command level (returned to the
owner, sent to the lab, etc.) it will be forwarded to the Property Clerk for final
disposition.

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The Police Laboratory will only accept a Property Clerk’s Invoice that
contains detailed and specifically itemized descriptions of the property submitted:
•
•
•

Vague, non-detailed descriptions are unacceptable, e.g., “one sealed
bag containing miscellaneous items.”
Improperly prepared invoice (s) will be returned to the invoicing
command.
The invoicing command will be required to correctly prepare the Invoice
and re-deliver the evidence to the lab immediately.

PROPERTY CLERK’S INVOICE
Many of the captioned areas on the Property Clerk’s Invoice are self
explanatory. When preparing the Property Clerk’s Invoice, entries are made in
ALL captions. Use "N/A" (not applicable), "UNK" (unknown), or the word
"NONE,” where appropriate. Other captions on the invoice include:
TYPE OF PROPERTY
Arrest Evidence - if the property is being invoiced in conjunction with an arrest,
the offense captions, as well as captions dealing with prisoners, etc., will be
completed by the arresting officer (A/O).
Investigatory Evidence - such as narcotics or weapons recovered under
circumstances requiring analysis or investigation.
Found Property - any property which is turned over to the Department for return
to its rightful owner.
Decedents’ Property - valuable property removed from a D.O.A. and
safeguarded.
Peddler Property - property removed from peddlers.
Other Property - for example, safeguarded prisoners’ property (currency,
jewelry, etc.)
Do not use "Pairs" or "Sets." For example write "2 shoes," not "a pair of
shoes." When describing jewelry, you will use the type, design, color of metal,
color of stones, inscription / markings. Since we are not jewelers, we use general
descriptions (Example: A gold ring would be listed as a “yellow metal” ring).

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Remarks Section
On a Property Clerk’s Invoice or Property Clerk’s Motor Vehicle/Boat
Invoice, the following information is required to be included in the “REMARKS”
Section:
•
•
•
•
•
•
•

If there is more than one prisoner, finder or owner involved, enter the
additional names and address.
Recovered firearms will be checked through SPIS (Stolen Property
Inquiry Section) and the results entered here.
Circumstances of found property, decedent’s property or other
categories.
Any other inquiries made to SPIS or other agencies and any results.
Aided numbers, accident numbers, license and permit numbers.
Other pertinent information not included on the Property Clerk’s
Invoice.
Additional names, addresses and numbers where there are multiple
prisoners and arrest numbers, finders, owners and complainants.

Once a Property Clerk’s Invoice has been typed, the Desk Officer will review
it, affix his/her own signature, and break down the invoice into appropriate
copies. There are instructions on the rear of the Invoice explaining how the form
is broken down.
One copy is printed on green paper and is known as the "Evidence
Release/Investigation Copy" of the Property Clerk’s Invoice. In arrest cases, this
copy must be attached to forms forwarded to court, or brought to the Assistant
District Attorney concerned by the arresting officer.
Property Clerk’s Motor Vehicle / Boat Index
Utilized by this Department to voucher motor vehicles or boats that come
into police custody for such reasons as; rotation tow (explained in a later lesson),
arrest evidence, investigation, safekeeping, forfeiture, to determine true owner,
etc.
Property Index
When a Property Clerks Invoice or a Property Clerks Motor Vehicle / Boat
Invoice is prepared, a record of the invoice must be made at the command on the
Property Index and in the Property Log. A new Property Index is prepared for
each 24 hour period. The primary responsibility for the maintenance of the
Property Index rests with the Command Clerk.
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Property Log
The Desk Officer will make entries in the Property Log whenever a Property
Clerk’s Invoice or Property Clerk’s Motor Vehicle/Boat Invoice, Jewelry Security
Envelope, Plastic Security Envelope, Plastic Deposit Bag, serially numbered
Lock-type Envelope for narcotics, Lead Seal or Peddler Seal are used.
Security Envelopes and Lead Seals
Pre-Numbered Security Envelopes – Used for all small property items except:
•
•
•

•

Evidence requiring serological examination (blood, semen and other
bodily fluids).
Computer evidence (floppy disks etc).
Controlled substance/marijuana will be placed in a Narcotics
Envelope before being placed in a Plastic Security Envelope. In
addition, controlled substances that contain phencyclidine (angel
dust) will be put in a Plastic Security Envelope and sealed prior to
being placed in a Narcotics Envelope.
Jewelry must be placed in separate Jewelry Security Envelope.

Containers and Plastic Security Envelopes - In order to properly seal a
container (other than NYPD Plastic Security Envelope), a member of the service
must:
•

•

Fasten the container securely with masking tape in a manner to
prevent loss/contamination of the evidence and to ensure that if the
container is opened there would be obvious damage to the container
and/or masking tape.
Sign name legibly across the border between the masking tape and
the container.

An NYPD Plastic Security Envelope has adhesive on the envelope flap and
does not have to be fastened with masking tape; however the vouchering
officer’s name must be legibly signed across the border between the flap and the
envelope.
Security Lead Seals – Utilized when invoicing property:
•
•
•

Without serial numbers;
Without identifying marks;
Difficult to describe.

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Request Security Lead Seals from Desk Officer and place Security Lead Seal on
property as required:
•
•
•
•

Use one seal for different items in same case, where possible;
Leave room on wire for inspection of items;
Attach seals in presence of Desk Officer and other interested parties;
Record serial numbers of Security Lead Seals used on Property
Clerk’s Invoice and in Activity Log.

The following procedures are performed under the supervision of the Desk
Officer:
•
•
•
•

Complete captions on the envelope and attach security lead seals,
where necessary.
Place items in envelope and seal in accordance with instructions.
Enter Plastic Security Envelope or Jewelry Security Envelope serial
numbers on Property Clerk’s Invoice, adjacent to related items.
Present sealed envelope to the Desk Officer.
(Read P.G. procedure 218-10)

Evidence Card
The RETURN OF EVIDENCE CARD contains information to assist crime
victims/complainants in recovering property invoiced as evidence and will assist
the District Attorney's office and the Property Clerk in expediting the return of
crime victims’/complainants’ property. Property held as arrest evidence by this
Department may only be returned by the Property Clerk after the owner has
obtained a release from the District Attorney. The Return of Evidence Card
informs the crime victim/ complainant concerning the procedure to be followed in
obtaining a District Attorney's release for their property.
A Separate Property Clerk’s Invoice will be prepared for:
•
•
•
•
•
•
•
•

Prisoner’s personal property;
Firearms;
Narcotics;
Hypodermic containers (P.G. 218-24);
Computer evidence (P.G. 218-31);
Sexual Offense Evidence Collection Kit (P.G.218-33);
Any other sexual offense evidence (P.G.218-33);
U.S. Currency and/or negotiable instruments earmarked for forfeiture
(P.G.218-38).

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List each piece of evidence requiring laboratory analysis, as a separate item
on the P.C.I. (Property Clerk’s Invoice). Each item will be given a separate “Item
number” on the P.C.I. and each item of evidence will be specifically described by
the invoicing member. Package evidence as per Department procedures and
write the corresponding P.C.I. number, as well as, the “Item number” on the
outside of each package/container submitted to the laboratory. If the evidence
being submitted for analysis is secured in multiple packages/containers, mark
each package/container as “Bag 1 of __, Bag 2 of __”. Prepare a Request for
Laboratory Examination and submit to Desk Officer for review. (Refer to P.G.
procedure 218-09).
Practical Evidence Collection
Arson - Accelerant or other flammable material that comes into custody of the Police
Department, should be placed in a clean, airtight, metal or glass container, sealed with
masking tape, and immediately delivered to the Police Laboratory. This type of evidence
should be handled in a well-ventilated area.
Alcohol - The container will be corked closed and secured, around the opening, with
tape. The container can be placed in a Plastic Security Envelope. The container should
be stored in an upright position until delivery to the Laboratory. Alcohol will only be
submitted to the Police Laboratory in relation to an arrest for violation of Section 1192 of
the Vehicle & Traffic Law, and an open container of alcohol is seized.
Bloodstains/Serology/DNA/other biological evidence - (except firearms)
Submit the whole article if practical, be it clothing or fabric, blood, paint, semen,
etc. This type of evidence should be delivered to the Medical Examiner’s Office,
Evidence Unit for examination. The Police Laboratory will not accept this type of
evidence. Bloodstains, Serology, DNA or other biological evidence and any
other body fluid/biological evidence should be packaged in paper bags or boxes.
Do not seal in a plastic security envelope. Additionally, an orange biohazard
sticker must be affixed to the package. This evidence must be refrigerated;
therefore, it must be delivered immediately.
Questioned Documents – Any piece of paper, where the authenticity of the
writing or the source of the writing must be determined, will be submitted to the
Questioned Document Unit. These items include, but are not limited to, checks,
bank robbery notes, and harassing letters. The evidence may be secured in a
Plastic Security Envelope. Do not write on the security envelope when evidence
is inside. Cardboard inserts should be used in the security envelope to prevent
evidence from bending or folding. Handle with tweezers or knuckles of fingers at
the edge of paper. Place in a plastic envelope for further viewing. Do not fold or
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write on the envelope! Typewriters, adding machines, check writers, computer
printers, personal computers and other instruments should be submitted if
possible. Do not change the settings on these machines. (Read P.G. procedure
218-09).
Hair & Fiber - Evidence that contains possible hair and/or fiber evidence should
be handled carefully to prevent loss of any evidence. If the evidence is wet or
bloodstained, or has other serological or biological evidence thereon, it should
not be packaged in plastic, instead it should be placed in a sealed paper bag. If
the evidence is dry, and it does not have bloodstain, serological, DNA or other
biological evidence thereon, it should be packaged in a Plastic Security Envelope
or any bag/container that will prevent the hair or fiber evidence from being lost.
Latent Fingerprints- Handle objects carefully to avoid destroying possible prints
and transferring your own fingerprints onto the object. Latex gloves should be
worn. Avoid crushing, bending, folding the evidence. Items being delivered to
the Police Lab for fingerprint analysis should be placed in a plastic bag, not a
paper bag (If item required for prints and bloodstain serological/ DNA other
biological evidence, then place in a paper bag).
Locks – If a lock is submitted to the Police Lab for analysis, then the key to that
lock must also be invoiced and submitted to the Lab. If no key is available, do
not submit the lock for analysis.
Note: All evidence containers, other than plastic security envelope should
be sealed with masking tape in a manner to prevent loss of the evidence and to
prevent contamination. The invoicing member’s signature must be placed across
the seal to maintain the chain of custody. (P.G. 218. 23)
Sexual Offense Evidence Collection Kit
The Sexual Offense Evidence Collection Kit is used by physicians in hospitals to
gather evidence from a victim of a sex offense. The kit is used to standardize the
collection and processing of evidence in sex crime cases. It contains slides, swabs and
envelopes to collect evidence. Sexual offense evidence (not including the sexual offense
evidence collection kit) is defined as bloodstains, serology, body fluids and or other
biological evidence (clothing, bedding, undergarments, etc.) to be analyzed for the
purpose of obtaining a DNA profile (Read P.G. procedure 218-33).

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A sexual offense is one of the following crimes:
•
•
•
•
•

Rape
Criminal Sexual Act
Aggravated sexual abuse
Sexual abuse
Sexual Misconduct

Upon completion of the medical examination:
•
•
•

Take possession of the Sexual Offense Evidence Collection Kit and other
sexual offense evidence.
Ensure that physician and complainant’s names are entered in the appropriate
caption and sign for evidence in the appropriate caption.
Remove evidence to precinct of occurrence and prepare a Complaint Report
Worksheet, P.C.I. and Request for Laboratory Examination.

When the Sexual Offense Evidence Collection Kit is sealed by hospital personnel, the seal
may only be broken by a member of this department who is authorized to do so.
Drug Facilitated Sexual Assault Blood and Urine Specimen Collection Kit
A Drug Facilitated Sexual Assault Blood and Urine Specimen Collection Kit will be
utilized for the collection of blood and urine when it is suspected that the victim of a sexual
assault was drugged. This kit is separate from the Sexual Offense Evidence Collection Kit.
This kit is composed of two grey-topped blood tubes and a urine container for the
collection of specimens, and must be invoiced, on a separate PCI, with a separate request
for lab exam (for toxicology).
If it is suspected that the victim of a sexual assault was drugged (based on victim or
witness statements, or other evidence), investigating officers must inform hospital
personnel and request that this kit be used. This kit must then be immediately taken to the
Medical Examiner, Evidence Unit for testing.
Processing Computer Evidence
In today’s computer age, many homes and businesses are equipped with
personal computers. Most of these computers are for personal or business use;
however some are used to commit crimes.
The Computer Crimes Squad within the Detective Bureau are responsible
for assisting in the investigation of complaints, involving the use of computers,
and for enhancing arrests, preserving evidence and providing expert testimony in
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court. The unit is also responsible for providing technical assistance in properly
securing computer evidence and conducting computer forensic examinations.
Officers must notify the Computer Crimes Squad between 0600 to 2000 hrs,
Monday through Friday. All other times you will notify the Office of the Chief of
Detectives.
Properly mark all computer evidence as follows:
•
•
•

•
•
•
•

Affix identifiable mark to hardware.
Label items as indicated peripherals were connected together (i.e.
monitor 1, CPU 1, Keyboard 1), and tag all wires indicating which
peripheral they were attached to.
Count and package similar floppy disks in paper envelopes, however,
do not remove any disk(s) from disk drives. These will be secured by
affixing a strip of masking tape across the drive’s opening. The
vouchering officer will initial the masking tape.
Plastic Security Envelopes should not be used when vouchering
floppy disks because they can cause a discharge of static electricity
which can destroy the data on the disk.
Do not write on floppy disks.
Voucher all computer related evidence, which are to be delivered to
Computer Crimes Squad separately from other property being
invoiced.
Prepare Request for Laboratory Examination.

Found Property
Found property valued at ten dollars or more is required to be reported to
and deposited with the police. Upon coming into possession of found property:
•
•
•

Prepare appropriate captions on Accident Information Exchange /
Acknowledgement of Found Property report. Give this as a receipt to
the finder of the property.
Enter facts in your Activity Log.
Prepare a P.C.I. and submit it along with the property to the Desk
Officer.

If a M.O.S. comes into possession of found property on the subway system,
other than U.S. currency or contraband, deliver such property to NYC Transit
Railroad Clerk (Refer to P.G. procedure 218-26).

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VOUCHERING CURRENCY
Currency comes into the possession of the Police Department under a
variety of circumstances, two general categories are: Evidence, such as
proceeds from a crime, marked money used in an investigation, etc. and nonevidence, generally either found money or property of a deceased person. Prior
to preparing the P.C.I., it is necessary to be able to identify money which has
special value, and the specific invoicing procedure for such property.
When listing U.S. currency, each denomination will be given a separate item
number, and the quantity of each denomination will be entered. U.S. coins,
however, will be entered as a single item, with the total number of all coins
entered in the quantity column. The value of U.S. currency will ONLY be entered
in the Cash Value Column and totaled at the bottom of this column.

ITEM

QUANTITY

DESCRIPTION

CASH VALUE

1

5

USC $20.00 bill

$100

.00

2

6

USC $10.00 bills

$60

.00

3

3

USC $1.00 bills

$3

.00

4

11

USC assorted coins

$1

.38

Numismatic Value - Includes all gold coins (new U.S. gold $1.00 coin is not
considered numismatic), all U.S. silver coins bearing a date of 1964 or prior, and
extremely old bills.
Sentimental - special markings and/or special packaging such as:
•
•
•

bills placed in frames;
bills taped on store walls;
bills marked ("Happy 5th Birthday Robert").

When determining numismatic/sentimental value, members should be
guided by the circumstances under which the currency was found (e.g., location,
type of packaging, special markings, encased in frames or books, etc.). If doubt
exists, such currency will be deemed to have numismatic/sentimental value, and
will not be deposited in a bank.

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Processing Currency Not Required as Evidence:
•
•
•

Prepare P.C.I. and make entry in Activity Log;
Deliver P.C.I. and currency to Desk Officer;
Desk Officer will directly supervise vouchering officer when placing
currency into plastic deposit bag.

Non-evidence, non-sentimental/numismatic currency will be packaged in a
plastic deposit bag. It will then be deposited at an authorized Chase Bank night
deposit vault.
Processing Possible Numismatic/ Sentimental Currency:
Follow normal invoicing procedures, except:
•
•
•
•
•
•

Do Not deposit into bank;
Do Not initial or stamp;
Indicate on P.C.I. under “remarks” possible numismatic/sentimental
currency;
Itemize coins by quantity;
Do Not enter monetary value in “Cash Value: column;
Utilize Plastic Security Envelope.

Processing Currency Required as Evidence:
•
•
•
•
•

Inform Desk Officer of details and count currency in his/her presence.
The Desk Officer will determine if currency will be marked with
evidence stamp
If currency is stamped the vouchering officer will initial the face of
each bill and prepare a P.C.I.
If currency is marked with evidence stamp, list each denomination as
a separate item and indicate quantity of each denomination.
List each denomination of unstamped bills as a separate item and
indicate quantity of each item. The serial number of each bill must be
listed.
Verify amount listed on the P.C.I., insert currency in serially
numbered Plastic Security Envelope and seal in presence of desk
officer.

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Currency will not be stamped if:
•
•
•
•
•

Sentimental;
Numismatic;
Unaltered*;
Foreign;
Bloodstained.

*Unaltered - means currency that must remain in its original condition because it
is treated with dye, marked, or US currency processed for forfeiture.
DO:

DO NOT:

1. Record by denomination
2. List each serial number
3. Send to Property Clerk

1. Initial
2. Send to bank

EVIDENCE

NON-EVIDENCE

SENTIMENTAL
NUMISMATIC
UNALTERED
FOREIGN
BLOODSTAINED

SENTIMENTAL
OTHER

Don’t Stamp

STAMP

DON’T STAMP

Don’t Initial

INITIAL

DON’T INITIAL

&

RECORD BY DENOMINATION

OTHER

NUMISMATIC $

RECORD BY DENOMINATION

Include Serial #

NO Serial #

Include Serial #

NO Serial #

Send to Property Clerk

Send to
Property Clerk

Send to Property
Clerk

Deposit in bank

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Counterfeit Money
When counterfeit money is detected and it is determined that the passer is
an innocent victim or there is no indication who passed it:
•
•
•

Have person write name and date across the face of the bill or
scratch initials on coin.
Sign rank, name, shield number and date on bill or scratch initials on
coin.
Take possession and report to Desk Officer.

Counterfeit money is not invoiced. It is sent to the Patrol Borough (except in
an arrest situation where it is treated as evidence and invoiced). It will then be
forwarded to the United States Secret Service. (Refer to P.G. procedure 21247.)

PROCESSING FIREARMS & FIREARM-RELATED EVIDENCE
Police officers on patrol handle and process many different types of
firearms. Certain firearms and firearm-related evidence may require a laboratory
examination by the Firearms Analysis Section, the Office of Chief Medical
Examiner (OCME) Forensic Biology Unit, or both. Other firearms are merely held
by this Department for safekeeping purposes. Therefore it is important that you are
able to distinguish between these different types of firearms and their procedures.
A firearm which is part of a shooting should not be touched, moved, or
disturbed unless absolutely necessary. The same holds true for firearm related
evidence found at such a scene. Firearms may also come into your possession for
other reasons (seized for unlawful possession, found, or the lawfully possessed
property of a deceased person). Ultimately, all firearms to be invoiced must be
unloaded. Whenever possible, the firearm should be made safe without destroying
evidence. As the Patrol Guide points out, if a firearm is unfamiliar or it appears to
be difficult to unload, safeguard it in its original condition and notify the desk officer.
Do not attempt to unload it.
The maintenance of the "Chain of Custody" is of considerable importance
when a firearm or firearm related evidence is involved. The Firearms Analysis
Section, a part of the Forensic Investigation Division, has the responsibility for
conducting examinations of firearms and related evidence.

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Finally, all laboratory examinations are initiated by the preparation of a
REQUEST FOR LABORATORY EXAMINATION. This form is prepared for all lab
exams, including firearms and firearm related evidence examinations. The
complete procedure for processing firearms and ballistic evidence will be covered
in the Student’s Guide under the Weapons chapter.
Firearms Analysis Section
The Firearms Analysis Section of the Forensic Investigation Division is
responsible for the analysis of firearms and firearm related evidence. Firearms,
ammunition and fired casings and bullets are examined to identify manufacturer
and type. Firearms Examiners from the Firearms Analysis Section provide expert
witness courtroom testimony on their analysis and conclusions. Some other
tests that are performed at the Firearms Analysis Section are:
•
•

Bullet Resistant Vest Tests- Shooting suspected bullet resistant vests
following Criminal Procedure Law guidelines to determine if a vest is
bullet resistant.
Distance Tests - Determining a range of distance from the muzzle of
a firearm (end of the barrel) to a victim. This test is usually done with
a Laboratory Criminalist and/ or a Medical Examiner.

A Firearms Examiner in addition to identifying the manufacturer and type of
firearm and ammunition will check for proper function of the firearm and will
determine if there is evidence of discharge. The Operability test declares if the
firearm works and if the ammunition is live and also provides example test fires of
bullets and casings.
Fired casings and bullets receive unique individual marks from the firearm
they pass through. These marks are accidental and are a type of tool mark.
From use and wear of the tools that make firearms, scratches and imprints are
left on the metal of the firearm. The firearm then becomes the tool to the
ammunition being fired through it transferring these scratches and imprints on the
fired casings and bullets. Bullets receive their marks from the rifled barrel of a
firearm. The purpose of rifling is to rotate the bullet passing through the barrel
and increases its stability, velocity, and accuracy. Casings receive their marks
from the firing pin impression, breech face, chamber, extractor and ejector
marks. A Firearms Examiner will compare fired casings and bullets under a
comparison microscope. This microscope allows the examiner to view and
compare two items of evidence side by side for their unique pattern of marks.

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PREPARATION OF THE REQUEST FOR LABORATORY EXAMINATION
The proper preparation of a REQUEST FOR LABORATORY
EXAMINATION is extremely important. The Police Laboratory cannot properly
process or examine evidence if you do not make specific requests for the type of
test you want performed. For example, when a firearm is invoiced and you wish
to determine whether the firearm is operable, you can request a “Ballistics
Exam.” If more specific tests are needed, describe what you wish to be done. If
you wanted to know how far the firearm was from the victim of a shooting when
fired, you must specifically ask for this to be determined.
Completely fill in all captions giving a clear description on what occurred,
where the evidence came from and what questions you may want the Lab to
answer. Information relative to the complaint, offense and defendant/ suspect
should be as complete as possible, this is necessary to associate Modus
Operandi of cases.
When completing the evidence submitted captions, use the exact same item
number, description, and identifying marks as stated on the invoice. The caption
“Where Obtained” asks you to indicate from whom or from what location you
received these items. Were they obtained from the defendant’s right shirt pocket,
or from a suspect’s car? Was the firearm from under the roof landing of 380 5th
Avenue? BE SPECIFIC.

TEMPORARY REMOVAL OF INVOICED PROPERTY FROM THE COMMAND
(P.G. Procedure 218-06)
When it is necessary to temporarily remove invoiced property from the
command to court or other authorized agency, the uniformed member will do the
following:
•
•

Request property from the Desk Officer (give a reason for removal).
Enter P.C.I. number, destination of property, and signature in
Property Receipt Book.

When property is to be returned to the command, the uniformed member will do
the following:
•
•

Obtain receipt if property is retained by court or other authorized
agency and make Activity Log entries.
Deliver property or receipt to Desk Officer.

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REMOVAL AND RETURN OF EVIDENCE TO PROPERTY CLERK DIVISION
(P.G. Procedure 218-07)
When evidence in custody of the Property Clerk is required in court or other
authorized agency, the UMOS will request evidence from member assigned to
Property Clerk facility and:
•
•
•

Give PCI number ;
Present shield and identification card;
Receipt for evidence as required.

A uniformed member of the service not listed on invoice as
arresting/assigned officer must present written authorization from Commanding
Officer to remove evidence.
When court is adjourned for the day:
•
•
•
•
•

Obtain receipt for evidence, if held by court, District Attorney or other
authorized agency.
Obtain copy of court order from court clerk and receipt from claimant
if court directs release of property.
Deliver packages of controlled substances/marijuana, which have
been opened in court to Police Laboratory for repackaging and
sealing.
Telephone appropriate Property Clerk facility in advance and prior to
closing for instructions regarding return of property and/or receipt if
delayed in court and unable to return property as required.
Inform member at Property Clerk facility of estimated time of
dismissal from court or arrival at Property Clerk facility.

If property or receipt for property is not returned to Property Clerk Division, a
Finest message will be transmitted to all commands including the invoice
number, name, shield number, and command of member of the service who
failed to return property.

RULES OF EVIDENCE
Your responsibility as a police officer is to legally gather and preserve as
much evidence as you can. You should not make decisions as to the usefulness
or admissibility of particular items. What will be presented as evidence in a
criminal case is up to the prosecutor. The prosecutor is trained to recognize
what the judge is likely to admit in order to prove the guilt or innocence of a
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defendant and he/she bears the responsibility for the proper presentation of the
people's case. The remainder of this chapter will consist of a look at the rules of
evidence and how they apply to your duties and responsibilities.
Evidence Defined
Evidence is anything that is used to prove or disprove a disputed issue in a
court of law. It may consist of testimony, documents or objects. The rules of
evidence in New York State are not contained in any one statute such as the
Penal Law or Criminal Procedure Law, but are a set of rules which have
developed over the years through decisions in individual cases. They do not tell
us what is admissible as evidence in a trial. They tell us what is NOT admissible.
As previously stated, you need not concern yourself with whether a particular
item of information will be admissible or not; that is, the function of the
prosecutor.
It is possible that evidence that would ordinarily be admissible may be
suppressed. This happens when it is obtained through a violation of someone's
constitutional rights. The police officer must be aware of the rights of individuals
so as not to damage a strong case through carelessness.
Examples of these are:
•
•
•

Unreasonable search and seizure;
An illegally obtained confession;
Improper eyewitness identification, (i.e., show-up held in a
stationhouse).

TESTIMONIAL EVIDENCE
Testimony by children (Section 60.20 CPL)
As a general rule, a witness who is a child less than nine, may not testify
under oath in court, unless the judge (referred to as "the court") determines that
the child understands what taking an oath means. A child less than nine may,
however, testify without taking an oath. If a child does testify without taking an
oath, a defendant may not be convicted solely on the child's testimony.
When you have a case where a child is less than nine you should attempt to
obtain additional evidence. Additional evidence is also important in cases where
a complainant or witness may have mental disease or defect, since the judge
may not allow such a person to testify in court.
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Accomplice Testimony (C.P.L. Section 60.22):
A defendant may not be convicted of any offense solely upon the
uncorroborated testimony of an accomplice, unsupported by other evidence
tending to connect the defendant with the commission of the offense.
An "accomplice" means a witness in a criminal action who may reasonably
be considered to have participated in:
•
•

The offense charged; or
An offense based upon the same or some of the same facts or
conduct that constitutes the offense charged.

The fact that a witness in a criminal action is also an accomplice, and that
he or she has a defense such as infancy, or some type of immunity, does not
affect his status as a witness.
Example:
Bill and Henry commit a robbery. If Bill is arrested and names
Henry as his partner in the crime, Henry cannot be convicted solely on Bill's
testimony. However, in combination with any other evidence that ties Henry to
the crime, Bill’s testimony may be sufficient corroboration to convict him.
The Hearsay Rule
Hearsay is evidence not from personal knowledge of the witness, but where
the witness merely repeats what the witness heard others say. It is testimony
about something said outside the court by other than the witness, which the
witness testifies as being true. Hearsay evidence is usually not admissible.
The reason for hearsay not being admissible is that the person who actually
said the words is not under oath and cannot be cross-examined. The witness
who is under oath and who can be cross-examined is merely repeating the words
of another.
An example of hearsay is where a storeowner tells an officer that X held him
up. If the officer testified about this statement, it would be hearsay because it
would be offered for the truth of its contents, i.e., that he was actually held up,
without giving the defendant the opportunity to cross-examine the original maker
of the statement.

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Exceptions to the Hearsay Rule
There are many exceptions to the hearsay rule. However, there are three that
you will most likely encounter. They are as follows:
•

Confession or Statement conveyed by a defendant.

•

Admission: A statement made by a defendant that is against his
penal interests, but does not amount to an acknowledgment of guilt.

•

Dying Declaration: A statement made by the victim of an assault
which is made when death is imminent and the declarer has
abandoned hope of recovery. Dying declarations may only be used
when the victim actually dies.

Exclusion of Evidence
Evidence that has been illegally obtained by the police is not permitted to be
used at the criminal trial. Guns, narcotics, contraband, confessions or
eyewitness identifications may be suppressed (excluded) if they were obtained in
violation of the United States Constitution or in violation of the New York State
Constitution. If the prosecutor (District Attorney) offers into evidence one of these
items (guns, narcotics, or a confession), the defense attorney will usually object.
The objection may occur prior to the trial or during the trial itself. The defense
attorney will make what is known as a motion to suppress. If the court grants the
motion, it will exclude the evidence from use at the trial. The following are
examples of circumstances that most often result in motions to suppress:
•
•
•
•
•

The property was obtained by means of an unlawful search or
seizure.
The statements, admissions or confessions were not made
voluntarily to the police officer.
There was improper eyewitness identification, which resulted in the
defendant being arrested and charged with an offense.
There is an unlawfully obtained recording of testimony describing
statements made by the accused. This could involve eavesdropping
or wiretapping.
Certain evidence exists which would be admissible but for the fact
that the police became aware of it through an unlawful means. This
is referred to as the "fruit of the poisonous tree" doctrine.

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The judge may grant or deny a motion to suppress evidence or may order a
separate hearing just to determine if the evidence should be suppressed. If a
hearing is conducted, you, as the arresting officer, may be called to testify.
The Rosario Rule
Recent court decisions have developed the Rosario Rule (L.B.B. Vol. 17
#10, People v. Ranghell, and L.B.B. Vol. 21 #5, People v. Wallace), which
requires all non-confidential statements that relate to the subject matter of a
witness’ testimony be released by the prosecutor to the defense attorney.
Rosario material is defined as any prior statements to the police made by a
witness who will appear and testify at the trial. Such "witness statements" are
rarely recorded in a neat fashion on a single police report. In addition, police
officers that investigate crimes and made arrests do not decide which witnesses
involved in the case will actually testify at trial. The judge, prosecutor and/or
defense attorney usually makes that decision.
The best approach police officers can take is to treat all statements they
receive from witnesses as potential Rosario material. This includes statements
by fellow police officers that witnessed the crime, seized evidence, or made an
arrest. For example, courts have identified the following items typically prepared
by police officers as Rosario material: activity logs, personal handwritten notes,
preliminary worksheets, arrest reports, interview reports, Unusual Occurrence
reports, Complaint Reports (UF61s), Complaint Follow-up reports (DD5s),
electronic recordings such as audio tapes, video tapes and 911 tapes and even
teletype messages.
The penalty for violating the Rosario Rule is catastrophic to a criminal
prosecution. Any failure to produce Rosario material, regardless of the good
faith effort by police in attempting to locate it, may result in the reversal of a
conviction.
The best way to ensure that you meet your obligations under the Rosario Rule is
to follow these guidelines:
1. If you are the arresting officer:
•

Preserve all of your notes, records and police reports in an arrest
folder. This includes all handwritten notes. Be sure to include
photocopies of any entries you made in your Activity Log, whether
written on the front or back of the page.

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•

Each time you are assigned to court in connection with the arrest including your first trip to the Complaint Room immediately following
the arrest - bring the complete folder with you and show its entire
contents to the Assistant District Attorney (A.D.A.) assigned to the
case. Allow the A.D.A. to photocopy whatever he or she wishes from
the folder.

•

If you prepare scratch copies of official police reports that are later
typed, save a photocopy of the scratch copy in your folder. As soon
as possible, obtain a copy of the typed report and place it in your
folder as well.

•

Do not permit anyone except the A.D.A. to remove an original
document, such as your handwritten notes, from your folder. The
A.D.A. may be given an original document from your folder, but you
should make a photocopy first. All other persons who are entitled,
such as supervisors or detectives assigned to the case, should be
given photocopies only of any documents in your folder.

2. If you are not the arresting officer, but you prepared an official police
report (such as a complaint report or a complaint follow-up), or made
written notes of statements you received from witnesses or victims of a
crime:
•

Photocopy your report(s) or handwritten notes and give them to the
arresting officer for inclusion in his/her arrest folder.

•

Save a copy of the report(s) you prepared and your original
handwritten notes so that you can produce them for the A.D.A., if
necessary.

•

Bring all documents you have concerning the incident with you to
every court appearance or meeting with the A.D.A. concerned.

These guidelines apply to all members of the service other than the arresting
officer. This includes patrol officers who take statements from witnesses,
detectives who do subsequent interviews, and supervisors who interview
witnesses for preparation of Unusual Occurrence Reports. Any information you
receive from witnesses and record in an official Department form, such as a
Complaint Report or a Complaint Follow-up, or in handwritten notes, must be
preserved and turned over to the A.D.A. concerned.

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Brady Material
Another important area of law that a police officer should be familiar with is
exculpatory evidence, commonly referred to as Brady material. Exculpatory
evidence is evidence that tends to clear someone's guilt. The prosecution is
mandated by law to disclose any evidence that is favorable to the defense upon
request by the defense. Unsolicited exculpatory evidence must also be disclosed
when it creates a reasonable doubt that would not otherwise exist. A police
officer must bring any such evidence to the attention of the District Attorney.
Failure to do so may jeopardize the prosecution and bring about judicial
sanctions. Remember, a police officer should gather and preserve as much
evidence as possible at a scene of a crime. The District Attorneys will determine
what evidence, if any, is exculpatory.
Pretrial Hearings and Motions to Suppress
The motion to suppress may be handled without a hearing if the District
Attorney and the defense attorney agree to the facts in the case. This is not
often done, however. If a hearing is conducted, you, as the arresting officer, will
be called as a witness. The reason that the motion to suppress is so important is
because, if the defense counsel is successful, the evidence sought to be
admitted by the people will not be admissible as evidence in the case. This often
means that the case is won or lost at the suppression hearing.
Example: A police officer arrests and charges a defendant for criminal
possession of a weapon. If the defense counsel is successful in a
suppression motion, the court will rule that the gun cannot be introduced in
court as evidence. Without the gun being introduced as evidence, it is
almost impossible to prove the crime of criminal possession of a weapon. In
most cases, if the defense counsel wins at the suppression hearing, the
District Attorney will drop the charge against the defendant. On the other
hand, if the people win, the defendant will often enter a plea of guilty. This
is because he knows that once the court rules that the weapon is
admissible, the people can show a prima facie case without much difficulty.
Types of Pretrial Hearings
The Mapp Hearing: A hearing conducted prior to trial, a Mapp Hearing,
determines whether physical evidence to be presented at trial was legally or
illegally seized.

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The Huntley Hearing: Also conducted prior to trial, a Huntley Hearing is one in
which the defendant asks the court to determine whether a confession,
admission, or statement that was made was done so voluntarily. In order to be
admissible, the people must establish that the defendant knew his constitutional
right to remain silent and to have an attorney present and that he knowingly,
intelligently and voluntarily waived his constitutional rights prior to making a
statement, admission or confession.
The Wade-Gilbert-Stovell Hearing: This hearing determines the fairness of the
eyewitness identification of a defendant. This will usually follow a lineup or
show-up at which the defendant was identified by a witness or the victim.

CONCLUSION
The goal of every criminal investigation is a conviction in court. By knowing
and understanding how to properly gather, safeguard and voucher evidence, you
will insure that a potential criminal case will not be compromised. Being called
upon to conduct preliminary criminal investigations, it is up to the individual police
officer to identify and gather evidence properly and maintain it so that the chain
of evidence will not be compromised. Remember, you are accountable for
property that comes into your possession. Neglecting to follow proper procedure
can result in evidence being thrown out in court and a criminal case being
jeopardized or lost.

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MANDATORY PATROL GUIDE READING
The following are Patrol Guide procedures that must be added to this
chapter – Collecting and Processing Evidence. These procedures must be
read in conjunction with this chapter. Questions for the 2nd Trimester Exam may
come from these procedures:
Crime Scenes (212-04)
Counterfeit Money (212-47)
Chronic Abuser Alarm Procedures (214-08)
Invoicing Property – General Procedures (218-01)
Temporary Removal of Invoiced Property from the Command (218-06)
Removal and Return of Evidence to Property Clerk Division (218-07)
Evidence other than Controlled Substances/Marijuana and Firearms
Ballistics Evidence requiring Police Laboratory Analysis (218-09)
Using Security Lead Seals or Plastic Security Envelopes (218-10)
Processing Controlled Substances/Marijuana Contraband
Stored at the Station House (218-24)
Processing Firearms and Ballistics Evidence (218-23)
Processing Controlled Substances/Marijuana Contraband not
Stored at the Station House (218-25)
Processing Found Property (218-26)
Processing Computer Evidence (218-31)
Processing Sexual Offense Evidence Collection Kits (218-33)
Processing Currency Required as Evidence (218-35)
Processing Non-Evidence Currency (218-36)
Processing of Currency Negotiable Instruments for Forfeiture (218-38)
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HOMEWORK
1) Describe how to conduct a preliminary investigation for a:
a. Burglary.
b. Robbery.
c. Sex crime.
2) List what not to do at a crime scene.
3) Explain the times the Crime Scene Unit is called.
4) When does a police officer prepare separate Property Clerk Invoices?
5) Rewrite the money chart.
6) Give examples of times the courts will exclude evidence.
7) Define:
a. Brady material.
b. Rosario rule.
c. Hearsay rule.
8) Describe the three (3) types of pre-trial hearings.

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Court Appearances

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW THE MATERIAL IN THIS CHAPTER?
This chapter is designed to help you become an effective witness in
judicial proceedings. Effective police witnesses are those who are able to
articulate clearly, fully, and truthfully both the facts and circumstances of the
matters that have brought them to court and their roles in these matters.
Effective witnesses come to court prepared; they make certain that they have
properly documented events and that they have properly processed any
evidence for which they are responsible. Effective witnesses are aware of the
strategies that may be used by opposing counsel to discredit them or trap them
into phrasing their answers in ways that may mislead jurors.
Effective and honest police testimony is particularly important in our
system of justice. In some countries, criminal justice systems are inquisitorial,
which means that they are designed only to determine whether individuals
committed the crimes of which they have been accused, and that they pay little
or no attention to the manner in which the police collect evidence. In such
places, there is no Bill of Rights: no right to be free from unreasonable search
and seizure: no right to counsel at interrogation: and no right to decline to answer
interrogators’ questions. In such places, jurors are free to infer that accused
persons who do not take the witness stand in their own defense do so because
they are guilty. In most such places, all that matters is whether the police can
produce evidence of guilt. Indeed, in some such places, the burden of proof may
not even be on the prosecutor – instead, accused persons may have the near
impossible burden of proving that they did not commit the crimes with which they
have been charged.
This is not the way our system works. Our system is adversarial, and
places the burden of proof squarely on the prosecutor. Unlike inquisitorial
systems, our system draws a great distinction between factual guilt and
legal guilt. In our system, the only two outcomes of criminal trials generally are
those in which prosecutors succeed in proving guilt beyond a reasonable doubt
and those in which prosecutors fail to prove guilt beyond a reasonable doubt.
Nobody is ever found innocent in our system because defendants do not have
to prove their innocence: instead, they are either found guilty or found not guilty.
To prove guilt in our system, police and prosecutors must overcome a series of
obstacles designed by our founding fathers to protect the freedoms they fought
the Revolutionary War to gain. In our system, prosecutors who fail to show that
the evidence they introduce was obtained in compliance with the Bill of Rights
cannot use the evidence, even though it may clearly show that defendants
committed the crimes with which they have been charged. When this happens,
people who are factually guilty cannot be proven legally guilty beyond a

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reasonable doubt, and are, therefore, released to prey on our citizens again.
Thus, in our system, it is critically important that officers testify credibly, honestly,
knowledgeably, and convincingly in criminal cases. Police testimony is evidence,
and when evidence is presented improperly, it results in lost cases and injustice.
Although most police testimony occurs in criminal, juvenile, or traffic
proceedings as a result of an officer’s law enforcement actions, officers also
testify in civil proceedings in which they, the Department, or others are the
accused parties. In these cases as well, it is critical that officers know how to be
effective, honest, and credible witnesses.

THE ROLE OF THE POLICE OFFICER IN THE CRIMINAL JUSTICE SYSTEM
Effective police witnesses begin preparing their testimony from the instant
they suspect that criminal activity may be occurring. They know that, from the
moment they first take action, they may have to testify about everything they
have seen and done. They know also that answers like “I don’t recall” can be
used to raise questions about their honesty, so they make it a point to imprint
images of their actions deep into their memories and to document them carefully,
as well. They take great pride in doing this in a way that reflects favorably on
them and the Department, and that includes thorough mental and written
recording of the facts.
Good preparation for court testimony encompasses the entire investigative
process: the facts of the offense; location of the witnesses; discovering,
preserving, and marking evidence; recording events that led to the apprehension
of the defendant, and other incidents pertaining to the arrest.
One of the most important aspects of an investigation is the gathering of
materials that may become evidence at a later trial. This includes the names and
addresses of all potential witnesses, even if they appear to duplicate witnesses
you already have. Taking note of details that you may be asked to recall later is
a skill a good investigator must develop. The experienced officer learns to
concentrate on seemingly minor items that may take on great importance from
the witness stand.
You need to start doing this at the moment you become involved in any
case, no matter how strong the case may seem. Keep in mind that nobody
wants to go to jail and that, especially in serious cases, offenders are likely to try
very hard to stay out of jail. This means that, the stronger the evidence in a
case, the more likely it is that defense attorneys will try to attack your

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credibility by suggesting to jurors that you have left out information that
might weaken the prosecution’s case.
Here’s an example: Let’s say that you and your partner come upon a fatal
shooting that has taken place at 2200 hrs. on a public street, in front of 50 or
more witnesses at a street fair. There you learn that several of these bystanders
– mostly friends of the decedent – immediately jumped the shooter, disarmed
him, and held him until you arrived. Let’s say also that one of the bystanders, a
friend of the dead man, gives you what he identifies as the shooter’s gun. Then,
you and your partner start interviewing these witnesses. After speaking to ten or
so (all of whom knew the victim), you find that they all say essentially the same
thing: that the victim was unarmed, and that the suspect shot him dead, in cold
blood, during what apparently had been a heated argument. They also indicate
that another man was with the shooter, but that he had fled the scene (the next
day, you learn that the other man was the shooter’s brother).
The worst thing you can do at this point is to conclude that you have
gathered enough eyewitness evidence, and release the remaining 40 bystanders
without at least learning who they were, what they saw, and how to get in touch
with them. Good attorneys know that if they want to avoid surprises and to win
their cases, they should never ask questions of witnesses unless they know in
advance what the answers will be. If you were to send the remaining 40
witnesses on their way in this case, opposing counsel would almost certainly
design a set of questions for you, knowing that the answers you would be
compelled to give would make it appear as though you were both incompetent
and dishonest. This would be likely to turn this apparently clear-cut case into one
that involved reasonable doubt about the defendant’s guilt. Consider the
answers you would have to give to the following questions in our hypothetical
case; consider also how your answers would affect the jury’s view of the
evidence and of you:
Q.

Now, Officer, you testified that when you arrived, you found the
defendant being held by five or six people, and that there were
about 50 people in the immediate area, is that correct?

Q.

And some of these people told you that my client had shot the dead
man, is that correct?

Q.

But you didn’t see the shooting yourself, is that correct?

Q.

So the only things you know about the shooting are what these
people told you?

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Q.

How many of these people did you talk to?

Q.

And these ten people all told you the same thing?

Q.

What about the other 40 people? Did you talk to them?

Q.

So you want the jurors to believe that you let these 40 people go
without talking to them or identifying them, and that the ten you did
talk to all said the same thing?

Q.

Now these ten all were friends of the dead man, is that correct?

Q.

So you can tell us that, but you can’t tell us anything about the
other 40?

Q.

You can’t tell us whether these 40 people were also friends of the
dead man, can you?

Q.

Is that the way you were trained, Officer? To interview only friends
of victims and to let everybody else go without finding out who they
were and what they had seen?

Q.

I have the NYPD’s Police Student’s Guide here, Officer. I’d like to
show it to you and to ask you whether you can find in it anything
that says that you should interview only friends of dead people and
let everybody else go. Can you do that for me?

Q.

Can you give me the names of any Police Academy instructors who
taught you that it was proper to let 40 witnesses leave a homicide
scene without finding out who they were and what they had to say?

Q.

And you obviously can’t tell us whether these 40 people you
conveniently let go would have told you the same story as the ten
friends of the dead man whom you kept around, isn’t that right?

Q.

You’re aware that my client’s brother has testified that the dead
man and several of the people you interviewed attacked him and
my client with knives, and that my client had shot the dead man in
self-defense?

Q.

Did you find any knives on the scene?

Q.

No, you didn’t find any knives. Did you even look for any knives?

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Q.

You never searched any of these ten eyewitness friends of the
dead man to see if they had knives?

Q

It was ten o’clock at night when this shooting took place?

Q.

Was it dark?

Q.

Do you know whether it was too dark for anybody to have seen
whether the dead man had a knife in his hand when he was shot?

Q.

Do you know whether the street lights were on?

Q.

Can you describe them? Were they all working? Do you know
where they were?

Q.

And you never questioned the other 40 people you let go to see
whether they would tell you that these friends of the dead man had
attacked my client and his brother with knives?

Q.

And you don’t know who or where they are so that we could ask
them now?

Q.

Did you ever see my client with the gun in this case?

Q.

You found the gun in somebody else’s hands, is that correct?

Q.

Do you know whether my client’s fingerprints were found on the
gun?
Note: Because the gun had been forcibly taken from the shooter
and then held by somebody else, it is extremely unlikely that the
suspect’s prints would be found on this gun.

Q.

So the only fingerprints you did find on the gun were those of the
other man, is that right?

Q.

So you did not see the shooting, and you never saw the gun in my
client’s hands, and you found no fingerprints to indicate that the gun
had ever been in my client’s hands, is that right?

Q.

But then you locked up my client because the guy you did find
holding the gun – and his friends – said that my client did the
shooting?

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Q.

How do you know they are telling the truth? I can think of some
reasons that they might lie about this. Can you?

As you can see, a line of questioning like this takes advantage of any
investigative failure, and tries to use it to raise reasonable doubt about
defendants’ guilt. And, to avoid a conviction, all that defense attorneys must do
is to create such doubt in the mind of just one juror. The moral is simple: when
you go to court to testify, make sure that you are thoroughly
knowledgeable about your case; that you have anticipated likely questions,
and that you are prepared to testify honestly, confidently, and fully about
any aspect of the case that might be raised in court.
The process of discrediting witnesses in the eyes of the jury is known as
impeachment. Be aware that, the stronger the case in which you are testifying,
the more likely opposing counsel is to try to impeach you by making it appear to
the jury that you are both incompetent and dishonest. Do not take this
personally: the defense attorney is playing his or her part in the adversarial
American justice system. Your part in this process is to keep opposing counsel
from impeaching you by coming to court at least as ready as he or she is.
To do your job properly, you need to assure that you have all the details of
the case down pat and thoroughly recorded. The next section of this chapter
describes some of these details and what you need to document about them:
The Precise Time of Important Events
1.

When the crime was committed;

2.

Officer first received the call;

3.

Officer responded to the scene;

4.

Officer first saw defendant;

5.

Defendant taken into custody;

6.

Any post-arrest identification by a witness;

7.

Any post-arrest statements.

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The Time Elapsed Between Important Events
1.

In a chase situation, the time between the first sighting of the defendant
and the time of his or her apprehension;

2.

The time between statements made by defendants.

Layouts of Indoor Locations
1.

Number of rooms;

2.

Arrangement of furniture;

3.

Condition of rooms (e.g., messy, neat, etc.);

4.

Evidence of occupation (clothes in closets, food in refrigerator, pictures or
diplomas on the wall, etc.);

5.

Number of beds.

Configuration of Streets at Outdoor Locations
1.

Intersections;

2.

Direction of street (north /south /east /west);

3.

Type of street (e.g., two-way, dead-end, etc.).

Exact Street Addresses
1.

Apartment number, floor;

2.

Cross streets;

3.

Location on block (middle, corner).

Lighting at Crime Scenes
1.

Location of street lamps;

2.

Amount of natural light.

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The Weather
1.

Sunny/rainy;

2.

Clear/overcast;

3.

Warm/cold;

4.

Rain/sleet.

Physical Characteristics and Clothing of Suspects
1.

Age;

2.

Approximate height;

3.

Approximate weight;

4.

Description of face;

5.

Description of hair;

6.

Description of multiple articles of clothing;

7.

Unusual features (tattoos, scars, etc.).

Statements Made by Defendants
1.

Need not be a signed confession;

2.

Anything the defendant says may be important. Get the full details of the
statement, including:
a.

Time;

b.

Location;

c.

Other witnesses (including officers);

d.

Exact wording;

e.

Circumstances of warnings given.

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Names of Other Officers Assigned to Case
Include their location, and what actions each officer performed (e.g.,
recovered property, interrogated the suspect). The officer assigned to secure a
crime scene must make an activity log entry of the rank, name, and command
of every person that enters the crime scene area.
Exact Location of Seized Contraband
1.

If recovered from the defendant's person, record the precise location (e.g.,
right front pants pocket).

2.

If near defendant, distance between defendant and contraband (e.g.,
“located within six inches of defendant's foot”). The word approximately
should be used.

3.

If indoors, whether in plain view or hidden, and exactly where it was (e.g.,
on top of coffee table in living room, in top drawer of dresser), and whether
other objects tending to connect contraband with owner were near (e.g.,
drawer contained women's clothing and passport for Irma Smith).

Remember that, in most cases, a search warrant is needed to search an
occupied apartment or other residence.
Chain of Custody
The presentation of physical evidence for use at trial is another crucial part
of the investigation. Chain of custody is critical here: chain of custody means
that from the time evidence has been seized to the time it is presented in court,
there has been an unbroken record of the location of the evidence, thorough
documentation of who has been responsible for it, and solid assurance that it has
not been tampered with or otherwise tainted in any way. Because admissibility at
trial depends upon an unbroken chain of custody from arresting officer to
courtroom, the processing of evidence (vouchering) must be done meticulously.
As few people as possible should handle physical property, especially
contraband. The officer who seizes it, either from the defendant or the location,
should therefore, voucher it at once. Under no circumstances should exhibits
from different defendants be combined on one voucher. Chain of custody is
one of the most fertile areas of trial for the defense attorney to cast doubt
on the prosecution's case; only meticulous attention to detail will insure
the admissibility of the physical evidence that will help convict the
defendant.

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When in doubt as to the relevance of physical evidence, VOUCHER
IT! Property can always be returned, but an item not vouchered at the proper
time can leave a hole in the prosecution's case.
Recording the Facts
Note taking should begin at once. Your Activity Log should begin to
contain entries recording your observations as soon as practicable. Many police
officers believe that their Activity Logs contain confidential or highly secret
information. They feel that since they made the record it is their personal record
and no one else has the right to see it. In fact, nothing could be further from the
truth. You are a public servant and as such the records you make are public
records. You should keep this in mind when you make your initial memo entries.
While writing them, be aware that there is a good possibility that these records
will be produced in a court of law and may even be read to the judge or jury. On
occasion, officers have even been surprised to find that their requests for
departmental recognition have been obtained by defense attorneys, and when
they embellish the facts, it has been used to impeach officers’ accounts of
arrests.
Good Activity Log entries should read like testimony. There should be a
minimum number of conclusions and a maximum number of details. Remember
that it is the details, even though you may consider them insignificant, which will
convince the court or jury that you are telling the truth and that the defendants
are guilty of the crime for which you have arrested them. At the very minimum,
your Activity Log entry should contain the defendant's full name, alias, address,
age, occupation, physical description of the clothes the defendant was wearing at
the time of the arrest and the acts committed. The full names of any
complainant(s) or witness (es) should be included, and, to the extent possible,
you should record their exact words.
It is also helpful to describe the crime scene. Often the experienced police
officer will sketch a diagram of the crime scene, indicating the location of certain
items, e.g., body, gun, etc., and the approximate distances from doors, windows,
etc.
Officers should also note weather conditions, lighting conditions, the exact
time they responded to the crime scene and a detailed description, including
serial or identification numbers, of any property stolen.
If the police officer has made comprehensive notes and reviewed them
before taking the witness stand, he or she should welcome the defense counsel,
the District Attorney, or judge stating, "Officer, please read your Activity Log entry

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for the date in question." You should be aware that all other police reports you fill
out in the course of your duties have the potential to become important exhibits
at trial. They should, therefore, be prepared accurately, thoroughly, and as
quickly as possible, while your memory is fresh.
Never include anything that you are not sure of. At the same time, items
you are certain are true should not be excluded for any reason. Failure to record
an important fact can be used by the defense lawyer at trial to cast doubt upon
your credibility.
In addition to routine paperwork (Complaint Reports, Arrest Reports,
Unusual Occurrence Reports), you may have occasion to conduct procedures
that involve the defendant's constitutional rights. These include taking
statements, conducting a show-up, and arranging for a line-up. In all such
instances, notes should be made concerning the manner in which the procedure
was conducted. ALL statements, however seemingly harmless, made by a
defendant should be recalled, recorded, and repeated to the District Attorney.
Miranda Advisements must, of course, be given and a record kept of that fact.

MAKING THE CASE: THE ROLE OF THE DISTRICT ATTORNEY
Although the District Attorney (“D.A.”) has a great deal of discretion in
deciding how a case should proceed, he or she is ultimately working with the
product brought to his or her office by the police. Therefore, it is your
responsibility to bring the D.A. a case that is as thoroughly prepared as possible.
You must keep in mind that, unlike defense attorneys and lawyers in general, the
D.A. is not obligated to zealously advocate the position of his client (the “People
of the State of New York”). Therefore, the D.A. will not prosecute someone
where the evidence does not support a conviction.
The first prosecutor you meet will probably be the Assistant District
Attorney at E.C.A.B. (Early Case Assessment Bureau). You will recite facts to
this Assistant District Attorney (“A.D.A”), and he or she will decide on the basis of
those facts what charges to file against the defendant. Since the facts as
conveyed by you to the D.A. can be used to discredit you at trial, you should
always read the E.C.A.B. write-up to make sure it accurately reflects the facts as
you know them. Always include all statements made by the defendant, no
matter how insignificant you may believe them to be.
The police officer is allowed to talk to the A.D.A to prepare his or her
testimony. As the hypothetical case at the beginning of this chapter suggested,
the defense attorney may attempt to discredit the police officer by implying

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perjury, misconduct, or incompetence. Case preparation should be thorough and
thought out. The adversary system is the foundation of the Anglo-American
judicial process. The parties must remain within bounds of the law. Each side
will exert effort to present its case in the strongest light and, in theory, this
partisan confrontation will yield the truth and justice will be served. The defense
and A.D.A. must present their case and argue the applicable law. The judge
serves to rule on issues presented by each side. The judge assumes a neutral
and relatively detached role as decision-maker. Case strategy depends on the
A.D.A. assigned. Some A.D.A.s will keep testimony simple and straightforward
because the facts speak for themselves, and the evidence is strong. Other
A.D.A.s will rely almost entirely on witness testimony. However, this requires
extensive pre-trial preparation. Failure to do so creates a situation whereby a
defense lawyer can discredit the A.D.A.'s case. Proper case preparation can
help ensure that the case will not be overturned on appeal. Case strategy also
hinges on the veracity of evidence/witnesses. It's impossible to predict whom a
jury will believe and to what extent they'll consider expert testimony, which often
involves scientific analysis of physical evidence. A.D.A.'s usually won't hinge the
entire case on expert testimony.
In borderline cases, the A.D.A. has the power to charge either a felony or
a misdemeanor. He or she may offer a plea bargain, because the case appears
weak or because the defendant has agreed to cooperate on other matters.
Sometimes it may seem to you that the "deals" made by prosecutors and
defense lawyers are not only contrary to justice, but undermine the good police
work you tried to do to the best of your ability. Your police reports may seem to
vanish into a black hole, having no impact whatsoever on the criminal justice
system. This, however, is simply not the case.
The A.D.A.'s decisions regarding the case are made with careful
consultation of all available police reports, including the E.C.A.B. write-up.
Before offering to engage in plea negotiations, the A.D.A. will review the file,
taking into account such factors (recorded on police reports) as the extent of
injuries sustained by the victim, the presence of a weapon, the existence of
incriminating statements by the defendant. The plea offered will usually reflect
the police view of the seriousness of the case - as reflected in your reports.
The defense lawyer, also, relies upon police reports to do his or her job of
advising the defendant. He or she must counsel the accused concerning the
chances of prevailing at trial versus the certainty of the plea bargain, and his or
her advice will be influenced by the contents of the police reports he or she
obtained through the discovery process. Thus, even if you never have the
opportunity to take the stand, your police work, as contained in the reports you
have prepared, is a crucial factor in each and every criminal case. The more

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accurate and complete those reports are, the stronger your presence in the
courtroom will be – whether or not you actually take the witness stand.

PARTICIPATION IN COURT PROCEEDINGS
Preparation for Hearings and Trials
There is no such thing as an overprepared case. Every lawyer,
whether on the side of the prosecution or the defense, knows this simple truth.
With good preparation by the A.D.A., a police officer's testimony becomes
sharpened and focused, emerging as the cornerstone of the People's case. With
full preparation, the police officer understands his or her role in the case, and
may even be able to anticipate hostile defense questions. A properly prepared
police witness comes across to the jury as a competent, objective professional
whose testimony can be relied upon.
There is no substitute for knowing the case and being well prepared. By
succinctly and accurately communicating facts to the courts, the officer's
testimony should demonstrate that he or he is knowledgeable.
Truthful testimony is a must, even if it is favorable to the defendant.
Traditionally, police have had an edge on lay witnesses when testifying in court.
The uniform or shield symbolized credibility and, both the training you are now
receiving and the experience of working in the street, under pressure, will help to
make you an articulate and powerful witness. Juries tend to believe the police
officer. Today a police officer must strive to offer clear, concise and logical
testimony.
By contrast, a poorly prepared witness may fumble or back track, may rifle
through papers in a frantic attempt to locate a vital fact. Worse, his or her
feelings of inadequacy may erupt in a hostile outburst at the defense lawyer
whose questions seem irrelevant. The jury loses respect for the witness and
may choose to believe the defense version of events.
Adequate preparation for trial is the right of every police witness. The
A.D.A. who promises to talk to you in the hall on the way to court is not doing his
or her job properly and may cause you to do less than your best on the witness
stand. You have the right and duty to insist on a thorough preparation before
placing your credibility and the Department's prestige on the line.

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Good preparation serves several functions: It helps you, the witness, to
understand courtroom procedures; to acquaint you with the prosecutor's theory of
the case; to allow you to convey vital information to the Assistant District
Attorney; and to aid in refreshing your recollection.
Procedures for Court Appearances (Patrol Guide 211- 01)
When a uniformed member of the service is required to appear in court,
before a Grand Jury or other government agency, such officer must conform to
the procedures found in the Patrol Guide. These procedures require the officer
to:
A.

Appear in uniform if assigned to duty in uniform except if:
1.
2.
3.
4.

Off duty;
On sick report or restricted duty;
Required to arraign deferred or holdover prisoner;
Authorized by commanding officer.
Note: When reporting in uniform, the uniform shirt and tie MUST be
worn if the outermost garment is to be removed.

B.

Report to the Police Sign-In Room and submit I.D. card and COURT
ATTENDANCE RECORD (PD468-141) to supervisor / designee.

C.

Inform supervisor / designee if scheduled to appear in more than one part
of court, before another government agency, or if on a court alert.
- Notify supervisor/designee if appearing on off-duty time.

D.

Wear appropriate business attire, if appearing in civilian clothes. Wear
shield on outermost garment at all times when in courtroom or within court
building.

E.

Take meal period when court is in recess and enter meal location in
ACTIVITY LOG (PD112– 45).

F.

Report to the Police Room if you are required to leave the court building
for reasons other than meal, and upon return.

G.

Have ACTIVITY LOG and evidence available at each appearance.

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H.

Request adjournment to a day when performing duty on a 2nd platoon or, if
a detective, when performing day duty. Inform the judge if the adjourned
date is on a scheduled day off.

I.

Report to the Police Room upon completion of court appearance and
obtain a completed COURT APPEARANCE RECORD.

J.

Return evidence, if any, to Property Clerk. Notify the Desk Officer by phone
upon dismissal from Police Sign-in Room and comply with instructions.

Preparing to Testify
On or before meeting with the Assistant District Attorney, the officer should
take the following steps in order to provide accurate and professional testimony:
A.

Review your notes, reports, and previous testimony. (The defense attorney
will have all of these under the discovery rule.)

B.

Review the case with other officers that were present.

C.

Review the case with the prosecutor.

D.

Review your testimony with the prosecutor. If you are on the stand and
are asked by the Defense Attorney if you discussed the case with the
prosecutor, tell him or her that you did, in fact, discuss the case. This
question is a trick: many people, unfamiliar with the courts, may believe
that it is somehow improper to talk with the attorney who represents the
side for which they are testifying. It is not: remember that no good lawyer
would put anybody on the stand unless he or she had a very good idea of
what the witness is likely to say.

E.

Make sure that you and the prosecutor have all of the exhibits and
evidence that will be utilized at the trial. Make sure you can identify them
and that they are marked with your mark in addition to having evidence
tags.
Examples of evidence:
•
•
•
•
•

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Weapons;
Your certifications;
Pictures;
Reports.
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F.

Assist the prosecutor in making sure that all witnesses show up.

G.

Show the witnesses their statements and let them review them.

H.

Put the witnesses at ease - explain the court system to them.

Trial or Hearing Date
A.

Show up early - bring all your material.

B.

If assigned to appear on a scheduled day off, inform the judge of such
condition and request an adjournment to another day in accordance with
your Work Schedule.

C.

Make an ACTIVITY LOG (PD122 -145) entry if re-scheduling is
impossible. Such entry must include:
•
•
•
•

D.

Name of the Judge and Assistant District Attorney;
Date of appearance;
Adjournment date;
Court and part.

Inform the Borough Court Section supervisor assigned to the Police Room
of such scheduling on day off.
Note: A uniformed member of the service who is assigned to appear
in court on a scheduled day off will be assigned to a tour starting at
0900 hours, unless the court scheduling necessitates a different start
time. U.M.O.S. returning from court may be excused upon request, if
the exigencies of the service will permit.

E.

Dress appropriately - uniform or business suit;
•
•
•
•
•

Neat/pressed;
Clean;
Leather polished;
Minimal jewelry;
Hairstyle.

F.

Meet with prosecutor.

G.

Review exhibits and notes/reports.

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UNDERSTANDING LEGAL PROCEDURE
The courtroom is a foreign country to many people. Customs are
different, and a strange language is spoken. The Assistant District Attorney
should be your tour guide, explaining such basics as how the courtroom is laid
out, the proper way to address the judge, and the differences between direct and
cross-examination. He or she should practice handing you documents and/or
physical evidence so that in-court admission of these items goes smoothly. The
hearsay rule, which prevents you from testifying to the contents of conversations
with third parties, should be thoroughly discussed so that you will not be rattled
by defense objections at trial. After a suppression hearing, certain facts may no
longer be admissible; the A.D.A. should help you structure your testimony so as
to leave out any reference to the suppressed items.
The better your understanding of the courtroom, the more comfortable you
will be on the witness stand. Feel free to ask the A.D.A. any and all questions
that come to mind. A few Assistant District Attorneys have the mistaken idea that
all police witnesses are automatically experienced in court and need no
explanation of procedure. Especially in your first few court appearances, you
may have to insist that the A.D.A., as tour guide, gives you a thorough grounding
in courtroom basics. When you press this hard enough, the A.D.A. will see that it
is in his or her interest to help you through this process: you are on the same
team.
Understanding the Theory of the Case
The ability of a witness to testify effectively is enhanced when the witness
understands the purpose for which he or she is called and where his or her
testimony fits into the case as a whole. Your testimony is like a piece in a jigsaw
puzzle: taken by itself, it may seem to lack a coherent meaning, but put in context
with other pieces, it forms a clear picture. It is up to the Assistant District
Attorney to show you exactly where your piece of the puzzle fits.
In addition to having his or her own theory of the case, an experienced
Assistant District Attorney will often be able to anticipate the approach the
defense will take. He or she will be able to help you prepare for the exact type of
cross-examination you will face in the courtroom. Your testimony may take on a
different character depending on the nature of the defense claim.
For example, suppose that you are a witness in two robbery cases. In the
first case, the accused raised a defense of mistaken identity, asserting that he
was not the person who committed the crime. Your testimony will probably focus

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on matters of physical description, comparing the description given to you by the
complaining witness with the actual appearance of the defendant.
In the second case, the defendant, who is acquainted with the complaining
witness, asserts that the complainant fabricated the entire robbery story in order
to get revenge for some other act of the defendant. Since the parties are known
to each other, identification would not be the issue, and your testimony would
differ considerably from that in the first case.
Cross-examination cannot only be anticipated, but simulated; with the
A.D.A. playing the role he or she expects the defense lawyer to play in the
courtroom. The A.D.A. may even be able to put you on notice regarding the
individual defense attorney's usual style and tactics.
Conveying Information to the Prosecution
The educational function of pretrial preparation is not just a one-way
street. You are as much an expert in your profession of law enforcement as the
A.D.A. is in the legal arena. You can, therefore, add to the strength of the
People's case by the information you provide to the prosecutor during
preparation.
One obvious area in which the police officer can instruct the prosecutor is
in police procedure. While some Assistant District Attorneys are well versed in
the workings of the Police Department, others are not and would benefit from
your experience. You can educate the prosecutor on such topics as routine
police actions, the requirements of the Patrol Guide, and the many types of
reports that may be filed on a given case. For example, the A.D.A. may be well
aware that a Complaint Report, a Complaint Follow-up, and an Arrest Report
have been filled out, but does he or she know that an application for a
commendation was prepared? The commendation form may contain a more
detailed account of the incident and, therefore, might be used by the defense to
impeach the routine reports filed in the case.
An experienced police officer who knows “the street" can often help a
prosecutor understand the motives and methods of those who commit crimes.
Some con games, for example, require a thorough analysis by an expert in order
to be fully understood by a layperson. The police officer that understands the
con game educates the A.D.A., who then educates the jury.

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Where the officer has had an ongoing relationship with the defendant, he
or she can illuminate the defendant's family relationships and prior conduct for
the benefit of the A.D.A. (The prosecutor will have to decide which portions of
the defendant's criminal past are admissible as evidence.)
The police officer conveys vital information to the Assistant District
Attorney in another, very basic way: by bringing to the prosecutor's office ALL
reports, memoranda, and documents connected with the case. The A.D.A. will
use the reports to help you refresh your recollection of events, and will also
determine which documents he or she intends to introduce at trial.
The initial meeting between the police officer and the A.D.A. assigned to
the case is critical. It is at this meeting that the facts of the arrest/incident are
conveyed to the A.D.A. assigned to the case. The officer must attempt to relate
all the facts. If he or she is unsure about whether a particular detail is important,
the A.D.A. should be allowed to decide. ALL paperwork related to the case must
be given to the assigned A.D.A. This includes complaints reports, O.L.B.S.
worksheets, complaint report worksheets, stop, question and frisk reports,
accident reports (in cases involving D.W.I.), aided cards, narcotics "buy reports",
and memo book entries. The officer should make the A.D.A. aware of applicable
Patrol Guide procedures, and any particular knowledge or expertise that the
officer has. Legal Bureau Bulletin Volume 2, number 9 tells of an arrest made by
a Housing Authority police detective. This detective received information
regarding drug dealing by a particular defendant from an unidentified informant.
Over a period of two weeks, the detective then made independent observations
of the defendant and his actions. It was the detective’s observations, and not the
information supplied by the unknown informant, that led to the establishment of
probable cause. If the detective had not painted such a good word picture, he
would not have been allowed to testify as an expert, nor would probable cause
been recognized by the N.Y.S. Court of Appeals as having existed at the time of
arrest. Levels of expertise vary from police officer to police officer.
A new officer who recently graduated from the Police Academy would find
it harder to be recognized as an expert than would an experienced narcotics
detective. If, during the course of the trial, a police officer recalls previously
forgotten information, this information should be immediately related to the
assigned A.D.A. If a police officer either failed or simply forgot to disclose a
certain fact or detail, he or she should admit this at trial. Failure to do so will only
serve to taint everything else the officer says. If a police officer should attempt to
fix a previously undisclosed fact or detail, the defense attorney could use this to
win an acquittal for a client. Additionally, the police officer would be guilty of
perjury. The greater good can never be achieved by perjury, but only by
diligent police work, augmented by a careful and reliable judicial inquiry.

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One important element in reviewing paperwork is the pinpointing of
discrepancies. Sometimes an arrest report will differ from a complaint report in
some particulars. It is up to you to point out any such discrepancies to the
Assistant District Attorney so that they can be explained at trial. A discrepancy
may be a simple mistake, or it may have a reasonable explanation. The
important thing is that the A.D.A. be forewarned, so that the discrepancy does
not come as a surprise but can be dealt with at trial. For this reason, it is vital
that ALL paperwork be reviewed at the same time in order to make comparisons.
The arresting officer will be designated to retrieve all physical evidence
from the Property Clerk and bring it to court. Vouchers should accompany all
items. The A.D.A. will review the paperwork with you, and prepare you to testify,
with emphasis on establishing the "chain of custody". The officer should be able
to account for the property at every stage of these proceedings.
Refreshing Your Recollection
Although the Assistant District Attorney will help you reconstruct the
events about which you will be testifying, in the final analysis it is YOUR memory
that is being refreshed. Any memory aids that will help you to recapture a vivid
and complete recollection should be used. For instance, if it is possible to visit
the scene of the crime or arrest, this may help you recall such details as the
physical layout and lighting conditions. Be sure to compare what you see with
notes made at the original time; changes may have occurred.
Reviewing your own and other officer’s paperwork is another way to
trigger your recollection. You may wish to discuss the case generally with your
partner, or other fellow officers who were present on the scene. BE CAREFUL:
The idea is to refresh YOUR OWN memory, not to conform your testimony
to what someone else saw or heard. Too much discussion among police
officers may result in testimony that seems tailored to a jury. If you do consult
with others, it is permissible to admit to the court that you conferred with fellow
officers.
Explaining Discrepancies
It goes without saying that a police officer should thoroughly review all
forms and notes before testifying. These notes include (but are not limited to)
complaint reports, complaint worksheets, O.L.B.S. worksheets, memo book
entries, etc. The police officer/witness should also review his or her testimony
with the A.D.A. Police officer/witnesses should refresh their own memories only.
Police officer/witnesses should testify truthfully and not be afraid to use the term
approximately when they're unsure about exact figures or measurements. If a

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police officer forgot about a particular detail he or she must admit, “I don't
recall,” at the same time, he or she should anticipate and be prepared to testify
about anything he or she may be asked to recall, so that this phrase is used only
rarely. No case is worth perjuring oneself over.
The jury understands that memory can fail and a police officer who
testifies “I’m not really sure” or “I don’t recall” approximately 10%-15% of the
time will, in all probability, appear truthful to the jury. Therefore, they'll be more
inclined to believe him. Discrepancies occur in almost every case that has ever
been tried. More complicated cases can give rise to numerous, somewhat
technical, discrepancies. Discrepancies are normal and even expected. The
jury would be surprised if absolutely everything proceeded along in a textbook
fashion. Only a police officer's honest and truthful response could impress the
jury enough that they could overlook minor (and ultimately unimportant)
discrepancies regarding various elements of testimony. The defense attorney
will attempt to exploit minor discrepancies, i.e. a difference between two arrest
times - one on the O.L.B.S., and one in the officer's memo book. Once again,
the best course of action a police officer could take is to simply answer clearly
and truthfully as much as his or her memory allows. Going "head to head” with
a defense attorney is NOT the answer: when you do this, juries begin to
believe that you are more interested in beating the defense attorney than in
whether justice is accomplished. Don’t fight with the defense attorney and,
certainly, keep in mind that NO CASE IS WORTH PERJURY.
The main point of working to enhance your memory of events is to
transform the dry words of your police reports into a vivid picture that the jurors
can SEE. A police officer who testifies like a walking complaint report is far less
effective than one who can recount the sights, sounds, and smells he or she
actually experienced. Trials take place in sheltered courtrooms, under artificial
lights. Letting the jurors HEAR the breaking glass, SEE the blood flowing from
the victim’s head, and SMELL the P.C.P. in the defendant's car brings them out
of the calm of the courtroom and into the reality of your experience. The more
concrete details you can include in your testimony, the more believable
your account will be to a jury.
Some of the same memory aids you use to help a witness recollect events
can be used in refreshing your own memory. Ask yourself questions: What type
of neighborhood was I patrolling, i.e., What type of homes, business comprise
the neighborhood? What were the demographics? What did I eat for lunch that
day? What was the weather? Was I the driver or the recorder on the tour?
What was I doing immediately before and after the incident I'm testifying to?
Some defense lawyers make a point of testing an officer's memory by asking
about unrelated incidents. When the officer can’t remember, the lawyer argues

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before the jury that the officer recalls the incident on trial only because he or she
has rehearsed.

THE COURSE OF TRIAL: AN OVERVIEW
A suppression hearing, whether in criminal or Supreme Court precedes
many trials. After the hearing, if a trial is still required, a jury will be impaneled.
Both the A.D.A. and defense counsel are permitted to question prospective jurors
during the voir dire (selection of jurors) in order to insure impartiality.
Once the jury is selected, the trial begins. The Assistant District Attorney
must make an opening statement, telling the jury what he or she intends to
prove. Because the defense is not required to present a case, the defense
lawyer’s opening statement is optional.
Testimony begins with the A.D.A. calling witnesses. His or her
questioning of prosecution witnesses is called direct examination. When the
District Attorney is finished, the defense lawyer may question the witness. This is
called cross-examination. The Assistant District Attorney may have some
questions on redirect; the defense lawyer is then permitted to recross.
When the prosecution's entire case is complete, the A.D.A. rests his or
her case. At this point, defense counsel moves to dismiss the charges. It is up
to the judge to grant the motion if ALL the elements of the crime have not been
established. If they have, the motion will be denied. The defense attorney has
the choice of making a second motion to dismiss, this time on the grounds that
the evidence was insufficient to prove the defendant's guilt beyond a reasonable
doubt, or proceed to present his defense. Defense witnesses are questioned in
the same manner as prosecution witnesses.
Once in a great while, the prosecution will call additional witnesses to the
stand after the defense has rested its case. This is known as rebuttal, and is
permitted only where the defense has raised issues of fact not already covered in
the prosecution's case (e.g., evidence tending to disprove a defendant's alibi).
When all testimony has been received, both attorneys deliver summations
to the jury. The judge delivers a charge on the law, and the jurors retire to
consider their verdict.

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GENERAL PRINCIPLES OF COURTROOM TESTIMONY
Appearance
A professional appearance is essential to being an effective police
witness. Jurors expect a police officer to be more objective, more competent,
and more impressive than a civilian witness. Proper attire and grooming are
important elements in creating a good first impression.
Department policy requires that an officer assigned to patrol must wear his
or her uniform to court unless he or she is off-duty, on sick report, or is
authorized by the commanding officer to be out of uniform. When a member of
the service appears in court in uniform, the uniform should be clean and pressed.
Any and all citations should be worn above your shield. You earned them - let
the jurors see that you are an experienced officer who has been commended by
the Department. Civilian jurors are impressed by citations; the A.D.A. may even
ask you to explain them to the jury in order to enhance your position as a
seasoned officer.
If you are appearing in court in civilian clothes, your attire should present a
professional, essentially conservative image. Think of yourself as dressing for a
job interview at a bank. Business suits are appropriate for witnesses for either
sex. However, a sports jacket and slacks, providing they are conservative in cut
and color, are also permissible for men. A tie is mandatory.
Women have more clothing options then men, but a businesslike
appearance is still the key. A dress should not be revealing. A skirt and blouse
of conservative cut and color may be worn, preferably with a jacket. Pants are
appropriate in a tailored suit only. Stockings and business shoes should be
worn.
The shield should be displayed on the outermost garment. If weapons are
carried, they should be out of sight. Good grooming - neatly trimmed hair and
beard, polished shoes, and well-kept clothing – is important to the professional
image you are striving to project.
The damage to credibility due to appearance should not be underestimated. A sloppy appearance will lead the jury to perceive the witness’ police
work as equally sloppy. Loud colors, flashy jewelry, or extreme styles may lead
to speculation that the officer’s performance on the job is guided by a desire for
flamboyance. A too casual look creates the subtle inference that the witness is
casual in the performance of his or her duties.

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Demeanor
The way an officer behaves in court is at least as important as the way he
or she dresses in creating an impression on the jury. One vital rule about proper
courtroom demeanor is that it begins the minute you enter the courthouse. Many
a criminal case has been lost in the hallways and elevators, where prospective
jurors overheard remarks that influenced their thinking about guilt or innocence.
An officer who is overheard making disparaging remarks about the accused will
lose any claim he or she might have had to credibility.
Before entering the courtroom, it may be helpful to take deep breaths and
consciously relax yourself. When your name is called, step up to the witness
stand with confidence, neither hurrying nor displaying reluctance. If you have
been thoroughly prepared to testify, you have nothing to fear. Remember: It is
the defendant who is on trial - NOT you and your police work.
In every case where a police officer appears as a witness for the
prosecution, studies indicate that the jury gives any witness (but a police officer
in particular) a good deal of thought after they testify. This can lead to either a
high or low conviction rate depending on what the jury believes of the witness.
Mark Fuhrman, the Los Angeles detective who was caught in lies about whether
he had ever used the “n-word”, illustrates what happens if a jury believes that a
witness is untrustworthy. His racism may or may not have had anything to do
with whether he was telling the truth about what he had seen and done in the
O.J. Simpson murder case – but once a witness falls from grace, there's usually
no return. There are no such things as stretching the truth, fibs, or white
lies on the witness stand: anything that is not the whole truth and nothing
but the truth is perjury.
When taking the oath, do so in a firm, clear voice. The A.D.A. will then
ask for your name, rank, shield number and command. Try to answer in a
natural tone, but loudly enough so that you can be heard throughout the
courtroom.
Your overall attitude should be a combination of confidence about the
accuracy of your own testimony, respect for the court, and neutrality toward both
attorneys. Showing too much friendliness toward the A.D.A. or displaying
hostility toward the defense lawyer will cast doubt upon your objectivity.
As much as possible, you should try to look at the jury when testifying.
Keep your voice up. Answer all questions – from both prosecution and defense –
with the same calm sincerity, appearing concerned and interested at all times. Do
not try to slant answers so as to help the A.D.A. or frustrate the defense lawyer.

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Listen carefully to all questions and take time to consider your answer.
You may ask that a question be repeated or clarified if you did not understand it.
Try to answer only the question asked, without volunteering information not
requested. On the other hand, DO answer questions as fully as necessary
without hedging or evading. If a question CANNOT be answered "yes” or "no",
you may ask the judge for permission to expand your reply. Even if permission is
denied, the A.D.A. will be on notice that you have more to say on the subject. In
such circumstances, when the A.D.A. gets an opportunity to re-examine you, he
or she will almost certainly ask you the following question:
“Officer, on cross-examination, Mr. Smith asked you
about… It didn’t seem to me that you had an
opportunity to complete your answer to that question.
Is there anything else you would like to add to your
answer now?”
There can be a great temptation to enhance the People's case: To make it
better. This temptation should be resisted. The bottom line is that the case is
the case. You cannot correct mistakes that might have been made or add to the
facts that will convict the defendant. You are in court to tell the truth – and let the
chips fall where they may. No case – repeat, NOT ANY case - is worth
perjury.
Direct Examination
Direct examination lives up to its name. Straightforward, open- ended
questions are asked ("And then what happened?"). The witness answers, telling
his or her story in a direct, chronological fashion.
The key to persuasive direct testimony is good preparation. When the
A.D.A. asks, "What, if anything, did you do then”, you must have some idea what
particular aspect of your activities he or she wants you to mention. The way to
achieve this certainty is through thorough pretrial discussion with the prosecution.
The A.D.A. is not permitted to ask leading questions of his or her
own witness. He or she cannot ask questions that point to a single answer
("The defendant told you he was guilty, didn’t he?"), but must instead make
open-ended queries ("Did the defendant say anything to you?"). This is another
reason why preparation is needed: the A.D.A. will not be able to guide your
answers by asking suggestive questions.

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Most physical evidence is introduced on direct. When you are presented
with physical evidence ("Officer, I will show you a weapon. Do you recognize
it?"), take care to examine it before you give your answer. You may tell the
A.D.A. "I'd like to examine it," before committing yourself.
When looking at the evidence, note any identifying marks you made when
vouchering the evidence. This will enable you to establish the first link in the
chain of custody that will allow the item to be introduced into evidence. You may
need to refresh your recollection from the voucher or the ballistics report; do not
hesitate to ask the court's permission to look at relevant documents.
Since direct testimony is like telling a story exactly as it happened, it would
seem that few problems could arise. There are, however, some pitfalls inherent
in direct examinations. These can be overcome once they are recognized and
anticipated.
An example of direct examination by the A.D.A. is him or her asking a
complainant/witness "And is the person who raped you in this courtroom?" The
complainant/witness then says "yes” and is asked to point out the person. The
complainant/witness then dramatically points to the defendant sitting at the
defense counsel’s table. Jurors tend to attach substantial weight to this. On
cross-examination, defense counsel will attempt to either:
1.

Point out the inherent unreliability of eyewitness testimony due to the
vagaries of human perceptions; or

2.

Point out that the complainant/witnesses identified the defendant at a
police lineup approximately one week after the rape occurred.

This lineup was subject to police persuasion to make a positive I.D. The
theory is that once a lineup I.D. is made, a witness would be unlikely to alter a
publicly made judgement. Therefore, the defendant’s fate may have been
decided at the pre-trial stage.
Potential Problems During Direct Examination
The first pitfall is the tendency to talk like a police report instead of a
person. Some officers do this in the mistaken belief that they sound more
professional; others paraphrase the arrest report because they have been
inadequately prepared. Whatever the reason, the officer who consistently says
things like, "I observed the perpetrator from my R.M.P." instead of telling the jury,
"I was in the car when I saw the guy," runs the risk of losing the jury by sounding
unnatural and rehearsed.

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Other potential problems on direct examination include opinion evidence,
speculation, and "background" material. In general, a witness testifies to facts,
not opinions. Thus, you must tell the court: "The defendant turned and ran away
after I announced myself and told him to stop." You are not permitted to give
your opinion that "he intended to flee." He may well have intended to flee, but
how would you know whether this was so? You have no way to get into his head
and to determine his intent. Instead, it will be up to the jury to determine whether
he intended to flee based on the facts you present to them. In this example, the
only fact you can present is that he fled.
Expert witnesses are an exception to this rule. Fingerprint technicians,
ballistics experts, and any police officer who can demonstrate specialized
technical training may be qualified as an expert. For example, police officers
who have received courses in con games may be permitted to give an expert
opinion as to whether words said by the defendant constituted the opening
moves in a well-known fraudulent accosting scheme.
Speculation is also precluded. You may have reason to believe that the
defendant’s behavior indicated an intent to commit a crime; but you may not say
so. One exception is that in testifying at a suppression hearing about probable
cause to search or arrest, you may tell the judge that you acted upon a
reasonable belief that the defendant was committing or about to commit a crime.
Background material is another area that is fraught with difficulties. You
may know for a fact that a certain location is a "drug prone area”, and that the
defendant's presence in such an area indicated criminal intent. It is important
that you be able to tell the jury WHY you believe the area is drug prone. For
example, arrest statistics or observations of drug sales would be better than
mere assertions. In some cases, the A.D.A. will be permitted to establish
background (e.g., “Do you know whether the officers in your precinct have
previously made drug arrests at this location?” “Have you previously made such
arrests at this location?” “How many?”). In other cases, the judge will rule that
background information is too prejudicial to be heard by the jury. The best way
to handle this type of testimony is to clear it with the A.D.A. before trial.
Everything that is said on direct examination is subject to further
questioning by defense counsel on cross-examination. Volunteering information
not asked for by the A.D.A. can give the defense attorney an extra line of
questioning he or she might not have known about. Giving overly precise
information when you are not really as certain as you sound ("The defendant was
standing exactly 17-1/2 inches away from me at the time.") can give the defense
lawyer an edge on cross-examination (“Officer, you didn't measure that distance,
did you? Could it have been 15 inches? 20 inches? 17-3/4 inches? You're not

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really sure HOW far away the defendant was, are you?"). Remember, it is
perfectly alright to use words like "about” and "approximately" when describing
times and distances, unless you are certain as to the precise numbers.
In cases where physical force was used to effect an arrest, there may be a
natural tendency to play down the amount of force employed. This will definitely
boomerang on cross-examination when the defense attorney questions you
about injuries sustained by the defendant. If force was required, don’t be afraid
to state exactly what you did and what the defendant did to necessitate your
actions. Trying to "cover up” will only make things worse when the truth comes
out on cross-examination.
Hearsay
Briefly stated, the hearsay rule precludes testifying to anything that was
said out of court. Here’s an example: You and your partner are sitting in your
patrol car when a woman comes up and tells you her bag has been snatched. If
you were telling this story to someone outside of a courtroom, you would
undoubtedly say, "The lady told me someone took her pocketbook." In court, this
is called hearsay.
The theory is that each witness testifies only to what he or she saw
and heard first-hand. You did not SEE the purse snatching; therefore you
cannot testify that it happened. The woman herself will take the stand and tell
that part of the story.
Your testimony, without hearsay, would consist of: "I was in the car with
my partner. A woman came up to me; we had a conversation. As a result of
that conversation, I took her in the car and we drove around. Eventually we saw
the defendant and stopped him. I then had a conversation with the woman, and
placed the defendant under arrest.”
There are exceptions to the hearsay rule. Perhaps the most important is
that you may testify to any admissions or confessions made by the defendant
(providing, of course, that they have not been suppressed prior to trial). Other
exceptions to the hearsay rule, such as spontaneous utterances or dying
declarations, should probably be discussed with the A.D.A.
During your testimony, the defense attorney may object to certain
questions asked by the A.D.A. When this happens, STOP. Only after the judge
rules on the objection should you resume your answer, following whatever ruling
the judge makes. Under no circumstances should you react to the court's ruling,
favorably or unfavorably.

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Cross-Examination
The popular image of cross-examination shows Perry Mason breaking
down a witness on the stand. In reality, although some defense lawyers hit hard
with their questioning, cross-examination is designed to lay the foundation for the
arguments the lawyer intends to advance in summation. Each cross-question is
a building block for the structure to be built in summation.
For example: You arrested the defendant for robbery, recovering and
vouchering a sum of money. Although a gun was used in the crime, you found
no weapon on the defendant, who was arrested some fifteen minutes after the
robbery. The complainant identified the defendant in an on-scene show-up.
Defense counsel’s questions will be designed to demonstrate to the jury
those facts in the defendant's favor: That you did not see the robbery; that the
gun was not found on the defendant; that the money may have come from
somewhere other than the victim’s cash register; and that the defendant was the
only person shown to the complainant at the time of identification.
Most defense lawyers ask the police officer if he or she has discussed the
case with anyone before the trial. As indicated earlier, the police officer can do
so without a problem and the defense counsel knows this. Defense counsel may
attempt to break the rhythm of testimony and bring out inconsistencies by
jumping around from questions regarding arrest procedure, the first time the
police officer saw the defendant, placing defendant in R.M.P., etc. Police officers
should stay calm and think. A defense attorney may seem either friendly or
hostile. One who seems angry does so to make the police officer look bad in
front of the jury. He wants a hostile response. Police officers must remain cool,
detached and professional. Courtroom demeanor will tell the jury a great deal.
DO NOT ALLOW YOURSELF TO BE PROVOKED TO ANGER. When you do
this, you give the defense attorney the opportunity to suggest that your bad
temper was the real cause of the arrest of his or her client.
One simple rule to keep in mind during cross-examination: The facts are
the facts. If there was no gun recovered, you must say so frankly and
forthrightly. If a search of the area was conducted, and still no gun was found,
you must admit that fact. If no search was made, there is no choice but to say so
and let the jury draw the inference that the police work was less than perfect.
Unlike direct, cross-examination is rarely chronological. The crossexaminer's purpose is to chip away at the incriminating facts presented on direct;
to highlight those elements favorable to the defense; and to underscore any
omissions, inconsistencies, and mistakes that tend to cast doubt on the People's

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case. The last thing in the world the defense lawyer wants you to do is repeat
the smoothly flowing, extremely damaging narrative you delivered on direct.
Types of Cross Questions
Certain questions recur in almost every cross-examination. Very few
defense lawyers will fail to ask whether you discussed the case with anyone prior
to testifying. Often, counsel will imply, by facial expression or tone of voice, that
the witness who admits discussing the case has done something wrong. This is
NOT the case; talking to the Assistant District Attorney or your fellow officers
before trial is good sense, not wrongdoing. When you are asked this question,
simply state that you spoke to the A.D.A. and that he or she advised you to tell
the truth.
Another common area of questioning is the kind of inquiry designed to
convey to the jury the impression that you, as a police officer, are interested in
the outcome of the case. The questions may center on a supposed bias you
hold toward the defendant or upon the notion that you will earn promotions or
commendations through making arrests, especially those that result in
convictions. Your best response is to answer such questions truthfully and
dispassionately, without displaying outrage or becoming defensive. The A.D.A.
will have the opportunity on redirect and in summation to show the jury that your
arrest of the defendant was good-faith police work.
Defense lawyers often make a point of asking police officers about police
work not done in the course of an investigation. For example, a failure to take
fingerprints at a crime scene or to "dust" a gun for prints can be used to infer that,
had prints been taken, they would not have been those of the defendant. Since
the prosecutor has the burden of proving the case beyond a reasonable doubt,
omissions can be damaging to the People's case.
However, once again, the facts are the facts. If it is possible to explain the
failure to take fingerprints, either because the surface was not printable or
Department policy did not call for a crime scene investigation, you should be able
to testify to that effect. This is where thorough preparation with the A.D.A. pays
off. Together, you will have anticipated this line of questioning and discussed the
best way to answer.
Questions about time and distance can cause difficulty on crossexamination. For example: On direct, you testified that you observed the
defendant for a period of "two minutes". The cross-examiner breaks down this
time, asking when you first noticed the defendant, how long it took him to walk
from one place to another, whether your attention was distracted from him at any

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time. When the questioning is completed, the jury may be asked to infer that you
saw the defendant's facial features for only ten seconds out of that original two
minutes.
The defense lawyer's ability to poke holes in your testimony, to cast doubt
upon your credibility, will almost certainly create some animosity. You may feel
the questions are unfair, that your words are being twisted, and that you have no
chance to set the record straight for the jury.
The best thing you can do is also the hardest: relax. The Assistant
District Attorney is not finished. As soon as cross-examination is completed, the
A.D.A. has another opportunity in the form of redirect. If he or she feels you have
been hurt by the cross- examination, he or she can, and will, ask questions
designed to rehabilitate you as a witness. In the event that no questions are
asked on redirect, it is a sign that the A.D.A. did not believe the cross to be
harmful.
"Answer yes or no" is a phrase that begins a great many questions
asked on cross-examination. It can be frustrating at times to compress a
complex answer into the simple "yes or no” the cross-examiner prefers. Yet,
when you can reply with a yes or no, you should do so, knowing that the A.D.A.
will have the opportunity on redirect to expand on your answer. In those cases
where you honestly believe that a yes or no response would be so incomplete as
to mislead the jury, you may courteously ask the court for permission to add an
explanation to your reply.
Cross-Examination Tactics
As already noted, most cross-examiners avoid chronological order.
Questions may jump around from arrest procedure to the first time you saw the
defendant, and then back to the precinct house statement you recorded. The
object is to catch you by surprise, to create inconsistencies, and to break the
rhythm of your testimony. This tactic is often compounded by a rapid-fire
approach that has one question coming on top of the other – each question
dealing with a different aspect of the case.
The best way to counter this strategy is to listen carefully to every
question, making certain you understand it fully before answering. Think before
you speak, responding in a calm deliberate voice that refuses to be hurried by
the defense lawyer’s haste. Letting yourself get caught up in the lawyer's
machine gun rhythm can open the door to mistakes and inconsistencies, as
answers are given with insufficient reflection.

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There are some questions you do not have to answer in the form in which
they are asked. You may request the judge to separate a compound question;
("Did you arrest the defendant, handcuff him, and place him in the patrol car?”
should be asked in three separate inquiries). You may ask to have a question
you did not hear repeated, and to have a question you did not understand
explained.
Occasionally, a less-than-scrupulous defense lawyer will incorporate a
false premise into a question in order to obtain a misleading answer. Example:
You have testified all along that the defendant was in a blue car. On cross, you
are asked, "When the green car turned the corner, didn’t you follow it?" You
must, first, listen carefully to the question so that the discrepancy is noted. Then
you may reply, "The car I saw was blue, not green." It is important to correct any
misstatement before answering, so that you do not appear to agree with the
mistake.
Defense attorneys bring different styles into the courtroom. Some appear
folksy, disarming you with their unexpected friendliness, while others are
downright hostile. Each style is a tactic; each requires wariness in your
response.
For example, the lawyer who seems friendly, who asks questions
designed to build you up as a professional, is doing this for a purpose. He or
she hopes to lull you into a sense of false security, to obtain favorable answers to
questions. Building you up will be the preparation for knocking you down
eventually ("Officer, you finished at the top of your class in the Police Academy.
Now you have 23 commendations and years of experience - and yet you failed to
completely fill in all the blanks on the Complaint Report?"). Your best response
is to be wary: to keep your distance. Admit any mistakes you may have made in
a forthright manner.
The opposite of this style is the aggressive cross-examiner whose
questions are so hostile that you begin to feel like the person who is on trial. The
goal of this lawyer is to put you on the defensive, to trigger your anger and create
a poor impression of you in front of the jury.
It will at times seem very tempting to answer this type of lawyer in kind. A
sarcastic reply may easily come to mind – but it should not be stated. The jury
expects a certain amount of verbal jousting from the lawyers in the case; that is
their job. From a police witness, however, the jury expects cool, detached
professionalism. Losing your temper with the lawyer could lead the jury to
suspect that you arrested the defendant while in an emotional state. Becoming
sarcastic could indicate arrogance; while a defensive stance leads jurors to

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conclude that you did something wrong and are attempting to cover up. None of
this may be true - but the jurors will speculate about your motives, and your
courtroom demeanor will tell them a great deal.
Your best method for dealing with a cross-examiner who is out to destroy
your credibility with a verbal attack is to give him or her exactly the opposite of
what he or she wants. The more you are able to remain calm, polite, and in
control, the more you will be showing the jury that you are a thorough
professional who is simply telling the truth about actions you took in the line of
duty.
The manner in which a question is phrased is critical. A defense attorney
may attempt to introduce new evidence via a question (e.g., "Officer when did
you stop lying about what really happened?”). Answers must be carefully
considered because they have ramifications on jury deliberation. Only by
carefully explaining what occurred can police officers expect to maintain
credibility.
Many police officers have a question in the back of their minds when they
endure a blistering cross-examination from defense counsel: "Why doesn't the
A.D.A. object?" There are two reasons why the A.D.A. may not intervene. One
is that proper objections must be made on legal grounds. Tough, hostile
questioning that does not rise to the level of "badgering the witness” is not
objectionable. The second reason is that the A.D.A. would much rather have the
jurors see YOU handling the questions by yourself than create the impression
that he or she is protecting you by jumping to your defense when the questions
get tough. Painful as it is in the short run to be the object of a stinging crossexamination, in the long run your professional demeanor will do more than any
number of A.D.A. objections to convince the jury that you are testifying honestly
and objectively.
Defense Attorney Tactics
It must be remembered that the litigants themselves move and shape the
contour of any courtroom proceeding. Defense attorneys sometimes follow a
particular style that works for them and are sometimes guided by the A.D.A.
(e.g., they’ll respond to his or her presentation). If the trial is a bench trial (before
a judge, not a jury), or a jury trial, the defense attorney will attempt to argue his or
her case in such a way as to favor his or her client. In a jury trial the defense
attorney will attempt to pick jurors at the selection – voir dire – stage, for the
purpose of assessing their fitness to pass judgement in a particular case.
Obviously the defense attorney will try to select jurors who aren't biased against
his or her client and who will hopefully render a decision favorable to the

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defendant. The voir dire process is essentially a self-disclosure interview.
Defense attorneys recognize that potential jurors are never wholly devoid of bias.
The U.S. Supreme Court has decided that a juror’s qualifications as to
impartiality must fall within minimum standards. Defense attorneys may use voir
dire to influence jurors before the start of the trial. Defense attorneys may try to
plant the seeds of a certain argument or line of proof in the minds of potential
jurors. Defense attorneys may also attempt to create a favorable personal
impression or establish in advance a good rapport with the jury.
Defense attorneys may exclude potential jurors via peremptory
challenges, i.e., the exclusion of individuals from the jury for whatever reason.
Often, defense attorneys will attempt to either discredit a police officer witness or
to plant in the minds of jurors the idea that the police officer is either lying or
unsure of his or her testimony. Tactics vary from attorney to attorney. One
defense attorney may be direct and argumentative while another will be more
subtle: i.e., attempting to establish good communication with a police officer
witness. Their goal is the same, to discredit the officer in an attempt to show
their client in a more favorable light.
Redirect and Recross
No further questions. With that statement, the defense attorney
concludes his or her cross-examination. You experience a surge of relief,
thinking that the worst is over.
Your job as a witness, however, is not finished. The Assistant District
Attorney may have more questions to put to you on redirect examination.
Redirect is your opportunity to give the full explanation you were not permitted to
present on cross. Now you CAN tell the jury why no fingerprints were taken at
the scene, or explain the troubling discrepancy between the arrest report and the
voucher. You can tell the jury what happened in plain English. You can explain
details that you feel need further clarification.
Redirect is not designed to repeat the entire direct, but is limited to matters
raised on cross. The A.D.A.'s focus will be to clarify points that are unclear and
to explain items that might otherwise score points for the defense on summation.
The A.D.A. will not belabor items he or she considers adequately established and
may fail to ask questions you are expecting. If this happens, it will be a signal
that the A.D.A. feels that your answers on cross-examination were strong enough
to need no further explanation to the jury.

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During redirect, the A.D.A. has another chance to ask the police officer
questions regarding testimony. The police officer has a chance to give a full
explanation he or she wasn't allowed to give on cross-examination. Redirect isn't
designed to repeat direct - it's limited to matters raised on cross-examination; a
chance to plug up any holes. Recross may follow redirect. A defense lawyer
must limit questions to matters raised on re-direct. Obviously, lawyers will try to
portray their client as a good guy. Nationwide, only 10% of cases go to trial. Of
these cases, eyewitness I.D. comes into play less than 50% of the time.
Eyewitness I.D. is not an issue in a majority of cases because the accused is
arrested in the act of commission, or there is a confession, or I.D. is admitted but
guilt is contested. Most crimes are property crimes (burglaries, auto thefts, etc.)
in which proof of I.D. are seldom contested. Personal crimes (assault, rape, etc.)
usually involve parties who are acquainted with each other. Robberies involve
the use of eyewitness I.D. to a great extent. The opportunity for observation is
often fleeting and under stressful circumstances. The defense attorney attempts
to call into question the capacity of the eyewitness for reliable observation.
Eyewitness evidence is used in about 5% of criminal trials. Most cases involve
eyewitness I.D., in addition to circumstantial evidence of some kind.
Recross may follow redirect. Like the A.D.A., the defense lawyer is limited
to the matters raised on redirect. He or she will focus on the few points that
enhance the defense case. When all the testimony is concluded, the judge will
usually thank you for appearing and ask you to step down from the witness
stand.
The disciplined professionalism you bring to the courtroom should stay
with you at all times. You are a working police officer even when you are not
actually answering questions. Thus, it is important to conceal from the jury
whatever sense of relief you may feel at the close of your testimony. Even if the
cross-examination was a grueling ordeal, the jury should see you step from the
stand in an unhurried manner. Nor should smiles, winks or victory signals pass
between you, the A.D.A., or other officers.

CONCLUSION:
APPEARING IN COURT
The attitude a police witness brings into the courtroom may be as
important as his or her actual testimony. No matter how hard you work at letting
it go, at telling yourself the facts of the case are the facts, human nature dictates
that you will feel differently about an acquittal than a conviction. It is almost
impossible not to regard a conviction as a vindication of your police work, and
equally difficult not to view an acquittal as some sort of blot on your police record.

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These feelings are only natural. The experience of testifying in court is
one that generates a great deal of adrenaline. The defense attorney questioned
your police work and, maybe, your integrity. The jury may have chosen to reject
your testimony in favor of a defense theory you may regard as false.
It is important to put these feelings in perspective. Your police work was
not on trial. Your testimony may have had little to do with the eventual outcome
of the case. Speaking to the A.D.A. after trial can help you understand the
verdict, and would also help you improve as a witness for the next trial.
Some police officers have the impression that an unfavorable courtroom
verdict is a black mark against them within the Department. This is not the case.
Presenting the facts as clearly as possible is all the Department expects of its
officers.
Most athletes find that their performances are enhanced when they are
able to detach themselves from an overly strong need to win. Personal
antagonism toward an opponent seldom improves the athlete's game; trying too
hard leads to mistakes. In the same way, your performance as a witness
becomes better - and easier - the more you can let it go.

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COURTROOM TESTIMONY CHECKLIST
At Time of Arrest
1.

Officers should start preparing for trial the moment they make arrests.

2.

All arrests should be made assuming that the case will ultimately go to
trial.

3.

What was your assignment that day? Operator, recorder, footpost, etc.

4.

Why did you respond to the job? (e.g., pickup, the communications unit,
from the station house)

5.

What kind of description did you receive?

6.

What time did you receive the assignment?

7.

What time did you arrive at the scene?

8.

What time did you depart?

9.

Are you the apprehending officer or the arresting officer?

10.

Did you indicate location of crime and location of arrest?

11.

Was force used to make the arrest or Stop and Question?

12.

What was the direction of the chase?

13.

Did you lose sight of suspect or contraband? How long?

14.

A diagram of arrest scene should be drawn on back page of memo book.

15.

A list of officers who were present at arrest scene should be kept.

16.

Make sure Miranda warnings are given.

17.

All statements made by the suspect should be recorded in your memo
book, in quotes.

18.

What officer searched the suspect and who found what and where?

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19.

Make sure the least amount of people are involved in the chain of
evidence.

20.

Regarding all evidence found: Where it was found and by whom.

21.

Make sure you ID evidence properly.

22.

How was the prisoner transported and to where? Were any statements
made by the prisoner while enroute?

23.

Record all voucher numbers, arrest numbers, etc.

24.

Review all paperwork and check for accuracy.

Prior to the Court Appearance
1.

Review your memo book and all other written reports pertinent to the
case.

2.

Review the case with other officers who were involved.

3.

Discuss the case with the A.D.A. assigned to it. Readily admit this during
trial; if the A.D.A. has not, notify all witnesses of the court date.

4.

Review those laws and court decisions affecting the case.

The Court Appearance
1.

Arrive early.

2.

If in civilian clothes, dress in conservative business attire. If you are in
uniform, make certain it is clean and pressed.

3.

Bring your memo book and all necessary reports (e.g., laboratory,
ballistics, intox test reports, Miranda Warning memo book inserts).

4.

Have all physical evidence (obtained from the Property Clerk).

5.

Insure the presence of required witnesses.

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The Testimony
1.

Take the oath solemnly and seriously.

2.

Speak clearly and loudly enough to be heard by the judge and jury. Turn
your body slightly to the jury when speaking.

3.

Don't be arrogant when testifying – be professional.

4.

Avoid the use of police jargon (e.g. using the term “61” when referring to a
complaint report, or the term “in the bag” when referring to in being in
uniform). Use of police jargon tends to annoy and confuse the jury. It also
tends to make the jury resent and even distrust the police officer/witness.

5.

Keep your answers brief and to the point. If you can answer by a simple
yes or no, do so.

6.

If required to give a narrative, recite it in a logical and chronological
manner.

7.

If you don't understand the question, say so and ask that it be rephrased.

8.

Use the term approximately when testifying about time, distance, or
dimensions unless you are absolutely certain.

9.

If you don't remember certain facts, ask the court's permission to refresh
your recollection by using your memo book.

10.

If you don't know the answer, say so: don't concoct one.

11.

Don't blurt out answers - think, then answer (this also allows the A.D.A.
time to object to that question).

12.

Don't be argumentative with the defense counsel and, certainly, not with
the judge. Don't try to match wits.

13.

Examine the physical evidence to make certain of identification before
testifying.

14.

Refer to "the defendant" as "Mr." or "Ms." Jones; and not as "the
perpetrator."

15.

Avoid technical language. If used, try to clarify it.

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16.

Watch your body language. Keep your hand away from your mouth.
Make up your mind that the defense will do whatever is necessary to win.

17.

Defendants will lie under oath - what do they have to lose?

18.

Don't get personal during testimony.

19.

Try to avoid any annoying habits in speech or action that you may have.

20.

Make sure that you can identify the defendant.

21.

Make eye contact with the jurors while testifying.

22.

Unless you are an expert, don't present yourself as such.

23.

Body Language - identifies you in the courtroom:
•
•
•
•
•

24.

Your entrance;
Your exit;
The stand;
Your demeanor and facial expressions;
Try to keep your feet and hands still.

Pay attention - don't daydream.
•

Wait for the completed question before answering. Don't anticipate
the question.

25.

Unless asked, don’t give opinions.

26.

If possible, avoid such phrases as "I think", "I suppose", "I guess", or “I
believe.”

27.

Admit, if asked, that you discussed the case with the A.D.A., assisting
officers, and victims. This is the normal procedure in order to refresh your
recollection.

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28.

Always testify accurately, even if it appears after the fact that your actions
may have been unconstitutional. Searches conducted on the street may
prove to be illegal when examined at a later date. Never attempt to fix the
illegality of a search by perjuring yourself regarding the specific facts of
the encounter. Police officer witnesses must simply testify as to what
happened.

29.

It is incumbent upon the court to determine what factors negate the
legality of a particular search or street encounter.

30.

TELL THE TRUTH - NO CASE IS WORTH PERJURY.

INTRODUCTION TO TRAFFIC COURT TESTIMONY
Traffic Violations Bureau testimony is the most common form of courtroom
testimony given by patrol officers. The importance of this testimony should not
be minimized since it is equally as important as criminal court testimony. The
manner in which you testify reflects upon your own personal credibility as well as
the way the entire Department is perceived in the eyes of the community.
A police officer’s duties do not end with the issuance of a summons.
Summonsing officers are also responsible for documenting all relevant facts
regarding the violation(s) and for ultimately presenting this information at a
hearing. Lack of documentation such as an incomplete summons or an
insufficient Activity Log entry will severely hinder the case. Currently, numerous
traffic violation cases are being dismissed due to improper testimony by police
officers. In most instances, these dismissals could be avoided if the officers
would simply devote more time to preparation. You, the summonsing officer,
must be adequately prepared in order to present a professional image and to
enhance the effectiveness of your testimony.
Remember that, as with any testimony, the most important thing is to tell
the truth. Police officers find themselves giving sworn testimony at traffic court
more than any other forum. The laws of perjury, of course, also apply to traffic
court. Your performance depends upon you. As is the case with criminal court
testimony, preparation, and professionalism are the keys to success.
The Importance of Detailed Notes
Uniformed members of the service must be able to testify to all facts
stated on the summons (for example, the time of day, the location, etc.). This is
especially true if the summons is issued for a signal light violation. An officer

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must be able to testify as to where traffic control devices were. It is strongly
suggested that the officer draw a diagram of the intersection illustrating the
position of the traffic control devices controlling the intersection and be able to
show:
1.

The direction traveled by the violator's vehicle;

2.

Which directions were controlled by traffic control devices;

3.

Where the officer was positioned when the violation was observed;

4.

The exact location of any crosswalk or stop line at any given intersection.
Note: This diagram can be drawn on the rear (unlined) side of your
Activity Log page.

Officers’ Testimony Should Address the Following Important Points:
1.

The date, time and location of the offense;

2.

The officer’s location at the time of the offense;

3.

The officer’s assignment;

4.

Weather conditions;

5.

Road conditions and visibility;

6.

A description of the area (traffic control device/commercial/
residential/highway);

7.

The location and direction of the R.M.P. (Exact location of officer when on
foot patrol);

8.

The direction the motorist was traveling;

9.

The name of the street/highway (Indicate whether one way/two way);

10.

Exactly where the vehicle was stopped and the manner in which the driver
was pulled over;

11.

Constant observation of vehicle from initial time of violation to time vehicle
stopped;

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12.

The relative distance of the violator's vehicle from the police officer at the
time violation was observed;

13.

A description of the vehicle (color, make, year, model and plate number);

14.

Secondary characteristics of the vehicle (for example, raised rear end,
side exhaust, thick racing tires, etc.);

15.

Identification of the defendant as the driver of the vehicle and any other
conduct;

16.

Any conversation with the operator;

17.

Elements of the offense (for example, the defendant’s vehicle entered the
crosswalk while the light was steady red and then proceeded through the
intersection or the vehicle crossed the white stop line in the roadway);

18.

A specific reference to the fact that a summons was issued.

Three Components of Traffic Court Testimony
When providing traffic court testimony, officers are required to relate the
series of events surrounding the violation exactly as they occurred. Therefore,
such testimony should resemble a story, with a beginning, middle, and an end.
1.

The Beginning: Introducing Yourself and the Location of the
Violation
a.

Name, rank, shield number, and command;

b.

Time of violation;

c.

Date of violation;

d.

Location of violator's vehicle, including a description of the location
(for example, a one-way street controlled by an overhanging traffic
signal);

e.

Officer's position relative to violator's vehicle at time of violation
(e.g., on north-east corner facing the stop sign).

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2.

The Middle: Describing the Facts and Circumstances of the Violation
a.

Provide defendant and vehicle information;

b.

Observation of direction/distance of vehicle (for example,
northbound on Third Avenue, approximately five car lengths from
crosswalk);

c.

A statement that the officer observed that the traffic signal was
functioning (The officer knows this because he or she saw it
change from green to yellow to red, then back to green.);
Statements regarding:

d.

3.

•

The number of passengers and where seated;

•

Weather conditions;

•

Other relevant road markings;

•

Any traffic agents directing traffic.

The End: Describing Your Interaction with the Violator
a.

Any statements made by the violator;

b.

Continuity of eye contact, length of observation;

c.

Summons served.

The issuance of a summons is not the final step, but it is an important one.
The officer issuing the summons must document all of the facts regarding the
violation(s). Remember to fill in all of the captions as required on the summons;
an incomplete summons will cause a dismissal of the case in court. You are not
required to retain a mental picture of the violator or to pick him or her out of a
crowd, but you must be able to testify that, at the time of the summons, you were
satisfied he or she was the person described on the license presented to you.
During testimony, always remain calm, be polite and, most of all, do not become
argumentative. As long as you have prepared your case properly you will be
confident in yourself.

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THE FOLLOWING CHECKLISTS MAY BE HELPFUL WHEN USED
IN PREPARING TESTIMONY AT THE TRAFFIC VIOLATIONS
BUREAU:
RED LIGHT TESTIMONY
1.

Date of violation.

2.

State the intersection of occurrence and a brief description (include
marked crosswalk, if applicable).

3.

Observed traffic signal and it was functioning properly.

4.

State your location and whether you had a clear, unobstructed view of the
intersection (observed same light as motorist, if applicable). Stating that
the light was green on your side of the traffic device would be insufficient
evidence to prove that the light was red on the defendant’s side when he
or she crossed the intersection. Testimony that you observed both sets of
lights and that they were operating correctly and synchronized with each
other, changing simultaneously, should also be included.

5.

Approximate time of violation.

6.

State you observed the light change to red.

7.

Observed motorist an approximate distance (in car lengths) from stopping
point while light was red.

8.

Observed motorist pass required stopping point (marked crosswalk, etc.)
while light was red and motorist made no attempt to slow down.

9.

Motorist was stopped and identified from New York State photo drivers
license (in most cases), did not lose sight of vehicle at anytime. Include
any statement made by the driver.

10.

Returned to check traffic signal to see if it was still operational.

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TRAFFIC DEVICE TESTIMONY
1.

Date of violation.

2.

State the intersection of occurrence and a brief description (include
description of sign, light, etc.)

3.

Observed whether the traffic device was clearly visible (not obstructed,
free of graffiti, etc.).

4.

State location where you made the observation.

5.

Approximate time of violation.

6.

State you observed motorist make a turn in violation of a sign (No Left
Turn, etc.).

7.

Motorist was stopped and identified from New York State photo drivers
license (in most cases), and did not lose sight of vehicle at any time.
Include any statements made by driver.

8.

Returned to check traffic device and condition of device did not change.

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STOP SIGN TESTIMONY
1.

Date of violation.

2.

State the intersection of occurrence and a brief description (include
description of stop sign, crosswalk, stop line, etc.).

3.

Observed stop sign was posted and whether clearly visible (not
obstructed, free of graffiti, etc.).

4.

State location where you made the observation.

5.

Approximate time of violation.

6.

Observed motorist an approximate distance from required stopping point
(use car lengths).

7.

Motorist passed required stopping point without coming to a complete
stop.

8.

Motorist was stopped and identified from New York State photo drivers
license (in most cases), and did not lose sight of vehicle at any time.
Include any statement made by driver.

9.

Returned to check traffic device and condition of device did not change.

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Court Appearances

UNLICENSED OPERATOR TESTIMONY
1.

State why the operator was stopped (type of offense, if any).

2.

When was operator stopped (date, time of day)?

3.

The failure or refusal to display a license on demand of a police officer.

4.

Vehicle description.

5.

Physical description of the operator.
occupants).

6.

How a positive identification was obtained.

7.

What summonses were issued and the results of the stop?

8.

Statements made by vehicle operator (Distinguish between "I don't have a
driver's license," and "I have a driver's license but I was in a hurry and
forgot it at home").

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(Also number and position of

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INSPECTION CERTIFICATE TESTIMONY
1.

Why the operator was stopped (Type of offense, if any).

2.

Location of the stop (date and time of day).

3.

Vehicle description.

4.

Number of the inspection sticker.

5.

Expiration date of the inspection sticker.

6.

Was an inspection sticker observed on the vehicle?

7.

Information on inspection sticker did not match the vehicle registration?

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Court Appearances

IMPROPER LIGHTS TESTIMONY
1.

Date and time of day.

2.

Weather conditions (heavy fog, rain or snow).

3.

Location of vehicle (street, highway).

4.

What type of lights (headlights, brake lights, tail lights)?

5.

Statement describing that the vehicle lights were examined during the stop
and found to be defective or not turned on.
Note: Headlights must be on when wipers are in use.

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ONE-WAY STREET TESTIMONY
1.

Location of sign.

2.

Officer's position at time of incident.

3.

Sign free from obstruction and graffiti.

4.

Direction of the sign.

5.

When and where the vehicle was stopped.

6.

How many lanes?

7.

Direction of vehicle in relation to traffic sign?

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DISOBEY SIGN, IMPROPER TURN, FAIL TO SIGNAL TESTIMONY
1.

Location of sign(s) or infraction.

2.

Location of officer.

3.

Description and number of signs (U-Turn or No Left Turn, etc.).

4.

Direction of vehicle.

5.

Operator making right or left turn.

6.

Traffic was light, moderate or heavy.

7.

Any on-coming vehicles or pedestrians in the roadway?

8.

No sign indicating: After Stop, Right Turn Permitted On Red.

Note: In all cases, an officer should state how many people were in the
vehicle, where the vehicle was stopped, and any statement(s) made by
the operator.

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OFFENSES RELATING TO JUDICIAL PROCEEDINGS
This classification of offenses involves misconduct related to official
proceedings in court and other judicial forums. It includes perjury, tampering with
physical evidence, tampering with a witness, and bribing a witness.
Perjury
While aggressively pursuing violators of the law, members of the service
will make arrests, be required to sign affidavits, appear before Grand Juries and
testify under oath in court. As members of the service, we have pledged to
maintain a higher standard of integrity than is generally expected of others.
Nowhere is this obligation more important than on the witness stand in a court of
law. When a police officer commits perjury, the making of a FALSE
STATEMENT WHILE UNDER OATH, he or she not only jeopardizes the
outcome of that particular case, but also many other proceedings where a police
officer's credibility is in question. Perjury only serves to break down the
police/community trust that community policing tries to cultivate. Most
importantly, officers should be aware that if they make false statements in these
situations, they may be arrested and prosecuted.
Definitions of Terms Related to Perjury (P.L. 210.00)
Testimony means an oral statement made under oath in a proceeding before
any court, body, agency, public servant or other person authorized by law to
conduct such proceeding and to administer the oath or cause it to be
administered.
Oath includes an affirmation and every other means authorized by law of
attesting to the truth of what is stated.
Swear Falsely is an offense that occurs when a person intentionally makes a
false statement that he or she does not believe to be true, either while giving
testimony; OR under oath in a signed written instrument.
Note: A false swearing in a signed written instrument shall not be deemed
complete until the instrument is delivered by its signer, or by someone acting
in his or her behalf, to another person with intent that it be used as true.

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Perjury – Misdemeanor (P.L. 210.05)
The least serious form of Perjury occurs when a person swears falsely. It
does not require that the false statement be material to the issues of the case. In
other words, the false statement will have no effect on the outcome of the trial.
This false statement may be made while giving testimony or under oath in a
signed written instrument.
EXAMPLE: A witness testifies that he saw a street crime occur while he
was taking a solitary walk on the street when, in fact, out on a date with a
woman who was not his wife. This is a false statement, but it has no
bearing whatsoever on the facts in issue at the trial.
Perjury – Felony (P.L. 210.10, 210 .15)
This crime can be committed in one of two ways. It occurs when a person
swears falsely and when his or her false statement is:
First, made in a signed written instrument for which an oath is required by
law;
And
made with intent to mislead a public servant in the performance of his or
her official functions;
and is material to the action, proceeding or matter involved.
Or
Second, giving false testimony, when the testimony is material to the
action, proceeding or matter in which it is made.
Example: A police officer signs a Criminal Court Complaint which states
that he saw the defendant with a gun in his hand when, in fact, he saw the
gun on the ground. He then swears before a judge that the false
statement is true.
Most arrests result in the preparation of an affidavit or criminal complaint.
The information in the complaint is dictated by an Assistant District Attorney and
typed by a clerk. Usually there is a certain amount of pressure on everybody to
do this quickly. You should never sign anything, particularly an accusatory
instrument, without reading its contents. It may contain a mistake of fact. If it
does, you may have a problem when testifying later. You may adopt the facts as

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stated in the complaint in your testimony and if you do, you are committing
Perjury. The A.D.A. knows the law better than you do, but nobody knows
the facts of your arrests better than you do – make sure they are stated
accurately.
The temptation to perjure yourself may sometimes be strong. If an officer
observes a defendant engage in some activity that arouses his or her suspicion
and the officer searches the defendant illegally and finds narcotics in the
defendant's pockets, the officer is presented with a problem. The search was
clearly illegal, but the officer may feel that justice would best be served by
testifying that the defendant dropped the narcotics in the street as the officer
approached. If the officer did so, he or she would be committing Perjury.
Another situation that occurs quite often is when the police officer is in
pursuit of a suspect. The officer is certain that the defendant is guilty and
testifies that he or she never lost sight of the defendant from the scene of the
crime up to the eventual arrest. If this is not true, he or she is committing Perjury.
To Avoid These Situations Simply Follow These Rules:
1.

Take careful notes as soon as possible after making an arrest.

2.

Only tell the truth as you KNOW it.

3.

Carefully read all statements before signing.

4.

Never try to improve the case by adding facts that are not true.

5.

If you are uncertain of any details, make it known to the Assistant District
Attorney and testify only to those things of which you are sure. If
uncertain, state it to the court.
Note: When signing any type of accusatory instrument, you are affirming
as to the truthfulness and accuracy of the facts contained therein. Before
signing it you must be certain that the facts are true and accurate to the
best of your knowledge. A personal service summons, such as a “C”
Summons for Disorderly Conduct or an Environmental Control Board
Notice of Violation should never be signed in advance. These
summonses should be signed only at the time of issuance. When
completed, accusatory instruments that are prepared by another person
on your behalf (that is, on information which may be typed for you by court
personnel) should be carefully proofread before signing to ensure
accuracy.

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Definitions of Terms Related to Tampering With Physical Evidence
Physical Evidence means any article, object, document, record or other thing of
physical substance that is produced or used as evidence in any official
proceeding.
Official Proceeding means any action or proceeding conducted by or before a
legally constituted judicial, legislative, administrative or other governmental
agency or official in which evidence may properly be received.
Tampering With Physical Evidence (P.L. 215.40)
Considering the importance of physical evidence in the prosecution of a
criminal case, and your responsibility for the gathering, marking and the
identification of evidence, you should be aware of the ramifications of tampering
with physical evidence. Tampering with physical evidence is a felony and can be
committed in three ways.
A person is guilty of Tampering with Physical Evidence - Felony, when:
with intent that it be used or introduced in an official proceeding, he or she:
Knowingly makes, devises or prepares false physical evidence;
Or
Produces or offers such evidence at such a proceeding knowing it to be
false;
Or
Believing that certain physical evidence is about to be produced or used in
an official proceeding or a prospective official proceeding, and intending to
prevent such production or use, he or she suppresses it by any act of
concealment, alteration or destruction, or by employing force, intimidation
or deception against any person.

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CONCLUSIONS: OFFENSES RELATING TO JUDICIAL PROCEEDINGS
Perjury constitutes only one aspect of police misconduct. Perjury is often
entangled with other types of misconduct. Other corrupt acts of commission
include, but are not limited to, the use or sale of narcotics, driving while being
intoxicated, writing "phantom" summonses, using excessive force, and stealing
money or property. Acts of omission include failure to either effect required
arrests or to perform mandated duties.

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Policing With Integrity

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT INTEGRITY?
The day you entered this Department, you raised your right hand and pledged to
uphold the Constitutions of the United States and the State of New York. This was one
of the major changes of your life; in an instant you were placed into a position of
authority. This position requires much of you, and has many facets. On any given tour,
you may find yourself aiding those needing medical help, rescuing people from harm, or
arresting those who commit crimes. But your responsibilities also include living up to
the great trust bestowed upon police officers by the people, by doing everything you can
to see that the integrity and reputation of the Department remain untarnished. The
corrupt actions, or even the thoughtlessness or insensitivity, of a single police officer
tarnish the image of every honest police officer and the Department. The great strides
this Department has made in preserving the trust of the people quickly erodes when
society questions the integrity of its police.
Maintaining the integrity of the Department and preventing corruption are
the responsibilities of every single member of the service, and do not lie solely
with the Internal Affairs Bureau, supervisors, or commanding officers. Every
member of the New York City Police Department is charged with upholding the trust
afforded by the people.
As we begin to look at corruption and serious misconduct and the responsibility
of all members to report these acts, remain mindful that only a very small percentage of
police officers are corrupt. The overwhelming majority of the Department is committed
to civic service and performs its daily duties with professionalism and a respect for the
members of our Department who have fallen in preserving our values. But since a
small number of corrupt officers, even just one, can impinge upon our abilities to
perform our duties, we must remain vigilant to identify these individuals and to purge
them from our ranks.

THE FOUR CORE REQUIREMENTS OF PUBLIC TRUST IN THE POLICE

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Ethics

Values

Professionalism

Integrity

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DEFINITIONS
What are ETHICS?
Definition: A code or system of conduct that encompasses universal moral
obligations and duties that explain how to act; a set of moral values or
principles governing a certain group or profession.
What are VALUES?
Definition: Values are forms of beliefs that govern our behavior. These beliefs guide
our actions, attitudes and decision-making.
Ethics and values vary from person to person and group to group. Each person
brings his or her own set of personal values into policing with them. These values,
which are instilled in us from an early age, affect behavior as police officers and our
interactions with the public. The New York City Police Department has set forth the
moral values and principles of conduct which are expected of ALL members of the
Department through promulgation of the Police Code of Ethics.
Police Code of Ethics
•

A Police Officer is both a citizen and a law enforcement officer who,
on behalf of his or her fellow citizens, prevents crime, preserves the
public peace, protects persons and property, and apprehends
offenders.

•

It is the tradition of the Police Profession to be helpful to all beyond
the call of duty.

•

A Police Officer is a servant of the law. Honesty in thought and deed
should characterize a Police Officer’s official and private life.

•

A Police Officer must be impartial and fair to all people, whatever
their social position, race, age, ethnicity, gender or sexual
orientation.

•

A Police Officer must be incorruptible to be worthy of his chosen
profession. Honest Police Officers must not tolerate an Officer who
would engage in corruption or serious misconduct. All Police
Officers have an absolute duty to report any corruption or serious
misconduct of which they become aware.

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•

A Police Officer should have compassionate respect for the dignity
of the individual and behave to all with courtesy, self control, human
understanding and tolerance.

•

A Police Officer must never use more force than necessary to
accomplish a legitimate purpose nor may he or she ever subject
anybody to any form of cruel, inhuman or degrading treatment.

•

A Police Officer should strive continually to increase his or her
professional skills. In so doing, the Officer should seek to gain evergreater insight into society and human nature.

•

A Police Officer must execute the laws and regulations of his or her
jurisdiction and obey orders pursuant to such laws and regulations.

•

Matters of official Police Department business coming to the
attention of a Police Officer should be kept confidential, unless the
performance of his or her official duties requires otherwise.

•

A Police Officer’s conduct as a citizen should be exemplary.

The Department’s Code of Ethics emphasizes the importance of personal lives of
police officers. Police officers must be incorruptible and must not tolerate acts of
corruption or misconduct among other police officers. All police officers have an
absolute duty to report any acts of corruption or serious misconduct of which they
become aware.
What is INTEGRITY?
Definition: Completeness, Wholeness, Unimpaired Condition, Soundness, Honesty,
Sincerity.
Integrity is most commonly associated with honesty. Almost everyone agrees
that honesty is a worthy principle. Every major religion preaches it. Schools teach it.
Courts enforce it. Business, government and individuals claim to practice it.
Unfortunately, honesty is frequently ignored and self-serving interests takes its place.
Because police officers have such awesome responsibility and authority, police work
offers more opportunities to be dishonest than do all but a very few other occupations.
The public knows how powerful police officers are, and is well aware of how great the
opportunities for abuse are in policing. For this reason, the public is always alert to any
sign of police corruption or the absence of police integrity. Consequently, we must not
only make certain that our behavior is ethical and proper, but that it can never be
perceived as unethical or improper. Absolute honesty in both our official and off-duty
capacities is essential if we are to maintain the public trust.
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What is PROFESSIONALISM?
Professionalism is easy to recognize but very difficult to define. Among the
factors considered to be signs that an occupation has reached the professional level are
the following:
•

Higher Education: The requirement that entrants to a line of work have
completed advanced studies.

•

Specialized Training: Job specific training that provides the profession’s
members with specialized information, knowledge, and skills that are not
possessed by others.

•

A Published Code of Ethics: A statement of the profession’s definitions
of acceptable and unacceptable conduct.

•

Autonomy and Discretion: The grant to members of the profession of a
great deal of power to make decisions on their own, within the limits
defined in specialized training and in the profession’s code of ethics.

•

Self-Regulation: A method through which the members of the profession
review each other’s conduct and hold members accountable for adhering
to the code of ethics and to the behaviors defined in specialized training.

In policing, professionalism usually is associated with carefully screened, trained,
and certified individuals who are highly motivated and who exhibit a sense of ownership
in the agency and a sense of partnership with the community. Nobody can truly be
considered a professional without an approach to one’s work that involves the
uncompromising pursuit of excellence and the constant commitment to service. True
professionals are sincerely committed to improving their agency and the work it
performs. They set the highest standards of integrity and performance for themselves
and others, and refuse to tolerate among them those who violate their profession’s
Code of Ethics.
The NYPD has defined our organizational values through publication of a
“Department Values Statement.”

NEW YORK CITY POLICE DEPARTMENT VALUES
1.

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Protect the lives and property of our fellow citizens and impartially
enforce the law.

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2.

Fight crime both by preventing it and aggressively pursuing violators
of the law.

3.

Maintain a higher standard of integrity than is generally expected of
others because so much is expected of us.

4.

Value human life, respect the dignity of each individual and render
our services with courtesy and civility.

Each of us possesses our own set of personal values, beliefs and prejudices,
which may at times conflict with our organizational values. It must be emphasized that
regardless of our personal viewpoints, all Police Officers are expected and required to
conduct themselves in a manner that is consistent with the Department’s Values.

DEPARTMENT MISSION
The MISSION of the New York City Police Department is to enhance the
quality of life in our city by working in partnership with the community and in
accordance with constitutional rights to enforce the laws, preserve the peace,
reduce fear, and provide for a safe environment.

PUBLIC PERCEPTION OF POLICE BEHAVIOR
As mentioned earlier, our Department values mandate that police officers
“maintain a higher standard of integrity than is generally expected of others because so
much is expected of us.”
1.

Does society hold police officers to a higher standard of integrity?
ANSWER:

2.

Yes

Does society have the right to hold police officers to a higher
standard of integrity?
ANSWER:

Yes

Why Does Society Have The Right?
Nobody in society employs more responsibility and discretion than a police
officer. Nobody else in our system has as much authority as a police officer to deprive
people of their privacy, property, or freedom, or to make an instant decision that, absent
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any review or appeal, can deprive a person of his or her life. This great authority has
created both a historical expectation and a body of legal precedent that hold those in
public office to very high standards.
You should know about these expectations before you go any further in your
police career. Neither you nor anybody else is obliged to become a public servant or to
take the oath of office as a police officer. Once this position is accepted, however, you
agree and are obliged to abide by the standards that go with it.

OFF-DUTY CONDUCT
As has been already established, police officers are held to a higher standard of
integrity than the ordinary citizen. This higher standard extends to off-duty conduct.
Ordinary citizens are generally considered free to behave as they see fit (within the
limits of the law) while off duty. Courts have ruled that employers have little or no
authority to regulate the off-duty conduct of their employees. This is NOT true of police
officers.
Because of the tremendous power and responsibility vested in police officers,
courts have held that police officers are held to a different standard of off-duty conduct
than the average person. This is particularly true in the area of narcotics use, which is
strictly prohibited and will result in suspension and termination for any violation.
Additionally, because police officers are required to be fit for duty at ALL times (except
when on Sick Leave), they cannot consume alcohol to such an extent that it makes
them unable to perform their duties.
Because of the unique nature of this profession, police officers are also restricted
in their off-duty conduct as to locations that they frequent (e.g., social clubs), people
with whom they associate (e.g., known criminals), and off-duty employment (e.g.,
licensed premises).
As with official conduct, a police officer’s off-duty behavior is closely scrutinized
by the public. Therefore, all police officers must be diligent in avoiding activities that
hint of impropriety.

THE ROLE OF THE MEDIA IN MONITORING POLICE CONDUCT
The media plays an important role in monitoring police conduct. There are both
positive and negative aspects to this role.

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Positive Aspects
The media have a very important function as independent public advocates. The
media acts as a public watchdog, monitoring police behavior and alerting the public to
any possible misconduct that may be occurring. This is a positive factor because it
helps to ensure that the police remain accountable to the communities they are sworn to
protect and serve. In this function the media act as a powerful instrument for positive
change.
The media also serve to keep the public informed of positive news stories
involving the police. Since policing calls for us to work in partnership with the
community to solve problems of mutual concern, it is crucial that we keep the
community informed of what we are doing and how it affects them. In order to
accomplish this, it is important that we maintain a cooperative relationship with the
media.
Negative Aspects
While the media undoubtedly functions as a force for positive change, there are
also several negative aspects to the media’s monitoring of police conduct. The media
obviously are in business to make money and often take poetic license when presenting
police related stories. Sensationalized stories sell better than do the mundane stories
that are more typical of the average police officer’s day. Some newspapers broadcast
negative police stories on the front pages, while relegating positive stories to the back
pages where they are seldom seen.
Additionally, the media rarely discloses the source of stories and are not always
diligent and responsible in checking the accuracy of the stories. Because the public
often believes these stories to be totally accurate, the reputation of the Department may
be damaged by some of these inaccurate reports, even if they are later clarified.

HISTORY OF POLICE CORRUPTION IN NEW YORK CITY
Since the Department was created in 1845, corruption and misconduct have
been an existing and fluctuating concern. A number of major corruption scandals have
occurred over the past one hundred years resulting in major external investigations. On
average, these major corruption investigations have surfaced once every twenty years.
It is important to review these because they show how the few have tarnished the image
of the Department and created a need for an internal investigative body. We as law
enforcement professionals must maintain the public’s confidence. Therefore, an internal
investigative body within the Police Department is necessary. However, this
responsibility does not belong solely to the investigators of police misconduct: It is the
responsibility of all members. The New York City Police Department values state
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“Maintain a higher standard of integrity than is generally expected of others
because so much is expected of us,” and we will do whatever is necessary to
accomplish this goal.
The purpose of this lesson is to also make you aware of the basic integrity
monitoring programs that are available at the precinct level. It is also emphasized that
to maintain a high level of integrity and credibility, corruption and misconduct must be
exposed from within. The notion that a person who uncovers corruption is a “rat” or that
one must not break the “blue wall of silence” was created by the wrongdoers to protect
themselves. It must be understood that although many agencies exist, both within and
outside the Department, which are responsible to investigate misconduct and
corruption, the ultimate responsibility in eliminating it belongs to every honest, hard
working member of the Police Department.

MAJOR CORRUPTION INVESTIGATIONS IN THE N.Y.P.D.
Lexow Committee
In the early 1890s, “respectable” New York was appalled by the prostitution,
gambling and other forms of vice proliferating in the City. When Reverend Charles
Parkhurst, pastor of the Madison Square Presbyterian Church and president of the
Society for Prevention of Crime, accused city officials, including the police, of corruption
and complicity, the story was investigated by two celebrated muckrakers, Lincoln
Steffens of the New York Evening Post and Jacob Riis of the New York Evening Sun.
Responding to the scandal in 1894, the New York State Senate appointed an
investigating committee headed by Senator Clarence Lexow, a Columbia-trained lawyer
and Ph.D. After taking thousands of pages of testimony from more than 500 witnesses,
the Lexow Committee concluded that the Department, which was responsible for
security at the polling places, had been used to tamper with elections. The Committee
also found that officers accepted bribes to overlook gambling, prostitution and con
games, engaged in acts of brutality, and extorted money from innocent citizens under
the threat of violence or false charges. Many officers obtained initial appointment or
lucrative promotions or assignments through political connections or cash payments.
The investigation may have been politically motivated, at least in part; it was no surprise
that the Republican majority Senate was eager to embarrass Tammany Hall. But even
Tammany Democrat Jacob Cantor and Independent Democrat Daniel Bradley, who
quarreled with the conclusion that the police were used to fix elections, agreed that the
Department was otherwise corrupt and should be reorganized.
Although legal action was taken against many officers, none of the convictions or
dismissals stood up on appeal. In 1895, William Strong, a political novice, was elected
mayor. Theodore Roosevelt, the outgoing mayor, declined Mayor Strong’s offer for
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appointment as Street Cleaning Commissioner, but obtained the presidency of the
Board of Police Commissioners. Roosevelt and his fellow commissioners replaced
many senior police officials and improved standards of selection and discipline. In an
attempt to minimize temptations to bribery, he adopted a policy of strict enforcement of
vice laws. In 1897, Roosevelt left New York and the Police Department for Washington
and accepted a post as Assistant Secretary of the Navy. The next mayor, Robert Van
Wyck, was an opponent of the reforms enacted by Roosevelt, and the City quickly
regressed to its former condition.
Becker-Rosenthal Affair (also known as Curran Committee Investigation)
On July 16, 1912, gambler Herman Rosenthal was shot to death in broad
daylight in front of the Hotel Metropole on 43rd Street in Times Square. Several on-duty
police officers witnessed the killing but allegedly took no action. The press had reported
that Rosenthal was providing information to the New York County District Attorney
about payments to police for protection, and that he was scheduled to make a grand
jury appearance later that day. Investigators concluded that Rosenthal was killed on the
orders of Lieutenant Charles Becker, a commander of the so-called “strong arm squad,”
a vice unit under the personal authority of the Police Commissioner. Rosenthal had
been paying Becker for protection, but Becker raided his casino anyway. In retaliation,
Rosenthal offered information to the District Attorney. Although some doubt that Becker
was guilty for the murder for which he was ultimately executed, there seems little
question that he accepted bribes and otherwise collaborated with vice.
The Rosenthal murder resulted in the appointment of a Special Committee of
Alderman to investigate the police department, chaired by Alderman Henry Curran. The
Committee concluded that there was an extensive system of payoffs to police by
gamblers and operators of brothels, that officers took bribes to throw cases, and that the
Department made little or no effort to discipline its ranks. Complaints of corruption, for
example, were sometimes given to the accused officers themselves to investigate.
Becker and four others were executed for the Rosenthal murder, and several
police officers were convicted of crimes involving official misconduct. Police
Commissioner Rhinelander Waldo, singled out for special criticism by the Curran
Commission, survived, but lost his job when John Purroy Mitchell was elected Mayor in
1914. Mitchell appointed Arthur Woods, a protégé of Theodore Roosevelt, as police
commissioner. Woods increased training, and employed squads of police to investigate
corruption.

The Seabury Investigation

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In August, 1930, the Justices of the First Department of the Appellate Division of
the Supreme Court appointed former Court of Appeals Judge Samuel Seabury to
investigate corruption in the New York City Magistrates’ Courts in response to a request
for action by then-Governor Franklin D. Roosevelt. Judge Seabury’s investigation
quickly uncovered corruption in the police department.
The investigation pictured an interlocking of lawyers, bondsmen, political brokers,
the police, and the underworld of the courts. For example, in a scam that was a
combination of bribery and extortion, officers and prosecutors accepted money to throw
cases; release from jail also required payment to a participating bail bondsmen. Failure
to pay guaranteed conviction by compliant judges on perjured testimony. A number of
police officers were found to have large, unexplainable hoards of cash. Vivian Gordon,
a prostitute who offered to testify about her knowledge of police scams, was murdered
during the investigation. In the same month that Seabury was appointed to chair the
Committee, a Supreme Court justice stepped into a taxi in front of a restaurant on West
45th Street, and was never seen again.
As a result of the investigation, all members of the Vice Squad were returned to
uniformed duty, and a number of officers were dismissed. Some police officers were
convicted of crimes, such as Vice Officer Sidney Tait, who was found guilty of perjuring
himself in a fraudulent prosecution of an accused prostitute.
Police officers were not the only ones punished. Several attorneys were
disbarred for participating in corruption. Two magistrates were removed from office for
both accepting loans from gamblers and falsifying transcripts. By the end of the
investigation, three others had resigned and one decided to leave the state hurriedly.
Gross Investigation (also known as the Helfand Investigation)
The Helfand investigation began in 1949, after the Brooklyn Eagle reported that
students were being preyed upon by professional bookmakers. Kings County District
Attorney Miles McDonald charged his assistant Julius Helfand with responsibility for
investigating the accusations. Helfand was supplied with a staff of attorneys and
investigators and armed with a special grand jury, which convened in 1949 and was
continued for the next five years. Unlike any of the other commissions, Helfand and his
team had the right and responsibility to prosecute the criminals they uncovered.
The investigation led to Harry Gross, a Brooklyn bookmaker, who reportedly paid
one million dollars a year in “ice” – money for police protection. Gross pleaded guilty to
gambling offenses, and cooperated in hope of leniency. Based on the information
Gross provided, 21 officers were charged with conspiracy for accepting money for not
enforcing the law. Nearly 60 other officers were named as unindicted co-conspirators.
The accused officers ranged from patrolman to Assistant Chief Inspector, then the
second highest uniformed rank in the NYPD.
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Shortly before the trial began, however, Gross went missing for a day even
though he had been under police guard. After surfacing, he was sworn in as a trial
witness and answered a few preliminary questions, but then refused to continue. Gross
was unmoved by a contempt citation. All of the accused officers were released for lack
of evidence, and the double jeopardy clause precluded their reprosecution.
Helfand also found that police vice units often arrested “stand ins,” guilty of no
crime so far as the police knew, paid by bookmakers to “take the rap.” Stand in arrests
benefited everyone involved; the officers appeared to be doing their jobs, the
bookmaker’s business was uninterrupted, and the stand-in was quickly released or
acquitted based on police testimony of acts insufficient to constitute a crime. Officers
not in a position to obtain money from gamblers found opportunities elsewhere.
All 335 plainclothes officers were demoted to uniformed duty. Ultimately, several
hundred officers resigned from the department; dozens were dismissed after
departmental charges, and twenty were convicted of crimes. Police Officer Aaron Feld,
for example, was convicted of perjury for failing to describe his participation in a stand-in
arrest. A number of others, including high-ranking officers, suspected of receiving
money from criminals, were convicted for refusing to testify about their assets or lying
about them. Mayor William O’Dwyer, himself a former police officer, resigned from
office, as did Commissioner William O’Brien and Chief Inspector August Flath. At
Helfand’s suggestion, the City Council amended city law to prevent officers from retiring
the moment they were summoned to the grand jury, as the law then permitted.
Knapp Commission
The Knapp Commission was established in May 1970 by an executive order of
Mayor John V. Lindsay. The Mayor acted upon the recommendation of an
interdepartmental committee he had appointed in response to an article appearing in
The New York Times on April 25, 1970 which charged widespread police corruption and
official laxity in dealing with such corruption.
The Commission was given the task of determining the extent and nature of
police corruption in New York City and examining existing procedures for dealing with
corruption and recommending changes and improvements in those procedures. The
Knapp Commission was different from the others in that it was not created by a mayor
who was already under investigation. It was also televised so the public could see it; this
affected the public’s view of the entire Department.
The Commission found corruption to be widespread. It took various forms
depending upon the activity involved, appearing at its most sophisticated among

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plainclothesmen assigned to enforcing gambling laws. 1 Some plainclothesmen
received as much as $3500 from the gambling establishments in their area, which
would be divided amongst the members in the unit. Corruption also existed in narcotics
enforcement as well as detectives assigned to general investigative duties. The scores
in these cases were not as huge as in the gambling operations, but these shakedowns
were deemed “targets of opportunity,” and not as extensive.
These were some Commissions findings:
•
•
•
•
•
•

Organized Crime was the single biggest source of police corruption.
The second source was legitimate businesses seeking to ease their way through
the maze of the city ordinances and regulations.
The most widespread form of misconduct was the acceptance of gratuities in the
form of free meals, free goods, and cash payments, which in a number of cases
was the beginning of more grievous forms of corruption.
The formation of an internal investigative body (Internal Affairs Division) was
needed.
The concepts of “Accountability and Responsibility” should be emphasized from
within the Department.
The newly created Internal Affairs Division shall be the central repository for
processing corruption allegations.

The Mollen Commission
The crooks, however, that you have uncovered,
the criminals seem to be a different breed of
criminals [than 23 years ago], . . . the guys you
are digging up, these guys are walking around
with lead-lined gloves and riding shotgun for
organized crime people, it seems to me they have
changed the nature of being a “meat eater” in the
Department. Instead of taking money to look the
other way while someone else commits a street
crime, they’re out there competing with the
criminals to commit street crimes themselves,
and it seems to me that is a very big difference.” 2
1

Commission to Investigate Allegations of Police Corruption and the City’s AntiCorruption Procedures, Commission Report (With Summary and Principal
Recommendations, Issued August 3, 1972). Whitman Knapp, Chairman. Excerpt from
Summary – The Extent of Police Corruption, Page 1.
2
Michael Armstrong, Chief Counsel, Knapp Commission, Testifying before the Mollen
Commission, October 7, 1993
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Twenty years after the Knapp Commission, police corruption was again an
issue requiring intervening oversight. In 1994, The Mollen Commission, chaired by
Milton Mollen, revisited the issue of police corruption and found that the face of
corruption had changed. While the results of the Knapp Commission revealed large
numbers of police officers involved in relatively low level forms of corruption and
misconduct, and some officers involved in large scale corruption, the new practice was
"crew corruption," wherein groups of officers protect and assist each other’s criminal
activities. The Knapp Commission labeled the corrupt officers as “grass eaters” and
“meat eaters.” 3 As Armstrong’s comments suggested, however, the meat eaters of the
Mollen era were much more aggressive than were those of the Knapp era.
The Mollen Commission was charged by Mayor David Dinkins to:
1.

Inquire into and evaluate the existing practices, procedures and methods for
investigating specific allegations of corruption and the existing practices,
procedures and methods designed to prevent corruption and maintain
integrity.

2.

Recommend improvements in these practices, procedures and methods
and make any additional recommendations that will ensure the integrity of
the Police Department and to prevent corruption.

3.

Take evidence and hold whatever hearings public and private, that the
commission may deem appropriate to ascertain necessary facts.

The Mollen Commission identified the predominant patterns of corruption in
New York City as police officers committing outright theft from street dealers, from radio
runs, from warrantless searches, from legitimate raids, from car stops, from drug
couriers, and from off-duty robberies. They also discovered cops protecting and
assisting narcotics traffickers as well as cops dealing and using illicit drugs themselves.
A pattern of perjured police testimony and false crime reports was also identified. The
Commission’s report credited the Department with eradicating the once systemic “grass
eaters,” but warned that the “meat eaters” of that time were the rule amongst corrupt
cops, not the exception.

3

“Grass Eaters” are referred to as corrupt officers who receive payoffs, accept
gratuities, solicit five and ten dollar payments from contractors, tow-truck operators,
gamblers, but do not aggressively pursue corruption payments. “Meat Eaters” are
referred as officers who spend a good deal of their working tours aggressively seeking
out situations they can exploit for financial gain, including gambling, narcotics, and other
serious offenses which can yield payments of thousands of dollars.
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Perhaps the face that is most associated with the televised proceedings of the
Mollen Commission was that of disgraced Police Officer Michael Dowd. Testifying
before the Commission, Dowd explained his rogue activities during his assignment at
the 75th precinct. Dowd stated he lost interest in trying to arrest drug dealers and help
rid the City of narcotics traffickers. Instead, he enlisted the services of other officers
who began robbing drug dealers of their money, drugs or guns, or going into business
with them to distribute narcotics and weapons.
Dowd identified his formative years at the Department as laying the groundwork
for his corrupt activities. He testified that his training officers instructed him how to get
six-packs of beer, food, clothing, and other gifts from local merchants. In his early
precinct assignments, older officers advised him that being a “good cop” meant, “never
ratting.” Otherwise, he was warned, fellow officers might be slow to come to his aid if he
were in danger. According to Dowd, being a “good cop” meant beating up suspects and
others as part of the bonding process. To commit a crime or impropriety in front of
another cop meant that cop could be trusted. Throughout these hearings, other officers
testified about their corrupt careers, and it was all televised for the citizens of New York
City, as well as members of the NYPD, and the world.
The Commission, through its independent investigations, discovered that in every
high-crime precinct with an active narcotics trade, some level of corruption existed. It
further revealed that numerous other officers were complicit through their silence and
protection of these corrupt cops. 4 Specifically, an investigation into police officers
receiving payoffs from drug dealers in bodegas and other storefront locations in the
neighborhood, ultimately resulted in the arrest of fourteen police officers assigned to
Manhattan-North’s Thirtieth Precinct and ten of their drug dealer associates – one of the
largest, and most serious, police corruption cases in a generation. Throughout the
Commission’s investigations, the most troubling aspect of these corrupt activities was
not the actual corrupt acts, but rather the honest cops, who by their silence, allow
corruption to continue. 5
Sgt. Joseph Trimboli was a highly decorated, twenty-year veteran of the NYPD.
From 1986 until 1991, Sgt. Trimboli was an investigator assigned to the Brooklyn North
Field Internal Affairs Unit (B.N.F.I.A.U.). During this time, Sgt. Trimboli was the principal
investigator probing allegations of police corruption in the 75th Precinct in Brooklyn.
The numerous allegations indicated the Police Officers assigned to the 75th Precinct
were selling drugs, shaking down drug dealers, stealing from prisoners and D.O.A.’s,
and committing armed robberies. The principal subject of these allegations was former
Police Officer Michael Dowd.

4
5

Mollen Commission Report, Page 11.
Mollen Commission Report Page 5

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Despite minimal resources and assistance, Sgt. Trimboli relentlessly investigated
Michael Dowd and his associates. Due to a shortage of unmarked Department
vehicles, Sgt. Trimboli often conducted surveillance in his private auto, sometimes on
his own time, and at personal risk. Since 1991, Sgt. Trimboli had been Commanding
Officer of the 61st Precinct Detective Squad.
On October 29, 1993, in recognition of his perseverance and outstanding work
on the Dowd investigation, he was promoted to the rank of Sergeant, Supervisor
Detective Squad. In his address to those getting promoted, Police Commissioner
Raymond Kelly hailed Sgt. Trimboli for his dedication and commitment, and thanked
him for his contribution to the Department.
Sgt. Trimboli’s promotion was viewed as a message to all that the Department
values integrity above all else and will reward those police officers that fight corruption.
Sgt. Trimboli subsequently retired and went on to use his skills as a Senior Investigator
with the Queens District Attorney’s Office.
As stated 22 years earlier by Retired Detective Frank Serpico during the Knapp
Commission, the Department must “create an atmosphere in which the dishonest officer
fears the honest one, and not the other way around.” 6 This atmosphere was finally
created subsequent to the Mollen Commission. Along with the other systemic
corruption-control improvements made by the Department, the greatest accomplishment
is the empowerment of every member of the Department to control these corrupt acts,
and the assurance that a swift, fair and professional investigation will be conducted.
The NYPD stands committed to both discontinuing this vicious 20-year cycle of
corruption that has plagued this Department, as well as never allowing the likes of
Michael Dowd to ever wear and disgrace the uniform worn by countless heroes.

THE ORIGIN OF CORRUPTION INVESTIGATIONS
Prior to 1967, there were nine different units in the Department accountable to
nine separate administrators that shared the responsibility for corruption investigations.
Basically, each major bureau within the Department was responsible for investigating
complaints made against its own members. The best-known unit was the Police
Commissioner’s Confidential Investigating Unit.
Its primary function was to handle the cases involving organized crime, gambling
and vice. It was one of three P.C.C.I.U. squads within the Personnel Standards Squad
that was charged with prompt and complete investigation of complaints of police
misconduct. In addition, this unit checked on police work and conditions throughout the
city to insure proper performance of duty.
6

Detective Frank Serpico testifying before the Knapp Commission, December 1971

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The Police Commissioner’s Confidential Investigating Unit was combined with the
First Deputy Commissioner’s Investigating Unit on September 25, 1969 as per
Temporary Operating Procedure 397-1. They were placed under the umbrella of the
First Deputy Commissioner along with the Patrol Bureau Inspections Unit and Chief of
Patrol's Investigating Unit.
In 1969, the Inspectional Services Bureau was created. It consisted of the
Intelligence Division, Public Morals Squad, Inspections Unit and the Internal Affairs
Division.
This was the first step in clarifying and numerating the handling of complaints of
corruption and misconduct. Up to this time, it should be remembered, there was no
central repository for such complaints and there were many agencies and units that did
receive complaints. With this new organization, Internal Affairs became the central
repository for such allegations. Additionally, the Bureau had the responsibility for public
morals, narcotics and other matters for investigation. In the past, investigations into
these areas were solely reactive.
From 1970-1973 the Department’s fight against corruption turned into all out
warfare, under Commissioner Patrick V. Murphy. During 1971, and subsequent to the
Knapp Commission, for the first time, extensive and effective police cooperation was
given and sought from other agencies in the fight to eliminate corruption in the
Department.
A serious problem that plagued the Department through the years was the
unspoken premise that anti-corruption investigations were the responsibility of a small
segment of Headquarters’ Squads. This position was reversed in 1972 with the creation
of the revised Internal Affairs Division and Field Internal Affairs Units.
Initially, the Borough Commanders were asked by Commissioner Murphy to
evaluate their commands with regard to their corruption problem and to list their
corrective proposals. What was created was the concept of “Accountability and
Responsibility” of each member of the service to report corruption as per Patrol Guide
207-21 (Allegations of Corruption and Serious Misconduct Against Members of the
Service) and 207-22 (Allegations of Corruption Against City Employees [Other than
Members of the New York City Police Department]).

Reorganization Begins
On June 15, 1992, a New York Post article leveled serious charges of
impropriety in the Police Department’s handling of earlier investigations into the corrupt
practices of police officer Michael Dowd. In response, former Police Commissioner Lee
P. Brown directed the First Deputy Commissioner Raymond Kelly to undertake a
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thorough investigation to determine if the Department’s Internal Investigation apparatus
was flawed and if there had been any cover-up of police corruption.
Interim Order Number 1 of 1993 entitled Establishment of Internal Affairs Bureau,
abolished the Inspectional Services Bureau, and reorganized the Department’s internal
investigating mechanism and its subordinate command, the Internal Affairs Division, to
form the new Internal Affairs Bureau.

MISSION AND FUNCTION OF THE INTERNAL AFFAIRS BUREAU
The Police Commissioner charges the Internal Affairs Bureau (IAB) with the
institutional accountability, implementation and maintenance of the Department’s anticorruption programs. I.A.B., acting as a guardian of the Department’s reputation, is a
police bureau of unparalleled integrity that is thoroughly and effectively intolerant of
corruption throughout the Department. It is the investigator of allegations of corruption
and complaints of serious misconduct. It is the recipient of ALL allegations made
against members of the service, both uniformed and civilian. Investigations run the
gamut, from allegations of bank robberies to the loss of Department issued equipment.
The Internal Affairs Bureau was formed from the Internal Affairs Division or
I.A.D., founded in 1972 during the Knapp Commission. The current Internal Affairs
Bureau was founded in 1993. The Bureau recruits the best investigators, supervisors
and managers from a large pool of members of the service who have applied for
investigative assignments, and are then interviewed by a panel consisting of executive
level supervisors from the Internal Affairs, Detective, OCCB, Personnel, and Patrol
Services Bureaus. The Internal Affairs Bureau deals with cases involving termination,
arrests and indictments of members of the service. I.A.B.’s Command Center receives
approximately 19,000 allegations per year.
I.A.B. has undergone a major transformation in conducting internal investigations
and monitoring police integrity. I.A.B. no longer works in isolation and cloak and dagger
secrecy. NYPD commanders are routinely advised about ongoing investigations, and
are expected to provide assistance. Regularly scheduled I.A.B. strategy sessions are
conducted, and precinct commanders are apprised of investigations in their commands.
The “old” I.A.B. was a highly reactive organization, a notion that is quickly
becoming obsolete in modern day policing. Today’s I.A.B. is pro-active. I.A.B. uses
pattern analysis, sophisticated surveillance, integrity tests, enhanced drug testing,
confidential informants, and undercover officers in its war on corruption.
In recent years, there has been a dramatic modernization of I.A.B.’s equipment.
I.A.B. has purchased surveillance, tracking, and microwave equipment that is state of
the art. The Programmable Retrievable Investigative Data Entry (P.R.I.D.E.) computer
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application enables investigators to collate investigative data from different cases,
flagging any similarities among names, addresses, phone numbers, license plates, and
seemingly innocuous data. Cases are assessed, classified and assigned with ample
knowledge of related cases also under investigation. P.R.I.D.E. will eventually
incorporate information from a variety of cases and sources in electronic case folders,
completely revolutionizing internal investigations.

COMPOSITION OF THE INTERNAL AFFAIRS BUREAU
I.A.B. investigators are divided into individual groups working in geographic areas
throughout the city, all of which report directly to the Chief of Internal Affairs Bureau.
I.A.B. also has groups that specialize in specific areas:
•

Group 41 handles allegations made against members of the service assigned to
O.C.C.B.

•

Group 51 handles police impersonation cases.

•

Group 52 handles Integrity Testing.

•

Group 54 handles excessive force investigations.

•

Group 55 is the surveillance unit.
All the allegations of lesser misconduct or violations are referred to the Borough
Investigations Units.

OTHER DEPARTMENT INTERNAL INVESTIGATIVE ENTITIES
Borough/Bureau Investigations Unit
(Note: Investigation Units are not part of I.A.B. - they answer to the Borough or Bureau
Commander)
Duties of the Borough/Bureau Investigations Unit include:
•

Investigation of allegations of misconduct referred by the Internal Affairs Bureau

•

Conferrals with I.C.O.’s and coordination of investigations, including those that
are self-generated.

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•

Conferrals with Inspections Units relative to current areas of concern to keep
commands informed of new priorities and areas requiring additional attention.

•

Conducting field observations to insure compliance with Department directives.

•

Conducting administrative tasks including:
Reviewing self-inspection programs.
Facility inspections.
Reviewing time and payroll records.
Verifying sick reporting procedures.
Conducting field-training sessions concerning corruption hazards and
evaluating the precinct-level training material for content and quality and
determining the level of compliance with all mandated material.
o Conducting analysis of command statistics regarding civilian complaints,
Investigative Bureau complaints, Command Disciplines, department
vehicle accidents, sick leave abuse, etc.
o Ascertaining patterns and identifying specific commands and/or members
if the service for abuses.
o Conducting additional investigations and inspections as directed by Patrol
Borough/Bureau Commander.
o
o
o
o
o

The Function of the Integrity Control Officer (I.C.O.)
The Integrity Control Officer, usually a lieutenant, is responsible for overseeing a
command’s corruption prevention mechanism. The duties of the I.C.O. include
developing an integrity control program tailored to precinct conditions, visiting corruption
prone locations at frequent and irregular intervals, and gathering information concerning
criminals residing and frequenting the area to determine if unnecessary contact exists
with members of the service. The I.C.O. also conducts investigations into misconduct
as directed by the Precinct/Unit C.O. or the Internal Affairs Bureau. The I.C.O. is also
responsible for the training of members of the service assigned to their command
regarding corruption hazards and integrity issues and acting as an advisor to members
of the service regarding acceptable behavior on and off duty, and maintaining records
concerning the Integrity Control Program.
The Components of the Integrity Monitoring File
The Integrity Monitoring File is maintained by the command’s Integrity Control
Officer and is used to identify locations where a potential exists for members of the
service to engage in corrupt practices or misconduct. The file is divided into three (3)
categories:

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•
•
•

Designated Off Limit Locations;
Unlawful Locations;
Cooping Prone Locations.

Designated Off-Limit Locations - are those that operate legitimately but are
placed off limits by a Commanding Officer because of some police misconduct
related activity, and the need to avoid the appearance of impropriety by members
of that command.
•
•
•

Restaurants that offer half-priced meals to members of the service
Stores that insist on giving members of the service free merchandise
Premises frequented by known criminals, etc.

Unlawful Locations - are those, either in a member’s command or elsewhere,
which are involved in illegal activities that preclude the presence of members of
the service except in the line of duty.
•
•
•

Gambling/numbers locations;
Narcotics prone locations;
Prostitution prone locations, etc.

Cooping Prone Location - are those locations or premises where members of
the service may engage in unauthorized interrupted patrol.
•

A desolate factory area during the first platoon where members of the
service may attempt to sleep in an R.M.P.

INTEGRITY CONFERRALS
To create an atmosphere of discipline, stress the importance of integrity,
professional demeanor, and to identify problems, the Commanding Officer will, on a
semi-annual basis, conduct a one-on-one conferral with each member of the command.
Function of a Precinct’s Holiday Program
The Holiday Program is a Precinct/Command based operation that is coordinated
by the Commanding Officer and the Integrity Control Officer. This program consists of
monitoring members of the service regarding shopping, whether on or off duty, at
business locations in the confines of that precinct / command, during the months of
December and January. This monitoring includes inspecting RMPs for packages, giving
special attention to precinct parking areas which focus on the movement of packages

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from RMPs to private vehicles, and conversing with business owners regarding the
illegal offering of gratuities to members of the service.
Supervisor’s Role in Combating Corruption
It is the role of all line supervisors (Sergeants and Lieutenants) to monitor the onduty conduct of all members of the service assigned to the command. These
supervisors should also be available for guidance and counseling regarding integrity
issues. In addition, the patrol supervisor is required to respond to all radio runs alleging
misconduct by an off-duty member of the service. The Borough Duty Captain will also
be requested to respond to these incidents. Supervisors, as well as all members of this
Department, are required to report all breaches of Department guidelines or corruption
hazards to the Commanding Officer or the Internal Affairs Bureau.

THE DUTIES OF THE DEPARTMENT ADVOCATE’S OFFICE
RELATING TO INTERNAL INVESTIGATIONS
The Department Advocate’s Office of the New York City Police Department is
responsible for the prosecution of cases when Department trials are warranted. These
trials occur when Charges and Specifications have been preferred against a member of
the service, either uniform or civilian. As a result of an internal investigation, “Charges
and Specs” may be preferred against members of the service. The Advocate functions
as the “in-house” District Attorney when allegations are tried at a Department - rather
than criminal - proceeding.
The agencies listed below frequently conduct investigations jointly with our
Department and may conduct their own exclusive investigation if they see fit to do so.
The decision to prosecute criminally rests exclusively with the District Attorney, U.S.
Attorney, etc.
District Attorney’s Office - The District Attorney is a State agency responsible
to prosecute criminal charges in New York State Courts. District Attorney Offices also
initiate criminal investigations including those regarding members of the service. This
office receives referrals regarding corruption from the Internal Affairs Bureau and jointly
aids in criminal investigations regarding civilian and uniform members of the service.
United States Attorney - The U.S. Attorney will investigate and prosecute
criminal charges in Federal Courts. They have the authority to investigate and
prosecute police corruption and will be utilized by this Department in future internal
investigations.

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Federal Law Enforcement Agencies - Federal agencies such as the Federal
Bureau of Investigation (FBI) and the Drug Enforcement Agency (DEA) may initiate
investigations regarding criminal activity of members of this Department if they fall under
their investigative scope. Charges resulting from these investigations will, in most
incidents, be prosecuted in Federal Court.
Members of the service being interviewed by any of the entities identified above,
or in any Department interview conducted pursuant to Patrol Guide procedure 206-13,
“Interrogation of Members of the Service,” and who make false statements will be
dismissed from the New York City Police Department, absent exceptional
circumstances. Examples of false statements include, but are not limited to, lying under
oath during a civil, administrative or criminal proceeding as well as during an official
Department interview. Exceptional circumstances will be determined by the Police
Commissioner on a case by case basis.

ENFORCING THE LAW – PRESERVING THE CIVIC TRUST
The New York State Penal Law provides for the criminal sanctions against public
servants that violate their duty.
Bribery and Related Offenses
Bribery (felony): A person is guilty of bribery when he or she confers, or offers or
agrees to confer, any benefit upon a public servant upon an agreement or
understanding that such public servant’s vote, opinion, judgment, action, decision, or
exercise of discretion as a public servant will be influenced.
Bribe Receiving (felony): A public servant is guilty of bribe receiving when he or she
solicits, accepts or agrees to accept any benefit from another person upon an
agreement or understanding that his or her vote, opinion, judgment, action, decision or
exercise of discretion as a public servant will thereby be influenced.
Rewarding Official Misconduct (felony): A person is guilty of rewarding official
misconduct when he or she knowingly confers or offers or agrees to confer, a benefit
upon a public servant for having violated his or her duty as a public servant.
Receiving Reward for Official Misconduct (felony): A public servant is guilty of
receiving reward for official misconduct when he or she solicits, accepts or agrees to
accept any benefit from another person for having violated his or her duty as a public
servant.

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Official Misconduct (misdemeanor): A public servant is guilty of official misconduct
when with intent to obtain a benefit or deprive another person of a benefit:
1) He or she commits an act relating to his exercise of his official functions,
knowing that such act is unauthorized; or
2) He or she knowingly refrains from performing a duty that is imposed upon him
or her by law or is clearly inherent in the nature of his office.
Giving Unlawful Gratuities (misdemeanor): A person is guilty of giving unlawful
gratuities when he or she knowingly confers, or offers or agrees to confer, any benefit
upon a public servant for having engaged in official conduct that he or she was required
or authorized to perform and for which he or she was not entitled to any special or
additional compensation.
Receiving Unlawful Gratuities (misdemeanor): A public servant is guilty of receiving
unlawful gratuities when he or she solicits, accepts or agrees to accept any benefit for
having engaged in official conduct which he or she was required or authorized to
perform and for which he or she was not entitled to any special or additional
compensation.
Note: Patrol Guide 203-16 (“Guidelines For Acceptance of Gifts and Other
Compensation by Members of the Service”) states it is the policy of the
Department that members of the service may not accept any reward,
gratuity, gift or other compensation for any service performed as result of
or in conjunction with their duties as public servants.
This policy applies regardless of whether the service was performed while members of
the Department are on or off duty. Members of the Service also shall not solicit any
gift, gratuity, loan, present, fee or reward for personal gain.

REPORTING CORRUPTION AND/OR SERIOUS MISCONDUCT
Corruption/Serious Misconduct- Defined as criminal activity or serious misconduct of
any kind including use of excessive force or perjury that is committed by a member of
the service whether on or off duty.
Misconduct - Minor violations of the Patrol Guide procedures that could result in
penalties such as Warning and Admonishment, Command Discipline, Charges and
Specifications, Modified Assignment, or Suspension.

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How Allegations Come To I.A.B.
Allegations or complaints come to I.A.B. in three (3) ways:
1. In-Person - People will come directly to I.A.B. at Hudson Street.
2. Mail - People may write to I.A.B. direct or they may complain to an outside
agency which then forwards that complaint to I.A.B.
3. Phone - People will call the I.A.B. Command Center. The Command Center
telephone is in service 24 hours a day.
Allegations Come From:
•
•
•
•
•
•

The public via mail, phone or in person;
Members of the Service;
C.C.R.B. (Those not falling within “FADO” categories);
Investigations conducted by Internal Affairs Bureau uncovering additional
information;
Written communications addressed to the Police Commissioner or Chief of
Internal Affairs;
Outside agencies.

The intake process starts at the Internal Affairs Bureau Command Center which
is the central repository for all misconduct allegations. The Command Center, operating
24 hours a day, seven days a week, receives and records all complaints of corruption
and serious misconduct, performs preliminary investigations, and rapidly dispatches
internal investigators when warranted. Command Center investigators have access to a
wide variety of resources including Department computerized data bases and the
Internet to help them gather information.
The Command Center has an internal investigative computer system that
provides case management tools, statistical report capabilities, and enhanced tracking
capabilities. Designed for ease of use, the new system is capable of linking information
from different sources to aid in investigations and alert investigators to trends or
patterns of allegations.
The Command Center also has an unrecorded anonymous reporting system (1800-PRIDE-PD). No caller ID or call back capabilities were established for this number.
Members of the service can call in allegations anonymously, for which they will receive
a confidential information number. Reporting corruption or serious misconduct to this
number meets the obligation of all members of the service to report allegations of

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corruption and serious misconduct. In 2002, over 30,000 logs were recorded by the IAB
Command Center.

METHODS USED TO MONITOR AND INVESTIGATE ALLEGATIONS
After the complaint is logged by the Command Center, the next investigative
process is analysis. This function is performed by the Corruption Prevention and
Analysis Division. The Division was created to undertake studies and make
recommendations to increase incentives for honest police officers to report corruption,
and to strengthen measures that deter corruption. The Corruption Prevention and
Analysis Division is charged with identifying corruption patterns and trends,
recommending improvements in case processing and investigative techniques, and
coordinating investigations. In essence, the objective is to find the problems before they
become headlines.
What has been accomplished? The Internal Affairs Bureau conducted its
investigations with intelligence, direction and focus. Through proactive initiatives
combined with investigative strategies, corruption allegations have been reduced over
49% over the last eight years from a high of 2,258 corruption allegations in 1994, to a
low of 1,151 allegations in 2002. This reduction is more significant when you realize it
was accomplished during a time period where overall Department strength increased by
34.3%.
Information regarding corruption and serious misconduct is categorized and
utilized to create command pin maps showing corruption allegations. These maps
assist Internal Affairs Bureau commanders in identifying possible corruption patterns in
their areas of responsibility. The data sheets supplied with the maps give specific
information on the allegations, the overall corruption cases by month and year to date
with percentage changes, number of civilian complaints, criminal impersonation arrests,
bribery arrests and other information.
Following intake and analysis, the investigative process proceeds into
intelligence gathering. Prior to the formation of the Internal Affairs Bureau, internal
investigations were reactive. Proactive mechanisms to actively seek out and address
corruption were virtually non-existent. To address these shortcomings the Internal
Affairs Bureau initiated several intelligence gathering initiatives.
The Intelligence Section of the Internal Affairs Bureau is one of the primary
means for obtaining intelligence on corruption and misconduct, and assisting field
investigators with their cases. The three components of the Section are:
•

Voluntary Assistance Unit, which gathers information from both
uniformed and civilian members of the service;

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•

Field Operative Program, which relies on the cooperation from tenured
members of the service; and

•

Liaison Unit, which fosters a strong relationship between the Internal
Affairs Bureau and federal, state and local enforcement.

The third initiative for gathering intelligence and the most significant change in
the culture of the Department is the Philosophy of Inclusion. The Executive Staff and in
most cases, precinct and unit commanders are informed and consulted about ongoing
Internal Affairs Bureau investigations in their precincts and are expected to assist in
conducting integrity tests and surveillance of subject police officers. Internal Affairs
Bureau group commands have established regular liaisons with precinct or unit Integrity
Control Officers, providing another source of information and assistance. Commanders
and Integrity Control Officers are entrusted to maintain full confidentiality with respect to
all information they receive from the Internal Affairs Bureau. The risk of compromising
an investigation is far outweighed by the potential benefits of opening up the
Department’s integrity assurance system.
The last part of the process is the thorough investigation conducted by an
Internal Affairs Bureau investigator. These investigators, most of whom are sergeants
and lieutenants, are uniformed members of the service who have sought an
investigative position within the Department. In 1993, the Internal Affairs Bureau was
afforded the opportunity to interview these supervisors for a two-year assignment to the
Bureau. At the conclusion of their two-year commitment, these investigators are
laterally transferred into a bureau of their choice. Many hundreds of investigators have
passed through Internal Affairs since 1993, and a wide anti-corruption network has been
created and exists throughout the Department.
Function of the Corruption Prevention and Analysis Unit of I.A.B.
The purpose of the Corruption Prevention and Analysis Unit of I.A.B. is to identify
policies, procedure, conditions and aspects of the police department’s organizational
culture that:
•

Facilitate Corruption;

•

Inhibit the discovery of corrupt activity;

•

Create opportunities for corruption;

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They undertake studies, which cause recommendations to:
•

Increase incentives for honest members of the service to report corruption;

•

Strengthen measures that deter corruption;

•

Limit opportunities for corrupt behavior.

The unit identifies patterns and trends of corruption. It recommends
improvements in case processing and investigative techniques. It also maintains a
liaison with Internal Affairs Bureaus nationwide to keep current on the latest
improvements in methods of preventing, identifying, investigating, and prosecuting
police corruption. Reports are prepared annually which assess the nature and extent of
corruption in the NYPD and make recommendations concerning problem areas.

REPORTING CORRUPTION
When a member of the service observes, is made aware of, or upon receiving an
allegation of corruption or serious misconduct against a member of the service, the
member of the service will:
1.

Inform Commanding Officer - C.O. will notify I.A.B.
OR

2.

Telephone Internal Affairs Bureau, Command Center 212-741-8401 (24
hours) or 1-800-PRIDE PD (24 hours) or 212-CORRUPT (24 hours).
a.
b.
c.

Give preliminary facts.
Identify self or obtain Confidential Identification Number
from Command Center Investigator.
Furnish details of corruption or misconduct.
OR

3.

Prepare a detailed written report within 24 hours on either Typed
Letterhead or anonymously and forward in sealed envelope.
Note: Obtaining a Confidential Identification Number from the Command
Center investigator will satisfy the member’s reporting responsibility,
if the information is accurate and complete. Subsequent or ongoing

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reporting is encouraged to insure the information is timely and complete
and may be made by referencing the Confidential Identification Number.
A member of the service having or receiving information relative to corruption or
serious misconduct, or an allegation of corruption or serious misconduct has the
responsibility to report such information to the commanding officer or directly to the
Internal Affairs Bureau, Command Center. If reported to the commanding officer, the
commanding officer will notify the Internal Affairs Bureau, Command Center. If
member’s commanding officer is the subject of the allegation, the member concerned
will only notify the Internal Affairs Bureau, Command Center, direct.
Failure to report corruption, serious misconduct, or allegations of such acts is, in
itself, an offense of serious misconduct and will be charged as such when uncovered
during an investigation. Conduct designed to cover up acts of corruption, prevent or
discourage its report, or intimidate those who would report it, will be charged as an
obstruction of justice or other criminal act with the consent of the prosecutor who has
criminal jurisdiction.
A member of the service receiving an allegation of corruption against him/herself
will request a supervising officer to respond to the scene. The supervising officer will
interview the complainant and confer with the Internal Affairs Bureau, Command Center,
BEFORE interviewing the member concerning the allegation.
If the allegation is received at the precinct switchboard, it will immediately be
referred to the Desk Officer who will process the allegation. If the allegation is received
in writing, attach the original document with a UF-49 addressed to the Commanding
Officer, Internal Affairs Bureau.
Reporting Corruption to the Police Commissioner
1-800-PRIDE PD is the Police Commissioner’s Corruption Hotline. This phone
number may be used to report corruption either anonymously or identified. Corruption
also may be reported in writing. The correspondence may either be sent directly to the
Police Commissioner or to a special post office box set-up exclusively for this purpose.
Written information sent to the Police Commissioner will be addressed as follows:

Raymond W. Kelly, Police Commissioner
New York City Police Department
One Police Plaza - Confidential
New York, NY 10038

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As you can plainly see, there are numerous ways in which corruption and/or
serious misconduct can be reported to the Internal Affairs Bureau. Furthermore, the
reporting of these allegations may be made anonymously.
Effects of Peer Pressure on Reporting Corruption
The issue of conforming or “fitting-in” to a group’s philosophy has a bearing at
times on whether certain members of the service will come forth and expose a corrupt
co-worker. As humans, we are all self-conscious about belonging to the close-knit
community that exists among members of this Department. As professionals, we
should not adopt this mentality, because when you allow corrupt members of the
service to continue their rogue activities, this diminishes the integrity and credibility of
every hardworking person in this Department. This misplaced sense of loyalty can
affect the personal safety of ALL police officers. While engaged in corrupt activities,
these officers will rarely be available for back up and they are not reliable.
The “Whistle Blower” Statute
This statute, present on the Federal, State and Local levels, basically states that
no detrimental action may be brought against any employee who exposes corruption,
misconduct, gross mismanagement, or abuse of authority in a Municipal, State or
Federal Agency.
“The Blue Wall of Silence”
“The Blue Wall of Silence” is a term used by the media for the reluctance of
police officers to expose misconduct or corruption within our ranks. This sort of
reluctance is found in most human groups, and is strengthened by the negative terms
used to describe people who expose wrongdoing: kids who tell on their siblings or
friends are tattle-tales; students who inform on their cheating classmates are snitches;
gangsters who provide testimony against others are rats. These are terms created by
wrongdoers for the purpose of protecting themselves: by using negative terms to
describe those who do the right thing, the bad guys seek to make it difficult for the good
guys to expose their wrongdoing. Do not fall for this. The Blue Wall of Silence is
intolerable, and the great majority of honest officers should not be tricked by the few
corrupt officers into believing that silence is loyalty.

Reporting Alcohol Abuse
The New York City Police Department’s philosophy regarding members with
alcohol-related problems is one that offers rehabilitative service for those who are in
need of help. The rehabilitation service is offered by this Department for the purpose of
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returning the members in need as a functioning, productive member of this Department.
Co-workers’ referrals take place, to a large extent, because persons referred to this
program, in most cases, will not be in jeopardy of losing their job.
Department’s Policy Re: Unfit for Duty Due to Intoxication
All members of the service must be fit for duty at all times, except when on sick
report, and will not consume intoxicants to the extent that such member becomes unfit
for duty. Members are reminded of their absolute responsibility to remain fit for duty
while in possession of their firearms.
Any misconduct involving a member’s misuse of a firearm while unfit for duty due
to excessive consumption of-and intoxication from-alcohol will result in that member’s
termination from the Department. Again, exceptional cases will be determined by the
Police Commissioner on a case by case basis.
Furthermore, any misconduct involving members who are found to be unfit for
duty due to excessive consumption of and intoxication from alcohol, while armed with a
firearm, will result in the inclusion of the charge “Unfit For Duty While Armed,” in
Departmental disciplinary proceedings. In addition to those imposed as a result of all
other charges stemming from the misconduct, strict punitive sanctions will be imposed
on any member upon whom the charge has been substantiated.
Additionally, a uniformed member of the service who refuses to submit to
chemical testing in connection with an alleged violation of section 1192 of the New York
State Vehicle and Traffic Law (Driving While Intoxicated) will be charged with “Engaging
in Conduct Prejudicial to the Good Order, Efficiency, or Discipline of the Department.”
Members of the service are reminded of the Department’s commitment to the
many counseling and assistance programs available for a wide variety of problems.
Members who are experiencing problems related to alcohol, or know of any other
member who may be experiencing problems related to alcohol, are strongly encouraged
to call the HELPLINE at (718) 271-7777, in order to achieve confidential assistance.
Patronizing Unlawful Premises
Members of the service who have an interest in, association with, or who
patronize premises (licenses or unlicensed) that harbor illegal activity such as gambling,
prostitution, narcotics, State Liquor Authority violations, will be suspended immediately
by a ranking officer. Such locations include:

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1. After Hours Clubs: premises that are not licensed by the State Liquor
Authority to sell alcohol and that usually open after 0400 hours for the
purpose of illegally selling liquor.
2. Policy Locations: premises in which illegal numbers gambling takes place.
3. Smoke Shops: premises that sell paraphernalia commonly associated with
marijuana use.

DRUG ABUSE BY MEMBERS OF THE SERVICE
The drug abuse policy regarding members of the service differs greatly from the
alcohol abuse policy. Once a member of this Department is found to be illegally
using narcotics, Department policy dictates he or she must be terminated, with
NO exceptions.
Rehabilitation services are not an alternative in this case because abuse of
controlled substances is illegal, and members of the service cannot be allowed to
violate the laws they are sworn to protect. For this reason, as in corruption cases,
members of the service do not always feel comfortable exposing a co-worker who is
illegally using narcotics. It should be realized by all, that members of the service using
drugs are not only hazardous to themselves but to their co-workers as well. Experience
tells us that drug users will pay or give anything to acquire the drug they are addicted to.
This desperation can lead members of the service to the selling of their firearms, shields
and confidential information which may compromise the safety of all members who
come in contact with these addicted officers.
Illegal drug use by members of the service creates an atmosphere that allows
other corrupt activities to flourish, as evidenced by the highly publicized Michael Dowd
case. To prevent these few corrupt officers from destroying the integrity and pride of
this entire Department, it is imperative that drug abuse and corruption be exposed from
within our structure and swiftly eliminated. Members are tested randomly and for cause.
Less than one-half of one percent test positive. One hundred and thirty members of the
service are tested per week. The NYPD also utilizes hair testing for drugs because this
procedure is more accurate for detection of long term drug abuse.
Department Drug Testing
The Department’s practice of drug testing its members was initiated for detection
of drug use by candidates and probationary officers. These members are tested at
three (3) stages: during the pre-hiring screening, at an unannounced visit to the Police
Academy, and nearing the end of their 24 months probationary periods. Drug testing
was amended to include a random selection process in 1990, with the initial projected

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goal of annually testing, on a random basis, ten percent of all uniformed members. The
percentage was increased to twenty percent in 1993. The intention was to detect and
deter drug use by uniformed members of the service.
Drug testing for cause is initiated for any member of the service, uniformed or
civilian, suspected of illegal drug use, where reasonable suspicion has been
established. Drug testing is also required under the Department’s Counseling Program.
In February of 1996, the use of hair testing for illegal drugs/controlled substances
was implemented for End of Probation Drug Testing. Hair testing, in addition to urine
(Dole Testing), has been included in Drug Testing for Cause since May 1995. Hair
testing provides a window of detection of approximately 90 days, compared with the
relatively shorter period with urinalysis, and thereby provides a more effective method of
detection.
Drug Testing is Conducted as Follows:
Uniformed Rank & File: Randomly selected uniformed members of the service ranging
in ranks from Police Officer to Chief. Included are probationary officers and members
on restricted, limited, or modified duty status.
End of Probation: All uniformed members completing their probationary period of
twenty-four months are required to submit to drug testing.
O.C.C.B, Special Operations, I.A.B., and Detective Bureau: Members entering these
units are required to be tested. This is not a random process. After initial tests
members from Special Ops & Detective Bureau go into Department-wide pool for
random drug testing. Members from O.C.C.B. and I.A.B. are placed into a separate
pool.
Promotional: Newly promoted supervisors, as a condition for promotion, are required
to submit to drug testing.
Counseling: Testing for members in this category is in accordance with guidelines set
down by the Counseling Services Unit, which is part of the Employee Relations Section.
Members of the service are required to submit to testing prior to being restored to fullduty status.
The Department’s goal is to ensure that uniformed members of the service do not
abuse illegal drugs/controlled substances and maintain a high standard of performance
in a drug free environment.

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Note: Uniformed members of the service assigned to commands within
the OCCB and probationary police officers will be subject to separate
random drug screening procedures.
When A Uniformed Members Of The Service Is Selected For Testing:
1.

He or she MUST report to Medical Division when notified, except if the
member is on:
• Sick Report;
• Regularly scheduled RDO;
• Military leave;
• Annual vacation;
• Terminal leave;
• Bereavement leave.

2.

He or she MUST submit to drug screening. Refusal to submit to test will
result in suspension and will be grounds for dismissal from the
Department.

Notifications to members selected for random testing are initiated by the Drug
Screening Unit to the member’s respective command, informing them of the date, time,
and place to appear. A member’s social security number is randomly selected by
computer. The social security number is then returned to the pool of eligible officers.
Subsequent to a notification for random drug testing, the member
concerned MUST appear for testing. Reporting sick, requesting emergency day
off (E-day), court appearances, arrests, etc., WILL NOT excuse the member. All
members are to appear for testing upon turnout from roll call, or will be given a post
change within their scheduled tour of duty. The repercussions of positive results include
the following:
•
•
•
•
•
•

Loss of income due to suspension from duty;
Dismissal from the police department;
Elimination of retirement income due to loss of pension benefits;
Diminished feasibility of future employment due to reasons for dismissal;
Low self-esteem, and embarrassment, experienced as a result of the stigma
attached to being dismissed for drug use;
Disruption of family and home.

Members of the service also have been terminated for attempting to substitute
urine specimens from various types of containers secreted on their bodies. Any
member of the service who refuses testing or attempts to substitute or adulterate a
specimen will be suspended and terminated.
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Technology in forensic toxicology has increased over the last decade to include
hair testing rather than body fluids for the detection of illegal drugs. The Police
Department continues to expand its use of the latest available methods to enhance the
procedures already in place in drug abuse detection. Scientific reliability of hair testing
has been established in both the medical and legal communities. Hair analysis cannot
be evaded as in urinalysis where drug users can substitute clean specimens or merely
abstain from drug use for a few days and pass the Dole test. Drug residues remain
permanently embedded in the hair; they cannot be washed or bleached out.
The effectiveness of both hair and urine as testing mediums can be realized in
the following chart. Especially significant is the increase of positive results when testing
police officer candidates and probationary police officers using hair. The Department
will expand its use of hair testing incrementally to improve detection and deterrence.
Questions may arise concerning random drug testing vs. Constitutional rights. As
far as the Police Department is concerned, along with other agencies that deal with the
public, it has been deemed that the public safety is paramount. Drug use by police
officers is an important issue for every police department throughout the country. The
problem is receiving attention because of the potential threat to the integrity of law
enforcement and the safety of the community it serves. A discussion of the following
federal statutes will help clarify the use of chemical tests.
In 1989, two U.S. Supreme Court decisions upheld drug-testing programs that
were set up by the railroads and the U.S. Customs Service. These programs allow
employers to test employees for drugs without any belief that the employees in question
have used drugs. Contrary to a long line of legal precedents, these programs were
found to be constitutional on two grounds: first, society which must be addressed and
second, that the mandatory testing programs were only minimal intrusions on an
employee’s privacy.
The two cases were Skinner v. Railroad Labor Executive Association, March 21,
1989, No. 87-1555, 130LRRM2857, and National Treasury Employees Union v. Von
Raab, 109 s. Ct. 1384 (1989).
In a recent decision, Penny v. Kennedy (6th Circuit, October 4, 1990), the
Federal Court expanded the employer’s ability to conduct mandatory random drug tests
of police officers and fire fighters. Although recognizing that mandatory urinalysis testing
infringes on an employee’s privacy rights and is a Fourth Amendment search, the Court
found that a city’s interest in ensuring drug-free performance by fire fighters and police
officers outweighs those employees’ expectations of privacy.
It is important to note that these random and mandatory drug-testing programs
cannot be implemented without providing clear regulations that limit discretion of the
supervisor requesting the test. The city must specifically define its drug-testing
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programs so that employees will know what procedures the city follows in administering
the testing program. In adopting drug-testing programs, however, public employers
must comply with their own administrative rules regarding new programs or policies.
(Interim Order #88 of 1995.)
The U.S. Supreme Court decided on December 16th, 1991 to leave intact the
Mandatory Drug Test Rules governing Federal Employees. Without comment and with
no dissents, the Court chose to bypass a Federal Appeals Court ruling which indicates
that all levels of government may demand a drug test from every job applicant (see P.G.
205-29, 205-31, 205-32).
A random drug test will not be used for cause. If there is reasonable suspicion to
believe that a member of the service is using illegal drugs, the member of the service
will be ordered to take the urinalysis. If the member of the service refuses it will result in
automatic suspension. Charges and specifications will be prepared and inevitably, the
member of the service will be terminated.
UNIFORMED MEMBERS OF THE SERVICE ARRESTED,
SUSPENDED OR PLACED ON MODIFIED ASSIGNMENT
1998
1999
2000
2001
2002

ARRESTED

SUSPENDED

MODIFIED

127
127
124
114
100

214
196
201
167
132

300
281
272
252
188
Source: Internal Affairs Bureau, 10/03

CORRUPTION / SERIOUS MISCONDUCT CATEGORIES
In order to track corruption trends, 16 CATEGORIES are utilized. These are
general, broad descriptions of the type of activities with which the alleged
corruption/serious misconduct is associated or the type of situation in which it is alleged
to have occurred.
1.

NARCOTICS: This category includes complaints alleging the involvement of
members in narcotics or dangerous drugs, as well as the protection of persons
dealing in drugs.

2.

CRIME: This category includes allegations of members committing crimes that
are not included in the other corruption/serious misconduct categories. Many of
the complaints normally classified in this category involve off duty conduct.

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Examples found in this category: Assault, Bribery, Burglary, Criminal Mischief,
Grand Larceny - Extortion, Fraud, Forgery, Harassment, Judicial Interference,
Menacing, Perjury, Rape, Reckless Endangerment, Robbery, Sex Abuse, to
name a few.
3.

STOLEN PROPERTY: This category is broadly comprised of missing/stolen
property complaints. It includes property allegedly missing or extorted from a
prisoner during an arrest, property allegedly missing or stolen from a motorist
during a car stop, property missing during an aided case, or during the execution
of a warrant, personal or department property missing from within any
department facility, department auto and/or from any property clerk facility.

4.

ABUSE OF DEPARTMENT REGULATIONS: Violations of department
regulations, Patrol Guide procedures: drinking on duty, cooping, sick leave
abuse, overtime abuse, etc.

5.

TRAFFIC: This category includes complaints of corruption/serious misconduct
relating to traffic infractions. Many of the complaints received concern illegally
parked vehicles that do not receive summonses, incidents of motorists paying
police officers to avoid summonses or other alleged indiscreet conduct
concerning a car stop.

6.

GRATUITIES: This category includes allegations of members receiving free food
or merchandise, and it also includes allegations of release on confidential
department information, misuse of department computers, misuse of department
documents or their release to unauthorized persons and payments made to
facilitate issuance of pistol licenses or various types of permits.

7.

STATE LIQUOR AUTHORITY: This category includes allegations of misconduct
occurring in or related to premises serving alcoholic beverages, such as bars,
bottle clubs, and after-hour clubs.

8.

GAMBLING: This category includes complaints related to gambling. Most of the
allegations concern protection of a gambling operation or location.

9.

PRIVATE TOW / BODY SHOPS: This category includes allegations relating to
tow trucks, auto body shops and suspected chop shops. Most of the complaints
concern referrals, allowing unauthorized tow trucks to operate in restricted areas,
or protection.

10.

ARRESTS EFFECTED: This category includes complaints in which an arresting
officer or other officer involved in an arrest situation is alleged to have committed
a crime and the person arrested was purportedly the victim.

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11.

MISCELLANEOUS: This category includes allegations that do not fit into any of
the other categories because of definition, vagueness or scarcity of information at
the time of receipt.

12.

VICE: This category involves complaints of corruption/serious misconduct
associated with prostitution and pornography. The situations most often reported
are: protection of pimps or prostitutes, pornography sales, the extortion of money
from pimps or prostitutes, the patronizing of prostitutes.

13.

PEDDLING: This category includes all allegations of corruption/serious
misconduct related to peddling. The most common complaint in this category
alleges payoffs to police by peddlers.

14.

PENAL LAW VIOLATIONS: This category includes all allegations of
harassment, disorderly conduct, and all other Penal Law violations.

15.

DOMESTIC VIOLENCE: This category includes all allegations of violations of
Orders of Protection, assault, menacing, disorderly conduct and harassment.

16.

PERJURY: This category includes all allegations of officers committing perjury in
Traffic Court, official hearings, Department trials, court proceedings, etc.

Dispositions of Closed I.A.B. Investigations
Every case that is investigated must be closed with a disposition and they are as
follows:
Substantiated: Investigation indicates that the accused member of the service
has committed all of the alleged act(s) of misconduct.
Partially Substantiated: Investigation indicates that the member of the service
has committed part of the alleged act(s) of misconduct.
Exonerated: Investigation disclosed that the subject(s) were clearly not involved
in any misconduct. Incident occurred, but was lawful and proper.
Unfounded: Investigation indicates acts complained of did not occur, or were not
committed by members of this department.
Unsubstantiated: Investigation disclosed insufficient evidence to clearly prove or
disprove allegations made.

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Misconduct Noted: Investigation determined that act(s) of misconduct, other
than those alleged in the complaint were committed by the member of the
service. If the complaint is noted by I.A.B. during the course of their
investigation and it is only a Patrol Guide violation, this information will be given
to the member of the service’s Commanding Officer, I.A.B. will not take any
action. Of course if the misconduct noted is of a serious nature (i.e., involving
criminal activity or other serious misconduct), action will be taken. Such action
could result in arrest or the possibility of opening another case against the
member of the service or whatever action is deemed necessary.
Information Only: Investigation has determined that there is not enough to
prove or disprove an allegation, but there is enough to keep the case open.
Penalties may include:
•
•
•
•
•
•

Warning and admonishment;
Command Discipline;
Charges and Specifications;
Modified Assignment;
Suspension;
Termination.

DISPOSITIONS OF CLOSED CASES INVESTIGATED BY I.A.B. IN 2002
CORRUPTION
MISCONDUCT
111
29
SUBSTANTIATED
45
33
PARTIALLY SUBSTANTIATED
37
7
EXONERATED
100
12
UNFOUNDED
475
80
UNSUBSTANTIATED
9
9
INFORMATION ONLY
Source: Internal Affairs Bureau, 10/03

DOMESTIC VIOLENCE
When a uniformed member of the service responds to an incident of domestic
violence involving a member of the service, he/she must ascertain the facts, and then
request the response of the Patrol Supervisor. Patrol Guide 208-36 and 208-37
describes procedures for handling domestic violence and family disputes. In certain
situations, arrests MUST be made.

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If a member of the service is the offender and must be arrested, the responding
member of the service will make the arrest, and comply with Patrol Guide 206-11,
“Member of the Service Arrested (Uniformed or Civilian).”
In September 1996, Title 18, United States Code, Section 922 (g) took effect,
making it illegal for anyone convicted of domestic violence to possess any firearm or
ammunition.
This includes, an offense that:
1.

is a misdemeanor under federal or state law, AND

2.

has as an element the use or attempted use of physical force or the
threatened use of a deadly weapon, committed by:
a.

A current or former spouse, parent or guardian of the victim.

b.

A person with whom the victim shares a child in common.

c.

A person who is residing with or has resided with the victim as a
spouse, parent or guardian.

d.

A person similarly situated to a spouse, parent or guardian of the
victim.

As a result of a Court of Appeals case (People v. Elliot), if a member of the
service is on suspension and is found to be in possession of a handgun during that time
he or she will be charged with criminal possession of a weapon in the third degree (P.L.
265.02 sub. 04). There is NO exemption for law enforcement officers. Thus, law
enforcement officers and other government officials convicted of a qualifying
misdemeanor will not be able to lawfully possess or receive firearms or ammunition for
any purpose, including performing their official duties.
DOMESTIC VIOLENCE COMMITTED BY UNIFORMED
MEMBERS OF THE SERVICE - 2002
36
ARRESTED
12
SUSPENSIONS
89
MODIFIED
Source: Internal Affairs Bureau, 10/03

Note: It is the duty of a member of the service to report when he or she is either
served with an Order of Protection or involved in a domestic incident. If off-duty,
he or she should remain at the scene.

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Whenever a member of the service is arrested, he or he must immediately identify
himself or herself as a member of the New York City Police Department.

1.

If arrested within New York City:
The arrested member of the service must advise the Desk Officer, precinct
of arrest, of details if arrest was effected by law enforcement agency other
than New York City Police Department.

2.

If arrested outside New York City:
The arrested member must immediately notify Operations Unit with details
of the arrest, and notify his/her Commanding Officer.

SICK LEAVE
As uniformed members of the service, we enjoy the privileges of a liberal sick
leave program. Regardless of the nature of an illness or injury (with exception of certain
off-duty employment injuries), we are fully compensated for each day we are unable to
work.
This benefit is the result of contract negotiations and, as such, could be
rescinded and/or subject to severe modifications should this program be abused by:
1.

working another job while out on sick leave (fraud);

2.

staying out longer than necessary or faking an illness to extend time off
(malingering).

Members on sick report suspected of Sick Leave Abuse will be monitored.
Allegations of Sick Leave Abuse may result in intensive investigations by the Absence
Control Unit of the Health Services Division, and Borough/Bureau Inspection Unit.
Should evidence corroborate these allegations, the member of the service concerned
may be suspended, and possibly terminated.

FINANCIAL RESTRICTIONS
1.

No Department employee may have a position in a firm that the employee knows,
or should know, is engaged in business dealings with the Department.

2. No Department employee may have a position in a firm that the employee knows,
(or should know) is engaged in business dealings with the City unless such position
is in a firm whose shares are publicly traded.
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Note: For purposes of steps I and 2 above, a position with a firm includes,
but is not limited to an officer, director, manager, employee, trustee,
attorney, agent, broker, or consultant to the firm. The definition of firm
includes an individual seeking business on his/her own behalf, and as a
sole proprietor.
3.

In addition to the prohibitions outlined above, a Department employee may not
have an ownership interest in a firm that is engaged in business dealings with the
department or have an ownership interest in a firm whose shares are not publicly
traded, that is engaged in business dealings with the City.

4.

If a department employee has an ownership interest prohibited in step 3 above,
the employee must, within ten (10) days of learning that such ownership interest
is prohibited:
a.

Terminate such ownership in the firm, or

b.

Disclose the prohibited ownership interest to the Conflicts of Interest
Board.

Note: For purposes of steps 3 and 4 above, an ownership interest
means an interest held by a department employee, the employee’s spouse
or unemancipated child, which is greater than five (5) percent of the firm or
an investment equivalent to $32,000.00.
If a Department employee has an interest in a firm, whose shares are publicly
traded, that has business dealings with the City (which would be permitted), but is not
sure whether that firm has business dealings with the Department (which would not be
permitted), the employee may make written request to the Police Commissioner,
through channels, for a determination on whether that firm does business with the
Department.
Any department employee who believes that he or she may be affected by these
provisions should immediately contact the Conflicts of Interest Board at (212) 442-1400
for further instructions. An employee may have an interest otherwise prohibited above if
written approval is obtained from the Police Commissioner and the Conflicts of Interest
Board approves.

PROHIBITED CONDUCT
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1.

Consuming intoxicants while in uniform whether on or off duty.

2.

Bringing or permitting an intoxicant to be brought into a Department
building, facility, booth, boat, or vehicle, except in performance of police
duty.

3.

Entering premises serving intoxicants, except for meal or performance of
duty.

4.

Carrying a package, umbrella, cane, etc., while in uniform, except in
performance of duty.

5.

Recommending use of particular business, professional or commercial
service to anyone except when transacting personal affairs.

6.

Steering business, professional or commercial persons to a prospective
client requiring such services except when transacting personal affairs.

7.

Consenting to payment by anyone to regain lost or stolen property or
advising such payment, except towing fees as provided by law for
recovered stolen vehicles.

8.

Riding in any vehicle, other than a Department vehicle to which assigned
while in uniform, except when authorized or in an emergency (sergeants
and police officers only).

9.

Using Department logo unless authorized by Police Commissioner.

10.

Wearing any item of apparel which contains a Department logo or shield,
or in any way identifies its wearer with the New York City Police
Department.

11.

Engaging in card games or other games of chance in a Department
facility.

12.

Engaging in illegal gambling anywhere except in the performance of duty.

13.

Having any person make a request for recommendation that affects the
duties of any member of the service, except as provided by Department
procedures.

14.

Engaging in conduct defined as discriminatory in PG 205-36,

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“Employment Discrimination,” “SCOPE” statement.
15.

Using Department letterhead, personnel, equipment, resources, or
supplies for any non-Department purpose or non-city purpose.

16.

Wearing or carrying an unauthorized beeper/pager and/or cellular
telephone while on duty.

ACCEPTANCE OF GIFTS AND OTHER COMPENSATION
BY MEMBERS OF THE SERVICE
It is the policy of the Department that members of the service may not accept any
reward, gratuity, gift or other compensation for any service performed as a result of or in
conjunction with their duties as public servants. All exceptions must be in accordance
with Chapter 68 of the New York City Charter and the Police Department Board of
Ethics rulings. This policy applies regardless of whether the service was performed
while such members of the Department were on or off duty. Members of the service
also shall not solicit any gift, gratuity, loan, present, fee, or reward for personal gain.
Members of the service may be offered gifts, awards, and other things of value
by private citizens, institutions, etc., in appreciation for their police service. It is not
unethical or illegal for a member of the service to accept gifts that are commonly offered
as tokens of appreciation, i.e., plaques, pen and pencil sets, etc. However, cash
rewards and personal gifts, such as wristwatches, etc., are strictly forbidden.
Whenever a member of the service is offered a gift or becomes aware that a gift
will be offered in appreciation for police service, such member will comply with
Department regulations relating to financial restrictions and prohibited acts/prohibited
interests and will notify their commanding officer, PRIOR to acceptance of the gift.

CASE STUDIES OF ALLEGATIONS OF SERIOUS MISCONDUCT/CORRUPTION
This section of this chapter discusses the following cases, drawn from the
Department’s files:
1.
2.
3.
4.
5.
6.
7.
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Misuse of Department computer;
Allegation of money taken from a prisoner and not returned;
Dispute between two police officers;
Dole Test – Random;
Dole Test – Targeted;
Police Officers visiting a drug location;
Police Officer allegedly kidnapped a child;
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8.
9.
10.
11.
12.
13.
14.

Off-duty Police Officer arrested for DWI;
Police Officer allegedly took $10.00 from complainant’s vehicle;
Police officer arrested for leaving the scene of a vehicular accident;
Police Officers engaging in auto insurance frauds;
Police Officer arrested for forcibly sodomizing a female;
Housing Bureau Police Officer arrested for ripping off drug dealers;
Police Officer deals pharmaceutical drugs; is arrested, and commits
suicide.

Case #1

MISUSE OF DEPARTMENT COMPUTER

Allegation:

The NY State Police reported to this Department that the identity of an
undercover trooper of the State Police was accessed through a DMV
check on a mobile computer terminal assigned to a precinct in Brooklyn.

Investigation:

Subsequently, the undercover trooper received several death threats.
Investigation disclosed that the computer password of a member of the
service was used to gain access to a Department computer. Further
inquiry disclosed that the partner of the officer, whose password was
used, was a relative of a second trooper who had been arrested as a
result of an investigation participated in by the undercover trooper. The
officers in question were interviewed and the partner of the officer whose
password was used acknowledged checking the identity of the undercover
trooper. She denied any knowledge of the investigation conducted by the
trooper or of the identity of the trooper who had been the subject of an
investigation and explained that she has conducted the computer search
in an effort to locate the father of her young son. There was no
connection between the threats to the undercover trooper and the
computer search conducted by the member of this Department and she
took full responsibility for her conduct and acknowledged that it was not
proper.

Result:

A Supervisor’s Complaint report was prepared for the officer and the
investigation was closed as substantiated.

Case #2

ALLEGATION OF MONEY TAKEN FROM A PRISONER AND NOT
RETURNED

Allegation:

A prisoner that was arrested for Grand Larceny of an Auto alleged that
money was taken and that he was beaten when arrested. The prisoner

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stated that he was arrested for GLA and was thrown to the ground, kicked
and dragged. He tried to run and was caught and again beaten. He
claimed that he was waiting to meet someone when he was arrested for
GLA and at the station house he was again beaten and $280 in cash was
taken from him.
Investigation:

The investigation conducted into the prisoner’s allegation disclosed no
evidence of any physical force used on him, in that there were no injuries
of any kind. Attempts to locate the person he claimed to be waiting for
disclosed a telephone number that did not exist. There was no record of
the person living at the address given. Department records disclosed that
the prisoner had no funds on him at the time of the arrest and no medical
record of treatment of injuries. The officer in question was interviewed
and stated that he had arrested the complainant on two (2) separate
occasions for GLA, and denied striking the prisoner or taking any money
from him.

Result:

No evidence was discovered to support the prisoner’s allegations and the
case was closed as unsubstantiated.

Case #3

DISPUTE BETWEEN TWO (2) POLICE OFFICERS

Allegation:

Police Officer “female” reported that Police Officer “male” slapped her and
attempted to sexually assault her.

Investigation:

Police Officer “female” stated that she was at Police Officer “male’s”
residence to drop off a child they had in common and to pick up a child
support payment. Police Officer “male” attempted to reconcile their
relationship and he was rebuffed. He slapped her and attempted to
remove her pants. Police Officer “female’s” mother, who had waited
outside, overheard the commotion and called the local police. The police
responded and filed a report of a Domestic Disturbance. No evidence of
injury was observed on Police Officer “female”. Police Officer “male”
stated that in fact Police Officer “female” had slapped him during an
argument over child support payments. The mother stated that she had
remained outside during the incident and could add nothing to the report.

Result:

As a result of the investigation, the allegation that Police Officer “female”
had been assaulted was found to be unsubstantiated. However, both
officers were placed on modified assignment and referred to psychological
services for counseling.

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Case #4

DOLE TEST - Random
During the course of a random dole test, the result of the test analysis for
an officer was positive for marijuana and as a result, the officer was
suspended. Department charges were preferred against the officer and
the case was closed as substantiated.

Case #5

DOLE TEST - Targeted

Allegations:

Information was received from the Nassau County Police Department
indicating that while debriefing two (2) prisoners arrested for criminal sale
of a controlled substance - cocaine, they sold cocaine to a New York City
Police Officer who was in uniform at the time.

Investigation:

The prisoners identified the precinct the officer worked in and said that his
name was Fred. A photo array of likely suspects was prepared and each
informant identified the same officer as being one they sold cocaine to.
An intensive investigation into the activities of the officer in question was
initiated and upon establishing reasonable suspicion that the officer was
using drugs, he was ordered to submit to a Dole Test. He was placed on
modified assignment while awaiting the results of the test.

Result:

The results indicated positive for the presence of cocaine and the officer
was placed on suspension. Departmental charges were preferred against
the officer and the investigation was closed as substantiated.

Case # 6

POLICE OFFICERS VISITING A DRUG LOCATION

Allegation:

An anonymous caller reported that drugs were being sold from a hardware
store located in a Bronx precinct and that police officers were involved.

Investigation:

A series of observations of the location disclosed that the store was
actually selling alcohol without a license. No evidence of drug dealing was
observed and no police officers were found to be visiting or involved at the
location in any way. Bronx Public Morals raided the location and arrested
operators for gambling violations and for the sale of unlicensed alcohol.
Both operators of the location were debriefed by investigators from I.A.B.

Results:

No evidence of police corruption or involvement was found. The
investigation was closed for information only.

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Case #7

POLICE OFFICER ALLEGEDLY KIDNAPPED A CHILD

Allegation:

A citizen called the I.A.B. Command Center and stated that P.O. Smith
kidnapped a child.

Investigation:

Captain Adams, Patrol Bureau, responded and reported that Police Officer
Smith was suspended from duty due to over-indulgence of alcohol.
Investigation disclosed that P.O. Smith physically grabbed a 9-year-old
child during a dispute. Upon response by the Duty Captain, it was
determined that P.O. Smith was intoxicated and was suspended. There
was no evidence to support the allegation that he had kidnapped anyone.

Result:

The investigation was closed as unfounded (kidnapping) and other
misconduct noted charges preferred for being unfit for duty due to
intoxication.

Case #8

OFF-DUTY POLICE OFFICER ARRESTED FOR D.W.I.

Allegation:

New York State Police reported the arrest of off-duty Police Officer Jones,
for driving while intoxicated.

Investigation:

Investigation Units from this Department responded to the State Police
barracks and conducted an investigation of the incident surrounding
Jones’ arrest. They learned that he had been involved in an accident and
that an investigation by State Troopers determined that he was driving at
an excessive speed and appeared to be under the influence of alcohol
when they first observed him. Jones refused to submit to a Breathalyzer
test. He was represented by the PBA and declined to be interviewed.

Result:

Representatives of this Department took possession of P.O. Jones’
firearms, shield, and identification, and suspended him from duty.
Department charges were preferred against P.O. Jones. This
investigation was closed.
POLICE OFFICER ALLEGEDLY REMOVED $10.00 FROM A
COMPLAINANT’S VEHICLE

Case #9
Allegation:

Mr. Jones reported that while making a delivery with his truck, he was
issued a summons by P.O. Green. He alleged that P.O. Green took a tendollar bill, which he had in his wallet.

Investigation:

Included the interview of other police officers at the scene and a
passenger in the complainant’s vehicle who refuted the allegation.

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Department records verified that a summons was actually issued to Mr.
Jones by P.O. Green. This investigation was closed as unfounded.

Case #10

POLICE OFFICER ARRESTED FOR LEAVING THE SCENE OF A
VEHICULAR ACCIDENT

Allegation:

Information received from a Detective Squad indicated that a vehicle
involved in an accident, which resulted in the injury of a pedestrian, was
believed to have been driven by an off-duty police officer.

Investigation:

The pedestrian who was struck was interviewed and said that the driver of
the vehicle that struck her was a heavy black man. A witness to the
accident obtained the plate number of the vehicle. A computer record
check disclosed that the vehicle was owned by a member of the NYC
Police Department and that the owner reported his license plate stolen the
day after the accident. A warrant was obtained authorizing the search and
seizure of the officer’s vehicle, and it was seized and vouchered as
evidence. The vehicle fit the description given by the victim and witness of
the occurrence. A lineup was conducted and the officer was identified by
both the victim and the witness.

Result:

He was placed under arrest and suspended from duty. The investigation
was closed as substantiated. The officer eventually pled to the criminal
charges and was dismissed from the Department.

Case #11

POLICE OFFICERS ENGAGING IN AUTO INSURANCE FRAUDS

Allegation:

Information was received from a confidential informant indicating that
several police officers in Brooklyn were planning an auto insurance fraud
by purchasing a late model Corvette wreck, and with the assistance of a
collision repair shop, planned to fraudulently register, insure, and later
report the vehicle stolen. This would enable them to collect the value of
the Corvette from the insurance company.

Investigation:

Internal Affairs initiated an investigation and with the assistance of the
informant were able to identify the officers involved. A surveillance of the
collision repair shop began and within a short time, one of the three (3)
officers involved was seen supervising the delivery of the wrecked
Corvette. A few days later, the wrecked auto parts from the Corvette were
observed being loaded into a sanitation truck. The dumped parts were
later covertly recovered from the sanitation pier just prior to them being
loaded onto a barge for disposal at sea. The Corvette parts were

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safeguarded and vouchered as evidence. Approximately a week later, a
computer check disclosed that the now non-existent Corvette had been
registered, insured, and reported stolen. Investigation determined that a
claim had been filed with GEICO Insurance Company. In addition, it was
determined that the Police Officer who filed the fraudulent claim was also
in possession of two (2) stolen vehicles which were used for personal
transportation. The investigation utilized the services of the Auto Crime
Unit to examine the stolen vehicles to determine what the VIN numbers
were.
Result:

The investigation resulted in the indictment and subsequent criminal
convictions of two (2) police officers and the civilian collision shop owner.
In addition, two (2) police officers that aided in the commission of the
frauds were prosecuted in the Department Trial Room and were dismissed
from the Police Department.

Case #12

POLICE OFFICER ARRESTED FOR FORCIBLY SODOMIZING A
FEMALE

Allegation:

Ms. Jane Doe reported that while riding from Manhattan to Staten Island in
her vehicle on the Staten Island Ferry, she was accosted by a police
officer in uniform who took her into custody for a purported traffic violation.
He directed her to a room reserved for police officers, located inside the
terminal. At the point, he ordered her to sit down on a couch and he
locked the door. No one else was present. He began to fondle her
breasts and then forcibly sodomized her. He then took some money from
her and making sure no one was outside, he permitted her to leave. Ms.
Doe subsequently reported the incident to her local precinct.

Investigation:

Internal Affairs was notified and conducted an in-depth investigation. It
was learned that on another occasion, the officer had tried to force a
female into his private vehicle at gunpoint, but she ran away. Department
roll calls disclosed which officer was assigned to the ferry at the time Ms.
Doe was accosted. Based upon the two women’s physical description,
the officer believed to have been involved in both incidents was identified.
The officer was placed in a lineup and was identified by both
complainants. In addition, a canvass of the ferry employees identified a
crewman whom recalled seeing the officer in Ms. Doe’s vehicle as they
drove from the ferry.

Result:

The police officer was arrested, suspended from duty and subsequently
dismissed from the Department. He was indicted by a Grand Jury in

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Staten Island and was convicted after trial. He was sentenced to
incarceration in a New York State correctional facility.

Case #13

HOUSING POLICE OFFICERS ARRESTED FOR RIPPING OFF DRUG
DEALERS

Allegation:

The information, which included the identity of the Housing officers, was
disclosed by a drug dealer who had been arrested and incarcerated. He
offered the information in an effort to gain his release from jail. In addition,
members of the drug dealer’s family offered their cooperation in an effort
to help their brother. As a result of the drug dealer and his family’s
cooperation, two Housing police officers were told that a drug courier
would be delivering several kilos of cocaine to a location in Queens. The
Housing police officers were told when and where the courier, who was
actually a female undercover Detective from Internal Affairs, would be
going to deliver the package of cocaine. The two Housing officers
appeared at the designated location and attempted to rob the courier of
the package of cocaine.

Results:

They were apprehended at the scene and placed under arrested. Both
eventually pled and were sentenced to prison. The case was closed as
substantiated. It is important to note that this investigation owed its
success to the joint efforts of the Housing Police, I.A.B., N.Y.P.D.
Narcotics Unit, and Internal Affairs.

Case #14

POLICE OFFICER DEALS PHARMACEUTICAL DRUGS; IS
ARRESTED, AND COMMITS SUICIDE

Allegation and Investigation:
Police Officer Able assigned to the Street Crime Unit, met Police Officer
Baker and socially on several occasions. During a casual conversation,
Police Officer Baker learned that Police Officer Able’s spouse was a
pharmacist and owned a drug store. Baker subsequently approached
Able and asked him to arrange for the purchase of a large amount of
Quaaludes, a controlled substance. Able refused Baker’s request. Baker
approached Able again and was very forceful in his request to purchase
the Quaaludes. He even suggested that they could fake a burglary to
cover-up the loss of the drugs from the pharmacy and that Able did not
have to tell his spouse at all. Able reported the misconduct to his
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Sergeant and they both went to their Commanding Officer and apprised
him of the approach by Baker. They were immediately referred to Internal
Affairs and Able agreed to work as an undercover in the case against
Baker. Able contacted Baker and agreed to provide him with 2,000
Quaaludes and other kinds of federally controlled pharmaceutical drugs.
A meeting was set near LaGuardia Airport between Able and Baker to
exchange the drugs for a payment of $2,600.00. The meeting took place
as planned and the exchange was made. Baker left the area in his vehicle
at high speed and a chase ensued. He was forced to stop some distance
away and when confronted, refused to surrender.
Result:

He drew his revolver and confronted the investigators that surrounded
him. All efforts to convince Baker to surrender were unsuccessful. Baker
used his revolver to take his own life.

The preceding material, taken from actual cases, was presented to you to dispel
any notions that police officers are immune to the problems that other members of
society face. It shows how lives can be affected and even destroyed when some permit
themselves to surrender to the multitude of temptations that will arise in a police officer’s
career. The most effective shield police officers have against succumbing to those
temptations is their UNCOMPROMISED INTEGRITY!!!

CONCLUSION
By reviewing the past history of corruption trends, we clearly see a need for an
internal investigative body. As professionals, we need to show the public that they can
trust us. The Department’s many Integrity Programs and monitoring systems (i.e. I.C.O.,
Patrol Supervisor, Reporting Corruption, etc.) will show the public our commitment to
keeping their trust. It is through our partnership with the community that we are able to
wear the title of New York’s Finest.
Although numerous integrity-monitoring systems are in place throughout this
Department, it is the responsibility of all members of the service to protect the pride that
police officers have acquired through time. Although numerous outside agencies have
the authority to investigate and/or prosecute corruption, it is important that it is exposed
from within our ranks in order to maintain the high levels of integrity the vast majority of
police officers take pride in.
We must continue to struggle successfully against the elements in our society
that attempt to downgrade our efforts at achieving a completely honest and effective
Department. During the course of this discussion, we have demonstrated how careers
and lives can be destroyed by conduct that could have been avoided through a mature
and active awareness of respect; respect for ourselves, co-workers and the community.
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Policing With Integrity

The Mollen Commission acknowledged in its report that “Corruption is
inevitable...” However, the report also noted that “tolerance for corruption is not...nor
can it ever be acceptable.”
Even with new safeguards in place to assure another Michael Dowd will never
again go undetected, it still remains the absolute responsibility of EVERY member
of the Department to preserve the high level of integrity the public expects from
its police.
The silence of honest officers allows corruption to flourish. Although high morale
is vital to the success of law enforcement, it cannot come at the expense of the public’s
trust and an officer’s safety. The Internal Affairs Bureau plays a vital role in insuring that
both concerns are properly protected.
Our society, with its present social ills, places constant temptations on the
integrity of Police Officers. Narcotic use, rampant in today’s society, will not be
tolerated by members of this Department. Members of the Department using illegal
drugs must be identified and removed from this Department because of the corruption
virus it breeds.
For the Department to succeed in maintaining public trust, every hardworking
honest member must give their best effort in identifying these “bad cops” who tarnish
our positive, hard earned image.
Corruption, drug use and criminal activity must be exposed from within our ranks
in order that all police officers maintain the public’s trust and be successful in
diminishing crime through a partnership with the community we serve.

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Stress Management for Police Officers
WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT STRESS AND STRESS MANAGEMENT?
All human beings encounter stress on a daily basis. Sitting in traffic, having
a new baby, moving, changing jobs: all are stressful situations that we face during
our lives. Stress is a normal reaction to daily existence. Some of us handle stress
with a positive outlook, while others have more difficulty dealing with stressful
situations. Each of us should recognize the conditions in our lives that are
particularly stressful. We must be aware that constant stress can have
unproductive and, possibly, even destructive results.
Because of the nature of their work, police officers usually are under a great
amount of stress and should be able to recognize the conditions that can lead to
unhealthy stress management, alcoholism or worst, suicide. As a police officer,
you will often deal with people at their worst. Some will have problems that cannot
be solved. In this section, we will try to help you to anticipate and deal with these
stressors and to be aware of associated behaviors that can lead to problems.

WHAT IS STRESS?
One only has to turn on the television to be exposed to the numerous
programs depicting the life of a police officer. From the fictional drama of NYPD
Blue and Third Watch to the real, but very unrepresentative, video tapes shown
on COPS, the audience looks into what appears to be a world that is exciting,
dangerous and challenging. The police represent that which is right and just in our
society and are engaged in the quest of defeating the wrongs.
When you accepted this job, you began a process designed to make you
adapt and conform to life in a semi-military organization. This para-military
approach used at the Academy to discipline and teach is unfamiliar territory for the
majority of recruits. Aside from its academic and physical demands, part of your
training is meant to help you become acclimated to what is expected of you on
patrol. You now have the responsibility of adjusting and adhering to the job’s
seemingly endless rules and regulations. These may seem petty and unfair at
times, but there are valid reasons for them all. During your stay at the Academy
and throughout your career, you will be repeatedly challenged. And as you’ll
learn, stress comes along with any of life’s challenges.

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As a new recruit, you may have heard that police work is a stressful
occupation which can have a negative impact on your personal life. You were
chosen to become a New York City police officer because we believe that you
have the ability to adapt to the demands this job will place on you. At this early
stage of your career, it is critical that you lay a proper foundation on which to build
throughout your career. This must include the careful and thoughtful development
of a strong support system which includes family and friends, both on and off the
job. It is this support system that will be there for you should stress, of any kind,
become an issue.

OVERVIEW OF STRESS THEORY
•

Stress is the non-specific response of the body to any demand.

•

Stress is the arousal of the mind and body in response to demands
made upon them.

•

Stress is the mental and physical responses of our bodies to any type
of change.

•

Stress is the psychological reaction to excessive stimulation in
comparison with an individual’s resources for coping.

STRESS – IN PLAIN ENGLISH:
Stress is whatever response your mind and body have to the demands, changes,
or challenges you experience.
Some of you probably have the idea that stress is a bad thing. This is not
the case. Stress is whatever response your mind and body has to the demand,
changes, or challenges you experience during the course of your life. As such,
stress is an inevitable and necessary part of our lives which we experience every
day. Think about getting to the Academy today in time to stand muster. It may
very well be that you left your house on time, encountered no traffic, and found the
perfect parking space; or maybe you just caught the train or subway in plenty of
time to arrive early to muster. Sounds like a stress free morning? It wasn’t.
The demand was placed on you to be somewhere by a certain time. Your
mind and body responded to the demand by getting you ready and out of the
house on time. This is the kind of stress we experience all day long. But we don’t
think of it as stress because it is manageable and produces a positive result. Think

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about the amount of electricity needed to run a computer and how a surge of
electricity can burn out its hard drive. Experienced at the right levels, stress is a
catalyst for productivity. At the wrong levels, at minimum, it can lead to burnout.
When your mind senses changes or demands, it identifies them as
stressors. Stressors can be tangible, such as a torn Achilles tendon, or
indiscernible, such as emotions experienced during an interview for a job
promotion. Tangible stressors can be much easier to deal with because you can
see, touch, and feel them. Most of the time, these type of stressors have an
identifiable beginning and end, making them more tolerable. Even the torn
Achilles tendon will get better in time. Other types of stressors are more
troublesome, partly because they seem unpredictable and you may feel as if
you’re powerless to change them.
Picture yourself walking into your precinct while a sergeant who does not
particularly like you is adjusting the roll call. As you walk by the desk, the
Sergeant looks up and makes a face when he sees you before going back to
making the roll call changes. Suddenly you feel uncomfortable and begin to feel a
little anxious. At roll call you’re told you’ve been assigned to a good sector, a new
RMP and a good partner for the tour. The next day you come in and experience
the same reaction from the same sergeant. What should you make of his
expression this time? At roll call, you learn that you’re on a foot post in the rain.
The sergeant later changes your post, assigning you to a bad smelling DOA and
tells you to be thankful you’re out of the rain. By the end of the tour you’re wishing
for the torn Achilles tendon.
Eustress and Distress
Demands or stressors can be placed into two categories: eustress and
distress. Stress that presents the opportunity for personal growth and
satisfaction is known as eustress. Your experience of completing all the
necessary paperwork and complying with the request made of you by Applicant
Processing in order to be hired for this class is a prime example of eustress.
Other examples would be daily aerobic exercise to enhance health and fitness or
the completion of a major project resulting in a Master’s degree. Distress leaves
you feeling drained and irritable because it is caused by troubles, such as
the ending of a relationship or loss of job. Because eustress produces positive
results, we often do not recognize it as stress at all. On the other hand, because
distress has such negative consequences, it has come to be thought of as the only
form of stress.

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We respond to stress physiologically (the body) and psychologically (the
mind). When it comes to stress, there is no clear division between mind and body.
The body and mind work together to try and deal with stress. In order to
understand how the mind and body attempt to deal with stress, imagine the
following: Someone accidentally knocks into you as you’re walking down the street
and you begin to fall. Your mind and body register the event simultaneously and
you respond by moving in a way that helps you regain your balance or
homeostasis. Let’s say the knock is so hard that you can’t recover so easily. In
this case you might move your arm to brace your fall, possibly breaking a wrist, or
you might fall, flat on your face.
Now imagine a stressor as a major event that throws you for a loop, such
as a death in the family or a breakup of an important relationship. Once again,
your mind and body attempt to regain their balance but, for a few hours a day, a
few days, weeks or months, you find yourself feeling sad and upset, even a little
shaky. For a time you feel as though you’ve hit a concrete wall and fallen flat on
your face. With time, your mind and body succeed in helping you regain your
equilibrium as you get back on your feet and are ready to run with your friends.
Stress is often not the result of one single event. Instead, it often involves a
series of demands or cumulative stressors placed on an individual. Everyone
experiences those mornings where anything that can go wrong does go wrong, for
instance, knocking over a coffee cup which spills onto your uniform shirt which you
now have to change. Finally, you get out of the house only to be stuck in a traffic
jam. You get to work too late to find a parking place, which almost makes you late
for muster. Three days in a row just like the one described and you will experience
the cumulative effects of stressors.
The Body’s Response to Stress
The response to stress in an individual is on two levels, physiological and
psychological. On the physiological level, the body follows a three-stage response
to stress that is called the General Adaptation Syndrome (GAS). “General”
refers to the fact that your body does not distinguish between stressors and may
physically react the same way to joy as it might to fear.
•

Stage 1 - “Fight or Flight Response.” The first stage is the alarm phase,
also known as the “fight or flight response.” When the body senses a
threat, such as being physically harmed, the autonomic nervous system
(ANS) is triggered. The ANS has two branches, the sympathetic and
parasympathetic nervous systems that balance the response of the body to
the threat. The sympathetic nervous system energizes the body while the
parasympathetic nervous system controls the output of energy.

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•

Stage 2 - Resistance Phase. The second phase of GAS is the resistance
phase. The ANS has gotten the body ready to deal with the perceived
threat by adapting body systems. The body continues to resist until the
perceived threat is over or it has depleted all of its energy supplies and can
no longer fight the threat.

•

Stage 3 - Exhaustion. If the demands continue over a period of time and
the physical and psychological stores of energy are depleted, the body
enters the last phase of general adaptation syndrome, exhaustion. It is at
this point that an individual is susceptible to serious illness and if not
checked, he or she may die.

The Mind’s Response to Stress
•

Level 1 - The Alarm Phase: Your mind is presented with a situation
(stressor) with which it is not familiar, and reacts with surprise and anxiety
because of inexperience in resolving anything like it.

•

Level 2 - The Resistance Phase: We learn to cope with the task
effectively.

•

Level 3 - The Exhaustion Phase: After prolonged exposure to the
stressor you’ve come to no effective solution and you have depleted your
internal resources. This leads to a state of emotional fatigue.

YOUR UNIQUE RESPONSE
It is during the resistance phase that the ability to adapt or cope (regain
your balance effectively) often becomes inhibited and the situation now becomes
distressful. Our lives are made up of a series of experiences. What determines
which situations you perceive as stressful is shaped by your assessment of past
experiences and the meanings you have assigned to them? This is known as the
theory of cognitive appraisal.
It may seem that some of us handle some stressors with ease, while others
have more difficulty dealing with the same stressor. It is important to realize and
respect that what is stressful to one person is not necessarily stressful to another.
For example, no matter how hard you work out on your own time you can’t quite
seem to keep up in the gym. As you get dressed in the locker room your body
reacts to this stressor by bracing itself, your heart beats rapidly, your upper lip is
beaded with sweat, and your stomach becomes upset. Yet the recruit next to you

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is happily changing into gym attire while announcing that this is his favorite part of
the day.
Individuals also have different response to stressors that might appear
negative to the majority. Some individuals view an involuntary change in their work
place as a threat because they have to learn new things and redefine who they
are. Others view such an event as a challenge, which will allow them to broaden
their knowledge and make them a better person. Those who view stress positively,
as an inevitable and an essential aspect of daily life, will be less likely to suffer its
unfortunate physical and emotional consequences.
In Summary:
•

Stress is a healthy, normal part of life. It is what helps us meet goals and
remain productive.

•

There are two types of stress: eustress, which helps us meet daily
challenges; and distress, which brings negative physiological and
psychological reactions.

•

Your body’s need to maintain homeostasis, or balance, is what makes
adaptation to stressful situations possible.

•

When a life event, or “stressor”, takes place that may require you to adapt,
you are knocked off balance.

•

The way you perceive and interpret a stressor – your paradigm – will
determine how you react to the stressor physiologically, emotionally and
behaviorally.

STRESS IN LAW ENFORCEMENT
From a slightly different perspective, stress can be understood as the
psychological reaction to an excessive stimulation in comparison with an
individual’s resources for coping. Whatever is troublesome, overwhelming, or
uncomfortable about a job can simply be labeled the stress (distress vs. eustress)
of the job. This notion is in line with the theory of cognitive appraisal, that if you
perceive a stressor negatively, you will experience it as distressful.
As a recruit officer you will experience stress at the academy level. You are
in the process of learning new material, acquiring new physical skills, and
polishing old ones. You came on the job knowing how to drive but we will
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challenge you to drive safer and better. You know how to write but we will require
that you articulate concepts on paper, so that they conform to Department
standards. All of the stressors you will be exposed to at the Academy are aimed
at making you a polished, competent professional.
The responsibility to maintain peace in a community and enforce its laws is
in itself a difficult task. Added to the obvious challenges of being a police officer is
the behind the scene roadblocks of political influences, power plays and budget
constraints. Leading experts in the field have separated the stressors experienced
in police work into several different categories. Examples of low stress events are
excessive or unplanned overtime and working through the holidays or important
family occasions. These stressors are often cumulative in effect. This means that,
one at a time, these stressors may not be serious, but that they add up over time.
High-level stress events are seen as suspension, dismissal and taking a life in the
line of duty.
Somewhere in the middle are such stressors as changes in supervision
which officers, including you, are bound to encounter during their careers. Imagine
a new sergeant or lieutenant who supervises with a different style than you’re used
to. The supervisor takes action that you and your colleagues perceive as
unnecessary or maybe even unfair. You find yourself in a dilemma. On the one
hand, you want to do things they way you’ve become accustomed to doing it. On
the other hand, you don’t want to make an enemy of your supervisor by saying
something that might offend him or her.
Another stressor in policing involves issues of mobility and advancement,
and the perception some officers have regarding the limitations of career
opportunities. One of the ways to deal positively with this concern is to plan your
career carefully. You can start by asking yourself what kind of shield you think you
will be turning in when you retire. Do you want to pursue a promotional or
investigative track, or both? Ask yourself what skills you can develop which would
be beneficial to you after retirement then set your goals.
Plan a long-term career path while keeping in mind the short-term
accomplishments that will lead the way. Remember, the failure to plan a career by
setting goals is a mistake many officers make. Working towards something rather
than letting the winds of change blow you all over the job will give you a better
sense of control and direction. As you pursue these goals, be sure to work to
create positive relationships with the people around you. People of all ranks and
status are essential for your success.

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Whatever you do in this Department, do not wish your life away by counting
the days until retirement. Too many officers fall into this trap, imagining that the
end of 20 years in the Department will somehow put them into some ideal life
where all will be roses and sunshine: you will meet these guys and gals as soon
as you leave us. The problem they have is that, in living for tomorrow, they do not
enjoy today, and their careers and opportunities in the biggest, best, most
successful, and most highly regarded police department in the country. In this job,
as in the rest of life, getting to a goal should be at least half the fun. Enjoy it as
much as you can.
Psychological stress in law enforcement, real or perceived, has a rippling
effect similar to a flat stone tossed in a pond. Your squad, significant other, family,
and friends can all be touched by the distress experienced in this demanding
lifestyle. Managing stress at this stage of your career is about identifying what
stresses you and keeping it at a challenging yet containable level. To do this you
must be aware of what types of things you stress over, why you stress over them,
and how you can better manage your stress reactions so that they do not interfere
with your job performance and personal relationships.

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External Stressors- stressors from outside the law enforcement agency
• Frustration with the American judicial system;
• Officer’s dislike of the decisions and interests of administrative bodies
affecting law enforcement work;
• Lack of public support and negative attitudes towards law enforcement;
• Negative or distorted media coverage of law enforcement.
Internal Stressors - stressors from within the law enforcement agency
• Policies and procedures that are troublesome to officers;
• Sense that career development opportunities are inadequate;
• Lack of recognition for good performance;
• Poor economic benefits;
• Excessive paperwork;
• Inconsistent discipline.
Stressors in law enforcement work itself
• Frequent exposure to life’s miseries and brutalities;
• Boredom, alternately interrupted by the need for sudden alertness and
mobilized energy;
• Fear and dangers of the job;
• Constant responsibility for protecting other people;
• The fragmented nature of the job, in which one person rarely follows a case
through to conclusion;
• Work overload.
Stressors Confronting the Individual Officer
• Fears regarding job competence, individual success, and safety;
• Necessity to conform;
• Necessity to take a second job or further education;
• Being criticized by peers;
• Altered social status in the community due to attitude changes toward a
person because he or she is an officer (US Department of Justice, 1992).

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Critical and Chronic Stress
The stress experienced by a law enforcement officer can be divided into
two different areas: critical and chronic. Critical stress results from an incident
that places demands on an officer that are above and beyond the normal call
of duty. Examples are shooting an offender; death of a partner; hostage
situations; and involvement in natural or man-made disasters. The chronic stress
experienced by law enforcement personnel is often cumulative over time
and affects an individual physiologically and psychologically. This can be
caused by constant exposure to pain, suffering, violence, poverty, and death.
In many departments, the lifestyle of a police officer is dictated by shift
assignments involving hours, which conflict with those of most other professionals.
An officer assigned to a steady shift such as midnight to eight in the morning, will
usually experience it as distressful. However, officers usually adapt over time and
distress is reduced.
Research suggests that there is a strong influence of distress on an
individual’s physical and emotional well being, although findings are scant
regarding the link between distress and specific illnesses. It’s worth noting,
however, that large numbers of law enforcement officers suffer from cardio
vascular, respiratory and digestive disorders, as do workers in many other
occupations. This may be linked to the experience of distress.

PSYCHOLOGICAL EFFECTS
The extreme level of psychological distress in police work is known as
burnout. Burnout occurs when your reserves of adaptability and energy are
totally depleted and despite a vacation, you find it difficult to return to work.
Inherent in the law enforcement culture is the belief that an officer alone can
handle everything and anything emotional. Until very recently, seeking out
professional help would put an officer in the precarious position of being placed on
modified duty.
Prior to suffering burnout, an officer experiences overload, which occurs
over time as stressful events cited as stressors to a police officer accumulate.
There is also the possibility of underload, occurring when little or no demands are
made on the officer leading to boredom. Both show up in symptoms such as
sleeping difficulties, irritability, and difficulty in “getting started” at work, decreasing
recreation, increasing family difficulties, inattention, and inefficiency. Often, dealing
with the symptoms is done in self-destructive ways such as alcohol and/or
substance abuse, sexual promiscuity, and isolation from friends and relatives.

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EFFECTS ON THE FAMILY
Most of studies on police officers’ marriages are with the wife being the
non-member of law enforcement. Research found that wives had serious
concerns regarding:
•

Infidelity;

•

Lack of quality time with self and children;

•

Jealousy on both parts;

•

Developing an adversarial relationship;

•

Death or injury of spouse from police work;

•

Isolation from social friends and the decline into alcoholism.

Initial research on this subject was conducted a generation ago, and found
that police officers experienced a high rate of divorce. One study of that era
suggested that, in large police departments, it was not difficult to find police
officers on their third marriage by the age of 30. The fact is that the allencompassing nature of law enforcement cannot help but affect family
relationships. This Department, like others across the country, has long
recognized these problems, and has done enough to address them that it is
unlikely that these same statistics apply today. But there is no doubt that policing
remains a stressful occupation.
Initially, you and your family may have little trouble adapting and coping
with the demands of the job. When asked whether family or the job come first,
new officers inevitably answer that family is their first priority. However, in time
officers commit more of themselves psychologically to their career. The family
takes a back seat to the demands of law enforcement. A competition between the
Department and the family occurs. In order to achieve recognition, acceptance
from peers and advancement in rank, the officer devotes more and more time to
the Job. It is your responsibility to strike a balance between the two.
Strain also occurs as the officer may change attitudes and values due to
experience on the street. There is an increase in cohesiveness with other officers,
and an “us vs. them” mentality may develop as officers become angered by
repeated criticism by the media, officials and community. The officer often comes
home tense and wound up inside but cannot or does not want to share his or her
feelings with the family. Perhaps he or she fears they won’t understand what he or
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she has experienced or, perhaps, the officer wants to protect them. In either case,
avenues of communication are strained. The result is that the family comes to feel
more and more isolated, as if they aren’t a part of the officer’s life.
Police work tends to accentuate the personality characteristics of control,
dominance, and authority. These characteristics are incongruent with what’s
needed to maintain harmonious relationships at home. In order to maintain control
and reduce the possibility that street situations cause personal pain, detachment
from emotions is sometimes necessary. Unable to easily turn this protective device
on and off, police officers may carry it home with them. The family then senses the
wall and dares not approach the officer. As a result, their isolation is increased.
Police officers often are exposed to incidents that trigger a fight or flight
response. In order to control such reactions, the officer must maintain tight
control. Failure to do so could result in complaints, the use of excessive force, or
injury to another or the officer. There are also those times when the officer may
experience feelings of animosity towards the bureaucracy of the Department, as a
result of the frustrations he or she encounters on the job. Some officers then start
to take out their frustrations on their families and become verbally or even
physically abusive to them. Retired Los Angeles police officer and noted author,
Joseph Wambaugh stated: “Police work is not particularly dangerous physically,
but the most dangerous job in the world emotionally. Many of the stressors in
policing need not be; they are not inherent in the nature of police work and can be
alleviated.”
Family, Friends, and Support Systems vs. The Job
At times it may seem nearly impossible to balance relationships and the
“job”. The truth is that, with a little thoughtfulness and self awareness, it is not as
difficult as it may seem. The first step is to maintain clear and open lines of
communication with the people who care about you. Many officers make the
mistake of shutting their loved ones out of their careers. Your career is an
important part of your life and, while you may not want to share certain details with
family members, there is plenty to talk about which will not cause alarm or make
them fear for your safety. By sharing this type of information, your loved ones are
less likely to feel they have to compete with your career for your attention.

STRESS MANAGEMENT
The ways people best manage stress vary depending on personality,
cultural background and social milieu. The truth is that when someone is really
suffering, stress management is one of those things that is probably easier said

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than done. Nevertheless, there are some things you can do to handle mild to
moderate stress. Exercise is one. Meditation and relaxation techniques may also
be helpful, although they required some training.
Chronic or severe stress is less easily managed, particularly when it is
indicative or other issues that are unresolved. In such instances, it may be useful
to talk to a counselor. Although there is no longer a stigma in the larger New York
society linked to seeing a psychotherapist, many police officers remain hesitant.
Part of the reason lies in their belief that counseling will negatively effect their
career. Typically they fear that Psychological Services will be notified and their
shield and firearms removed if, for example, they use their insurance to pay for
outside services.
The truth is that no such notification takes place. The cost of counseling
can be as high as $200 per visit versus the $10-$25 co-pay if private insurance is
used. Many officers who decide to pay out of pocket drop out of counseling before
completing their treatment because of the cost. It is important that you know that
you have an absolute right to confidentiality. Confidentiality can only be
circumvented by your signature on a release.
Another issue that has received much attention is medication and whether
its use will compromise full duty status. Unlike the medication commonly used 20
years ago, the newer medications available for the treatment of depression, for
example, do not necessarily impact an officer’s ability to remain full duty. As a
result, there is no notification made to the Department should you be placed on
any of these medications. While the dole test does not detect many of them, it is
important to remember that you are asked to provide a list of medications you are
taking just prior to submitting to the test.
Left untreated, problems that could have been resolved at an earlier stage
may evolve into complicated issues that come to the attention of supervisors who
feel they have no recourse other than to remove weapons. These situations can
be avoided by obtaining the support and guidance of a trained counselor who can
lend some objective insight into your problem.

CRITICAL INCIDENTS
A critical incident is any event that is sudden, out of the realm of the
ordinary, usually life threatening, and that has the ability to overwhelm your normal
coping mechanisms. It may be a shooting, serious line of duty injury, or death, the
death of a child, or a “close call”. It may hit the papers or go without comment.
You may lose sleep over it or not give it a second thought. You may be directly

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affected by the incident or be a witness to it. The bottom line is that a critical
incident has the ability to affect how you function and feel-even years from now.
Critical incidents are typically outside the range of ordinary human
experience. As a result, only a small percentage of the population has the ability
to respond and function when they occur. As a trained, experienced police officer
you will most likely be able to handle yourself during a critical incident. Afterwards,
it is another matter. These types of events are likely to have a strong psychological
effect on even the most prepared emergency service worker.
Reactions to Critical Incidents
Not everyone will experience a critical incident in the same way. One-third
of the officers involved in shootings experience a mild traumatic reaction, or none
at all. Another third experiences a moderate reaction, and the rest experience a
severe reaction. It’s important that you go through a critical incident debriefing
regardless of whether you turn out to be one of those officers who has only a mild
reaction. Symptoms of critical incident stress may emerge long after the incident
and interfere with your life. Reactions may include:
•
•
•
•
•
•
•
•
•
•
•

Nightmares;
Flashbacks;
Distressing memories;
Increased irritability;
Obsession with the incident;
Self doubt;
Second guessing oneself;
Feelings of inadequacy;
Difficulty concentrating;
Withdrawal from others;
Sense of isolation.

What to Do If You Have Been Exposed to a Critical Incident
It is normal to experience any of the above listed reactions after exposure to
a critical incident. Should these reactions persist for more than a month after the
incident, you should seek professional help. Talking about your experience will
help you put your reactions into perspective. Left untreated you may develop Post
Traumatic Stress Disorder, or PTSD. The Department’s Early Intervention Unit
(646-610-6730) provides critical incident stress debriefings and runs a monthly
support group for those who have been involved in critical incidents. Officers that
attend the support group usually experience reassurance and encouragement

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from their peers. Another option is to seek out a mental health care provider who
is trained in the treatment of trauma.

SUICIDE AND THE POLICE OFFICER
Contrary to popular opinion, police officers do not commit suicide more
frequently than do members of other professions or the population as a whole.
During 1977-1996, for example, the rate of suicide among New York City officers
was equal to or even lower than the suicide rate of the city’s resident population.
Marital problems, alcoholism, and job suspensions were the most important
individual characteristics associated with police suicide. Age, race, years of
service, and rank were not associated with this risk.
Although the suicide rate among female police officers exceeded that of
women in the general population, the number of suicides by female officers was fortunately - so small that the differences between female officers and other
women may not be significant. The rate of suicide has not risen in the years since
1996. However, initial investigation suggests that marital problems rather than job
suspensions may currently be the major characteristic linked to suicide for both
men and women officers. This underscores the importance of maintaining good
relationships with the people you love. They are your major support group outside
of the job.
The Department is concerned about its officers’ emotional well being, so
that police suicides are investigated thoroughly. Unfortunately, this process can be
doubly difficult for officers and friends of the victim, who may be questioned
regarding how and why the suicide took place. As police officers, you should be
alert to signs of depression and suicidal tendencies among your friends and fellow
officers. At the same time you should realize that thoughts of suicide are not
always easy to detect.
A statement of intent to commit suicide or a reference to suicide must be
taken seriously. People are usually conflicted about killing themselves. This means
that a part of them wants to die while the other part wants you to rescue them. As
a result, most people do give some indication of their intention at least once during
the week prior to the act. If you think a fellow officer might be suicidal you should
talk to the officer and/or alert a supervisor.
You should not be afraid to talk about suicide and the issues surrounding it
with a person who is depressed. Talking about suicide does not plant the idea in
someone’s head or increase the likelihood that the person will end his or her life. If
a peer appears close to killing him or herself, direct questions about how, when

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and where he or she intends to commit suicide can provide helpful information that
may aid in the prevention of the attempt. Do not promise confidentiality under
such circumstances.
Remember that you are not responsible for someone who commits
suicide. You are not your suicidal brother or sister’s keeper and should not be
expected to be. Some people who kill themselves deliberately hide their intentions,
making it extremely unlikely that you or anyone else will be able to alter the course
of events. Others act impulsively, often while under the influence of drugs and
alcohol. Keep in mind that suicide assessment is even difficult for mental health
professionals and they often only see indicators after the fact, when a
psychological autopsy is performed which analyzes all aspects of behavior.
Depression
Most people who commit suicide are depressed. Depression is a medical
condition which is typically characterized by intense sadness, hopelessness,
despair, low self-esteem, lethargy, loss or gain of appetite, disruption of sleep,
irritability, decreased ability to perform one’s usual tasks, and loss of interest in
once-pleasurable activities. The suicidal thoughts that may accompany depression
are symptoms of a treatable illness linked to fluctuations in the chemistry of the
body and brain. They are not signs of personal weakness or character flaws, nor
are they conditions that will just go away by themselves.
If you have begun to think of suicide, it is important to recognize that these
thoughts are expressions of a treatable medical illness. Don’t let embarrassment
stand in the way of vital communication with your physician, family or friends. Take
immediate action and talk to someone today. Remember, suicide is a
permanent solution to a temporary problem.
Suicide Warning Signs
•

Feelings of despair and hopelessness. Be alert to talk about feelings of
depression, despair, hopelessness and self-doubt.

•

Taking care of business. If a person is making a will or otherwise winding
up his or her affairs, there is a good chance they are considering suicide.

•

Rehearsing suicide. A person who seriously discusses specific methods,
or appears to be gathering information regarding techniques of suicide,
increases the likelihood of committing it.

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•

Drug or alcohol abuse. A person who is depressed may abuse drugs or
alcohol. Drugs and alcohol can increase depression, decrease
effectiveness of anti-depressant medication, and enhance impulsive
behavior.

•

Beginning to feel better. A person who is starting to come out of a
depression may be more likely to attempt suicide than when he or she is
completely drowning in sadness. The feelings of lethargy and immobility
that accompany depression are lifting, resulting in an increase in energy
that facilitates planning and action.

ALCOHOL AND THE POLICE OFFICER
The rate of alcoholism is no higher among law enforcement officers
than any other occupation. However, alcohol abuse among police officers is
particularly troublesome because of the nature of their responsibilities and the fact
that they carry weapons. As unarmed personnel at the Police Academy, you are in
a special position.
Violations of Department policy regarding the consumption of alcohol are
almost certain to result in the loss of your job.
Imagine yourself at home having a few drinks, after a hard day at the
Academy. You think that nothing will happen because you are over 21 and are not
violating the law. You hear loud noise and step out on your porch and observe that
your neighbors are having an argument out on the street. You try to calm them
down and someone calls the police. It’s too late now to return to the house and
suddenly, it dawns on you that you are a few hours from losing your job. The same
thing is likely to happen if you are caught walking down the street, intoxicated after
spending the evening at a bar with your friends.
Let’s say that nothing comes of this situation and you graduate from the
Academy on time and are sent to a precinct. You complete every shift without
touching a drop and only have a few drinks off duty at social occasions like parties,
family affairs, and weddings. Then one night, after your best friend’s birthday, you
get in your car with just a few beers under your belt. You know that you’re not
drunk and no one in his or her right mind would say that you were. You get on the
highway and keep at a responsible 50 mph when, out of nowhere, a speeding car
suddenly comes and collides into your passenger side. You go spinning into the
guardrail. When the police come, they smell alcohol on your breath and then you
realize that your career is down the drain.

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A small percentage of you will get into trouble for reasons other than having
a few drinks followed by freak accident. Let’s imagine that you are one of the few.
For your first few years on patrol, you will stay out of trouble and won’t take a drink
while on duty. Maybe you’ll also survive those nights you and your buddies spend
hanging out at a bar. You’re convinced that you don’t have a problem because you
know that you can stop drinking any time. When you wake up, feeling like hell, and
tell your partner you’ve got the flu, you still believe you can stop whenever you
want. Sometimes it does cross your mind that you’ve got to go on the wagon
because the headaches are doing you in. The thought is fleeting and the guys
insist that you join them with a six-pack of beer. After all, police work is stressful
and all you are doing is winding down after a very rough tour.
Even when you begin to drink right after work before you’ve left the parking
lot to go home, you’re denying you have a problem. Only when you get into a car
accident on your way home, do you realize that you have chosen to destroy your
life and your career and that you have taken the life of one of the people you have
sworn to protect. It’s too late now because you are just another statistic, one more
of one too many cases in which New York City police officers have injured or killed
innocent people while drunk. Only as you walk out of the courtroom in handcuffs
does it occur to you that no one forced you to drink. Then you remember what you
were told at the Police Academy before they gave you your gun: The biggest
obstacle to your completing your career in the New York City Police
Department is alcohol.
Without conscious awareness a small portion of police officers will follow
the pattern described above and go from being an occasional social drinker, to a
heavy or dependent drinker, to a problem drinker. Problem drinkers typically deny
they have a problem, even when drinking begins to interfere with their lives at
home and at work. Their denial is reinforced in the context of a peer culture in
which drinking is viewed as an acceptable way to unwind at the end of a day.
Fellow officers frequently contribute to the officer’s problem by keeping silent
about his or her behavior out of misplaced sense of loyalty.
The best thing that you can do for a police officer with a drinking problem is
to ensure that he or she gets help. Remember, as long as the officer is drinking,
the individual is a danger to him or herself and innocent others, including the
people with whom he or she works. Remember, the police organization is
responsive to officers who have problems with alcohol, particularly if they seek
help before encountering situations that put people at great physical risk. These
include drinking while driving, losing their cool on the street, and domestic abuse
involving a firearm or serious physical threat.

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Typical Stages of Alcoholism Among Police Officers:
•

On the job sobriety – During the first few years, the alcoholic police officer
may try to complete his shift in sobriety. His drinking is confined to off-duty
hours.

•

Self-control weakens – The officer begins to drink before his shift and
perhaps on his meal break.

•

The problem becomes visible – As the officer begins to drink more
frequently on duty, his ability to function and cope on the job diminishes.

Signs of Alcoholism:
•

Absenteeism;

•

Memory lapses;

•

Leaving work early;

•

Progressively lower job performance;

•

Repeated accidents, particularly involving a vehicle.

Physical Effects of Alcoholism. Alcohol is a mood-changing drug that is
physically and psychologically addictive. It is a “downer” or a depressant like
barbiturates and tranquilizers, which affect the body in various ways. Some of the
physical effects of alcoholism are listed below.
•

Blackouts: Blackouts are times of temporary amnesia occurring in a
person suffering from alcoholism. While experiencing the blackout, the
victim functions normally; yet later, he cannot remember the episode.

•

Tolerance: Alcohol tolerance develops from its constant use. Tolerance is
the need to take increasing doses to produce a given effect.

•

Anxiety: The consumption of large amounts of alcohol over a prolonged
period of time produces a correspondingly progressive rise in anxiety.
Anxiety, in turn, is responsible for such conditions as irritability and
nervousness.

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•

Depression: Depression is feelings of hopelessness, futility and
unhappiness - is very common among alcoholics. Alcohol is a chemical
depressant that works in similar ways as Valium and Librium.

•

Neurological Problems: Prolonged, excessive drinking has long been
associated with the loss of functioning brain tissue.

•

Liver Disease: Alcoholism is associated with such liver problems as
enlargement of the liver, cirrhosis, and liver hepatitis.

•

Heart Disease: Congestive heart failure, for example, is common among
alcoholics.

•

Impotence: Alcohol is a common cause of impotence, the inability of a man
to sustain an erection.

•

Gastritis: Heavy drinking is a major cause of serious inflammation of the
lining of the stomach, possibly resulting in the development of ulcers.

•

Esophageal Cancer: Heavy drinkers have a far greater chance of
developing cancer of the esophagus (throat).

•

Neuritis: Prolonged intake of alcohol has a direct poisonous effect on the
nerves in the arms and legs. Symptoms include tingling, pins and needles,
itching etc.

•

Delirium Tremens: Withdrawal from alcohol can cause extreme physical
and emotional suffering. The DTs begin with tremors, sweating, and
nausea. They can then progress to insomnia, profound confusion,
delusions, hallucinations, and convulsions. This serious complication is fatal
approximately ten percent of the time.

Alcoholism Test:
The following questions can assist you in recognizing some of the
symptoms of alcoholism and determining whether you or someone you know has
an alcohol problem.
1 - 8 Yes answers are indicative of the early stages of alcoholism; 9 - 21 Yes
answers are suggestive of the middle stages of alcoholism; 22 - 26 Yes answers
indicate the beginning of the final stage of alcoholism.

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•

Do you occasionally drink heavily after a disappointment, a quarrel, problems
with citizens, or when the supervisor gives you a hard time?

•

When you have trouble or feel under pressure, do you always drink more
heavily than usual?

•

Did you ever wake up on the “morning after” and discover that you could not
remember part of the evening before, even though your friends tell you that you
did not “pass out”?

•

When drinking with other people, do you try to have a few extra drinks when
others will not know it?

•

Are there certain occasions when you feel uncomfortable if alcohol is not
available?

•

Have you recently noticed that when you begin drinking you are in more of a
hurry to get the first drink than you used to be?

•

Do you sometimes feel a little guilty about your drinking?

•

Are you irritated when your family or friends discuss your drinking?

•

Have you recently noticed an increase in the frequency of your memory
“blackouts”?

•

Do you often find that you wish to continue drinking after your friends say they
have had enough?

•

Have you tried switching brands or following different plans for controlling your
drinking?

•

Have you often tried to control your drinking by making a change in
assignments, or by changing shifts?

•

Do you try to avoid family or close friends while you are drinking?

•

Are you having an increasing number of financial and work problems?

•

Do more people seem to be treating you unfairly without good reason?

•

Do you eat very little or irregularly when you are drinking?

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•

Do you sometimes have the “shakes” and find that it helps to have a little
drink?

•

Have you recently noticed that you cannot drink as much as you once did?

•

Do you sometimes stay drunk for several days at a time?

•

Do you sometimes feel very depressed and wonder whether life is worth living?

•

Sometimes after periods of drinking, do you see or hear things that aren’t
there?

•

Do you get terribly frightened after you have been drinking heavily?

•

When you are sober, do you often regret things you have done or said while
drinking?

•

Do you usually have a reason for the occasions when you drink heavily?

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GETTING HELP
Departmental Resources
Early Intervention Unit
1-646-610-6730
24hrs./seven days a week.
Staffed by unformed and non-uniformed peer counselors.
Counseling Unit
1-718-834-8433
Services provided by peer counselors for alcohol, prescription drugs and domestic
violence related issues.
Non-Departmental Resources
Columbia University/Columbia Cares
1-800-845-8965
24 hrs/seven days a week/ Free services
Police Self Support Group
1-718-745-3345
Support for injured officers and officers suffering from catastrophic illness
Choosing a Counselor
If you have never had to seek out a therapist where do you start? A good
place to start is by asking someone who has been involved in treatment. They can
give you insight not only into their mental health care provider but can provide
information about the therapeutic process as well. When you’ve picked a therapist
and have an appointment date, give some thought to why you’ve decided to get
professional help and what you expect from the counselor. Be sure to
communicate your expectations to the therapist during your first visit. If you get
the sense that you are not interacting well with the counselor, don’t be afraid to
say so and move on to someone else.
What to Expect
When you first go to a counselor, you will be asked a number of questions
designed to help the counselor understand the issues that are of concern and how
he or she can help you. During the first visit you will be asked to describe why you
have come. You will also be asked questions regarding your personal history,
which will help the therapist understand how your past is impacting upon your
present.

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At this point, some people drop out of counseling because they feel they do
all the talking and all the therapist does is nod his or her head. The truth is that the
therapist can’t get to know you and what your issues are unless they listen to you
and assess what you’re saying. If their silence bothers you, tell them. Let them
know that you need them to be a little more interactive.
•

Once your problem is identified, the therapist may ask you to go back and
clarify a few things you’ve said in order to help you identify patterns of
behavior you may need to address.

•

Some therapists may give you assignments such as taking one night a
week of just for yourself.

•

Be prepared to work on your issues even if they seem unrelated to what
you first came in for.

•

If you sit there and say I don’t want to talk about that today, be prepared to
be asked why not. The therapist’s observations should help you talk. If you
find they do not, take it up with the therapist. Fit is crucial to any
relationship, including a therapeutic one. It’s important for you to have a
good fit with whomever you choose to work with.

There is free help for police officers who wish to see counselors outside the
Department at Columbia Presbyterian Medical Center. Columbia’s senior clinicians
will assess and refer officers to appropriate mental health providers. These visits
are totally confidential and will be paid for by the Police Foundation. At no point in
time will the Department be informed of who is participating in this program. If you
feel you may benefit from these services, please call 1-800-845-8965.
Types of Mental Health Professionals
•

A psychiatrist is a medical doctor whose emphasis is on treating mental
health issues through medication. Some psychiatrists also do talk therapy.

•

A psychologist is a doctoral level mental health professional who is trained
in talk therapy, as well as in conducting evaluations and testing.

•

A clinical social worker is a master’s level mental health professional
whose training is in talk therapy.

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References
Grossman, D. 1995. On Killing: The Psychological Cost of Learning to Kill in War
and Society. New York: Little, Brown and Co.
Hendin, H. “Recognizing a Suicide Crisis.”
http://www.afsp.org/research/hendin.3.htm
Maris, R. W., A.L. Berman and M.M. Silverman, 2000. Comprehensive Textbook
of Suicidology. New York: The Guilford Press.
Marzuk, P.M., M.K. Nock, A.C. Leon, L. Portera, and K.Tardiff, 2002. “Suicide
Among New York City Police Officers, 1977-1996.” American Journal of
Psychiatry; 159:2069-2071.
Suicide Prevention and Bipolar Support Alliance. http://www.dbsalliance.org

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People in Crisis

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT PEOPLE IN CRISIS?
Police work involves dealing with different kinds of people in a wide range
of situations; a five year old child who’s lost at Rockefeller Plaza at Christmas
time; a girl who has been beaten by her boyfriend; a woman who has just
witnessed the murder of her husband; a man who has been sexually assaulted; a
man whose wife has just been killed in a car accident. While these situations
are different, they share an underlying theme: all involve people who are
experiencing a crisis. In order to resolve any one of these situations you not only
need to learn police procedure and the law, but also a sophisticated set of
communication skills. These skills will help you attend to the complex needs of
the victims. How you deal with persons in crisis has implications for the quality of
information that you gather at the scene. It also has implications for the
apprehension and conviction of the offender in instances where a crime was
committed. Equally important, your handling of a person in crisis strongly affects
the psychological recovery of the victim.
This chapter examines the communication, procedural, and legal skills
police need to effectively deal with people in crisis and, if a crime has occurred,
to gather sufficient information to apprehend the offender. It provides a definition
of crisis, an explanation of why police officers may find crisis situations difficult, a
general description of crisis victims, and a discussion of the communication skills
required to deal with traumatized persons. Particular attention is paid to
instances of sexual offenses, aided cases, and those that involve notifications of
injury or death.
Crisis - Defined
A crisis is an unexpected or arbitrary event so overwhelming that it
temporarily destabilizes an otherwise healthy individual. The psychological
mechanisms the person normally uses to handle problems cease to work and
functioning is impaired. Crisis states are commonly experienced among victims
of accidents, crime, injury, illness, and disasters. Victims may include family and
friends as well as persons directly affected by the crisis event. The crisis
experience is subjective, and individuals may react differently. Take for example
a vehicle accident in which an infant has been seriously injured. The mother of
the child (the driver of the car) might be either calm and collected, dazed and
unresponsive, crying, screaming, or physically uncontrollable. Her state of mind
could rapidly shift from subdued shock to agitation. Similar variation can be seen
among victims of crime, injury, illness, and disaster.

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People in Crisis

CRISIS BEHAVIOR

VERBAL EXPRESSIONS PHYSICAL MOVEMENT

DECISION MAKING

DISPLAY OF CONFIDENCE?

CRISIS VICTIM
BEHAVIOR

Silence, yelling and
screaming,
inarticulate, cursing,
referring to God, also
reverting to native
language

Running around,
waving arms, hitting,
grumbling or immobility

Indecision, What
should I do?

Lack of confidence, Questioning
previous decision, blaming self, Why
me? What next?

RESPONDING POLICE
OFFICER BEHAVIOR

Complete silence,
shouting, jargon This
guy looks bad; using
codes, excessive use
of siren, joking.

Posture (threatening)
Strutting, rolling eyes,
negative shaking of
head, arms folded.

Inappropriate,
assumptions (Quick)
false expectations

Shifting roles, seeking to place blame.
Unnecessary officious behavior. Assign
self busy work, prolonged response What can I do?

Decisiveness,
decisions based on
safety of all concerned
- psychological
consequences of
victim (awareness)
objectivity. Take a
second to check
emotional state of
both, e.g. self and
victim

De-emphasize blame of person in crisis.

SUPPORTIVE BEHAVIOR IN CRISIS SITUATIONS

RECOMMENDED P.O.
BEHAVIOR TO
RESTORE CALM

Calm, clear, free of
curses and polite.
Allow ventilation, ask
to relate story without
constant interruption.
Do not immediately
jump to first name
basis.

SUPPORTED CRISIS
VICTIM BEHAVIOR

Ventilating in order to
recapture dignity and
respect.

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Body language, eye
contact and facial
expression conducive
to listening and
empathy. (e.g. arms
folded)
Assign task in harmony
with goals, call
relatives, comfort
someone else.
Restrain only when
necessary for safety.

Behavior is supportive
when directed by
responding Police
Officer. (Successful
resolution.)

Minimum use of officiousness. Deal with
person in crisis quickly but safely.
Convey to victim he or she did the right
thing.

Provide
inconsequential
decision making.
(Give general
procedural
information)
Ready to receive
general information
better able to make
minor decisions.

PEOPLE IN CRISIS

Regaining confidence by making minor
decisions-feeling he or she did the right
thing

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People in Crisis

The Challenge to Police
Police officers may find it challenging to work with people in crisis. The
traumatic event, along with the raw emotion and behavior displayed by the victim,
may make the officer feel uncomfortable, helpless, annoyed, or awkward.
Officers may then engage in self-protective behaviors that increase the distance
between themselves and the victim, resulting in the impairment of
communication. It is also difficult to deal with people in crisis because they invite
identification. This means that the police officer himself or herself begins to feel
like a victim. This may occur if both officer and victim become frustrated when
they are unable to recover property and apprehend the perpetrator. Victims
sometimes blame the police for their disappointment in the criminal justice
system. This may contribute to the officer’s sense of victimization, making it
harder for him to maintain empathy.
Police officers have far more influence than they realize in the healing
process and ultimate recovery of the victim. While the restoration of property and
conviction of the perpetrator may bring some relief to victims, they do not reduce
the psychological effects of the crisis event; a police officer can. By providing the
right kind of assistance to the victim, you can help diminish the negative effects
of the trauma before it scars the individual for life.
Crime victims lose more than their property. They also experience an
assault on their dignity, power, and security. The loss of dignity manifests itself
as a sense of shame, embarrassment, humiliation, and possibly guilt; loss of
power as a sense of confusion, helplessness, and indecisiveness; loss of
security as a pervasive sense of anxiety. The police can play an important role
in helping the victim regain his sense of self-esteem, personal wholeness, and
belief that the world is safe. This helps the victim deal with the crisis event and
helps them go forward in their lives. Take for example, a rape victim. The police
officer may or may not be able to apprehend the perpetrator. A police officer that
uses the crisis intervention techniques in a compassionate and professional
manner will play an important role in helping the victim resume intimate personal
relationships.

CRISIS BEHAVIOR AND POLICE RESPONSE
The behavior of people in crisis can be identified by observing their verbal
expression(s), physical movement, decision-making, and absence of confidence.

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People in Crisis

Verbal Expression
A person in a crisis situation may yell and scream, curse, refer to God, or
begin to talk in a language other than English. The victim may be completely
silent or unable to articulate what has happened. Avoid shouting orders, joking
and using Department jargon. Department jargon is a foreign language to the
crisis victim in the same way that a native language may be to the police officer.
This situation should be handled in a calm manner with the officer speaking
clearly and remaining respectful towards the victim.
Physical Movement
The victim may be running around waving his or her arms, grabbing.
Hitting, or completely be immobilized. Don’t take agitated behavior as a personal
affront. Take reasonable action to prevent injury to yourself and the victim.
Restrain the victim only when necessary for safety. Do not give any visible
indication – like rolling your eyes or shaking your head – that you are upset or
disturbed; this is likely to further upset the victim. Instead, maintain friendly eye
contact, indicating-by your facial expressions-that you are concerned and willing
to listen.
Decision Making
A crisis victim’s behavior may appear to shift indecisively back and forth
as if he’s asking, “What should I do?” Be patient. You can help the victim
overcome his sense of helplessness by allowing him to make inconsequential
decisions. At this point you may provide general procedural information; e.g.,
court procedures, compensation board information, court dates, etc.
Absence of Confidence
The victim may engage in behavior that demonstrates a lack of
confidence. She is likely to have her “antennae up” and be looking for
confirmation that she did something wrong. The victim may second-guess
previous decisions and is sensitive to any display of blame. The nature of police
fact-finding and report writing has a "blaming element," which can be hurtful. In
an effort to gain control and initiate orderly behaviors, the officer may appear
moralizing and critical. Avoid such behavior. Efforts should be made to deemphasize blame. Make clear what the victim did right rather than wrong,
such as calling for help.

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Restoring Dignity, Power and Authority
When you arrive at the victim’s home, introduce yourself and ask
permission to come inside. This empowers the victim by giving him the authority
to say yes or no. Ask the victim if he is ready to talk about what happened. Such
questions have restorative powers because they restore the victim’s freedom of
choice. Let the victim know that he is both physically and emotionally safe to tell
you what happened. Reminding victims that they are safe helps restore a sense
of security. Create a “safe haven” and interview victims in private.
Try to balance the victim’s desire for support with their need to maintain
distance. Don’t use the victim’s first name while talking to them: this shows
inappropriate familiarity and positions you too close to the victim to be
professionally objective. At the same time, you should not act disinterested in
the victim’s problem because this would position you too far away. Let the victim
know that they have “permission” to say what they want, and make sure that you
react in a way that makes them comfortable.
Recognize that “ventilation” (expression of strong emotions) brings relief to
the victim, legitimizes their experience, and helps restore dignity. Do not
constantly interrupt while the victim is telling their story.
Don’t say things like, “You need to calm down.” This sort of statement
implies that they shouldn’t be feeling upset. Empower the victim by validating
their experience. Statements like, “That must have been very upsetting,” “This
must be very painful for you to talk about,” aid the victim’s recovery.
If the victim’s behavior does not support resolution, it may be useful to
assign them to tasks that help redirect behavior. For example, ask him to call
relatives or friends, or to comfort someone else who also is suffering.

ACTIVE LISTENING
Active listening is a mode of communication that lets victims know that you
are interested in what they have to say. While interviewing a victim, utilize the
techniques of active listening mentioned below. They will enhance
communication and facilitate the victim’s recovery.
•

Clarification. Interrupt the speaker when necessary to ask a question that
illuminates what has just been said. It is best however, to clarify when the
person has finished a segment of the story and not to interrupt repeatedly
to ask about details. This indicates that you have been listening and that

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the details are important to you. For example, when a burglary victim has
finished talking about how he found the door and is ready to begin
describing what was stolen, you might clarify by asking, "What time did
you say this happened?”
•

Summarization. When a person has completed a statement, it may be
helpful to briefly summarize what has been said up to that point. This
demonstrates to the victim that you have been following his account. For
example, an officer might say to a burglary victim, "Let me see if I have
this straight...You came home from work at about five and found the
window broken and evidence that someone had entered the house."

•

Allowing Silence. Allowing silence is a way of showing that you are
listening and want to hear what the victim has to say. Victims are often
confused and need time to collect their thoughts. The tendency is to
rephrase a question if it is not immediately answered. This can often be
confusing to a victim because it indicates impatience.

•

Stating the Obvious. Victims are usually confused and think rather
slowly. Reassurance can be helpful. "I am here to help you," "You are
safe now," or "I can see that this has been an upsetting experience to
you," are the type of statements that are important for the victim to hear.

•

Personalized Statements. Police officers do not differ from other people
in large organizations in their tendency to make impersonal statements on
the order of, "It's probably a good idea for you to see a doctor." When
talking to victims, it is more effective to convey concern and involvement
by prefacing statements with, "I feel," or "I think." "I think it's a good idea
for you to see a doctor."

•

Mind Reading. Verbalizing the victim’s unstated concerns can be helpful.
An officer might reassure the victim by clarifying that victims have not
been singled out and, instead, share similarities in experience. "I know
burglary victims often wonder whether there is something special about
their house that led the burglars to pick on them...I can tell you that
burglars simply go where they think valuables are and where it looks like
they can get in." An officer can help diminish the victim’s fear by affirming
that the perpetrators won’t return. "I wouldn't worry about them coming
back to harm you...victims often worry about that, but most burglars get
what there is to get and then vanish."

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•

Sharing Feelings. The officer’s concern should be expressed in personal
terms. Saying "I'm sorry this happened," is more comforting than “It’s sad
that this happened.”

•

Non-verbal aspects of speech are as important as the verbal. Body
language (motion, posture) is also important because it lets the victim
know whether or not they are safe with you. You should avoid facial
expressions that indicate disbelief.

•

Eye Contact is important because it shows that you are listening and
concerned. Victims will often avoid eye contact, but the officer who keeps
looking directly at the victim’s eyes will eventually make a connection. The
result is usually an improvement in the victim’s response to the officer. On
the other hand, the officer who is looking at a notebook or somewhere
else may inadvertently communicate impatience and disinterest. Looking
up to make eye contact after writing a statement and while asking the next
question will help establish better communication between the officer and
the victim.

•

Body Posture: When we are attentive and listening, we tend to incline our
heads (and sometimes the whole upper part of our bodies) towards the
speaker. Standing or sitting with the head in an exactly upright position
usually indicates that we are being impersonal. Leaning back from the
speaker frequently indicates disbelief or skepticism. When interviewing
victims, monitor your body posture to determine what is being
communicated. This is less important when you are speaking, because
the words will compensate somewhat for any body messages. Monitoring
is very important when the victim is talking because they then gauge the
officer’s reaction and attitude only from the non-verbal messages.

•

Distance. There is usually an optimal distance to maintain when talking
to other people. If one stands too close or too far away, the conversation
is likely to be uncomfortable. However, “personal space” varies from
person to person and across situations. Generally, the closer one stands,
the more one expresses intimacy. The greater the distance, the greater
the feeling of formality. A police officer must learn to judge by victims’
responses whether the distance is too great or too small. If a victim starts
to edge away, the officer should stand fast until the victim has reached a
comfortable place.

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•

Touching. People generally feel more comforted when someone gives
them a supporting hand or arm. However, some victims may be
threatened if an officer reaches out to them. This is particularly true of
victims of sexual assaults. One way out of this dilemma is for the officer to
make it possible for the victim to initiate touching and to accept such an
initiation if it occurs. (It can be devastating for a rape victim to touch a
police officer's hand and have it jerked away). You can facilitate such
initiation by putting your hand on a table between oneself and the victim or
by standing close enough to allow touching. Alternately, an officer might
make a gesture of offering a hand and allowing the victim to take it - or
not.

•

Vocalization. This term refers to the volume, speed, and pacing of
speech. It is generally a good idea to speak to victims in a soft and slow
voice, while allowing a few seconds to lapse between questions. People
who are upset tend to speak loudly and quickly. The officer's soft, slow
voice will lead them to speak in a similar fashion. People who hear
themselves speaking in this manner are likely to be better able to control
their own emotions than people who hear themselves talking loudly and
quickly. Pacing questions slowly gives an impression of patience and
concern. The quick firing of questions leads to an impression of
impatience and adds a note of interrogation that can lead the victim to feel
blamed.

SEX CRIMES
In 2001, U.S. residents age 12 or older experienced approximately 24.2
million crimes, according to the findings from the National Crime Victimization
Survey. Nearly a quarter of these (24%, or 5.7 million) were crimes of violence.
This includes one reported Rape per 1,000 persons but as we will see later, only
a small percentage of Rapes that occur are actually reported. During 2002, New
York City recorded 2,017 Rapes and, despite the Department’s best efforts to
encourage reporting, many others almost certainly have occurred but have gone
unreported.
It’s important for police officers to understand that Rape and sexual
assault are crimes of power and domination rather than sexual gratification.
Rape and sexual assault not only involve a violation of the most private regions
of the victim’s body, but also an assault on the victim’s self, identity, and sense of
safety in the world. The fact is that victims often sustain more psychological-than
physical-damage.

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The assault may or may not include overt violence or threats of violence
and weapons may or may not be used; in either case, Rape and sexual assault
are experienced as life-threatening events. During the event, most victims view
their rapists as potential murderers and fear for their life.
Sex Offenses – NYS Penal Law
Criminal Sexual Act (formerly known as Sodomy) and Rape involve two
elements: some type of sexual act (penetration) and lack of consent. Penetration,
as an essential element of Rape, means that the sexual organ of the male
entered the sexual organ of the female. Penetration, however slight, is sufficient
to sustain a charge of Rape. There need not be an entering of the vagina or
rupturing of the hymen.
Lack of consent involves one or more of the following conditions: forcible
compulsion of the victim; a physically helpless, mentally incapacitated, or
mentally disabled victim, or a victim who is unable to consent due to age (less
than 17 years old).

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RAPE - FELONY
A person is charged with Rape when he or she engages in sexual intercourse with another
person who has not given consent. Rape is always a felony and may be committed in the
following ten ways:
A person uses forcible compulsion upon another person to engage in sexual intercourse
OR
A person engages in sexual intercourse with another where lack of consent results from
circumstances under which the victim clearly expressed that he or she did not consent, which
would have been understood by a reasonable person in the actor’s situation under all the
circumstances (i.e., "date/acquaintance Rape")
OR
A person engages in sexual intercourse with another person who is mentally disabled (the person
cannot understand the nature of his/her actions because he or she is suffering from a permanent
mental disorder)
OR
A person engages in sexual intercourse with another person who is mentally incapacitated (he or
she cannot understand the nature of his/her actions because he or she has been drugged or
given alcohol without his/her consent)
OR
A person, 21 years old or over, who engages in sexual intercourse with another person who is
less than seventeen (16 years old or less)
OR
A person, 18 years old or over (18, 19, or 20 years old), who engages in sexual intercourse with
another person who is less than fifteen (14 years old or less)
OR
A person engages in sexual intercourse with another person who is physically helpless (passed
out)
OR
A person, over 18 years of age, who engages in sexual intercourse with another person less than
thirteen (12 years old or less);
OR
A person, 16 or 17 years of age, who engages in sexual intercourse with another person who is
less than eleven (10 years old or less)
OR
A person engages in sexual intercourse with another person without such person's consent
where such lack of consent is by reason of some other factor than incapacity to consent (i.e.,
health/mental health care provider).

CRIMINAL SEXUAL ACT – FELONY
(FORMERLY KNOWN AS SODOMY)
A person is charged with Criminal Sexual Act when he or she engages in either oral or anal
sexual conduct with another person who has not given consent. Oral sexual conduct means
sexual contact, between persons not married to each other, involving conduct between persons
consisting of: mouth to penis, mouth to anus or mouth to vagina or vulva; Anal Sexual Conduct is
defined as conduct between persons consisting of penis to anus.

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SEXUAL ABUSE - FELONY
A person touches, feels, rubs, etc., the sexual parts of another person by forcible compulsion; OR
A person touches, feels, rubs, etc., the sexual parts of another person when the victim is
physically helpless; OR
A person touches feels, rubs, etc., the sexual parts of another person when the victim is less than
11 years old (10 years or less).
AGGRAVATED SEXUAL ABUSE - FELONY
A person may be charged with aggravated sexual abuse when he or she inserts either:
a foreign object (whether or not it causes a physical injury), or a finger (causing a physical injury
or serious physical injury); into the vagina, urethra, penis or rectum of another person, and it is:
by forcible compulsion; or the victim is physically helpless; or the victim is less than 11-years-old
(10 years old or less); or the victim is incapable of consent by some reason other than being less
than 17-years-old (i.e. victim is a patient of a health care/mental heath care provider) or the victim
is incapable of consent because of being mentally disabled or mentally incapacitated.
SEXUAL ASSAULT
The term “sexual assault” is not a legal term. Instead, it is a term used by the public to include
Rape, Criminal Sexual Act and Sexual Abuse. Use the term sexual assault when speaking to
victims, since legal terminology like the crime definitions above can provoke anxiety and impair
communication.

Rape, Criminal Sexual Act, and Sexual Abuse are vastly underreported
crimes. The National Victim Center reports that 683,000 women are raped per
year, but that only 31 percent of Rapes are reported. There are many reasons
that Rape is underreported and that victims hesitate to alert the police. They
include embarrassment; reluctance to report a friend or family member; fear of
reliving the trauma at the hands of police, doctors and lawyers; fear of social
ostracism; fear of repercussions if the rapist is in a position of authority (a boss at
work); fear that the rapist will return; and fear of being discredited.
Cultural stereotypes and biases surrounding the issue of sexual assault
reinforce victims’ fears about calling the police. Such biases include the notion
that some people aren’t real victims or “deserve” to be raped because of their
sexual history, lifestyle, dress code, or behavior prior to - or during - the crime
(e.g., they went into a stranger’s car or apartment, were intoxicated prior to being
assaulted, dressed in revealing clothing or have no visible injuries that suggest
they struggled).

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Not so long ago, it was believed that married women were the sexual
property of their husbands and could not be raped. This view was reinforced by
a law stipulating a “marital exemption” for Rape and sexual assault. This has
since been found unconstitutional and the marital exemption for “Rape 1st
Degree” (P.L. 130.35) and “Criminal Sexual Act 1st Degree” (P.L. 130.50) has
been eliminated. A spouse who forcibly Rapes or sexually assaults another
spouse is therefore subject to prosecution.
Sexual assault affects women, children and men of all ages and racial and
cultural backgrounds. According to the U.S. Department of Justice, an estimated
91% of the victims of Rape and sexual assault are female and only 9% are male.
Nearly 99% of reported offenders are male. Most victims of Rape and sexual
assault know their assailant. The National Victim Center reports that 13.3 percent
of college women say they had been forced to have sex in a dating situation. The
number of Rapes reported in New York City confirms the prevalence of
acquaintance Rape. From January 2, 2003 – April 20, 2003, for example, the
Department recorded 82 stranger Rapes, 411 acquaintance Rapes, and 93
domestic Rapes. A preliminary breakdown of relationships between victim and
suspect for Rapes under investigation for 2002 in New York City indicates that
16.8 percent were strangers, 17.9 percent were family relationships and 65.3
percent involved acquaintances.
There is no correct way for a victim to react during a Rape or sexual
assault, nor any right way to handle an attacker. One woman may be paralyzed
by fear and rendered mute and helpless by circumstances that would inspire
another to fierce resistance. One rapist may run from a woman who resists.
Another may kill the victim who resists. How an individual will respond to an
attempted sexual assault is also unpredictable. This is because response
involves the utilization of largely involuntary psychological mechanisms of
survival.
You may encounter a rape victim who is mentally ill. The rape may lead to
the onset of symptoms or the person could have been raped when they were
already symptomatic. In either case, the officer should not assume that a person
demonstrating symptoms of mental illness has not really been raped.
You may encounter a rape victim who has been drugged. Certain drugs
(Rohypnol and GHB) result in significant memory loss so the victim remembers
little about the rape. Be alert for descriptions that indicate the possibility that the
perpetrator has drugged then raped the victim. Statements like “I went home.
The next thing I remember is waking up and my vagina hurt…” or, “I just saw a
blur”; “I think something happened but I don’t remember,” may indicate that the
victim has been drugged. It’s important that you tell the doctor handling the
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Sexual Offense Evidence Collection Kit that the victim may have been
drugged so the doctor can promptly collect a urine sample and request that it be
analyzed for drugs.

A Sexual Offense Evidence Collection Kit is a kit used by physicians in hospitals
to gather evidence from a victim of a sex offense. The kit is used to standardize
the collection and processing of evidence in sex crime cases. The kit contains
slides, swabs, test tubes and envelopes to collect evidence” (PATROL GUIDE:
218-33).
A complainant may initially say she was assaulted. Do not assume the
assault was sexual without investigating what happened. Look for cues which
indicate disbelief (“I can’t believe this just happened”), the feeling of being
degraded or contaminated (“I want to wash”) or what psychiatrists call a
“spontaneous denial” – when the officer asks if the victim was sexually assaulted,
she quickly and insistently negates the possibility (“Nothing like that happened!! I
was just assaulted.”).
Perpetrators of Rape and sexual assault come from every race, class,
ethnicity and occupational category. Statistics show that most rapes occur within
the same ethnic, racial, and class group. White rapists tend to victimize whites,
blacks to victimize blacks, college students to victimize other students, and so
forth.
It is essential that police officers put aside biases and stereotypes when
dealing with victims of sexual assault. Failure to do so is likely to negatively
impact upon your ability to communicate with the victim, reducing your access to
important information, impede the efforts of subsequent investigators, and
compound the victim’s psychological distress. Think of the rape victim as if she
were your mother or daughter. That will help you overcome your biases and
facilitate empathy.

Interviewing Victims of Sexual Assault
The information you need to collect includes: a description of the suspect, any
identifying characteristics such as marks, tattoos, scratches, details of the assault
(penetration, body parts involved, what the perpetrator said and did, what the
assailant asked the victim to do), etc.

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Try to ensure that the victim does not take a shower, wash her hands, or change
her clothes until evidence has been collected. Sexual offense evidence (not
including the sexual offense evidence collection kit) is defined for this procedure
as being bloodstains, serology, body fluids and/or other biological evidence (e.g.,
clothing, bedding, undergarments, etc.) to be analyzed for the purpose of
obtaining a DNA profile (Patrol Guide: 218-33.).
Before you arrive at the scene, ask yourself how you feel about
responding to a sex crime victim. If you’ve been raped or sexually assaulted as
children or adults, you may find it difficult to deal with a victim of sexual assault or
Rape. You may also find it easier to empathize.
Every effort should be made to show sensitivity to the victim. They may
prefer to speak with a female or male officer. Unless the victim has a
preference for a female officer, it is not inappropriate for a male officer to
interview the victim. A male officer is likely to be the first man with whom the
victim has a close conversation since the rape. A positive communication with a
male in such a case can affect how soon and successfully the victim can resume
normal relationships with other men, including spouse and partners.
Usually, upon arriving at a rape scene, officers will find that the victim of a
sexual assault is under severe emotional stress, ranging from hysteria to deep
depression. She may be sobbing uncontrollably, excited to the point of
incoherence, or be in a state of shock.
Fear is the most common reaction to rape and it usually has not dissipated
by the time the police arrive. The officer should expect the victim to remain fearful
during the interview. He should try to comfort and reassure her that she is safe
and has nothing more to fear.
If the victim is silent during the interview, it doesn’t necessarily mean she’s
hiding what happened. It may mean that she is having a difficult time organizing
her thoughts and initiating a conversation about the incident.
Rape victims who are composed and able to calmly discuss the rape are
usually controlling their feelings. They may also be in a state of “numbness”
which helps protect them from being overwhelmed by “too much” feeling.
Smiling, giggling, or laughing are also defenses against crying and other
manifestations of sadness.
Officers may feel discomfort interviewing a rape victim because of the
private nature of the crime and the fact it necessitates a detailed discussion of
intimate acts and body parts that are linked to sex.
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It is better to be forthright about discomfort than to display non-verbal
behaviors that are subject to misinterpretation. The officer who is anxious might
initiate the conversation by telling the victim, "I'm going to have to ask you a few
questions about what happened...you will probably be a little uncomfortable when
I get to them, and so will I...but there aren't very many, and I'm not going to be
asking a lot of details."
After you have attended to the victim's medical needs and established a
relationship, you should ask the victim to tell the story in her own words. This
allows the officer to utilize active listening techniques to indicate concern and
interest. Also, it may eliminate the need for further questioning. Do not rush; a
rapid “firing” of questions is likely to be interpreted as a second assault.
Unless you have been sexually assaulted and are willing to share that with
the victim, do not say, “I know how you feel.” This kind of statement is likely to
make the victim angry because she knows that you can’t know how it feels
unless you’ve been there.
The rape victim may begin to stammer or otherwise indicate discomfort as
she gets to sexual details. Give her encouragement, "I know it's hard to talk
about...just take your time." You may wish to help the victim by asking specific
questions like, "Did the man have sexual intercourse with you?" This may make
it easier for the victim to respond because they can answer "Yes" or "No." There
may be legal implications to such prompting, however, so officers should
encourage the victim to tell as much as possible of the story in their own words.
When describing the details of what happened, victims may use language
that makes you uncomfortable. She may use terms for body parts that are
troublesome to you. Awareness of this possibility will help you avoid
communicating your feelings to victims. Remember, the victim needs to describe
events in words that are familiar to her, regardless of what they mean to you.
If the victim uses terms that are vague and confusing, ask her what she
means. “He raped me” has different meanings to different people and may
include Criminal Sexual Act as well as vaginal penetration. Also needing
clarification are terms like “private parts.”
When asking victims the details of what happened, do not use confusing
terms to protect yourself from words that make you uncomfortable. Indirect
phrases like “down south” or “private parts” promote confusion. Use clinical
terms, like vagina or penis, unless the victim indicates unfamiliarity or discomfort
with them. If she does, use the terms she uses or prefers.

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Victims who have been sexually abused in ways other than - or in addition
to - forced intercourse sometimes hesitate to tell the officer about it. At the same
time, they want to get it off their minds, and be reassured that there is nothing
about them that made the rapist select them. The officer can help the victim
provide important information by making statements like, "I know that rapists
sometimes force women to do other things besides sexual intercourse. If he
made you do anything else, you should tell the doctor and the investigator who
will talk to you later." This statement acknowledges that other acts are not
uncommonly demanded by rapists and also gives the woman another resource
with which to help cope with the crisis.
There is no “right way” to respond to a Rape or sexual assault. No one
knows how he or she will react until it happens to him or her. The officer should
try to dissuade sex crime victims from the belief that that they are somehow
responsible for what happened to them. One way to do this is to reassure
victims that they did the right thing during the crime -- "I would have done the
same under the circumstances.” If you cannot understand the victim’s response
or it seems inappropriate to you, avoid communicating your feelings to the victim.
The act of taking the report is an important part of the healing process for
the victim. It can be a form of closure for the event. Whether the taking of a
report results in prosecution is irrelevant to the therapeutic process. When the
police fail to take a report, neglect to take notes, or fail to actively listen, the
victim’s loss of dignity and power is compounded.
When filling out reports, do not include material that reflects a personal
opinion, bias or stereotype. Do not write, for example, “she was intoxicated,
“mentally ill” or “emotionally disturbed.” These statements reveal confusion or
bias on your part. Such statements can and will be used against the victim if the
case goes to court. Also, treat family and friends as crime victims. When talking
to family members, don’t use the word “Rape.” Instead, use “sexually assaulted.”
Victim Responses to Rape
•

Sexual Activity: The survivor may temporarily lose interest in sexual
activity.

•

Social Withdrawal: The survivor may terminate friendship and refuse to
participate in social events.

•

Shock: The survivor may be calm, collected and/or distant.

•

Disbelief: Did this really happen to me?

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•

Embarrassment: Reluctance to notify family or friends for fear of how they
will react.

•

Shame: Feeling dirty, unclean.

•

Sleep Disorders: Sleeplessness, nightmares and/or flashbacks.

•

Guilt: What did I do to cause this? If only I had...

•

Depression: Feeling hopeless and/or extreme fatigue.

•

Loss of Control: Feeling unable to control surroundings. Inability to make
decisions.

•

Disorientation: Inability to concentrate or to put things in perspective.

•

Denial: Block out and deny the experience. Resist talking about the
assault.

•

Fear: Fear of being in a similar area to where the attack occurred. Fears
for safety and reluctance to go out.

•

Anxiety: Nervousness and physical symptoms such as muscle tension,
sleep disturbances, nausea, and/or stomach problems.

•

Anger: Anger toward the rapist or toward those who haven’t been
supportive.

•

Self-blame: The survivor may irrationally blame herself for the attack.

•

Symptoms of Post-Traumatic Stress: Flashbacks

AIDED CASES
During the course of your daily activities, you will often respond to
assignments in which a person may require some type of medical aid or
assistance. An occurrence requiring that a person, other than a prisoner,
receive medical aid or assistance is referred to by the Department as an "Aided
Case.”

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In most respects, an Aided Case is like any other case involving a victim in
crisis and the same communication techniques should be employed. An officer
who conducts himself in a competent manner, takes charge of the situation, is
concerned and gains the trust of the aided person most likely will reduce hysteria
and confusion. You should do all you can to minimize the injury or illness and to
instill confidence in the aided and his/her family or friends. You should refrain
from voicing personal opinions. You should realize that humor and undue
familiarity are out of place. Be tactful. Little information can be obtained when
those you are interviewing panic, and refuse or become unable to answer your
questions.
Special procedures that are applicable to Aided Cases include:
•

Render any reasonable assistance to a sick person by administering first
aid and requesting response of an ambulance ("bus") if necessary.

•

Required information should be obtained from the person most capable of
supplying the facts.

•

If present, keep members of the family informed, but avoid making
statements that might unnecessarily upset anyone.

•

When assigned an aided case and the case appears suspicious, an
investigation must be conducted to obtain all necessary facts.

Aided Persons and Their Property
•

When it is apparent that the victim of an aided case is unable to safeguard
his/her own property, the assigned officer is responsible for doing so;

•

If the victim is removed to a hospital and admitted as a patient, the
hospital will safeguard the property;

•

When the victim is unconscious or otherwise incapable of safeguarding
his/her property, you must accompany the aided person to the hospital
and witness the inventory search performed by hospital personnel;

•

Hospital staff will itemize the property on the Hospital Property Record;
you will verify the list and sign it;

•

Although not mandated by the Patrol Guide, it is suggested that hospital
personnel conducting the search be requested to sign your Activity Log
after recording the list of property;

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•

If property is illegally possessed or contraband, it must not be turned over
to hospital personnel. Instead, you will take possession and have it
invoiced at your command.

Emergency Medical Service (EMS)
Most ambulances that respond to the scene of aided cases are under the
control of the Fire Department of the City of New York (FDNY), Emergency
Medical Service. Ambulance personnel are New York State licensed Emergency
Medical Technicians (EMT) or Paramedics with extensive training. When an
ambulance is required, the Communications Division will contact EMS to
dispatch an ambulance to the scene.
When a Sick or Injured Person is Given Voluntary Aid (by a Doctor, EMT, or
Paramedic)
Pending the arrival of an ambulance, allow voluntary aid if you reasonably
believe the volunteer is a professional (Doctor, EMT or paramedic). You should
observe any aid given, if possible. When the situation is under control:

•

Request the person who gave voluntary aid to show identification;

•

Make an Activity Log entry;

•

Record in “Details” section of Aided Report Worksheet/Police Accident
Report

AIDED CASES ON NYC TRANSIT TRAINS
Accidents can occur anywhere, however some accidents are
characteristic of the subway system; these range from such mundane,
unpleasant situations as stalled trains; to fires in the tunnels, to people falling off
platforms onto the tracks and sometimes into the path of an oncoming train.
The experienced police officer realizes that if an aided case can be
removed from a train without causing further injuries to the person, they should
do so (this may be accomplished with the help of Transit employees and/or
passengers). The reason for this is that we have a dual responsibility in these
instances, one is to the sick or injured person, and the other is to the persons
aboard the train who wish to continue on to their destinations.

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Consider the following situations:
1.

A passenger on a train who is the victim of a gunshot: The train should
not be moved. Help will be dispatched to the scene. This is considered
a Crime Scene.

2.

A passenger with a broken arm: The aided may be removed from the
train, or if this cannot be done without causing further injuries to the aided,
a point can be coordinated with the assistance of Communications and
NYC Transit where help can be dispatched somewhere along the train’s
route and the train kept in service.

3.

A passenger who has an upset stomach: The passenger may be
removed from the train with the help of NYC Transit employees and/or
passengers.

This may often be a difficult decision to make. You must quickly, but
carefully weigh the outcome of the situation before making the final
determination. In all instances, Communications will be kept informed of all
developments in conjunction with ongoing aided cases. The well being of the
aided is of the utmost importance. However, where possible, avoid unnecessary
interruptions of train service. In addition, notify passengers of delays in train
service and alternate routes.
“Man Under”
One type of aided case commonly referred to as a "man-under” involves a
person who has been run over by a train. In many cases the person may be
severely mutilated, including amputations, decapitations or the torso being
halved. It is not uncommon for such a severely injured person to still be alive
after such an accident. This type of case should always result in a request for
the services of E.M.S., Emergency Services Unit (ESU) and a request that
electrical power to the subway tracks be shut off. In most cases, removal of the
injured or deceased person should be made by ESU personnel.
Space Case
Another type of aided case commonly referred to as a "Space Case”
involves a person who has been caught between the train and the subway
platform. Often, this occurs when a person has their foot caught in this space
while a train is in motion. This can cause the person to be dragged down into the
gap (between the platform and train), often in a corkscrewing manner, which can
result in the severing of the limbs or torso below platform level. Because of the
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pressure of the train acting like a tourniquet, such person may still be alive and
will remain so until removed from the space.
In addition to aided procedures, additional matters must be considered;
statements from, and information related to the train crew must be obtained;
police lines will be established, and if foul play is suspected, crime scene
boundaries must be set up. In addition, the train will be taken out of service,
which means passengers must be evacuated from the involved train. Service
disruptions will also be a factor; trains running behind the involved train will need
to be re-routed. When communicating reasons for train delays to passengers, it
is sometimes best not to reveal elaborate details – just say there is a sick
passenger. The exact nature of what happened does not need to be widely
aired, since it may cause alarm and confusion among the commuters, resulting in
panic, injury or death.
One important thing to be aware of is that persons underneath or pinned
by trains may be in direct contact with the third rail which conducts 600 volts of
electricity. These persons will not be electrocuted unless they’re grounded. If
you physically touch them, you may complete the ground, causing both of you to
be electrocuted.

AIDED REPORT WORKSHEET
The AIDED REPORT WORKSHEET is an official record that may be
introduced as evidence in legal proceedings. It is imperative that information on
the AIDED REPORT WORKSHEET is as accurate as possible in order to assure
justice to those involved. There are other self-serving reasons for accuracy as
well. Court litigation may take as long as ten years before coming to trial or
settlement. Over that period of time, the details of the incident you handled may
have been long forgotten. The AIDED REPORT WORKSHEET is designed so
that necessary information can be written and recorded, rather than left to one’s
memory. Reviewing this report will, in most cases, refresh your memory and
leave little room for error - if you’ve prepared the AIDED REPORT WORKSHEET
correctly and made complete and accurate ACTIVITY LOG entries.
All the forms that you prepare may, at times, give you the impression that
your main function is to record and compile statistics. In a sense, this is true.
But as long as you are recording, you should do the job properly. If an aided
person is denied compensation because you were too lazy to fill out a form, you
are not doing your job. Similarly, if the form is improperly prepared, you have
denied the aided protection - which was your main responsibility in the first place.

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Again, a positive police/client relationship is called for when you are
involved with the public. Part of your service is to record and gather statistics;
any attitude of carelessness or laziness only brings attention to you, which will
likely be reflected in an unfavorable evaluation.
An Aided Case, (Radio Code 10-54), requiring the preparation of an Aided
Report Worksheet, is defined as any occurrence which requires that a person,
OTHER THAN A PRISONER receive medical aid or assistance because such
person is:
a.
b.
c.
d.
e.
f.
g.

Sick or injured (except vehicle accident);
Dead (except vehicle accident);
Lost person;
Mentally ill;
An abandoned, destitute, abused or neglected child;
Runaway child;
Adult requiring care due to arrest, hospitalization, death of
parent/guardian/person responsible for care.

An Aided Report Worksheet is NEVER required in the following cases:
•

A prisoner is never the subject of an Aided Report Worksheet. A prisoner's
sickness or injury is entered on a Medical Treatment of Prisoner Form and
is included on arrest paperwork.

•

A person injured, sick or dead as a result of a vehicle accident is never the
subject of an Aided Report Worksheet. This information is included on a
Police Accident Report, discussed in a later lesson.

Note: A bicycle is not defined as a vehicle in the Patrol Guide. Therefore, an
incident, involving a bicycle, which results in an injury to a person will be handled
as an Aided Case, provided no motor vehicle is involved.
Captions on Aided Report Worksheet
Aided #: Obtained when information contained on the AIDED REPORT
WORKSHEET is entered into the Automated On-Line Aided System (O.L.A.S.)
through the FINEST system or Local Area Network (LAN) terminals. Aided
numbers are automatically and sequentially issued by the computer system for
each command and will be composed of a twelve-digit number.

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Jurisdiction Code: Be specific regarding the jurisdiction of the aided, e.g.,
Transit, Housing, NYPD, Port Authority, etc.
00
01
02

NYPD (other than Transit or Housing)
Transit Bureau
Housing Bureau

Card Number: If more than one (1) AIDED REPORT WORKSHEET is
necessary, indicate on the front of the AIDED REPORT WORKSHEET under the
caption “Card No. 1 of 2 at top right side of form.
If a number of persons are aided as a result of the same occurrence:
1. The first numbered O.L.A.S. AIDED REPORT WORKSHEET will describe
the full details.
2. On each succeeding worksheet for the same case, only the aided number,
name, address, sex, age and the nature of the injury of the person aided
will be entered. (Include name of hospital & attendant if different from the
first worksheet).
3. Under details, make reference to the full name of the person on the
worksheet that shows the complete details.
Time / Date of Occurrence:
When a report is received concerning an aided case that occurred on a previous
date:
1. Under details enter “Reported” - time and date with brief explanation for
delay.
2. Use military time of when incident occurred.
Aided Information: Indicate surname, first name, middle initial, full address,
home & business phone number or indicate whether or not aided is homeless.
Place of Occurrence: Give location (address, etc.) where aided occurred, if it
happened on the subway, indicate subway line (BMT “R,” IND “F, “IRT “7" train
etc.).
Is Aided Victim of a Crime? Check to indicate whether the person’s injuries
resulted because he or she was a victim of a crime.
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Choose / Check Type of Aided: Check if aided “Refused Medical Aid”
ACR / PCR #: Include the Ambulance Call Report (ACR) number or Patient
Care Report (PCR) number related to the Aided, this is obtained from the
responding EMS personnel.
Removed to: Indicate the name of a hospital / morgue the aided was removed
to (if applicable).
Treated by: Enter Doctor’s name. Enter the ADMISSION # only if the aided
person was unidentified and hospitalized.
Notification: Required if the aided is admitted to a hospital or dies.
1.

Required information for notifications must always be obtained.

2.

When notification is made, enter information on appropriate space on the
AIDED REPORT WORKSHEET, and indicate time, date and who made
the notification.

3.

If notification is not made, enter the name, address, phone # & relationship
of a person to be notified under "DETAILS.”

Children or Dependent Adults Uncared for? Check yes or no, if yes, indicate
disposition under Details
City Involved? Check yes or no. If yes; list the Department or agency involved,
on the front of the Worksheet and under “Details”, enter official diagnosis,
description of area and witness(es) name(s), address and telephone number, if
available.
Notifications to: Check when a necessary notification was made to:
1.

Precinct Youth Officer (Child’s Temporary Resident Precinct) – if person
deceased or removed to hospital and uncared for children are left with
friends, neighbors, relatives, etc. not residing in household.

2.

Precinct Youth officer (Child’s Permanent Resident Precinct) – if child is
neglected, abused or maltreated.

3.

Emergency Services Unit – if cardio-pulmonary resuscitation (CPR) is
administered by members of the service.

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4.

Harbor Unit – if person injured or killed in boating accident or person aided
on an island inaccessible to a patrol precinct.

5.

Missing Persons Squad (Medical Examiner’s Liaison Unit) – if person
killed as a result of a bicycle accident NOT involving a motor vehicle.

6.

Highway District (Accident Investigation Squad) – if person killed or
seriously injured and likely to die as a result of a bicycle accident NOT
involving a motor vehicle.

7.

Unit Concerned – if directed by Patrol Guide, or other directive, forward
duplicate copy of Online Aided System (OLAS) Aided Report to unit
concerned.

In addition, generate an On-Line Aided System AIDED REPORT WORKSHEET
and use as a duplicate report.
Additional Reports prepared: Including
1.
2.
3.
4.

Line of Duty Injury Report
Domestic Incident Report
Taser / Stun Device
COMPLAINT REPORT WORKSHEET

Enter a Complaint number and Precinct number if a COMPLAINT REPORT
WORKSHEET is prepared in connection with an AIDED REPORT WORKSHEET
when:
•
•

A crime is involved (assault)
The victim is dead or dies

EXPOSURE REPORT # (used for MOS exposed to hazardous materials)
•

Enter an Exposure Report # if required.

Rear of Aided Report Worksheet
EDP: Check if an aided person has a known prior history of being emotionally
disturbed.
Check all boxes pertaining to the actions of an EDP.

•

Attempted physical harm to self;

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•
•
•
•
•
•
•

Attempted physical harm to others;
Placed self in dangerous situation;
Physically threatened others;
Verbally threatened others;
Spoke of harming self or others;
Unable to care for self;
Other (specify).

CPR: If M.O.S. administered Cardiopulmonary Resuscitation to an aided person,
check the appropriate boxes. Indicate “mouth-to-mouth” or aided resuscitated.
O.C. Spray used: If issued O.C. spray was used, list all details in “Details”
section, including the rank, name, and tax number of M.O.S. who discharged
spray.

Details (for all Aided Cases)
1.

Indicate circumstances surrounding the particular incident. In addition
include the following, if applicable:
a.

If the city is involved, an "Official" diagnosis from the hospital is
required.

b.

Enter an accurate description of "Unidentified" persons who are the
subject of an aided case. Include clothing worn.

c.

If an unidentified person is treated and released from the hospital,
record such facts in this caption.

d.

In homicide cases enter the name of the Detective assigned.

e.

If case involves a dead human body (DOA), enter the name of the
person notified at the Medical Examiner's Office and case number
received.

f.

Mentally ill cases - include any written statements concerning the
patient and name of the psychiatrist.

g.

Indicate name of relative or friend who will care for dependent adult
or child.

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h.

Record name, address, telephone number and relationship of the
person to be notified if the aided is hospitalized or dies.

i.

If C.P.R. is administered by a member of the service [non-ESU],
indicate name and list any protective equipment used (mask,
gloves, etc.). In addition, indicate length of time and results
obtained.

j.

When a "Mental Health Removal Order" is involved, indicate the
name of the responding city psychiatrist under "Details" on AIDED
REPORT WORKSHEET.

k.

Identity of the person notified of presence of "Medic Alert Emblem.”

l.

Name and badge number of morgue vehicle operator removing a
dead human body.

m.

Name and address of person / undertaker receiving the body (if
authorized).

PROCEDURES FOR HANDLING A DEAD HUMAN BODY
Assignments that require you to respond to the scene of a deceased
person (commonly referred to as a D.O.A. – “Dead on Arrival”) are among the
most sensitive of all tasks. You are usually the first Department representative to
arrive at the scene. In some cases, you will be the first to discover a dead
human body.
The majority of dead human bodies you will encounter will be those of
people who have died of natural or accidental causes. The death of a family
member is a sad occurrence and you should show sympathy toward those
concerned. Keeping this in mind, you must also remember that the location
where a DOA is found should be treated as a possible Crime Scene and not
unnecessarily disturbed. Remember, it is your responsibility to protect the scene
and allow only those who are authorized to disturb the body or its effects. Those
individuals are:
a.
b.
c.
d.

Paramedic, E.M.T., or doctor (caution not to disturb evidence).
Medical Examiner or assistant.
District Attorney or assistant.
Members of the Detective Bureau, detective squad or Crime Scene
Unit.

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e. Members of Highway District assigned as “accident technicians” or
“accident investigators.”
f. Member of Emergency Service Unit, if body is on train tracks or in
subway tunnel.
Dead Human Bodies
A declaration of death may be made by a physician or by a city ambulance
attendant, Emergency Medical Technician or Paramedic. The title and name of
the person making the pronouncement of death are entered under the "Details"
section of the COMPLAINT REPORT WORKSHEET, the AIDED REPORT
WORKSHEET and in your ACTIVITY LOG.
When the cause of death is not suspicious, the body is released to the
family by the Medical Examiner (“M.E.”). If the cause of death is suspicious,
cannot be determined, or when no family member is present, the body will be
delivered to the morgue.
When you respond to the scene of a death, you should refrain from
making statements concerning the possibility of an autopsy. In the absence of
compelling public necessity, no autopsy will be performed over the objection of a
surviving relative or friend if it is contrary to the religious beliefs of the deceased.
“Compelling Public Necessity” means:
1.

That the autopsy is essential to the conduct of a criminal
investigation, or

2

That discovery of the cause of death is necessary to meet an
immediate and substantial threat to public health, or

3.

The M.E. deems it necessary and obtains a court order authorizing
such procedure.

Searching Dead Human Bodies and Premises
In order to presence the integrity of the scene, and protect you against
unwanted claims of theft, all searches will be conducted under the guidance of a
supervisor. Therefore, you will request and await the Patrol Supervisor before
searching. The body will be searched at the scene if possible. If a body is
removed from navigable waters - Harbor Unit does the search and turns over the
property to a precinct member to voucher. A responsible person should witness
the search, if possible. A police officer of either sex may search a D.O.A. Make
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ACTIVITY LOG entries of identity of witness(es) to search. A complete search
of the premises will be made and ALL property removed from the body except
clothing actually being worn. ALL property removed will be listed in your
ACTIVITY LOG, verified by a supervisor and removed to your command, while
another M.O.S. remains with the body to await its removal.
At the command, you will prepare a PROPERTY CLERK’S INVOICE
(discussed in another lesson). The INVOICE will be an itemized list of all
property removed.
Decedent’s Property
It is the Police Department’s responsibility to safeguard the property of a
deceased person so that those legally entitled to the property will receive it (e.g.,
family, those named in wills, codicils, etc.). Additionally, this property, in most
cases will lead to the positive identification of the deceased.
Identification Tag
An IDENTIFICATION TAG (PD317-091) also referred to as a “95 Tag” is
placed on dead human bodies, parts of bodies and human fetuses that are to be
delivered to the morgue (also used for unconscious accident victims who are
removed to the hospital). The lower half of the tag is used as a receipt for a body
delivered to the morgue, and for body and death certificate if released to a
funeral home.
Safeguarding a D.O.A.
From time to time, you may be assigned to guard a dead human body at a
residence. In such cases, you will stay with the body until a morgue attendant or
an authorized undertaker removes it. You will fill out the IDENTIFICATION TAG
(front and back), obtain receipt of the IDENTIFICATION TAG (bottom half), and
secure the premises when leaving, by locking the door and pasting a seal on the
door and the doorjamb unless there is a co-occupant. Deliver the key to the
premises and IDENTIFICATION TAG receipt to the Desk Officer.
Procedures for Sealing a Residence

•

Paste "SEAL FOR DOOR OF DOA PREMISES" on door and doorjamb.
The door will not be sealed if there is a co-occupant.

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•

If the deceased lived alone, and the door is sealed, the Desk Officer may
permit a person (relative, friend, etc.) to enter in order to obtain clothing for
burial purposes. Accompany the person and apply a new Door Seal on
the doorjamb when finished.

AIDED NOTIFICATIONS - GENERAL
Notifications are necessary when an aided/accident victim is:
1.

Dead;

2.

Seriously Injured and Likely to Die;

3.

Admitted to a hospital;

4.

Less than 18 years of age.

When making a notification, be aware that you may be the bearer of
possibly tragic news. Avoid any actions (expressed or implied) that may cause
undue alarm. In making the notification, give an impression of sympathy and
concern. It is important that you display credibility.
Frequently, when a notification is made regarding a minor injury, the
officer does not give all the facts. The imagination of the person being notified is
then allowed to exaggerate the situation. Be brief when making a notification but
relate all required information.
Inform the aided person’s relatives or friends of:
1.

Name of the hospital aided has been removed to;

2.

Name of doctor, if available;

3.

Location and telephone number of the hospital;

4.

Your name, shield number and command;

5.

The circumstances of the incident and condition of aided.

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When assisting a person who is admitted to a hospital, you will enter on
the Aided Report Worksheet any available information that will assist the
Department in notifying family or friends. If you are unsuccessful in your
attempts to make the notification, you will enter the following information in the
“Details” section of the Aided Report Worksheet:
1.

Complete description of the person;

2.

Name and location of a “person to be notified.”

The Aided Report Worksheet is then delivered to the Command Clerk,
who will continue notification efforts.
When a notification must be made to next of kin or friend/relative
regarding an aided who is seriously Injured and likely to die, any notification
should be made in person by a police officer. It is a good idea to have a
relative/friend present during the notification to console the person being notified.
Notifications of minor illness or injury may be made by telephone.
When a telephone notification is not possible, police officers from the
resident precinct, may respond to the residence to make the notification. If a
notification is not possible because relatives or friends reside outside New York
City, Inter-City Correspondence will be utilized to send local law enforcement to
make the notification.

DEATH NOTIFICATIONS
Notifications pertaining to death are described in Patrol Guide section 21604. These will be some of the most stressful jobs you will encounter as a police
officer. In a study of homicide detectives, one senior officer reported that, during
his first death notification he became so nervous that he was literally unable to
speak and was forced to ask his partner to deliver the message for him.
Continual performance of death notification does not appear to reduce the
associated anxiety: this is a very tough job, even for veteran officers.
In an effort to contain an unpredictable and demanding situation, some
police officers develop their own procedure for delivering death notifications. One
officer regularly asked the family some general questions. This opening
encouraged the family to anticipate being told that something terrible had
happened. The officer then disclosed the news while his partner observed the
family’s reaction, in case a member should respond aggressively to the news.

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Developing a personal routine for the delivery of death notifications can be
useful as long at it does not involve the type of defensive detachment that
protects you but not the survivors. For example, the “I don’t pull any punches,”
approach which pits police against the next of kin, will greatly increase the
emotional upset experienced by the deceased family and friends.
The importance of properly conducting death notifications cannot be
overlooked. An officer’s ability to deal effectively with such situations can
substantially assist survivors in resolving their loss. A poorly conducted
notification or one that is performed in a seemingly callous or unsympathetic
manner can intensify the personal suffering to the survivors.
Death Notification Procedure
1.

Prior to making the notification, talk about your reactions to the death with
your partner or other officer. This will enable you to better focus on the
family when you arrive.

2.

Before the notification, try to determine whether adult members of the
immediate family are at home.

3.

Present credentials and ask to come into the residence.

4.

If possible, suggest that the next of kin or family members sit down. Then
proceed with the notification in the most relaxed manner possible. Speak
in a slow, calm manner, and proceed with the notification until completed.

5.

Do not make a notification to children. Children should be out of the room
when the notification is given. Parents or other adults previously known to
the children should make such notifications.

6.

Inform simply and directly with warmth and compassion.

7.

The pace of your delivery will be dictated by the actions of the survivor. If
permitted, it is best to deliver your message in a gradual but direct
manner. For example, you may begin by saying, “Mr. Smith, your son has
been in a bad accident this evening.” The survivor may query by asking,
“Is he all right?” or insist on knowing straight off “Is he dead?” In both
examples the officer should respond truthfully.

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8.

When making a notification, do not use police jargon. Do not use
expressions like “expired,” “passed away,” “decapitated,” or “killed.” Such
words detract from a competent and compassionate notification. Being
too graphic at this stage can create an emotional overload for the survivor
that will complicate an already difficult situation.

9.

Continue to use the words “dead” or “died” throughout the conversation.
Continue to use the victim’s name, not “body” or “the deceased.”

10.

Sample script: “I’m afraid I have some very bad news for you.” Pause a
moment to allow them to prepare. “(Name) has been involved in _______
and (s)he has died.” Pause again. “I am so sorry.” Adding your
condolence is very important because it expresses feeling rather than
facts, and the survivors to express their own.

11.

Do not blame the victim in any way for what happened, even though he or
she may have been fully or partially at fault.

12.

Do not discount feeling, theirs or yours. Intense reactions are normal.
Expect fight, flight or other forms of regression (behaviors characteristic of
early periods of life). If people go into shock, have them lie down, elevate
their feet, keep them warm, monitor breathing and pulse, and call for
medical assistance.

13.

Join the survivors in their grief without being overwhelmed by it. Do not
use clichés. Helpful remarks are simple and direct; they validate,
normalize, assure, empower, and express concern. Examples: “I am so
sorry.” “It’s harder than people think.” “Most people who have gone
through this react similarly to what you are experiencing.” “ If I were in
your situation, I’d feel very ________, too.”

14.

Answer all questions honestly (requires knowing the facts before you go).
Do not give more detail than is asked for, but be honest in your answers.

15.

Depending on the situation you can offer to make calls to clergy, relatives,
and employer. Provide survivors with a list of the calls you make, as they
will have difficulty remembering what you have told them.

16.

When a child is killed and one parent is at home, notify that parent, then
offer to take them to notify the other parent.

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17.

As the person making the notification, it is your responsibility to evaluate
the physical and emotional condition of the survivor(s) and their overall
environment. Do not leave survivors alone. Arrange for someone to
come and wait until they arrive before leaving.

18.

Let the survivor(s) know you care. If there is anything positive to say
about the last moments, share them now.

19.

Be sure you know how to procure immediate medical or mental health
care should family members experience a crisis reaction that is beyond
your response capability.

One study suggests that the performance of death notifications may be a source
of occupational burnout. Don’t let this happen to you. Talk to fellow officers
about what happens. If necessary, seek help. (Eth, et al., l987).
One officer confided that after delivering a death notification he would always go
to a bar and “get loaded.” Don’t let this happen to you. If necessary, seek help.
(Eth, et. al, l987)

Once the taboo is lifted from talking about death notification, peer support can be
openly elicited from colleagues and administrators within the force.
(Eth., et al, l987)

You will have personal reactions to death notification. Don’t hesitate to talk about
them with a qualified disaster mental health person within the Department or
outside. Don’t try to carry the emotional pain all by yourself, and don’t let your
emotions and the stress you naturally experience in empathizing with the
bereaved build into a problem for you (National Center for Post-Traumatic Stress
Disorder, Department of Veteran Affairs).

You may be assigned to a D.O.A where the family is present. This can be
emotionally difficult for you, particularly if the dead person is a child. Talk to
peers. Talk to your spouse or family members. How you feel in the presence of a
grieving family is not something that has to be kept a secret.

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RESOURCES AVAILABLE TO CRIME VICTIMS
Crime Victim’s Compensation Program
Crime victims are entitled to compensation by the State Crime Victim’s
Compensation program. The Crime Victims Compensation Board may grant a
monetary award for a wide variety of circumstances, which are described in detail
in the application brochure. Awards are granted for medical expenses, lost
earnings, burial expenses, counseling services, cost of repair or replacement of
essential personal property, and transportation expenses for court appearances
related to the crime. Inform them that applications are available at any precinct
station house.
A member of the service who receives a report of a crime involving
personal physical injury to an innocent crime victim will comply with the following
procedures regarding the Crime Victim’s Compensation Program:
•

Notify the victim, or a dependent or a surviving relative of the State Crime
Victim's Compensation Program;

•

Provide the victim or relative with the brochure application;

•

Indicate this notification under the “Details” section of the Complaint
Report Worksheet;

•

The New York State Crime Victims Compensation Board is authorized by
Article 22 of the New York State Executive Law, and has an office at 55
Hanson Pl., Brooklyn. The telephone number is 1-800-247-8035.

Who Can File a Claim?
The following people may file claims:
•

A victim of a crime who has sustained personal physical injuries or
psychiatric disability. Victims of sex offenses or elderly victims of crime
need not to have sustained personal physical injuries to file;

•

The surviving spouse, parent, child or person arranging for the burial of a
victim who dies as the direct result of a crime;

•

Parents, spouses or children of homicide victims may be eligible for
reimbursement of the cost of psychological counseling;

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•

Those dependent upon the victim - who died as the direct result of a crime
- for their principle support;

•

Those who suffer a loss of support as a result of the death of a “Good
Samaritan” killed as a direct result of aid given to a crime victim;

•

A “Good Samaritan” who suffers any out of pocket losses as a result of aid
given to a crime victim.

What is the Deadline for Filing?
Claims must be filed within one (1) year after occurrence or death. This
time may be extended for good cause for a period not exceeding one year.
What Tests Will The Board Apply?
Police records must show that a crime was committed and such crime was
promptly reported. Awards will not be made if police records show that such
report was made more than seven (7) days after the crime unless the Board
judges that the delay in reporting the crime was unavoidable.
Safe Horizon
Safe Horizon is a not-for-profit corporation established by the Mayor in
July 1978, to reduce the trauma, cost and inconvenience associated with being a
crime victim in New York City. By building on existing services in the community
(law enforcement and social service agencies), Safe Horizon’s goal is to offer a
comprehensive array of services to all types of crime victims throughout the city.
The agency seeks to strengthen and expand services now provided to victim
groups with particular problems, such as battered women, senior citizens,
families of homicide victims, victims from out-of-town and Rape victims.
The Safe Horizon Hotline provides crisis counseling, services (such as
relocation and transportation), information and referrals for crime victims 24
hours a day. Project SAFE, a home security program for senior citizens,
provides emergency burglary repair, lock installation and lock exchange.
Safe Horizon has also developed neighborhood-based programs to
provide services to victims in their own communities whether or not an arrest has
been made. Neighborhood offices are open on the upper West Side, BedfordStuyvesant, Kingsbridge, Washington Heights/Inwood, Jamaica and in the
Claremont Village Housing Development in the Bronx. Working with NYPD, Safe
Horizon offers counseling, assistance in obtaining emergency food, shelter,
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People in Crisis

money and other emergency services; assistance in replacing stolen documents,
information and referral to appropriate community agencies, and assistance to
merchants who have been victimized or who are potential victims.
Safe Horizon operates a program for families of homicide victims in
Brooklyn. Families are contacted and offered counseling, assistance with funeral
arrangements and help in applying for financial aid.
A Visitors' Assistance Center has been developed to facilitate the
cancellation and replacement of stolen credit cards, travelers’ checks and airline
tickets for victims from out-of-town. The Project also offers interpreter services,
when possible, and provides counseling to traumatized victims.
Safe Horizon operates court-based services in Criminal Courts in
Brooklyn, the Bronx, Queens, and Staten Island and in Family Courts in the
Bronx, Brooklyn and Manhattan. Court projects offer counseling and other
services (in English and in Spanish). Staff counselors explain the court process,
answer questions about the criminal justice system, and attempt to allay fears
victims may experience. Among the court-based services are: transportation; a
reception center which provides a secure, quiet room for victims and witnesses
awaiting court appearances; counseling and referral to social service agencies; a
children's center which provides day care for child victims and children of victims
and witnesses; assistance in getting recovered stolen property returned;
restitution for crime victims and alternatives to adjudication through mediation at
a dispute settlement center.
LifeNet
LifeNet is a treatment referral program for individuals or families in need of
counseling assistance outside the purview of this Department, e.g., drug/alcohol
abuse, mental health related issues, the lonely and confused, etc. If you respond
to an aided case and encounter such individuals or families, you are directed to
give them a LifeNet Information Card (misc. 4203) which contains the
program's telephone numbers: (1-800-LIFENET or 1-877 AYUDESE [Spanish
line]). LifeNet personnel are accessible 24 hours a day, 7 days a week, 365 days
a year. LifeNet is not intended as an alternative means by which to handle
mentally or emotionally disturbed persons who may pose a danger to themselves
or others. In these situations you will comply with Patrol Guide 216-05,
discussed in a later chapter.

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People in Crisis

The anonymous, toll-free hotlines are staffed by mental health
professionals who are trained to listen to callers’ problems, access the nature
and severity of their concerns, and connect them to appropriate services in
communities throughout the city.
LifeNet should be contacted when you encounter an individual who
doesn’t require any additional police involvement, is not a danger to themselves
or others and who might benefit from speaking to a LifeNet counselor to discuss
their options for counseling and/or treatment. Examples of persons who may
benefit from receiving a LifeNet card include crime victims, depressed people,
substance abusers, domestic violence victims, confused or lonely elders,
traumatized persons, and chronic callers.
If you feel strongly that a person may benefit from some type of
counseling and the individual is unable or unwilling to contact LifeNet, you can
call LifeNet directly and forward the pertinent information to a counselor. The
counselor will review the information and will make the appropriate referrals.
You may have some reservations about leaving a LifeNet card with an
individual that you deem harmless, only later to discover that they indeed harmed
themselves or someone else. It is not expected that you play “psychiatrist,” but it
is expected that you thoroughly investigate for dangerous and life threatening
risks before you refer a call to LifeNet. For example, the presence of weapons
will always preclude the involvement of LifeNet.
The LifeNet card is intended to assist and provide relief in a difficult
situation that has been determined to be of no imminent risk to self or others.
Moreover, appropriate use of a LifeNet card can save you time by relieving you
from returning to the scene later, perhaps when it has escalated to the point of
presenting risk or harm to others in the community.
LifeNet is a service of the Mental Health Association of New York City in
collaboration with the New York City Department of Mental Health, Mental
Retardation and Alcoholism Services. It is the only hotline authorized by the City
of New York to establish linkages with the city’s 22 Mobile Crisis Teams. LifeNet
assists over 3,000 callers per month.
Medic Alert
Tragic, even fatal, mistakes can be made in emergency medical treatment
unless the special problem of the person is known. A diabetic could be
neglected and die because he/she was though to be intoxicated. A shot of
penicillin could end the life of one who is allergic to it. Persons dependent on
medications must continue to receive them at all times.
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Who needs Medic Alert? Persons with any medical problem or condition
that cannot be easily seen or recognized need the protection of Medic Alert.
Heart conditions, diabetes, severe allergies and epilepsy are common problems.
About one in every five persons has some special medical problem.
When is Medic Alert important? Whenever a person cannot speak for
himself or herself - because of unconsciousness, shock, delirium, hysteria, loss
of speech, etc. --the Medic Alert emblem speaks for him/her.
How does Medic Alert Work? The Medic Alert emblem - worn on
the wrist or neck - is recognized the world over. On the back of the emblem is
engraved the medical problem and the file number of the wearer, and the
telephone number of Medic Alert's Central File. Doctors, police, or anyone giving
aid can immediately get vital information - addresses of the personal physician
and nearest relative, etc. - via collect telephone call (24 hours a day) to the
Central File.
What is Medic Alert? It is a charitable, nonprofit organization. Its services
are maintained by a one-time-only membership fee and by voluntary
contributions from friends, corporations and foundations.

CONCLUSION
Your obligation to respond to the needs of crime victims and injured persons
cannot be overlooked. Police officers are viewed as the defenders of a civilized society
and the manner in which we react to persons who request our assistance has far
reaching effects on every facet of the victim’s recovery, our investigation, and trust
between the Department and the community. Thus, you must make every effort to
perform your duties professionally, thoroughly, and with compassion and respect for the
citizens of this city.

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People in Crisis

MANDATORY PATROL GUIDE READING
The following are Patrol Guide procedures that must be added to this chapter –
People in Crisis. These procedures must be read in conjunction with this chapter.
Questions for the 2nd Trimester Exam may come from these procedures:
•
•
•
•
•
•
•

216-01
216-02
216-03
216-04
216-14
216-15
218-28

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Aided Cases, General Procedures
Preparation of Aided Report Worksheet
Unidentified Persons
Dead Human Body, General Procedure
Aided Cases on NYC Transit Trains
Notifications
Safeguarding Property of Deceased Person

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REFERENCES
Eth, Spencer, D. Baaran, and R. S. Pynoos, “Death Notification,” Bulletin of American Academy
of Psychiatry Law,15:275-278 (1987).
International Association of Chiefs of Police, “Death Notification,” Training Key # 358, 1987.

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Missing Persons

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT MISSING PERSONS?
This subject goes directly to our primary responsibility: to protect
life. First, we must know which persons are considered missing, in the sense
that their disappearance trips a police investigation. Not everybody who fails to
appear at home or at work when expected is considered by this Department to
be a missing person. Once we have determined that a person is, indeed,
missing, we must know how to investigate their absence and to alert others to it
as thoroughly, accurately, and quickly as possible. There is a direct relationship
between the swiftness and accuracy of the investigation and the likelihood that a
missing person will be found and returned to his or her home and family.
WHAT IS A MISSING PERSON?
According to the Patrol Guide, a missing person is defined as a person
missing from a New York City Residence, and is:

Mentally/physically impaired to the extent that hospitalization may be
required;
Is 65 years of age or older;

Senile/mentally challenged/disabled and not capable of self care or clear
communication;
Suicidal;
Involuntary disappearance;
Not yet 18 years of age;

Gone swimming (possible drowning).
Reports of persons missing from temporary residences within New York
City (like hotel guests; college and university students) will be accepted. In such
cases, complainants will also be instructed to file a complaint of a missing person
with the law enforcement agency where the missing person resides. Thus, for
example, if a New York University student whose permanent residence is in
Philadelphia were to be reported missing from his or her Manhattan dormitory
room, he or she would be reported as a missing person here, and the
complainant in the case would be advised to file an additional report with the
Philadelphia Police Department. The same procedure should be followed with
hotel guests: we will accept a report of a Los Angeles based businessperson who
was missing from a New York hotel, but we would also advise the complainant to
contact the LAPD to assure that the individual was reported missing with that

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agency. Whenever possible, of course, officers should assist complainants in
contacting and filing missing person reports with such other agencies.
Note: There are no minimum time limits to be observed before
accepting a complaint about a missing person; as soon as we hear about a
missing person, we should initiate our investigative procedure.
Missing Persons do not include the following categories of people:
1.

Persons wanted for a crime

2.

Persons wanted on a warrant

3.

Persons 18 years of age or older, who have left home voluntarily
because of domestic, financial or other similar reasons.

What Are a Police Officer’s Responsibilities When Called to Investigate a
Missing Person?
When called to investigate a report of a missing person, a police officer
should interview the complainant to determine if, in fact, the complaint of a
missing person is valid. If there is a valid complaint of a missing person, the
responding officer should immediately begin to gather information such as:
1.

An accurate description of the missing individual

2.

A description of the clothing worn

3.

Location the missing was last seen

4.

Whether the missing person is believed to be using public
transportation. If so:

5.

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a.

Obtain information on the type of transportation, route and
possible destination(s).

b.

Obtain the Administration for Children’s Services
caseworker’s name and telephone number, if applicable.

Biological parents’ name, address and telephone number, as
appropriate. This is particularly important when missing persons
are children of separated or divorced parents, or are adopted.

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Many missing children turn out to have been abducted by divorced
or separated parents who are unhappy with court-ordered custody
arrangements. In other cases, adopted children are abducted by
and/or run off with their biological parents.
6.

Ascertain whether the missing person has Alzheimer’s disease and
is registered with the Alzheimer’s Association Safe Return
Program, as appropriate. If the missing person is so registered:
a.

Determine whether the missing was wearing a Safe Return
wristband or necklace and request that complainant provide
the Safe Return Identification number.

b.

If the identification number is unknown, the responding
member of the service will call the Alzheimer’s
Association at 1-800-272-3900 to obtain the number and
any other information the Association has on the missing
person.

7.

Establish a crime scene if appropriate.

8.

Prior to initiating any further action, an initial search of the
building from which they have been reported missing (e.g., their
home; apartment house; school) will be conducted in the following
cases:

9.

a.

A report of a missing person 65 and older;

b.

A missing person under ten years old;

c.

A senile or disabled missing person reported missing from a
hospital or institution.

If the Patrol Supervisor has not already been assigned to respond
to the scene by the Communications Division, it is the police
officer’s responsibility to request that the Patrol Supervisor respond
to the scene.

How are Complaints of Missing Persons Recorded?
A complaint of a missing person is recorded on a Missing/Unidentified
Person Report. This report is issued a complaint number obtained from the
complaint index.

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Missing Persons

Special Category Missing Persons
When a report of a missing person falls into one or more of the following
special categories of missing persons, an immediate investigation and search
is required:
1.

Child under 16 years of age, or

2.

Mentally/physically impaired to the extent that hospitalization may
be required, or

3.

Senile/retarded or disabled and not capable of self-care or clear
communication, or

4.

Sixty-five years of age or older, or

5.

Unique/unusual case, or

6.

Missing under circumstances indicating unaccountable or
involuntary disappearance, or

7.

Possible drowning victim.

What is to be Searched?
It is the responsibility of the police to conduct the search for the missing
person. When circumstances dictate, the search should begin with the location
the missing person was last seen, or last known to have been. Every effort must
be made to conduct a proper search to ensure that any and all evidence relating
to the missing person is discovered and properly preserved. A search should
begin with the establishment of a crime scene and expand from there. The
following are typical steps involved in the Department’s searches for missing
persons.
1.

Establishment of a crime scene;

2.

Searches of the area where the missing person was last seen or
known to have been;

3.

Building searches of the residence or facility at which the missing
person was last seen or to which he or she was headed;

4.

Door-to-door searches;

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5.

Land, sea, and air searches, involving the Aviation and Harbor
Units;

6.

K-9 searches;

7.

Roadblocks and checkpoints.

8.

School searches;

9.

Residential building searches;

10.

Grid searches;

11.

Transportation route searches.

All these methods may be utilized by the supervisor on the scene to
conduct a search for a missing person.
Children Reported as Missing Persons
Every day, children are reported missing from their homes for several
reasons; a toddler who wanders away from home unnoticed, a teenager who
runs away from home, a non-custodial parent removes a child from their home
during a custody dispute, or a stranger abducts a child.
The search for a missing child demands a swift, coordinated and
accurate response from law enforcement, as the longer a child is missing
the less successful a search and recovery effort is likely to be. Obtaining
necessary information from members of a child’s family may be difficult due to
the traumatic experience of a child reporting missing. Police officers should use
every method available to them to attempt to calm the family and gain the
information necessary to immediately begin the search for the child.
In interviewing the complainant it is important to determine if the person
who took the child is known, (i.e., family member, spouse, biological parent). If
there is a relationship between the abductor and the child, law enforcement
should attempt to obtain information concerning the immediate physical danger
to the child.

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Missing Persons

Amber Alert Plan
The Amber Plan, initiated in 1996, is a voluntary partnership between law
enforcement agencies and broadcasters to disseminate urgent bulletins over the
radio, television, Internet, and print media, etc., in the most serious child
abduction cases. The Emergency Alert System (EAS) is used to air a
description of the missing child and suspected abductor. The system allows for
prompt involvement of the entire community to assist in the search for and
prompt return of abducted children.

MANDATORY PATROL GUIDE READING
•

207-23

Missing Persons

HOMEWORK
1.
2.

Explain “missing person” as it is defined in the Patrol Guide.
List the special category missing persons and explain a police officer’s
responsibilities when called to investigate them.

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POLICE STUDENT’S GUIDE
Policing The Emotionally Disturbed
WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT EMOTIONALLY DISTURBED PEOPLE?
Encounters with “emotionally disturbed persons,” otherwise known as
“EDP’s,” are among the most frequent and sensitive of all police interactions. On
average, NYPD patrol officers are dispatched to reports of EDP’s almost 200
times a day. Other officers encounter EDP’s independent of the radio dispatcher,
when they see them while patrolling their posts or are told about EDP’s by
passersby. This simple math should tell you that every patrol officer – including
you – is certain to be asked to respond to or handle EDP situations fairly often.
EDP calls as difficult as they are frequent. What and whom you will find
when you respond to them is likely to vary enormously. About 40 times a day,
officers who respond to EDP calls find that the people involved have already left
or are in the care of other responsible people. More often (about 155 times a
day), officers find people who are acting in a manner that seems irrational. Most
EDP calls turn out to involve people who are neither a danger to themselves or
others. Nevertheless, police are called to respond to a large number of cases
that are dangerous or that, if improperly handled, could quickly become
dangerous. As police, we are responsible for getting such people to mental
health professionals, but we also have other responsibilities: We must protect the
lives and safety of EDP’s, as well as the lives and safety of other innocent
people, including ourselves. We also have an obligation to protect EDPs’ rights
and dignity.
Dealing with people who are emotionally disturbed requires a high degree
of skill and sensitivity. In these situations, thoughtless or hasty police actions
may quickly make things worse, causing EDP’s to act in ways that require
officers to use force that might otherwise have been avoided. Therefore, it is
essential that officers know how to recognize EDP’s and how to avoid actions
that might agitate EDP’s. No police skill is more critical than the ability to defuse,
rather than to escalate, potentially explosive situations, and few situations are
more potentially explosive than encounters with EDP’s.
This lesson is designed to help you recognize the most common behavior
patterns and indicators of emotionally disturbed persons, and to dispel the myths
and misunderstandings that surround EDP’s. Most importantly, you will learn
specific guidelines to resolve these encounters in a safe and professional
manner, without using unnecessary force, and causing unnecessary damage to
the lives, safety, rights, and dignity of the mentally ill, their families, and
bystanders, as well as you and your fellow officers.

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Policing The Emotionally Disturbed
RECOGNIZING EMOTIONALLY DISTURBED PERSONS
Recognizing and properly handing situations involving persons who may
be emotionally disturbed is critical to the safety of you and others - including the
EDP - and to your effectiveness as a police officer.
It is important to recognize that EDP’s are not bad guys who intentionally
give officers a hard time. Officers must be able to recognize EDP’s and to
understand that EDP’s have little or no control over their actions.
Not all EDP’s suffer from mental illness. There are many reasons why a
person may act in an emotionally disturbed manner, such as mental illness,
influence of alcohol or chemical substances, a medical condition (e.g.,
Alzheimer’s), or the experience of an extremely stressful situation.
Regardless of the cause, EDP’s should be treated with patience and
understanding. They should not be forcibly handled unless it is clear there is no
other way to meet your responsibility to protect life. Never use force or threat
of force against an EDP unless there is no other way to protect life against
imminent danger. Officers should keep a safe distance from EDP’s and
otherwise avoid putting themselves in harm’s way.
Officers should avoid dealing with EDP’s while alone. These are volatile
situations that require back-up assistance. Should you encounter an EDP while
alone (e.g., while patrolling a foot post), call for other officers to aid in handling
the situation. In doing so, be sure to tell the dispatcher that backup officers
should respond quietly unless, of course, there exists circumstances that would
justify an emergency response.
Unless there is immediate risk to life, officers who provide back-up
assistance at EDP calls should respond quickly but quietly, avoid the use of lights
or sirens, which may alarm EDP’s.
Supervisors are required to respond to all EDP calls. If the
supervisor is not yet on the scene and it is apparent that an EDP is
unarmed, non-violent and willing to leave voluntarily, the EDP may be taken
into custody without the specific direction of a supervisor.
Officers should try to contain EDP’s and avoid managing their problems in
front of an audience. Bystanders usually make EDP situations worse, and should
be asked to leave.

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Policing The Emotionally Disturbed
Officers should make sure that nobody takes any sudden or unplanned
action unless life is in immediate danger.
Nobody should threaten the EDP. Instead, the contact officer should
make it plain to the EDP that the police want to help him or her and that the way
to accomplish this is for the EDP to put down any weapon and to come to the
police for help.
Officers should take as much time as necessary to take EDP’s into
custody. Specially trained and equipped Emergency Service Unit (”ESU”)
officers will be automatically dispatched to respond to assignments involving
EDP’s.
Officers should take great care to assure that they do not restrain or
confine EDP’s in ways that may hurt – or even kill – them. NEVER CONFINE
EDP’s – OR ANYBODY ELSE – IN FACEDOWN, PRONE POSITIONS FOR
LONGER THAN IT TAKES TO HANDCUFF THEM.
On occasion, EDP’s come to police attention because their actions are
criminal, and result in injury to people or damage to property. When this
happens and it is clear that a person who has committed a crime is an EDP, he
or she will be taken to a mental health facility. When such a person is cleared for
release by the mental health professionals, he or she should be arrested,
charged with the crimes involved, and taken to court for criminal proceedings.
Whenever a person who is about to be arrested is acting irrationally or
violently resists arrest, the Patrol Guide procedure for Mentally Ill or Emotionally
Disturbed Persons will be Instituted (Patrol Guide: 216−5; Patrol Guide: 208−06).
Once in Custody, the subject will be removed to a hospital for examination.
(Patrol Guide: 208−2).
Prisoners demonstrating extreme emotional disturbance will be removed
to the nearest hospital (Patrol Guide procedure 210−04: Prisoners Requiring
Medical/Psychiatric Treatment).
Prisoners suffering from “cocaine psychosis” will be brought to an
appropriate hospital facility and not to a police facility (Patrol Guide
procedure 208-06).

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Policing The Emotionally Disturbed
WHAT IS MENTAL ILLNESS?
Mental disorders are illnesses that affect a person’s thinking, feelings, or
behavior. Mental illness can range from chronic mild forms to life-threatening
disorders. Mental illness may begin in childhood or at any point later in the life
cycle. Otherwise healthy children and adults may experience symptoms of
mental illness when experiencing stressful events (e.g., divorce, loss of a loved
one) or trauma (e.g., car accident, shooting).
What Causes Mental Illness?
The causes of most mental disorders are unknown, but they appear to be
biological and environmental. Causes are easier to determine in instances of
substance-induced disorders linked to the use of alcohol or illicit drugs like
cocaine (e.g., cocaine induced psychosis). The consumption of alcohol or nonprescription drugs is likely to aggravate the symptoms of mentally ill people.
People With Mental Illness
At times, people with mental illness call for police assistance themselves.
They may be victims of crimes or accidents or witnesses; they may call to report
that they are planning suicide; they may realize that they need help because, for
example, they have stopped taking their medications. Police officers have come
across EDP’s while attending community crime prevention program meetings,
while handling completely unrelated situations, and while processing prisoners
already in custody. In other words, EDP’s may come to police attention in
virtually any way imaginable.
Who are people with mental illness? Psychiatric illness affects people of
all races, ethnic backgrounds and social class; it does not discriminate. It is an
affliction that affects people regardless of intelligence, achievement, or
prominence.
•

Like other members of the community, mentally ill people may be
professionals, office workers, laborers, homemakers, children,
elderly people, or people who depend on welfare and other social
services for survival.

•

One in five families in America is affected by mental illness.

•

Most people diagnosed with a mental illness have never been
hospitalized and do not need in-patient care.

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•

The main reason for hospital admissions nationwide is an
exacerbation of a psychiatric disorder. At any time, almost 21% of
all hospital beds are filled with people with mental illness.

•

Mental illness is more common than cancer, diabetes, or heart
disease.

•

Mental illness can range from mild to severe.

RECOGNIZING EMOTIONALLY DISTURBED PERSONS
Recognizing and properly handling emotionally disturbed persons is
critical to your effectiveness as a police officer. EDP’s often exhibit behavior
patterns and verbal indicators that seem Inappropriate, Inflexible, and
Impulsive (the “Three I’s”). By carefully observing behavior patterns that you
judge to be Inappropriate, Inflexible, or Impulsive, you may be able to
recognize a person who is emotionally disturbed. Examples of behavior patterns
or verbal indicators that might fit within the “Three I’s” are listed below:
Typical Behaviors of EDP’s That Fit the “Three I’s”:
1.

Inappropriate Physical Appearance:
•
•

2.

Inappropriate Body Movements:
•

3.

Strange posture or mannerisms (e.g., continuously looking
over one’s shoulder as if being followed, maintaining the
same or unusual body positions for an extended period
of time, pacing or agitated movements, repetitive
movements, or lethargic or sluggish movements).

Disturbances in Perception:
•
•

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Disheveled or bizarre physical appearance, or
Appearance that is inappropriate to the environment
(e.g., a person who wears shorts in winter, or a heavy coat in
the summer).

Responding to voices or objects that are not there, or
Expressions of grandiose ideas (e.g., the person believes
himself to be Abraham Lincoln).
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•
•
•
4.

Disturbances in Thought:
•
•
•

5.

It may be hard to follow an EDP’s train of thought.
They may jump from subject to subject in a manner that
appears incoherent.
Their speech may be difficult or impossible to interrupt.

Inappropriate Moods or Rapid Mood Swings:
•
•
•
•
•

6.

Hallucinations, delusions or other false beliefs, or
Major memory lapses, confusion, or unawareness of people
or surroundings, or
Rapid shifts in subject in a manner that seems incoherent.

Rapid or extreme mood swings from elation to depression,
or
Overreacting to a situation in an overly angry or frightened
manner, or
Speech patterns that lack the normal ups and downs of
emotion, or that contain uncontrollable bursts of emotion, or
Expressing feelings of persecution (e.g., expressing ideas of
being harassed or threatened), or
Obsessive thoughts or preoccupation with subjects such as
death, or guilt.

Acting or Threatening to Cause Injury to Self or Others:
•

Cutting self with a sharp object, causing cigarette burns on
body, starving self, or expressing a desire to do the same to
self or others.

Environmental Indicators Exhibited by Persons Who are Emotionally
Disturbed:
1.

Inappropriate Decorations
•

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Strange trimmings or inappropriate use of household items
(e.g., aluminum foil covering windows).

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2.

Inappropriate Waste or Trash:
•

Hoarding or accumulating extraordinary amounts of
household items, otherwise known as “pack-ratting” (e.g.
accumulating extraordinary amounts of string, newspapers,
paper bags, or trash to the extent that it becomes a safety
and health hazard). This may be a particular problem
among the elderly and officers should be alert to it, or

•

The presence of feces or urine on floors or walls.

Mental Illness, Crime and Danger
There is no causal relationship between mental illness and crime or
between mental illness and violence. Most people who are mentally ill do not
engage in criminal behavior and most mentally ill persons are not dangerous. A
Justice Department study found that only four percent of all violence in a one
year period was associated with mental illness. Compare this to the largest risk
factor for violence: alcohol and drug abuse. People who abuse alcohol and
drugs are 16 times more likely than those with schizophrenia and bipolar
disorders to be violent.

POLICE HANDLING OF EMOTIONALLY DISTURBED PERSONS
Police encounters with mentally ill persons first became a major issue in
the late 1960s, when a deinstitutionalization movement began. This was a long
legal battle that was designed to protect people who, rightly or wrongly, were
believed to be mentally ill. Before the movement began, such persons had very
few rights, and it was comparatively easy to confine them to harsh mental
institutions for long periods. The movement succeeded, making it more difficult
to institutionalize people against their will. As a consequence of this movement
and of reduced funding for mental treatment generally, the number of people
confined to mental institutions has declined by at least half a million over the last
generation.
This has had consequences for the police, especially in big cities. Across
the country, police are called upon to respond to more and more situations
involving mentally ill and emotionally disturbed persons. Police response to these
situations requires specialized skills and training. Knowing how to communicate
verbally and non−verbally, and knowing how to intervene tactfully and sensitively

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can dramatically enhance the likelihood that situations involving the emotionally
disturbed will be resolved safely and effectively.
It is not reasonable for anybody to expect you to be an expert at
diagnosing the specific causes of EDP’s problems or at prescribing treatment for
them. Your job on the street is to recognize EDP’s to assure that you treat
them in the most respectful and humane way; and to get them to the mental
health professionals who can provide proper care for them. As you read this
material and, later, as you actually encounter EDP’s, however, you may wish to
know more about the nature of their problems. The material in Appendix “A” at
the end of this chapter is a good foundation for such knowledge.

NYPD POLICY DEALING WITH EMOTIONALLY DISTURBED PERSONS
(PATROL GUIDE PROCEDURE 216-05)
The primary duty of all members of the service is to preserve human life.
The safety of all persons involved is paramount in cases involving emotionally
disturbed persons. If such a person is a danger to himself or others, necessary
force may be used to prevent serious physical injury or death. Physical force
will be used only to the extent necessary to restrain the subject until delivered to
a hospital or detention facility. DEADLY PHYSICAL FORCE WILL BE USED
ONLY AS A LAST RESORT TO PROTECT THE LIFE OF THE UNIFORMED
MEMBER OF THE SERVICE ASSIGNED OR ANY OTHER PERSON
PRESENT.
If the Emotionally Disturbed Person is armed or violent, no attempt
will be made to take the EDP into custody without the specific direction of
a supervisor, unless there is an immediate threat of physical harm to the
EDP or others present. If the EDP is not immediately dangerous, the person
should be contained until assistance arrives. If the EDP is unarmed, not violent
and willing to leave voluntarily, a uniformed member of the service may take
such person into custody. When there is time to negotiate, use all the time
necessary to insure the safety of all individuals.
Definitions:
•

Emotionally Disturbed Person (EDP) - a person who appears to be
mentally ill or is acting in a bizarre manner, and who is conducting himself in a
manner that a police officer reasonably believes is likely to result in serious
injury to himself or others.

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•

Zone of Safety - the distance to be maintained between the EDP and the
responding member(s) of the service. This distance should be greater than
the effective range of the weapon (other than a firearm), and it may vary with
each situation. A minimum distance of twenty (20) feet is recommended.
An attempt will be made to maintain the "zone of safety" if the EDP does not
remain stationary.

Distance Equals Safety
Leave yourself space to retreat when dealing with someone who is out of
control. This will allow you time to attempt to communicate with the emotionally
disturbed person.
Upon arrival at the scene you must assess the situation as to the threat of
immediate serious physical injury to the EDP, other persons present, yourself, or
other members of the service. Where possible, you should take cover, utilize
protective shielding, if available, and request additional personnel, if
necessary. Once you have assessed the situation and evaluated the threat of
immediate harm, you are likely to be faced with three (3) possible scenarios:
•
•
•

The EDP constitutes an immediate threat of serious physical injury or
death, or
The EDP is unarmed, non-violent, and willing to leave voluntarily, or
The EDP does not pose an immediate threat, but is unwilling to leave
voluntarily.

Bringing the EDP into Custody:
1.

In situations in which an EDP’s actions constitute an immediate threat of
serious physical injury or death to himself or others present, you
must act immediately and take reasonable measures to terminate or
prevent such behavior. As you do so, keep in mind that:

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•

Deadly physical force may be used only as a last resort to protect
the life of persons or officers present.

•

Damaging property does not necessarily constitute an immediate
threat of serious physical injury or death.

2.

When you encounter situations in which EDP’s are unarmed, not violent,
and willing to leave voluntarily, you may take them into custody without the
direction of a supervisor.

3.

When you encounter situations in which EDP’s pose no immediate
threat, but are not willing to leave voluntarily, take the following
actions:
•

Attempt to isolate and contain the EDP while maintaining a “zone of
safety.”

•

Maintain the “zone of safety” until the Patrol Supervisor and
Emergency Service Unit (ESU) personnel arrive.

•

Do not attempt to take the EDP into custody without the specific
direction of a supervisor.

•

Call for an ambulance, if one has not already been dispatched.

•

If they are not already present, make sure that the Patrol Supervisor
and Emergency Service Unit (ESU) personnel are responding.

Establish Police Lines:
It is very important to establish police lines at the scenes of EDP incidents.
Police lines allow us to establish safe distances between the EDP and rescue
workers, to protect innocent bystanders, and to afford a higher degree of dignity
to the EDP. Police lines can range from the establishment to outer perimeters, in
serious cases, or more simply, creating a reasonable distance between the EDP
and the public at large.
Whenever possible, avoid having to deal with an EDP in front of an
audience. The presence of bystanders may cause an EDP to resist you because
he does not want to lose face in public. Sometimes, bystanders even encourage
EDP’s to resist or, in the classic situation we have all seen in the movies, to jump
from a window ledge or roof. Avoid this. If bystanders are present at an
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encounter with an EDP, ask them to leave so that they do not affect the situation.
If an EDP is stationary, establish a frozen area and keep all non-essential
personnel out of it. These situations are difficult enough without having to worry
about whether the presence, or actions, of bystanders will complicate matters.

PROPER TACTICS WHEN HANDLING EDP’s
Before you arrive at the scene of a possible EDP, or substance abuse
incident, think tactics. The following list provides some basic guidelines.
1.

Before you get to the scene, begin gathering all information possible. You
might ask communications to obtain “call back information” regarding the
EDP or whether or not any other officer is familiar with the EDP. Such
information may include:
•
•
•
•
•
•
•
•
•

Whether the person is armed with weapons;
Medical or psychiatric history;
Location of the subject (home, park, prisoner holding cell, etc);
Presence of other adults, children, friends;
Whether the person is violent;
Whether the person has an arrest record or history of violence;
Whether the person has a history of alcohol or substance abuse;
Whether other uniformed personnel are on the scene (ambulance,
fire department, police);
Whether other officers within your precinct know the person.

2.

One officer should assume the role of the “Contact Officer” and the other
as the “Cover Officer.” The contact officer will do all of the talking with the
EDP. (This prevents the confusion and agitation that might ensue as a
result of too many people talking at the same time).

3.

Get as much information regarding the EDP as possible from family
members or others present. This might include past incidents where police
have been called, hospitalizations, medications, drug and alcohol use,
past suicide attempts, history of violence, availability of weapons, and/or
what triggered the current incidents.

4.

Be aware of your surroundings (look for weapons, dangerous condition,
entrances, exits, etc.)

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5.

Maintain a safe distance from the EDP. When an EDP is violent, maintain
a barrier between yourself and the EDP.

6.

Respect the EDP’s personal space (personal space is defined as the
amount of space an individual needs between him and you to feel safe).

7.

Do not take offense at any actions or words directed against you.
Remember that you are there because EDP’s have mental health
problems. Even those who may have committed crimes may not be in
control of themselves, and are not purposely trying to offend you or
anybody else. Their actions are not deliberate choices. Instead, they are
the results of a psychiatric illness or other condition.

8.

Avoid attempts to intimidate or threaten EDP’s. Such techniques may
work with rational criminals, but are likely to further excite EDP’s.

Communicating with EDP’s:
In order to assess the situation, you may want to ask questions of the
EDP. When you try to communicate, be attentive to your tone of voice and body
language. If there is something about you or your partner’s way of talking that
appears to agitate the EDP, have the officer with the best rapport be the
designated contact officer. He or she will do all the talking with the EDP, while
the other officer acts as the cover officer. Listen carefully, be empathetic, and
avoid phrases that will trigger anger, misunderstandings, or agitation.
Methods of dealing with mentally ill persons may depend on the type of
mental illness; these are described in detail in Appendix “A,” but the following
brief summaries also are useful. An individual with a panic disorder may think
he is having a heart attack or dying. If the officers are familiar with the EDP
because they or their colleagues have been called to the scene multiple times
and are sure the person is suffering from a panic disorder, it can be helpful to
reassure the individual that he is going to be fine, and is not dying.
Psychotic and/or schizophrenic individuals have difficulty distinguishing
fantasy from reality, and may suffer from delusions. Because their delusions are
real to them, you will lose credibility with them if you try to talk them out of
their delusions. Be empathic and try to establish a rapport. You may
acknowledge that you know that the psychotic or schizophrenic believes what he
is saying, but you can let him know that you don’t share the same belief
(e.g., “I know you’re hearing voices but I cannot hear the voices, myself”). Be
firm and reassuring. This may help the schizophrenic gain control of unwanted
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impulses and loose thoughts. It can be helpful to focus on some aspect of the
individual’s situation that is not strictly related to their mental illness-such as
suggesting to a naked person in the subway that she might like to come with you
and get a warm coat.
Cocaine induced psychosis individuals may become psychotic for
reasons other than mental illness. See Patrol Guide 208-6 for a discussion of
cocaine induced psychosis and relevant police procedures.
Manic individuals are overexcited and irritable. They suffer from extreme
mood swings, and typically come to police attention when they are overexcited
and irritable. Manic individuals may not present communication problems if
approached calmly and competently. Still, a manic individual can become
combative, particularly if he is suffering from paranoid ideas (false beliefs that
someone is trying to hurt him). Remember to isolate and contain the individual
and call for the Patrol Supervisor, Emergency Services Unit (ESU) and
Emergency Medical Services (EMS) personnel.
Paranoid individuals believe that the people around them are out to get
them, and often interpret events as evidence of plots against them. Because
paranoids are likely to see the arrival of the police as part of such a plot,
managing them can be very difficult. Do not try to disprove the person’s false
beliefs or pretend you agree with them. Avoid direct confrontation and,
instead, assure the paranoid that you are there to help and protect, rather than to
hurt. Challenges or dares will only heighten the person’s suspicions, make them
feel threatened, and motivate them to act out physically. It is best to start in a low
key, non-confrontational manner. Use polite requests for cooperation rather than
commands, and indicate that you are just trying to do your job. Move deliberately
and slowly. Sudden changes in posture and bodily motion will make the
individual feel threatened and needlessly stimulate the paranoid into action.
Therefore, you should move in a way that shows that you do not intend to
challenge or threaten the individual.
All people become depressed at times during their lives, but someone
suffering from a major depression may believe that all hope is lost. In the worst
case, they may be suicidal, and may also wish to take others with them. Even
when dealing with depressed persons who are not clinically psychotic, remember
that they may also present the potential for suicide, and for aggression towards
others. The approach to such persons, especially those who indicate that they
are suicidal, should be made only after the officer’s safety can be assured. If the
person appears suicidal, sudden moves should be avoided except as a last
resort to restrain the person. The individual may think and speak slowly, ask the

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same questions repeatedly, and seem to reject or ignore much of what is said to
him. In order to get the person to talk, it may help the officer to focus on the
symptoms of the depression itself. “You look like you are under a lot of stress.”
It is important for the officer to become familiar with the immediate environment
from the outset. They should try to find out what keeps the individual settled and
what seems to agitate him. If possible, engage the person in conversation. Be a
good listener and exhibit compassion.
Most people who are depressed and suicidal are not out of touch with
reality. They see suicide as the only way out of their problems.
•
•
•
•
•

Take suicidal threats seriously.
You cannot make somebody suicidal when you show interest in his or
her welfare by discussing the possibility of suicide.
Suicidal people may get others to kill them (e.g., by provoking a
confrontation with armed police officers).
Suicidal people can be a danger to others. Ten percent (10%) of
suicides are preceded by a homicide.
In general, rushing in to rescue a suicidal person increases the risk to
everyone.

Communicating With Mentally Ill or Emotionally Disturbed Individuals
The following section suggests some general rules that will help you to
communicate with individuals who are emotionally disturbed. These rules can
function as guidelines that will help you gain an EDP’s cooperation (“buy time”)
until a supervisor or ESU arrives, and/or gather important information about the
individual’s medications, abuse of drugs or alcohol, psychiatric history, prior calls
to police, what triggered current upset, weapon availability, history of violence,
etc., and most importantly, contribute to a safe and non-violent resolution to the
situation. Remember that many EDP’s have problems controlling their impulses.
It is therefore important that you not engage in activities that further undermine
their control.
The following is a list of tactics that are helpful when communicating with
mentally ill or emotionally disturbed individuals:
1.

Do not rush unless necessary to protect yourself or others.

2.

Do not make sudden movements.

3.

Move deliberately and slowly.

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4.

Keep a distance. Remember – Distance Equals Safety.

5.

Keep a barrier between yourself and any potentially dangerous
EDP.

6.

Do not “crowd” an EDP.

7.

Do not challenge the EDP’s perceptions. These may be
hallucinations or delusions, but they are real to him.

8.

Do not stare at or maintain ongoing eye contact with the EDP, who
may see this as challenging or threatening.

9.

Unless there is no other way to protect yourself or others against
imminent harm, avoid behavior that causes agitation.

10.

Do not lie or try to deceive. Once you break trust with an EDP, it is
almost impossible to get it back.

11.

Do not act in a confrontational manner by arguing with or
challenging the EDP. Remember, be empathetic and a good
listener.

12.

Do not try to intimidate or frighten the EDP into submission.

13.

If you are the designated “contact partner,” listen and try to
maintain empathy.

14.

Act as calmly as possible.

15.

If you are the “contact partner,” lower your radio. The “cover officer”
will handle the radio.

16.

Coordinate your plan of action. Do not surprise your partner by
taking any sudden or unexpected action unless someone’s safety is
in imminent danger.

17.

Take as much time as you need to avoid injury to anybody: in these
situations, time works to your advantage. Don’t lose this advantage
by rushing or by forcing a confrontation.

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WHEN THE EDP HAS BEEN TAKEN INTO CUSTODY
Once the EDP has been taken into custody, either voluntarily or
involuntarily, police officers are responsible for the proper care, custody and
transportation of the EDP from the scene of the incident to an appropriate
medical facility. You must take the following steps to ensure that proper and safe
custody is maintained.
1.

Remove property that is dangerous to life or will aid in escape.

2.

Have the EDP removed to a hospital in an ambulance.

3.

•

Restraining equipment may be used if the EDP is violent,
resists, or upon direction of a physician.

•

When a female EDP is being transported, another female officer
or an adult member of the immediate family should accompany
the female EDP.

The uniformed member of the service must ride in the body of the
ambulance with the EDP.
•

At least two officers must be assigned to safeguard if more than
one patient is being transported.

THE USE OF FORCE WHEN HANDLING EDP’s
When EDP’s present a danger to themselves or others, law enforcement
personnel are authorized to take them into custody and to transport them to
hospitals. As indicated above, sooner or later, every police officer finds himself
in a situation involving a mentally ill person who is acting in a dangerous manner.
This person may be attempting or threatening to commit suicide by jumping out a
window, or in front of a train; she might be holding a knife and thrashing
aimlessly about, clearly endangering all persons nearby. What should you do in
these situations?
Unless immediate action is necessary to protect someone's safety, you
must attempt to isolate and contain the mentally ill person. The first step in
doing this is to immediately insure that a supervisor and an ambulance are
responding.

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Like all other persons taken into police custody, EDP’s must be rearcuffed at the earliest opportunity to reduce the potential for resistance and or
injury to themselves or others. Additionally, alternate restraining devices (i.e.,
velcro straps, mesh restraining blankets, etc.) should be used, when possible or
necessary, to restrain or further restrain a subject whose actions or behavior may
cause injury to himself or others.
As in all situations, police officers will use force only when necessary.
With EDP’s, as in every case, you may use only the minimum amount of
force reasonably necessary to control the situation.
If the emotionally disturbed person is dangerous to himself or others, the
law and department policy allow the use of necessary force to prevent serious
physical injury or death. One example illustrating this point might be that of a
person attempting to jump off a roof. In this case it may be proper for the officer
to physically restrain the individual by grabbing and cuffing him/her.
Remember that deadly physical force may be used only as a last
resort to protect your life or any other innocent person's life. The primary
police mission when dealing with emotionally disturbed persons is to
isolate and contain them, while insuring that no person's safety is
endangered.
In any case, when there is time to negotiate, take all the time necessary to
insure the safety of all individuals concerned. Await the arrival of the supervisor
and the Emergency Services Unit (ESU) whenever no immediate action to
prevent injury or death is required. Physical force will be used only to the extent
necessary to restrain the subject until delivered to a hospital or detention facility.
A police officer’s obligation is to do what is reasonable and necessary to
insure the safety of all persons involved in any police-citizen contact. Police
officers must remember that taking and maintaining cover, establishing
containment, waiting and using delaying tactics and distraction are legitimate
tools used during potentially hazardous encounters.
Non-lethal devices that are carried in the patrol officer’s auto or on your
person include:
•
•

A four-foot, non-ballistic, polyguard shield (in RMP)
Pepper Spray (on person)

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Non-lethal devices that are carried in Patrol Supervisors’ autos and by
ESU (which is also equipped with additional equipment) include:
•

Taser: this is a non-lethal, gun-type device that fires two small darts
attached to fine electric wires. When the two darts penetrate the body,
they complete an electrical circuit that knocks subjects off their feet. It
has an effective range of less than 15 feet.

•

Nova Stun Device: this is a hand-held device that uses an electric
shock to disable resisting persons.

•

Pressurized Water Device (Water Cannon)

•

Four or Five Foot Shields

•

Shepherd’s Crook

•

Velcro Restraining Straps

•

Pepper Spray

POSITIONAL ASPHYXIA AND HOW TO AVOID IT
Positional asphyxia is death by inability to breathe because of the position
of one’s body. It is a silent killer that, police have learned the hard way, can
quickly take the lives of persons who are confined or held down in prone
positions or, worse, “hogtied.” Hogtying involves restraining the movement of a
rear-cuffed person by restraining his ankles with a cord or rope and then moving
his feet toward his wrists and tying the rope or cord restraining his feet to the
handcuffs. Hogtying is prohibited. When people are confined in this positionrear-cuffed, lying on their abdomens – regardless of whether they are actually
hogtied – most of their body weight is focused on their diaphragms. This makes
it impossible for them to breathe or even to call out. Instead, they struggle and
grunt, trying desperately to get out of their positions. Officers have mistaken their
struggling for resistance, and as a result, applied more pressure to hold them
prone-resulting in death.
Positional asphyxia has been rare among persons taken into police
custody in New York City, but even one such death is too many. It has occurred
when police have restrained violent EDP’s by hogtying them, by continuing to

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allow them to lie prone after they have been rear-cuffed, and by placing them in
prone positions in the rear seats of police cars while they are transported.
To Avoid Causing A Death By Positional Asphyxia, Adhere To The
Following Rules:
•

Do not hogtie anybody: under no circumstances may persons taken into
custody be “hogtied.” This technique is highly lethal and may not be
employed under any circumstances with an EDP or anyone else.

•

Get people in custody off their stomachs as soon as possible: under
no circumstances may EDP’s or other persons in custody be restrained
confined, or transported in a prone position for longer than it takes to
complete rear-cuffing them.

•

Do not use ropes on anybody: under no circumstances may rope be
used to restrain an EDP or anyone else.

•

Do not use choke holds: members of the service will not use choke
holds against other persons.

•

Get immediate help to people who have difficulty breathing:
whenever anyone taken into custody appears to have difficulty
breathing or is otherwise demonstrating life-threatening symptoms,
medical assistance must be immediately requested. The patrol
supervisor will direct that alternate means to maintain custody be utilized,
if appropriate. When no supervisor is on the scene of an EDP, the senior
member present at the scene will direct and coordinate operations,
pending the arrival of a supervisor.

GUARDING EDP’S AT THE HOSPITAL
1.

You must safeguard the EDP at the hospital until examined by a
psychiatrist.
•

You must inform the psychiatrist of the circumstances that brought the
EDP into police custody.

•

If you are relieved by another officer at the completion of your tour, you
must inform the relieving officer of the circumstances in which the EDP
was taken in custody. This is critical information because the

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examining psychiatrist’s main source of information about the EDP is
likely to be the officer who is safeguarding the EDP.
2.

You must also make entries in your ACTIVITY LOG and prepare an
AIDED REPORT WORKSHEET or Prisoner Medical Treatment Form that
is delivered to the Desk Officer upon completion.

3.

When entering a psychiatric ward:
•

Escort the EDP to designated area.

•

Sign in Psychiatric Admitting Log.

•

Unload your firearm at the firearm safety station. Place your
ammunition in your pocket, and holster your weapon.

•

Confer with the psychiatric admitting staff and provide necessary
information regarding the circumstances that brought the EDP into
police custody.

•

Safeguard the EDP at the hospital until a psychiatrist examines
him or her.

•

Inform the psychiatrist of the circumstances that brought the EDP into
police custody.

•

If the psychiatrist refers the EDP to the Emergency Room, reload your
firearm at the firearm safety station and make interim remarks in the
Admitting Log.

•

Upon departing, make sure that your firearm is reloaded, prepare
Aided Report (indicating the EDP’s Admission Number), and sign out
on the Admitting Log.

LEGAL ISSUES REGARDING MENTAL ILLNESS
The Mental Hygiene Law governs the way people are handled when they
are admitted to, treated in, and discharged from in−patient and out−patient
facilities. Admission criteria to psychiatric facilities are set forth in Section 9 of the
Mental Hygiene Statute. The table in Appendix “D” outlines the parts of Article 9
that pertain to the removal of individuals to hospitals for evaluation.
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Section 9.37 permits a physician who has received Special Designation
by the NYC Department of Health and Mental Hygiene to order that a person
who, by reason of mental illness is likely to do harm to him/herself or others, be
removed to a hospital for evaluation for psychiatric admission.
Section 9.41 examines the role of police and peace officers in involuntary
and emergency admission processing. This section states “Peace or Police
Officers may take into custody and transport to a (psychiatric) hospital, any
person who appears to be mentally ill and is conducting himself/herself in a
manner which is likely to result in serious harm to himself/herself or others.”
While it is not necessary that you, as a police officer, make a psychiatric
diagnosis, your training in mental illness should enable you to articulate why
certain behaviors indicate its presence. These behaviors should be described on
an Aided Report Worksheet or Domestic Incident Report in all custody cases.
Remember that you are required to describe behavior that evinces mental illness
and that you demonstrate that there is reasonable cause to believe that the
person poses a threat of serious harm to self or others.
This is a serious responsibility because we are denying the liberty of
someone who has not broken the law. In practical terms, whether to take a
mentally ill person into custody is the decision of the Patrol Supervisor who
responds. Many times, though, as the first responder, along with Emergency
Medical Service, the first responsibility – to detain or release a person – is yours.
For this reason all police officers should have a working knowledge of the Mental
Hygiene Law, especially standards of Emergency Admission.
Section 9.43 states that a person who may be mentally ill is brought
before the Court and whose behavior may cause harm to himself or herself or
others can be ordered by the presiding judge to be removed to a hospital for
evaluation for psychiatric admission.
Section 9.58 of the Mental Hygiene Law states that a physician or
qualified mental health professional who is a member of a Mobile Crisis
Outreach Program is authorized to remove or direct the removal of one who
appears to be mentally ill and a dangerous threat. It should be noted, however,
that responsibility for securing a person during removal and transport is the
responsibility of the Police Department. Know the special procedures concerning
Section 9.58 (Mobile Crisis Teams):

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Involuntary Admissions:
1.

Two (2) physicians authorize transport - police may transport.

2.

A Mental Health Removal Order is issued.

3.

Mental Hygiene Warrant - Court authorized transport. In the Borough of
Brooklyn only - police must transport to court. The judge then determines
mental status and threat of danger.

4.

Police initiate emergency admission.

5.

Mobile Crisis Outreach Teams authorize removal or direct the removal of
persons they deem dangerously mentally ill - police must transport.

Kendra’s Law:
Section 9.60. Assisted Outpatient Treatment (AOT) also referred to as
“Kendra’s Law.” This law establishes the procedure for a court to commit an
individual against his or her will to outpatient treatment. Family members can
make a petition for this law - to the court and other interested parties - for a
person to be placed in assisted out- patient treatment. If such an order is obtained
and presented to the precinct Desk Officer, the following special procedure must
be followed:
1.

The Desk Officer must request the radio dispatcher to assign the Patrol
Supervisor and an RMP to execute the order.

2.

The Desk Officer can direct an RMP to the command to transport the
clinician to scene.

3.

The Patrol Supervisor will permit the Assisted Outpatient Treatment
Clinician to interview the subject to gain his or her cooperation.

4.

The Patrol Supervisor will assign an officer to accompany the subject in
the ambulance to the psychiatric emergency room of the hospital stated
on the removal order.

5.

The officer assigned will remain with the subject until he or she has been
examined by the hospital psychologist.

6.

Comply with P.G. 216-07 for firearms safety guidelines.

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LIFENET
In some cases, people who need or request help for emotional problems,
and appear to present no danger to themselves or others may be referred to
LIFENET. This is a 24-hour a day, seven day a week helpline operated by the
Mental Health Association of New York. It is staffed by mental health
professionals, who can assist in finding a resource that will benefit the recipient.
The officer on the scene can either give a Lifenet card to an individual who may
need help, or refer such person(s) to the following number:

1-800-LIFENET

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APPENDIX “A”
SPECIFIC MENTAL DISORDERS
Familiarity with different kinds of mental illness and how they are defined
by mental health professionals will enable you to better understand and
recognize the complex behavior exhibited by people with mental illness. Knowing
a person’s mental condition may facilitate your ability to aid him or her safely, and
with no more force than is necessary. In these situations, as in all others our
goal should be to avoid using force if at all possible and, when force is required,
to use no more than we absolutely must.
It can also be useful to know the types of medication that are used to treat
certain mental illnesses. The discovery of bottles of medication on the property or
person of a mentally ill individual may help you determine what sort of condition
he has. People sometimes stop taking their medications because they don’t like
the side effects. A person who stops taking medication is more likely to show
symptoms of mental illness than someone who is taking her medication as
prescribed. Nevertheless, it can be difficult to assess whether or not the person is
taking his medication by simply looking at the date and counting pills. This is
because people may throw out pills or take a handful at once. Occasionally a
person may develop psychiatric symptoms or disturbed behavior as a side effect
of medications prescribed for physical illness. It can be useful to bring all bottles
along with the EDP to the hospital.
Psychosis
An individual who is psychotic has difficulty distinguishing fantasy from
reality. He may have hallucinations (hear voices or see things and people that
aren’t there) or experience delusions (false beliefs that he is convinced are
true). Psychosis may be linked to different mental disorders such as
schizophrenia or manic-depressive psychosis. It can also be induced by drugs,
such as cocaine.
Medications that are used to treat individuals who are psychotic and/or
delusional include Haldol, Prolixin, Stellazine, Clozaril, Risperdal and Zyprexa,
Geodon, and Abilify.

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Paranoia
A person who is paranoid believes that events, actions, and behaviors of
people in his surrounding environment are directed at him or her. In milder cases,
he or she may believe that people are talking about or plotting against him. In
more severe cases, he or she may be convinced that people want to hurt him. He
or she may be dangerous if they are experiencing command hallucinations and
are hearing a voice telling them to hurt someone. Individuals who are
paranoid and psychotic may also be a danger to themselves if, for example, they
drive at high speed trying to get away from the people they believe are trying to
hurt them. Paranoia may be linked to different mental disorders such as manicdepressive psychosis, schizophrenia, and Alzheimer’s Disease.
It is important to know that some paranoids can fake normality and appear
relatively undisturbed very quickly after mistreating others. For example, the
police may receive a call for help made by the wife of a man whom she accuses
of threatening her life and beating her. When they arrive on the scene, however,
the officers may encounter a calm and relaxed, well-dressed man who makes
counter-allegations against the wife (she starts the arguments; she gets
overexcited, etc). It’s therefore important that officers carefully interview the
relevant people on the scene in order to properly assess the situation.
Medications that are used to treat individuals who are psychotic and/or
delusional include Haldol, Prolixin, Stellazine, Clozaril and Risperdal, Zyprexa,
Geodon and Abilify.
Mania
Mania is one phase of a mood disorder called bipolar illness (or manicdepression) that is generally marked by periods of predominantly elevated but
often irritable mood. The behaviors that characterize mania may be only minor
changes from normal, or they may be extreme.
The range of behaviors and characteristics of a person experiencing a
manic episode may include the following symptoms:
•

Increase in activity level socially, at work, or sexually;

•

Physical restlessness;

•

More talkative than usual or under pressure to keep talking;

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•

Conversation seems to race from one idea to another;

•

Opinion of self may be inflated;

•

Distractibility (attention easily drawn to unimportant or irrelevant
things);

•

Actions may appear irresponsible (buying sprees, driving recklessly,
sexual promiscuity);

•

Diminished need for sleep;

•

Delusions (false beliefs);

•

Hallucinations (hear voices or see people who aren’t there);

•

Anger, irritability, explosiveness;

•

Euphoria (extreme happiness);

•

Paranoid delusions (false beliefs that someone is trying to hurt them);

•

Delusions of grandeur (false beliefs that they are God)

•

Impulse control problems.

Medications used to treat the mania linked to manic-depressive psychosis
include Lithium, an anticonvulsant medication called Lamictal, and Valproic acid
(which is sold under the brand names Depakote and Depakene).
Depression
Depression is a mood disorder that is generally marked by periods of
feeling very down or low. Everyone has experienced a measure of depression
under certain circumstances. But when a person’s emotional state does not
seem appropriate to his circumstances, and his emotional behavior interferes
with his life at home and at work, he may be regarded as emotionally disturbed.
People who are depressed may experience or demonstrate:

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•

Preoccupation with death or suicide;

•

Difficulty controlling impulses;

•

Inability to experience pleasure;

•

Slowed speech and movement;

•

Increased or decreased appetite;

•

Sleeping problems, such as waking up very early in the morning;

•

Low self-esteem;

•

Withdrawal;

•

Neglected personal appearance (dirty, messy, or inappropriate
clothing);

•

Sad or tense facial expression;

•

Tearful, shivering;

•

Irritable, detached, hostile, or suspicious;

•

Difficulty concentrating;

•

Apparent memory loss;

•

Lack of emotion.

Medications used to treat moderate and severe forms of depression
include Prozac, Zoloft, Paxil, Welbutrin, Remeron, Effexor, and Celexa.
Manic Depression or Bipolar Disorder
Manic-depressive people experience extreme and sometimes-rapid mood
swings alternating between depression and mania or elation. When encountering
mania, the person almost always suffers from bipolar illness.

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Schizophrenia
There are a wide variety of schizophrenic conditions, ranging from fairly
good reality contact to major disorganization and deterioration of behavior. In its
most common form, the individual exhibits a pattern of bizarre conduct, joined to
periods of normality and good general orientation. During periods of flare-up in
the illness, in the extreme form when likeliest to come to the attention of the
police − the individual shows a frank loss of control, often with paranoia, an
inability to communicate logically, and hallucinatory behavior − hearing and
seeing things that aren’t there. Types of schizophrenia include paranoid
schizophrenia which is characterized by a well-developed set of delusional
beliefs that involve ideas of persecution. Characteristic beliefs and behaviors of
schizophrenia may include:
•

Thought and speech appear illogical, or loosely and incoherently
connected;

•

Unrelated attitude in conversation;

•

Words may be combined in a meaningless string (word salad);

•

Attention fades in and out;

•

Severe indecisiveness and an inability to carry out normal activities;

•

Disheveled appearance;

•

Lack of drive or motivation;

•

Withdrawn or absorbed in his own thoughts;

•

Hallucinations;

•

Paranoid thinking;

•

Irrational belief that he is superior; has a special calling; is God;

•

Hostility and belligerence;

•

Repetitive movements;

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•

Incoherent and illogical patterns of thought and speech;

•

Belief that someone is controlling their thoughts put thoughts into their
head, or that people can read their thoughts;

•

Belief that others are forcing them to act against their will;

•

Dramatically increased or decreased body movements (characteristic
of what is called catatonic schizophrenia);

•

Impaired impulse control.

Medications that are used to treat individuals who are psychotic and/or
delusional include Haldol, Prolixin, Stellazine, Clozaril, Risperdal, Zyprexa,
Geodan and Abilify.
Anxiety Disorders
Anxiety is normally experienced by most people in response to external or
internal events that trigger discomfort, uncertainty or danger. Such anxiety
producers might include the impending loss of a loved one, preparing for and
taking an examination, changing work environment, or confronting a new and
potentially threatening situation. Some people, however, experience chronic
and/or high levels of anxiety when exposed to situations that could be
characterized as routine or normal. The different types of anxiety disorders
include free-floating anxiety, phobias, Post-Traumatic Stress Disorder (“PTSD”),
and panic attacks.
Free-floating Anxiety is a general state of anxiety that seems to engulf the
person most of the time. This kind of anxiety makes a person prone to impulsive
acts. Very anxious people tend to get into disputes with other people. They are
so edgy that they misperceive situations. People with free-floating anxiety may
be subject to “panic attacks.”
Phobias are characterized by a persistent, debilitating, and severe fear of
specific objects (like spiders) or situations (riding in an enclosed space like an
elevator). Typically, the person recognizes that his or her fear is excessive or
unreasonable but feels helpless in controlling control it.

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Post Traumatic Stress Disorder (PTSD) is a condition that develops in some
survivors of catastrophic events such as military combat, rape, a shooting, or
some other disaster. A person suffering from PTSD may suddenly feel as though
the traumatic experience is happening again (a “flashback”) and behave
inappropriately and appear terrified.
Panic Attacks are sudden, overwhelming feelings of anxiety, which can induce a
state of frenzied agitation. The person is overwhelmed by terror. Symptoms may
include sweating, vertigo (dizziness), palpitations, chest pains, fear of losing
control, and a feeling of approaching death. Individuals with panic disorder may
repetitively end up in medical emergency rooms until they are finally seen by a
psychiatrist and released. Panic attacks usually last up to 10-15 minutes and
then subside.
Medications used to treat anxiety disorders include Ativan, BuSpar,
Klonopin, Paxil, Prozac, and Zoloft.
Physical Illnesses with Symptoms Similar to Mental Disorders
It is important to keep in mind that certain physical illnesses may manifest
symptoms similar to mental disorders. There are also certain physical illnesses
that are characterized by behavior that appears antagonistic, oppositional and
belligerent. An individual with a brain tumor may appear to be psychotic. An
elderly person with an infection may become agitated, actively fighting anyone
who tries to take him to the hospital. A person who is epileptic and coming out of
a seizure may seem disoriented, display a blank stare, and not be able to answer
the officer’s questions. Someone with Tourette Syndrome may spasmodically
let out a stream of obscenities that he cannot control. Mostly illegal substances
and prescription drugs, such as marijuana, cocaine or percocet, may cause some
individuals to exhibit symptoms typical of certain mental illness, including
psychosis, paranoia, belligerence, and euphoria.

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APPENDIX “B”
ELEVEN MYTHS ABOUT MENTAL ILLNESS
Myth 1: People with a severe mental illness, such as bi-polar illness or
schizophrenia, are usually dangerous and violent. They are more likely to engage
in violent behavior than those without mental illnesses.
Reality: People with mental illnesses are more likely to be victims of a crime,
rather than perpetrators of crime. Studies show that there is no relationship
between being treated for a mental illness and a potential for future violence.
Myth 2: Psychiatric disorders are not true medical illnesses. They are not like
heart disease or diabetes. In fact, there really is not such a thing as mental
illness. Some people just act crazy.
Reality: Mental illnesses, like heart disease and diabetes, are real illnesses that
appear to be caused by a combination of biochemical imbalances that make
someone more susceptible to getting ill. They appear to be brought on by some
stress in the environment. Research is beginning to show that there are genetic
and biological causes for some psychiatric disorders, and that they can be
treated effectively.
Myth 3: Mental illnesses are not treatable and treatment cannot match the
success rates of other illnesses.
Reality: Surgeon General David Satcher in his 1999 Report estimated that the
rates of successful treatment of Schizophrenia, Bi-Polar or Manic Depression
and Clinical Depression, equaled or exceeded other common illnesses.
Myth 4: Mental illness is the result of parenting.
Reality: Most experts agree that a genetic susceptibility, combined with other
risk factors, leads to psychiatric disorder. Mental illnesses have a biological
cause and are not caused by bad parenting.
Myth 5: Depression results from a personality weakness or character flaw, and
people who are depressed could just snap out of it if they tried hard enough.
Reality: Depression has nothing to do with being lazy or weak; it results from
changes in brain chemistry or brain function. Medication and/or psychotherapy
often help people recover.
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Myth 6: Schizophrenia means split personality, and there is no way to control it.
Reality: Schizophrenia is often confused with multiple personality disorder.
Actually schizophrenia is a brain disorder that robs people of their ability to think
clearly and logically. The estimated 2.5 million Americans with schizophrenia
have symptoms ranging from social withdrawal to hallucinations and delusions.
Medication has helped many of these individuals to lead fulfilling, productive
lives.
Myth 7: Depression is a normal part of the aging process.
Reality: It is not normal for older adults to be depressed. Signs of depression in
older people include loss of interest in activities, sleep disturbances, and
lethargy. Depression in the elderly is often undiagnosed and it is important for
seniors and their family members to recognize the problem and seek
professional help.
Myth 8: Depression and other illnesses, such as anxiety disorders, do not affect
children or adolescents. Any problems they have are just part of growing up.
Reality: Children and adolescents can develop severe mental illnesses. In the
United States, one in ten children and adolescents has a mental disorder severe
enough to cause impairment. However, only about 20 percent of these children
receive needed treatment. Left untreated, these problems can get worse. Anyone
talking about suicide should be taken very seriously.
Myth 9: If you have a mental illness, you can will it away. Being treated for a
psychiatric disorder means an individual has in some way failed or is weak.
Reality: Serious mental illness cannot be willed away. Ignoring the problem does
not make it go away, either. It takes courage to seek professional help.
Myth 10: Addiction is a lifestyle choice and reveals a lack of willpower. People
with a substance abuse problem are morally weak or bad.
Reality: Addiction is a disease that generally results from changes in brain
chemistry.
Myth 11: People with mental illness cannot work or be productive in the
community.

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Reality: Although people with mental illness have an unemployment rate in
excess of 85%, with the right combination of medication, talk therapy, and
community support, thousands of people with mental illness work, pay taxes, and
make valuable contributions to their communities.

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APPENDIX “C”
INTERACTING WITH A PERSON WITH MENTAL ILLNESS
The person with mental illness in a crisis situation is generally afraid. Therefore,
when interacting with this person:
You Should:
•
•
•
•
•
•
•
•
•
•
•
•
•
•

•
•

Continually assess the situation for danger.
Maintain adequate space between you and the person.
Be calm.
Give firm, clear directions. The person is probably already confused
and may have trouble making even the simplest decision. If possible,
only one officer should talk to the person.
Respond to apparent feelings, rather than content (e.g., “You
look/sound scared.”)
Respond to delusions and hallucinations by talking about the person’s
feelings rather than what he is saying (e.g., “That sounds frightening.”)
Be helpful. People, generally will respond to questions concerning their
basic needs (i.e., safety). “What would make you feel safer/calmer,
etc.?”
Address basic needs when appropriate (tissue, cup of coffee, etc.)
Not join into behavior related to the person’s mental illness (e.g.
agreeing/disagreeing with delusions/hallucinations).
Not stare at person – This may be interpreted as a threat.
Not confuse the person – One officer should interact with the person.
If a direction or command is given, follow through.
Not give multiple choices – Giving multiple choices increases the
person’s confusion.
Not whisper, joke or laugh – This increases the person’s suspicions
and the potential for violence.
Not deceive the person – Being dishonest increases fear and
suspicion; the person will likely discover the dishonesty and remember
it in any subsequent contacts. Don’t make promises/threats that you
can’t follow through on.
Not touch the person – Although touching can be helpful to some
people who are upset, for many it may cause more fear and lead to
violence.
Not minimize concerns (e.g., “Oh, things can’t be that bad,” etc.).

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Asking Questions
•
•
•
•
•
•

Ask simple and direct questions.
Ask open-ended questions.
Develop a rapport – this helps to overcome the person’s fear and
mistrust.
Identify and communicate with the healthy aspects of the person.
Even the most disturbed person has areas of “normal” functioning.
Determine reasons for the individual’s actions.
Be honest – perceptions of deceit may escalate violence and be
perceived as a challenge.

Understanding the Person
•
•
•

Listen to the person – be an active, empathetic listener.
Recognize and respond to physical needs.
Paraphrase responses and check for understanding.

Encouraging the Person to Respond
•
•
•
•
•
•
•
•
•
•
•
•

Use calm, simple, direct instructions/request.
Restate person’s statements. (Disputant: “I can’t sleep,” Officer:
“You’re having difficulty sleeping?”)
Use simple acknowledgements – this encourages further
communications; “uh-huh,” “I see.” Allow sufficient time for response.
Use the term “go on” and “and then…?” As general leads.
Give broad opening such as “you look like you need to talk things over
with someone.” This indicates willingness to listen and relieves
tension.
Seek clarification and problem for specifics. This encourages talking
and provides accurate information. “I’m not sure I understand, could
you explain?”
Use position of authority in a positive manner.
Keep person talking; never reach complete closure.
Stress positives, such as person’s strengths, qualities, and resources.
Avoid expressing approval or disapproval.
Discuss alternatives. This enables the person to consider options.
“When you feel this depressed, what can you think of that might make
you feel better?”
Respect, attentiveness, openness, acceptance and positive attitude
increase effectiveness of communication.

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•

Appeal to emotions rather than intellect if you know the person is under
the influence of drugs. Be quiet after asking a question; listen as
carefully as you question.

Actions to Avoid In All Crisis Encounters
•
•
•
•
•
•
•
•
•

Do not challenge person’s delusions.
Do not allow yourself to be manipulated. Avoid yes or no responses to
personal questions.
Do not falsely threaten arrest.
Do not legalize – this may intensify hostility.
Do not overreact to gang language or to sexual, racial, ethnic insults
aimed at you.
Do not order, command, warn, or threaten – this creates
fear/resistance, invites testing, promotes rebellious behavior.
Do not moralize, preach, or judge – this communicates a message of
self-righteousness.
Do not name-call or ridicule.
Do not negate the seriousness of the crisis – this causes
misunderstanding, evokes hostility, and causes the person to be
embarrassed.

SUICIDAL PEOPLE
•
•
•
•

Most are not acutely psychotic at the time of the attempt.
Most are depressed – the nature of their problem is usually more
understandable, making them easier to communicate with.
Have feelings of hopelessness and helplessness and do not believe
there is any way out of their situation.
There are many different reasons why people commit suicide.

Approaching a Suicidal Person
•
•
•

Remember that a suicidal person may attempt to have others kill him.
“Suicide by Cop,” i.e., provoking an officer to kill a person is not
uncommon.
Remain calm – displays of tension can heighten a critical situation.
Make a plan and follow it – rushing to rescue a person increases risk to
all.

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•
•
•

Be alert – crisis situations are unstable; continuously evaluate the
crisis. Remember that a suicidal person may become homicidal.
If suicidal gestures are not apparent, ask the person about suicidal
intent.
Minimize the presence of people with no need to be at the scene,
including law enforcement personnel; this will reduce embarrassment as well as potential negative stimulation in the environment - for the
suicidal person.

Actions to Avoid in Suicide Situations
•
•
•
•

Do not make sudden moves – use physical tactics as a last resort.
Do not leave the person unattended.
Do not deny the person’s suicidal feelings.
Do not rush/pressure the person to make decisions or to abandon their
suicide plan.

Suicide within Police Lockups
•
•
•
•

The majority of suicides in the correctional system occur in police
lockups.
Fifty percent of local correctional facility suicides occur within the first
24 hours of incarceration.
Be aware of the cluster effect. Suicides often follow other suicides or
attempts, especially if there has been a great deal of publicity.
Manipulation – people sometimes say that an inmate is manipulating
attempting suicide only for attention. Take all suicide attempts
seriously.

Officer Action to Reduce Lockup Suicides
•
•
•
•

Be familiar with minimum standards and regulations for management
of lockup.
Thoroughly search arrestees prior to placement in cell.
Place inmates identified as “high risk” on constant watch and
immediately refer them for mental health services; do not isolate a
suicidal inmate.
Remove all items dangerous to the inmate.

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APPENDIX “D”
MENTAL HYGIENE LAW ARTICLE 9
The table below outlines the Parts of Article 9 that pertain to the removal
of individuals to hospitals for evaluation.
STATUTE

AUTHORIZING PARTY

9.27

Two (2) physicians1
formally request transport;

9.37

• Police may transport
Examining physician
designated by NYC Dept. of
Health & Mental Hygiene
(DOHMH);

MENTAL LLNESS
STANDARD
Has a mental
2
illness

DANGEROUSNESS
STANDARD

HOSPITALIZATION
STANDARD
In need of
involuntary care and
treatment

Has a mental
illness

Which is likely to result
in serious harm3

Immediate inpatient
care and treatment
is appropriate

Appears to be
mentally ill

Is conducting self in a
manner likely to result
in serious harm
Which is likely to result
in serious harm

• Police must transport.
9.41

Any police or peace officer

9.43

• Police may transport
Court;

9.45

9.55

9.57

• Police must transport

DOHMH
Commissioner/Executive
Deputy Commissioner;
• Police must transport
Qualified psychiatrist4 who
is treating or supervising
treatment of person in an
OMH-licensed facility which
has no inpatient unit;
• Police must transport
An emergency room
physician in a hospital with
no psych inpatient capacity;

Has or may have
a mental illness
Qualified reporter
reports a mental
illness

Which is likely to result
in serious harm

Immediate inpatient
care and treatment
is appropriate

Appears to have a
mental illness

Which is likely to result
in serious harm

Immediate inpatient
care and treatment
is appropriate

Appears to have a
mental illness

Which is likely to result
in serious harm

Immediate inpatient
care and treatment
is appropriate

Appears to have a
mental illness

Is conducting self in a
manner which is likely
to result in serious harm

•
9.58

9.60

Police must transport
Qualified mental health
professionals on an
approved Mobile Crisis
Team;

• Police must transport
Examining physician
determines that a patient in
outpatient commitment
(“Kendra’s Law”) has failed
to comply with order;
•

Has a mental
illness

Immediate inpatient
observation, care
and treatment may
be appropriate.

Police must transport

'Defined as a licensed physician in the State of New York.

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2

Defined as "an affliction with a mental disease or mental condition which is
manifested by a disorder or disturbance in behavior, feeling, thinking,
judgment to such an extent that the person afflicted requires care, treatment
and rehabilitation''
3

Defined as: Self--"…a substantial risk of physical harm to the person as
manifested by threats of, or attempts at, suicide or serious bodily harm or
other conduct demonstrating that the person is dangerous'' to self; or
Others--"…a substantial risk of physical harm to other persons as
manifested by homicidal or other violent behavior by which others are placed
in reasonable fear of serious physical harm.''
4

Defined as a licensed physician who is either Board Eligible or Board
Certified by the American Board of Psychiatry and Neurology or Board Eligible
or Board Certified by the American Osteopathic Board of Neurology and
Psychiatry.

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APPENDIX “E”
SOURCES
In addition to NYPD documents, the following materials were consulted during
the writing of this chapter:
Council of State Governments, Criminal Justice/Mental Health
Consensus Project (New York, June 2002).
Finn, Peter, and Monique Sullivan, Police Response to Special
Populations (Washington DC: U.S. Department of Justice, National
Institute of Justice, October 1987).
Fyfe, James J. Policing the Emotionally Disturbed, Journal of the
Academy of Psychiatry and the Law 28:345-7 (2000).
"Training to Reduce Police-Citizen Violence," pp. 165-179 in
William H. Geller and Hans Toch, eds., Police Violence (Yale
University Press, 1996).
Fyfe, James J., Jack R. Greene, William F. Walsh, O.W. Wilson,
and Roy C. McLaren, Police Administration, fifth edition (New
York:McGraw-Hill,1997).
International Association of Chiefs of Police, Suicide Intervention,
Training Key # 273 (1979).
International Association of Chiefs of Police, Abnormal Behavior,
Training Key # 274 (1979).
International Association of Chiefs of Police, Detention of the
Mentally Disturbed, Training Key # 327 (1982).
John Jay College of Criminal Justice, Office of Special Programs,
Managing Situations Involving Mentally Disturbed Persons: A
Training Manual for a Basic, Seven Hour Course for Police Officers
(New York: John Jay College, 1987).
John Jay College of Criminal Justice, Office of Special Programs,
Managing Situations Involving Mentally Disturbed Persons: A

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POLICE STUDENT’S GUIDE
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Training Manual for a Five Day Course for NYPD Emergency
Service Police Officers (New York: John Jay College, 1987).
Murphy, Gerard R., Special Care: Improving the Police Response
to the Mentally Disabled (Washington DC: Police Executive
Research Forum, 1986).
National Mental Health Association, Aiding People in Conflict: A
Manual for Law Enforcement, seventh edition (Alexandria VA,
1988).
New South Wales (Australia) Law Reform Commission, Discussion
Paper 29: People with an Intellectual Disability and the Criminal
Justice System: Policing Issues (Sydney, September 1993).
Police Executive Research Forum, The Police Response to People
with Mental Illnesses, Trainers’ Guide and Model Policy, Modules
V and VI (Washington DC: Police Executive Research Forum,
1997).
Temple University Criminal Justice Training Programs, Deputy
Sheriffs’ Continuing Education Program, Responding to Emotionally
Disturbed Persons: Instructor Guide and Student Workbook
(Philadelphia, August 2000).
Zuchel v. City and County of Denver 997 F.2d 730 (10th Cir. 1993).

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Policing The Emotionally Disturbed
APPENDIX “F”
ACKNOWLEDGMENTS
In March 2003, James J. Fyfe, the N.Y.P.D. Deputy Commissioner of Training,
invited more than 40 members of the NYPD and the mental health and legal
communities to a symposium on Policing the Emotionally Disturbed. Those who
participated were provided with the NYPD’s training materials related to
emotionally disturbed persons, and were asked to provide input into this
curriculum. Insofar as possible, we have attempted to incorporate their insights
into this chapter. We are extremely grateful for their participation. in the
symposium, especially to those (indicated with an asterisk) who subsequently
provided us with written comments and suggestions:
Craig Acorn, Esq.*
Staff Attorney
Mental Health Project
Urban Justice Center

Gail Donoghue, Esq.

Captain Gail Assante
Executive Officer, 9th Precinct
NYPD

Spencer Eth, MD*
Medical Director
St. Vincent’s Hospital

Ray Brescia, Esq,*
Project Director
Community Development Project
Urban Justice Center

Detective Anthony Favara
Emergency Service Unit
NYPD

Detective John Busching
Emergency Service Unit
NYPD

Lieutenant Jack Cambria
Commanding Officer
Hostage Negotiation Unit
NYPD
James Curran, MSW*
Dean of Special Programs
John Jay College of Criminal Justice

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Special Assistant
NYC Law Department
Office of the Corporation Counsel

John Feinblatt, Esq.
NYC Criminal Justice Coordinator
Charlotte Fischman, Esq.*
Kramer, Levin, Naftalis & Frankel, LLP
Richard Friedman, MD
Associate Professor of Clinical Psychiatry
Weill College
Cornell University
Michael Gagliardi
Assistant Commissioner
Security
NYC Department of Homeless Services

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Patricia L. Gatling, Esq.
Commissioner, NYC Commission on
Human Rights
Fred A. Levine, Esq.
Fountain House
William Goodman, Esq.
Legal Director
Center for Constitutional Rights
Stephen Hammerman, Esq
Deputy Commissioner, Legal Matters
NYPD
Mary Haviland, Esq.
Co-Director, Family Violence Project
Center for Urban Justice
Fred Levine, Esq.*
Director
Fountain House
Robert Louden, Ph.D.
Director, Criminal Justice Center
John Jay College of Criminal Justice
Hunter McQuisition, MD*
Chief Medical Officer
NYC Department of Health and
Mental Hygiene
Richard P. Miraglia, CSW*
Director, Bureau of Forensic Services
New York State Office of Mental Health

Pamela Morschauser
Local Forensic Coordinator
NYS Office of Mental Health
Lieutenant John Murphy
Emergency Service Unit
NYPD
Raymond Pitt, PhD
Professor Emeritus
John Jay College of Criminal Justice
Deputy Inspector Lisa Prati*
Patrol Service Bureau
NYPD
Melissa Reuland
Senior Research Associate
Police Executive Research Forum
Josh Rubin
Special Assistant to the Executive Deputy
Commissioner
NYC Department of Mental Health and
Hygiene
Inspector Kathy Ryan
Patrol Borough Manhattan South
NYPD
Captain Gabrielle Sbano
Executive Officer, 6th Precinct
NYPD

Jonathan Moore, Esq.
Moore & Goodman, LLP

Lloyd Sederer, MD
Executive Deputy Commissioner
NYC Department of Health and
Mental Hygiene

Isaac Monserrate
Assistant Commissioner
NYC Department of Health and
Mental Hygiene

Michael D. Thompson
Director, Criminal Justice Programs
Council of State Governments

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Policing The Emotionally Disturbed
MANDATORY PATROL GUIDE READING
The following are Patrol Guide procedures that must be added to this chapter –
Policing the Emotionally Disturbed. These procedures must be read in
conjunction with this chapter. Questions for the 2nd Trimester Exam may come from
these procedures:
•
•
•
•
•

PG 208 – 06
PG 210 – 04
PG 216 – 05
PG 216 – 06
PG 216 – 07

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Arrest-Security Measures
Prisoners Requiring Medical/ Psychiatric Treatment
Mentally Ill Or Emotionally Disturbed Persons
Mental Heath Removal Orders
Firearm Safety Stations At Psychiatric Wards And
Admitting Areas

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Policing The Emotionally Disturbed

HOMEWORK
1) Define “Emotionally Disturbed Person”
2) List and explain the criteria used to identify abnormal behavior.
3) Explain the proper procedure for taking an E.D.P. into custody.
4) Explain the procedure for guarding E.D.P.s at the hospital.
5) Briefly explain the Mental Hygiene Law

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POLICE STUDENT’S GUIDE
Introduction to the Penal Law
WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT THE PENAL LAW?
The Penal Law provides police officers with detailed definitions of conduct
comprising criminal offenses in New York State (NYS). The NYS Penal Law defines the
acts (what is legally prohibited) and omissions (failure to do what is legally required)
that are defined as offenses in New York, and in conjunction with the Criminal
Procedure Law (“C.P.L.”), forms the legal basis for identifying, investigating, and
prosecuting those charged with committing an offense.
The Penal Law is a constantly evolving body of law that reflects society’s
acceptance or condemnation of certain behavior. It originated in 1881 and was
substantially revised in l967. In recent years, new offenses have been added in the
areas of stalking, computer-assisted money laundering, theft of computer software,
identity theft and terrorism offenses.

FOUR PARTS OF THE PENAL LAW
The NYS Penal Law is divided into four parts:
•

Part One

General Provisions

Sections 1.00 – 40.15

•

Part Two

Sentences

Sections 55.00 – 85.15

•

Part Three

Specific Offenses

Sections 100.00 – 275.45

•

Part Four

Administrative Provisions Sections 400.00 – 500.10

PART ONE: GENERAL PROVISIONS
Title A of General Provisions describes the General Purposes of the Penal Law.
They are as follows:
1.

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To forbid conduct that causes or threatens to cause harm to
individuals or public interests. The phrase “public interests” means the
general good order and peace of the community. A riot that results in
substantial destruction of property is an example of an illegal activity that
damages the interests and good order of the community, as are many
Quality of Life offenses. These, generally defined, are offenses that may
not harm particular individuals as a robbery or larceny would, but that
diminish neighborhoods and make them less desirable places to live,
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Introduction to the Penal Law
work, play, and raise children. Loud and unruly street crowds,
streetwalking prostitutes, drug dealers, and aggressive panhandlers all are
quality of life violators.
2.

To provide notice. In the simplest terms, the Penal Law provides notice
by telling people what constitutes criminal conduct and what punishment
will be imposed if found guilty.

3.

To define crimes and accompanying mental states. The Penal Law
defines the elements of each offense and the mens rea, or the state of
mind, required to complete each offense.

4.

To distinguish among serious and minor offenses and prescribe the
penalties for them. Society treats conduct differently depending on the
harm caused. Thus, the Penal Law distinguishes between such minor
infractions as Disorderly Conduct, a violation punishable by a fine or 15
days in jail, and Murder 1st degree, punishable by the death penalty.

5.

To allow appropriate public response to offenses. Examples include
victim impact statements, revised penalties, and intermittent sentencing,
depending on severity of the offense and whether or not the perpetrator
shows remorse.

6.

To prevent and deter offenses by sentencing, rehabilitating, and,
when necessary, confining offenders. This involves philosophies of
corrections, which examine the dynamics of detention, rehabilitation and
retribution.

Definitions (Article 10.00)
Part I also includes important definitions (Article10.00) that are used throughout
the Penal Law. These constitute legally specific terms whose definition may be different
from how you and other members of the public understand them. As you study and
work with the law, you will begin to incorporate these terms into your working
vocabulary; they include the following:
•

Offense – any conduct punishable by imprisonment or fine in New York State

•

Traffic Infraction – conduct defined in the New York State Vehicle and Traffic
Law

•

Violation – an offense other than a traffic infraction punishable by no more than
15 days imprisonment in a city or county jail

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Introduction to the Penal Law

•

Misdemeanor – an offense other than a traffic infraction punishable by more
than 15 days but no more than a year imprisonment (365 days) in a city or county
jail

•

Felony – an offense punishable by more than a year imprisonment (366 days) in
a state prison

•

Crime – a misdemeanor or felony

•

Person – a human being, but may also be a business, an association, a
partnership, or a government or part of government. Generally speaking, a
person is an entity that can be hurt by criminal behavior.

•

Physical Injury – impairment of physical condition or substantial pain

•

Serious Physical Injury – a physical injury that causes death, or creates a
substantial risk of death, or serious, long-term disfigurement, or the loss or
impairment of health or any bodily organ

•

Deadly Weapon – an item designed specifically to cause death or serious
physical injury. This class of devices includes any loaded weapon, readily
capable of firing a shot that can produce death or other serious physical injury, or
a:
o
o
o
o
o
o
o
o

•

Switchblade knife;
Gravity knife;
Pilum ballistic knife;
Metal knuckle knife;
Dagger;
Billy;
Blackjack; or,
Metal Knuckles.

Dangerous Instrument – includes any instrument, article, or substance, which,
under the circumstances in which it is used or attempted, or threatened to be
used is capable of causing death, serious injury, or serious impairment. This
category differs from deadly weapons in that it includes items that have legitimate
uses – kitchen knives, vehicles, screwdrivers, ice picks, hammers, axes, baseball
bats – but that, the circumstances, are used to hurt or kill people. A simple way to
distinguish between deadly weapons and dangerous instruments is to point out
that most of us own and regularly use things that can be used as dangerous

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instruments; but only criminals own the switchblades, metal knuckles, etc., that
are classified as deadly weapons.
Principles of Criminal Liability
Title B of the Penal Law is comprised of Articles 15 and 20. These Articles
concern physical and mental conditions that must exist for a person to be held criminally
liable for his or her conduct. Among other things, this title defines culpable mental
states like intentionally, knowingly, recklessly, and criminal negligence. It also
states the principle that ignorance of the law is no excuse for wrongful behavior.
Defenses and Affirmative Defenses
Articles 25-40 define the defenses that may be used in court; these include
justification, infancy, mental disease or defect, entrapment, duress and
renunciation. A defense is any evidence offered by the accused to defeat a criminal
charge. The defenses of mental disease or defect, entrapment and duress are known
as affirmative defenses and must be proven by the defendant by a preponderance of
the evidence in order to gain an acquittal. Other defenses must be disproved by the
prosecution beyond a reasonable doubt in order to reject the defense and proceed with
the trial.
Beyond a Reasonable Doubt is the level of proof required to convict someone
of a crime. This does not mean beyond all doubt. Instead, it means that after comparing
and contemplating all the evidence, the jurors are convinced to a “moral certainty” that
the accused did the crime of which he or she is accused.
A Preponderance of the Evidence is the level of proof required to prevail in
most civil cases. Additionally, defendants in criminal cases are required to prove
affirmative defenses by a preponderance of the evidence. In criminal cases,
preponderance constitutes enough evidence to persuade the judge or jury that the facts
are in favor of the defendant. In simple terms, a preponderance of the evidence means
a mere “tipping of the scales,” and that the defendant’s case has a little more weight
than the prosecutor’s.
Infancy (P.L. Article 30): The defense of infancy generally means that children
under 16 cannot be convicted of crimes. Instead, they are taken to Family Court where
proceedings are conducted to determine if they are juvenile delinquents. The chart
below illustrates how age and infancy affect criminal liability. Briefly, it shows that
children under seven years old cannot be charged either criminally or in juvenile
delinquency proceedings. However, once they turn seven years old, children may be
charged as juvenile delinquents when they commit most acts which, if committed by
adults, would be crimes. Juveniles, age 13, 14 and 15, who commit certain serious
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Introduction to the Penal Law
felonies, are classified as juvenile offenders (P.L. article 10, sub. 18). Once they
reach their 16th birthday they are considered adults in the eyes of the criminal justice
system. Offenses and terms relating to juveniles will be discussed in greater detail in a
forthcoming chapter.
AGE:

COMMITS:

CHARGED WITH:

A CHILD LESS THAN
7 YEARS OLD

A CRIME
(A MISDEMEANOR
OR A FELONY)

NO CHARGE:
LACKS CRIMINAL
RESPONSIBILITY

A CHILD 7 YEARS OLD
TO 15 YEARS OLD

MOST CRIMES

JUVENILE
DELINQUENCY

A PERSON 16 YEARS
OLD OR OLDER

ANY CRIME

THE ACTUAL OFFENSE
(i.e., ASSAULT 2ND
DEGREE)

Justification (P.L. Article 35). The defense of Justification excuses the use of
force in some limited situations (e.g., police officers overcoming resistance in the course
of making arrests, citizens defending themselves from unlawful attack, etc.). You will
learn about Justification in greater detail in a later section.
Entrapment (P.L. 40.05) is an affirmative defense in which defendants argue
that they were wrongly persuaded to commit their crimes by other people, usually
law enforcement officers. If such a defendant can convince the judge or jury that he
would never have committed the crime had the police not planted the idea in his mind,
he will be found not guilty of the charges against him. This is not as easy as it might
sound. Entrapment requires a defendant to show that the police planted the idea of
committing a crime in his mind rather than simply offered the opportunity to engage in
illegal activity.
This defense will only be successful to defendants who can prove that they
engaged in criminal conduct only after being actively induced, encouraged, or seduced
by a public servant, or someone acting in cooperation with a public servant, who was
seeking to obtain evidence for criminal prosecution (See Legal Division Bulletin Vol. 3,
No. 1). Assume, for example, that an undercover police officer acting as a decoy is
attempting to apprehend a pickpocket who had committed numerous crimes in the
vicinity. He places five $20 bills in his shirt pocket and pretends to fall asleep. Within
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five minutes, a man approaches the officer, grabs the money from his pocket, and runs
away. The suspect is caught and charged with Grand Larceny and Criminal Possession
of Stolen Property. In this case, the defense of entrapment would not be applicable
because the officer merely afforded the defendant an opportunity to commit the crime.
Mental Disease/Defect (P.L. 40.15). Every person is presumed by law to be
sane and therefore, liable for voluntary acts. A person who is insane, however, is not
responsible for his or her acts. Insanity is therefore a defense to any criminal charge.
According to the New York Rule, a person is not criminally responsible for conduct if, as
a result of mental disease or defect, he or she lacks the capacity to know or
appreciate the nature and consequence of his or her conduct, or that such conduct
is against the law. Lack of criminal responsibility by reason of insanity is an affirmative
defense that is difficult for defendants to prove. As with any affirmative defense, it is not
up to you, as a police officer, to determine whether a person who has committed a
crime suffers from a mental disease or defect. For this reason, you will take appropriate
police action when responding to calls involving persons whom you think suffer from a
mental disease or defect and leave any determination of this issue to the assistant
district attorney or the courts.
Statute of Limitations (Criminal Procedure Law 30.10). The statute of
limitations is part of the Criminal Procedure Law rather than the Penal Law. However,
we have included it here because it can be used as a defense in court. A statute of
limitations is the government surrendering its right to prosecute an offender after a
specified period of time; time limits vary according to the severity of the conduct. The
old English common law principle was that a person could be prosecuted for a crime no
matter how many months or years had passed since the crime was committed. This is
no longer the case and statutes of limitations are in effect in New York, which limit the
time within which criminal prosecution may begin. The provisions pertaining to the
statutes of limitations are made applicable to all offenses other than class “A” felonies,
and vary with the seriousness of the offense:
•

Class A Felonies: prosecutions for Class “A” Felonies (e.g., Murder 1st
Degree, Kidnapping 1st Degree, Arson 1st Degree, major drug offenses) may
be commenced at any time after the offense, without limit.

•

Other Felonies: a prosecution for all felonies other than Class “A” must be
commenced within five (5) years after the commission of the crime.

•

Misdemeanors: prosecutions for misdemeanors must be commenced
within two (2) years after the commission of the crime.

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•

Petty Offenses: prosecutions for petty offenses (e.g., Disorderly Conduct)
must be commenced within one (1) year after the commission of the petty
offense.

These time limitations may be extended under circumstances involving offenses
relating to misconduct in public office (e.g., police officers). Generally, a statute of
limitations begins to run from the time of the commission of the crime, or when the crime
is complete, not from the date the crime is discovered. In continuing offenses – those
like conspiracy or non-support, that are ongoing over a period of time – the statute
generally begins to run from the occurrence of the most recent overt act.
There are certain circumstances that may “toll,” or stop the clock on, the statute
of limitations. For example, if an offender conceals himself so that he cannot be
prosecuted, the statute of limitations does not apply during the period of concealment.
Another condition that may suspend the statute is the defendant's absence if, for
example, the defendant jumps bail and hides in another state or a foreign country.
Once an accusatory instrument is filed in court against a defendant, the statute of
limitations ceases and the Criminal Procedure Law provisions relating to speedy trials
begins. If the prosecution relies upon an exception to suspend the statute of limitations,
they bear the burden of proof to show its application in the particular case.
Police officers must keep in mind that, as with other defenses, the defendant
must raise the statute of limitations defense. If an officer has doubt as to whether an
arrest should be effected because of some issue related to the statute of limitations (or
for any other reason) he or she should confer with a supervisor to determine if a
consultation with the Legal Bureau or District Attorney's Office is appropriate.

PART TWO: SENTENCES
Part Two of the Penal Law addresses six subjects:
•
•
•
•
•
•

Classification and Designation of Offenses
Authorized Dispositions of Offenders
Sentences of Probation, Conditional Discharge and Unconditional
Discharge
Sentences of Imprisonment
Fines
Sentences of Intermittent Imprisonment

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Introduction to the Penal Law
The most significant of these topics for you is the first one: Classification and
Designation of Offenses (Article 55), which defines and clarifies the terms felony,
misdemeanor, and other offense categories. The other articles are of primary concern
to court and correctional personnel.

PART THREE: SPECIFIC OFFENSES
This is the portion of the Penal Law that defines specific New York State statutes
such as Burglary, Arson, Robbery, and Assault. This portion of the Penal Law is of
great importance to you, and you will find yourself consulting it regularly in order to
determine the specific charges that apply to people you have arrested. Keep in mind
that arrest situations frequently involve the commission of more than one offense.
The exercise below should be accomplished with reference to your copy of the
Penal Law. Doing this exercise will help you understand and learn how to apply Part
Three of the Penal Law.
You have arrested Charley for intentionally punching Frank
in the face, causing substantial pain and a bloody nose. As
the definitions above suggest, this is a “physical injury.” It
hurts and bleeds, but is not likely to cause the long-term
problems that might make it a “serious physical injury.”
While preparing the appropriate arrest forms at the station
house, you need to determine the specific offense to lodge
against Charley. Refer to the Index in the back of the Penal
Law to look up the applicable category (in this case
“Assault”).
The Index shows that Assault is defined in Section 120.00.
Proceed to this Section, and look for the specific variety of
Assault that best describes the above offense.
You will find that Assault, 3rd degree (subdivision 1) best
describes the offense. It states that: “A person is guilty of
Assault in the third degree when: With intent to cause
physical injury to another person, he causes such injury to
such person or a third person.”
As you can see in the bold print at the bottom of the offense,
Assault in the third degree is a class “A” misdemeanor.

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Introduction to the Penal Law
PART FOUR: ADMINISTRATIVE PROVISIONS
Part Four of the Penal Law covers laws relating to peddlers, firearms, fireworks,
pornography equipment, and vehicles used in the transportation of gambling records. It
also contains procedures regarding licensing, seizure, and forfeiture, and disposal of
property.

LEGAL CONCEPTS IN THE PENAL LAW
In addition to its specific provisions, the Penal Law includes some fundamental
legal concepts and principles. To function effectively, you must become familiar with
them.
•

Elements of an Offense. As mentioned above, an offense is defined as conduct
that is unlawful, and may range from illegal parking to murder. Behavior
constituting an offense can be defined in a state statute, a local law, or an
administrative rule or regulation. Generally, an offense involves either all or some
of the following factors:
1.

A written law defining the offense; for example: The New York State
Penal Law or the New York State Vehicle and Traffic Law.

2.

An act constituting the external physical part of a crime consisting of the
offender's act.

3.

A mental element, which is the offender's state of mind toward the act.

4.

A result is the injury or the potential for injury produced by an act.

5.

A causal relationship between the unlawful act, the result of the act, and
its underlying mental element. The conduct must be connected with the
harm either wholly or in part.

The legal term for elements 2-4 of the above is known as Corpus Delecti.
Contrary to what you may have seen in some movies, this term does not describe the
body of a murder victim: instead, it means the body, or elements, of the crime. Except
in cases involving strict liability, corpus delecti refers to the factors that must generally
be shown in order to prove that an offense has actually occurred. In order to obtain a
conviction, the prosecutor must show that a defendant did something to violate a law
(an act); that the defendant did it negligently, recklessly, knowingly, or intentionally (a
mental element); and that the defendant’s act produced a particular outcome (a result).

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To clarify the meaning of the elements of offenses described above, the Penal
Law contains the following definitions.
•

An act is defined in Section 15.00, subd. 1, as a bodily movement.

•

A voluntary act is a bodily movement performed consciously as a result of
effort or determination, and includes the possession of property if the actor
was aware of his physical possession or control thereof for a sufficient period
to have been able to terminate it (Section 15.00, subd. 2).

•

An omission is a failure to perform an act that is required by law (Section
15.00, subd. 3). A duty imposed by law means a duty imposed by a statute.
For a violation of the Penal Law to exist, the requirement must be stated in
the Penal Law. Other crimes (like the federal offense of failing to file a tax
return) involve omissions of responsibilities found in those laws.

•

Conduct is an act or omission and its accompanying mental state; such as
intentionally stealing someone's property (see Section 15.00, subd. 4).

•

To act means either to perform an act or fail to perform an act. (Section
15.00, subd. 5).

•

Culpable mental state, also known as Mens Rea, may include one of the
four conditions defined in the Penal Law. These include acting intentionally,
knowingly, recklessly, or with criminal negligence. (Section 15.00, subd. 6).

The Four Culpable Mental States
1.

Intentional: A person acts intentionally when his conscious objective is
to cause a result or to engage in conduct defined in the Penal Law
(Section 15.05, subd. 1).
EXAMPLE: Jack is angry with Mary, and wants to kill
her. He sees her on the street, runs her down with
his car, and then backs over her to make sure that
she is dead.

2.

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Knowingly: A person acts knowingly with respect to conduct when he is
aware that his conduct is of such nature or that such circumstance
exists (Section 15.05, subd. 2).

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EXAMPLE: Pete enters onto property that is clearly
marked with “No Trespassing” signs. He is aware that
he is entering the property without permission or
authority. He is knowingly entering unlawfully and may
be charged with Trespass.
3.

Reckless: A person acts recklessly when he is aware of and
consciously disregards a substantial and unjustifiable risk that a
particular result will occur or that some particular circumstances exist.
The risk must be of a type that any reasonable person would recognize in
the same situation. Further, a person acts recklessly if his acts create
such a risk, but he does not recognize it because he is voluntarily
intoxicated (Section15.05, subd. 3).
EXAMPLE 1: Disregarding signs that indicate a
speed limit of 20 M.P.H., Mark drives his car at 60
M.P.H. through a school zone.
EXAMPLE 2: Chris is driving, intoxicated, on
the shoulder of the road in 4 inches of snow.
He loses control of his car, runs Mary over, and
kills her while she is standing at the side of the
road.
The State is required to establish that, in addition to violating the driving
while intoxicated statute, the defendant was speeding, disobeyed a traffic
signal, or committed some other Vehicle Traffic Law violation, or that
intoxication caused the defendant to strike the victim with his vehicle.

4.

Criminal Negligence: A person acts with criminal negligence when he
fails to perceive a substantial and unjustifiable risk that a particular
result will occur or that some particular circumstances exist. The risk must
be of a type that the failure to perceive it constitutes a gross deviation from
the standard of care that a reasonable person would observe in the same
situation. Thus, a defendant acts criminally negligent if he or she takes a
substantial, unjustified, foreseeable risk without recognizing how
dangerous it is. (Section 15.05, subd. 4).
EXAMPLE 1: Taking children fishing on a canoe with
no life preservers and the canoe tips over.

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EXAMPLE 2: Leaving a refrigerator out on the
sidewalk for sanitation without removing the door.
Negligence is not the same as recklessness. Negligence is failing to
recognize a risk that should be apparent to any reasonable person: it is
failing to pay proper attention. Recklessness occurs when an individual
recognizes the risk in his actions, but does it anyway.
Motive and Intent
To do their jobs effectively, police officers do not need to know the offender’s
motive, but they must know and be able to articulate the probable cause that has led
them to make arrests. Nevertheless motive and intent are important legal concepts that
you are sure to hear in the course of testifying in court. Motive is the desire that
prompts a person to do a criminal act. Intent is a person’s determination or purpose to
do a particular criminal act. Motive is the reason a person wishes to do an act;
intent is the determination to do it. The motive may be a desire to injure or to benefit.
A person may shoot another out of hatred, revenge, jealousy or greed.
Ordinarily, motive is not a necessary element of a crime, but intent is. A good or
honorable motive does not mean that an act is not a crime – killing a loved one in
response to his or her pleading to be put out of his or her misery, for example.
Conversely, a bad motive will not make an act a crime unless it involves the elements
described above. Furthermore, defendants are not acquitted simply because their
motive for committing a crime cannot be discovered. Where the commission of a crime
accompanied by the necessary culpable mental state is clearly proved, all the
requirements of guilt have been established. The reason (motive) why defendants
commit the crime, however, still serves as an important tool for prosecution because it
helps jurors to understand why particular crimes have occurred.
Strict Liability
There is a general requirement that the prosecutor must prove that an offender
had a guilty mind: that he acted within one of the four mental states above. However,
the guilty mind is not a necessary element for proving those crimes that are called
strict liability crimes. Strict liability statutes exist in the regulatory area of public health,
safety and welfare that forbid certain acts and omissions without regard to the
defendant’s state of mind. It does not matter what you were thinking when you ran a
red light, for example: it matters only that you ran the light (or exceeded the speed limit,
or operated a dirty and unhealthy restaurant, etc.).

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In this area of criminal law, the mere commission or omission of an act that
is required by the statute is all that is necessary to complete the offense. The
question of whether the defendant intended to commit a breach of the law or was
conscious of his or her wrongdoing is not important to the question of guilt. Under such
statutes, defendants have been held liable for their conduct in such cases as parking
overtime in a restricted zone even though the person was attempting to get change for a
meter.
An offense under P.L. 265.25 (Certain Wounds to be Reported - failure by a
physician who is treating a bullet wound to report the wound to police) requires no
specific intent or culpable mental state and is a crime of strict liability. It does not matter
whether the physician intentionally failed to report or merely omitted to report, so long
as they could have reported. (This is an example of an omission, i.e., failure to perform
an act that one is physically capable of performing.)
The logic for making such acts violations of law is that it is in the best interest of
society to place the burden upon people in unique social positions, such as police or
doctors, to report possible criminal acts. In the case of strict liability offenses such as
traffic violations, we do not care why a person ran a red light. We only care that he or
she did it.
Age of a Child Victim
In instances in which the age of the child is an element of the offense, it is not
a defense that the defendant did not know the child’s age to be the same as or
greater than the age specified in the Penal statute; unless the Penal statute expressly
provides that it is a defense. For example, one cannot have sex with an underage child,
for example, and then argue that the child looked like an adult, or said that he or she
was older than she actually was.
Intoxication
Intoxication is not a defense to a criminal charge (Section 15.25). However,
defendants are allowed, in the prosecution of an offense, to offer evidence of their
intoxication whenever it is relevant to negate the mental state or other elements of the
crime charged. In other words, a defendant who has killed someone cannot argue that
he or she is innocent of any crime because he or she was so drunk that she did not
realize what she was doing at the time. But he or she can argue that he or she should
not be found guilty of intentional murder because, at the time of the killing, he or she
was too drunk to be capable of forming any intent.

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Criminal Liability for the Conduct of Another (Accessorial Conduct)
Accessorial Conduct occurs when a person, acting with the mental culpability
required for commission of an offense, asks, directs, urges, or intentionally aids
another person to engage in an offense (Section 20.00). Accessorial conduct might
occur, for example, when a person convinces somebody else to murder one of his or
her enemies, as in a “contract killing.” Other examples include an individual who merely
drives the getaway car after other individuals steal money from a bank, or a cashier in a
store who removes sensors from several items of clothing to facilitate another in
stealing the clothes. Accessorial conduct is not a specific offense; rather it is a legal
principle.
In prosecutions for such accessorial conduct, it is no defense that the person
who actually did the act is not guilty of a crime because he or she lacked criminal
responsibility by reasons of age or insanity; or did not know that the act was criminal; or
for any other reason. Dad cannot talk ten-year-old “Junior” into shooting and killing
mom, for example, and then argue that he is guilty of no crime because “Junior” has the
defense of infancy. If dad had persuaded his 20-year-old daughter to kill mom, and she
was acquitted (because a jury believed that she acted only under great duress), he
would also be out of luck. It is no defense for a person accused of accessorial conduct
that the person who actually did the deed was found not guilty of a crime.
It is also no defense that the person who was convinced to actually do the act
belonged to a class of people who could not be convicted of criminal conduct for it.
Bribe Receiving, for example, is an offense for which only public officials may be
convicted. Any public official who asks a friend to pick up his or her bribes for him
would have no defense in a prosecution merely because the friend was not also a public
official.
Anticipatory Offenses
The New York State Penal Law defines a special class of offenses known as
Anticipatory Offenses, which are different from other offenses stated in the Penal Law.
The anticipatory offenses of Criminal Solicitation (P.L. Article 100), Conspiracy (P.L.
Article 105), Attempt (P.L. Article 110), and Criminal Facilitation (P.L. Article 115)
are offenses committed in connection with the furtherance of another crime.
Usually, the more serious the crime involved, the more serious the anticipatory offense
will be. Substantial evidence is necessary to prove these charges and the patrol officer
must conduct a thorough investigation. You are more likely to encounter situations
involving an Attempt to commit a crime, than Criminal Solicitation, Conspiracy, or
Criminal Facilitation; therefore, the following paragraphs will be limited to a discussion of
NYS Penal Law Article 110 (Attempt).

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Attempt
Section 110.00 of the Penal Law states that one is guilty of an attempt to commit
a crime when, "with intent to commit a crime, he engages in conduct which tends to
effect the commission of such crime." Case law has further defined this to mean that
the act constitutes an attempt that comes very close to the completion of the offense.
“The act need not be the final one towards the
completion of the offense (citation omitted), but it must
carry the project forward within dangerous proximity to
the criminal end to be attained.” People v. Bracey, 392
N.Y.S. 2d 412
This means that the perpetrators of a crime must come very close to completing
the crime before they can be charged with the attempt. For example, if a person
intends to murder another person, merely planning the crime in his apartment is not
close enough to charge him with the attempt. There must be some overt act. On the
other hand, if the perpetrator is standing behind the intended victim and drawing his
gun, this would be "dangerously near," and so an attempt could be charged.
There can be no conviction for an attempt of an offense less than a
misdemeanor. One cannot attempt to commit Disorderly Conduct, for example: one is
either disorderly or one is not. To have the necessary mental state to attempt to commit
a crime, a person must intend to commit the crime. A person cannot attempt to be
reckless or criminally negligent: How would it be possible to attempt to ignore, or fail to
recognize a danger? Further, an attempt has no degrees. The punishment provided for
an attempt to commit a crime varies with the seriousness of the crime attempted
(Section 110.05).
A conviction for attempt reduces the classification of crime by one Class. Assault
1 Degree, for example, is a Class “C” felony. If someone attempted, but failed to
commit this crime (e.g., by swinging a baseball bat at a person, but missing), the proper
classification for his or her offense is Attempted Assault in the 1st Degree, a Class “D”
felony, an offense one grade less than the charge that would have resulted from a
successful assault. This is an important difference because the length of authorized
sentences for Class “D” felonies is shorter than the sentences for Class “C” felonies
(See P.L. 70.00). This system of downgrading does not apply to certain class “A-I” or to
any class “A-II” felonies.
st

Penal Law Section 110.10 provides that a person may be convicted of the
attempted commission of a crime even if it later turns out that the circumstances were
not as he or she perceived at the time, or if it was factually impossible to commit the
crime. Suppose, for example, an individual fired shots into a person in bed, intending to
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kill that person. If, at the autopsy, it is found that the person was not actually sleeping,
but had already died before the shots were fired, the crime involved would be attempted
murder. The offender tried to commit the murder, but, because of circumstances beyond
the offender’s knowledge and control, the act was impossible.
You should also be aware that attempts are actually included in the definitions of
some offenses, so that there is no reduced punishment for trying unsuccessfully to
complete these offenses. These include Menacing, Bribery, and Theft of Services.
Menacing, basically, involves an attempt to frighten someone by threatening him or her.
Anyone who tries to do this, but does not succeed in frightening the individual is still
guilty of Menacing. Bribery involves soliciting or accepting or agreeing to accept
money or some other benefit in exchange for abusing one’s authority as a public
servant. A corrupt officer who agreed to take a bribe from someone he believed to be a
criminal would be guilty of Bribery even if it turned out that the criminal was an
undercover officer from the Internal Affairs Bureau rather than somebody who actually
intended to pay off the dirty officer.
When preparing Department forms, you must remember that an attempt to
commit a crime is identified by the number "110" to indicate that Penal Law section 110
is a component of the charge. This number is placed in front of the numerical
designation for the crime attempted. For example: "110/125.25" would be Attempted
Murder 2nd Degree.

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Crimes Against Persons

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW THE MATERIAL IN THIS CHAPTER?
There is no greater fear than the threat against a person’s or loved one’s
physical well being. As police officers, we are the guardians of personal safety.
To properly enforce crimes committed against persons we must understand the
laws related to these acts. This chapter will discuss all aspects of crimes against
persons, from the minor offense of harassment to the most serious crime of
Murder. We will also outline specifically sensitive crimes, such as sexual offenses
and Kidnapping.

HARASSMENT
The right of free speech is not absolute. If the language or accompanying
conduct threatens to harass, annoy, or alarm another person, these words and
actions may constitute the crime of Harassment. This section will detail the
necessary elements of Harassment and make the distinction between the felony,
misdemeanor and violation.
Harassment 2nd Degree – Violation (P.L. 240.26)
A person has committed Harassment when, with intent to harass, annoy or
alarm another person by:
Physical Contact (sub. 1): He or she strikes, shoves, kicks or otherwise
subjects any person to physical contact, or attempts or threatens to do the same.
Example: Mr. Brown does not want a group of boys playing in front
of his house. He approaches them and intending to alarm them,
pushes one of the boys as he tells them to move away from his
house. Mr. Brown could be properly charged with Harassment. If a
physical injury resulted, then Mr. Brown would have been charged
with Assault.
Annoying by Following (sub. 2): He or she follows a person in or about a
public place.
Example: Jane, who has an argument with Mary, follows her into a
department store and continues to follow her throughout the store.
Jane annoys Mary by her action. Jane has committed an act of
Harassment because she intended to annoy Mary and did so by
following her in and about a public place.

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Annoying Conduct Generally (sub. 3): He or she engages in a course of
conduct or repeatedly commits acts which alarm or seriously annoy other
persons and which serve no legitimate purpose.
Example: John passes by a certain house every night and rattles
the garbage cans in front of the house to the annoyance of the
people who reside therein. He does this because he dislikes the
residents. John has committed the violation of Harassment
because he intentionally followed a course of conduct which
seriously annoyed a person and which served no legitimate
purpose. This particular subdivision is known as a "catch-all" since
it applies to any conduct not specifically covered in the other
subdivisions.
Note: Regarding Subdivisions (2) and (3) Only: These
provisions do not apply to conduct which constitutes picketing or
other labor-related activity governed by federal labor statutes.
Verbal Harassment of a Police Officer
As a police officer you may become the subject of conduct that amounts to
the violation of Harassment. If you are pushed, shoved, kicked or otherwise
subjected to physical contact by a person who intends to annoy, alarm or harass
you, he should be arrested. However, if the conduct of this person is simply
verbal abuse directed toward you as a police officer, no arrest may be made.
Verbal comments and insults are considered free speech. Unless these
comments constitute a physical threat, they are protected by the first
amendment to the U.S. Constitution. Conduct by onlookers in the vicinity of a
stop or an arrest (verbal comments, taking names and notes, taking photographs
or videotaping) does not constitute Harassment. In other words, you are
expected to be professional in handling street problems. This higher sensitivity
level applies to verbal harassment only. If the perpetrator harasses the officer by
repeatedly following or by physical contact then they would immediately be
arrested.
Harassment 1st Degree – Misdemeanor (P.L. 240.25)
A person has committed Harassment 1st Degree - Misdemeanor when, with
intent to harass, annoy, or alarm another person:
1. Repeatedly Annoys by Following - He or she repeatedly follows such
person in or about a public place or places;

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2. Repeatedly Engages in Annoying Conduct - He or she repeatedly
engages in a course of conduct;
3. Repeatedly Commits Acts - He or she repeatedly commits acts, which
place such person in reasonable fear of physical injury.
Example: Bill has been following his ex-girlfriend Karen for over a
month. On this particular evening, Bill follows Karen down the
block and threatens to punch her in the face.
Note: This crime requires a repeated course of conduct, which
places a person in reasonable fear of physical injury. When the
victim is placed in fear of immediate serious physical injury or
death, then Menacing is the appropriate charge.
Note: This Penal Law section does not apply to conduct which
constitutes picketing or other labor-related activity governed by
federal labor statutes.
Aggravated Harassment – Misdemeanor 2nd Degree (P.L. 240.30)
A person has committed Aggravated Harassment 2nd Degree when, with
intent to harass, annoy, threaten or alarm another:
1. Mail, Telephone, etc. - He communicates or causes a communication to
be produced by mechanical or electronic means or otherwise, with a
person, anonymously or otherwise, by telephone, or by telegraph, mail or
any other form of written communication in a manner likely to cause
annoyance or alarm.
Example: John, intending to threaten Ann, sends her a letter in
which he states that he is going to kill her. The letter scares Ann.
John has committed Aggravated Harassment 2nd Degree.
Example: Bill hates Jerry and keeps calling Jerry's telephone
number and then hanging up when Jerry answers the telephone.
Bill has committed Aggravated Harassment.
Note: If the caller does not communicate in any way, they have still
committed the offense. The crime merely requires making the call
with the intent to harass, annoy or alarm.

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2. Physical Contact - He strikes, shoves, kicks or otherwise subjects any
person to physical contact, or attempts or threatens to do the same
because of a belief or perception regarding such person's race, color,
national origin, ancestry, gender, religion, religious practice, age, disability,
or sexual orientation, regardless of whether such belief or perception is
correct.
Example: Joe, intending to harass Bill, pushes Bill and uses a
racial slur against him.
3. Previous Conviction - He or she commits the crime of Harassment 1st
Degree and has been previously convicted of the crime of
Harassment 1st Degree within the previous ten years.
Example: Bill has been following his ex-girlfriend Karen for over a
month. On this particular evening, Bill follows Karen down the
block and threatens to punch her in the face. At the stationhouse,
you discover Bill was convicted of this same crime five years ago.
Aggravated Harassment 1ST Degree – Felony (P.L. 240.31)
A person has committed Aggravated Harassment 1st Degree - felony
when, with intent to harass, annoy, threaten or alarm another person because of
a belief or perception regarding such person's race, color, national origin,
ancestry, gender, religion, religious practice, age, disability, or sexual orientation,
regardless of whether such belief or perception is correct, he or she:
1. Damages premises primarily used for religious purposes and the damage
to the premises is over $50.00.
Example: Joe, who doesn’t like Catholics, throws a brick through
the stained glass window of a church – intending to annoy the
Pastor - causing $350 damage.
or
2. Commits Aggravated Harassment 2nd Degree - misdemeanor by the
Physical contact subdivision and either:
•

Has been previously convicted of Aggravated Harassment 2nd Degree misdemeanor by physical contact at any time in the past;
or

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•

Has been previously convicted of Aggravated Harassment 1st Degree felony within the previous ten years.
Note: In both Harassment and Aggravated Harassment cases, you
must be able to show the defendant's intent to harass, annoy,
threaten or alarm another person. Proof of intent will ordinarily be
shown by the suspect's actions and possibly the relationship with
the victim. However, continued investigation should seek to obtain
other evidence, including admissions and confessions.
Note: For more information about this topic, read Legal Bureau
Bulletin Vol. 20, No. 1, “Harassment - Abusive or Obscene
Language,” People v. Dietze (1989).

RECKLESS ENDANGERMENT AND MENACING
Reckless Endangerment and Menacing are crimes against persons that
include the threat or risk of injury to a person, but no injury is incurred.
Reckless Endangerment – Misdemeanor (P.L. 120.20)
A person is charged with Reckless Endangerment, misdemeanor, when:
"He recklessly engages in conduct, which creates a substantial risk of serious
physical injury to another person."
A person acts "recklessly" when he is aware of and consciously disregards
a substantial and unjustifiable risk. In this case, he disregards a substantial risk
of serious physical injury to another person.
Example: John is shopping inside a crowded sporting goods store.
He is swinging a baseball bat to determine if he wants to buy it.
The store clerk tells him to stop because someone may get hurt.
John continues to swing the bat. In this instance John may be
charged with Reckless Endangerment - misdemeanor.
Reckless Endangerment – Felony (P.L. 120.25)
Reckless conduct showing “a depraved indifference to human life” and
which “creates a grave risk of death to another” is a more serious form of
Reckless Endangerment. This activity warrants a heightened penalty and
therefore it is classified as a felony charge.

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Example: In order to “celebrate” a recent job promotion, Steve
fires his pistol from a rooftop, down towards a sidewalk that is
crowded with pedestrians.
What Is “Depraved Indifference"?
A depraved indifference is the mental state that involves a level of
recklessness from a person who has a grave and total detachment to the safety
of others; it is a mental state that shows a complete and total disregard for
human life. Although reckless conduct involves the risk of any physical injury,
when one acts under depraved indifference, the risk is almost exclusively of
death.
Menacing - Generally
"To menace" means to show an intention to place another person in
reasonable fear of imminent harm or injury. To be considered as a menace, it
must include some sort of bodily or material menace, e.g., the shaking of a fist, or
the displaying of a weapon, etc. Such menace is also called a "physical
menace," which is a requirement for a Menacing charge.
Culpable Mental State – The statute requires that there is intent to place
reasonable fear of a physical injury, a serious physical injury, or death, in the
mind of the victim, without causing or attempting to cause such injuries.
Injury – No actual injury or the attempt of an injury, to the victim is required to
charge the crime of Menacing.
Example: Dan threatens Valerie with a knife and states that he will
stab her. Valerie takes the threat seriously, even thought the knife
is actually made of rubber. Although the knife cannot actually harm
her, Valerie is still placed in reasonable fear of harm or injury.
Note: There was no actual risk of serious physical injury to Valerie.
If there had been an actual risk, the crime would be the more
serious offense of Reckless Endangerment. Such fear must be of
an imminent or immediate injury. Thus, the displaying of a knife
with a threat to stab a person is a threat of imminent injury; a threat
to stab a person without displaying a knife is not.

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Menacing - Misdemeanor (P.L. 120.14, 120.15)
1. Intentionally placing or attempting to place another person in fear of death,
imminent serious physical injury or physical injury by physical menace
(Menacing 3rd Degree).
Note: Since attempting to menace someone completes the
offense, a person cannot be charged with “Attempted Menacing.”
Example: John leaps in front of Mary and, with one leg extended
toward her in a karate kick position, states, “Don't disrespect me".
John may be charged with Menacing 3rd Degree - misdemeanor.
2. Intentionally places or attempts to place someone in fear of injury
(physical injury, serious physical injury, or death) by displaying a deadly
weapon, a dangerous instrument or what appears to be a pistol, revolver,
rifle, shotgun, machine gun or other firearm (Menacing 2nd Degree).
Example: Kevin pulls a gun from his waistband and states that he
is going to “blow Steve's head off.” The proper charge for Kevin
would be Menacing 2nd Degree - misdemeanor.
3. Repeatedly follows a person over a period of time and intentionally places
or attempts to place the person in reasonable fear of physical injury,
serious physical injury, or death (Menacing 2nd Degree).
Example: Bill has been following his ex-girlfriend Karen for over a
month. On this particular evening, Bill follows Karen down the
block and threatens to gouge her eyes out. The main difference
between Menacing 2nd Degree and Menacing 3rd Degree is that
Menacing 2nd Degree requires either the display of a weapon or
the commission of a series of acts designed to place a person in
reasonable fear of an injury or death.
4. He or she commits the crime of Menacing in the 3rd Degree in violation
of that part of a duly served order of protection, or such order which the
defendant has actual knowledge of because he or she was present in
court when such order was issued, or an order of protection was issued by
a court of competent jurisdiction in another state, territorial or tribal
jurisdiction, which directed the respondent or defendant to stay away from
the person or persons on whose behalf the order was issued.

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ASSAULT (PENAL LAW ARTICLE 120.00)
Assault may best be described as the unlawful infliction of physical injury
committed with a specific culpable mental state: intentionally, recklessly or with
criminal negligence. As with most crimes in the Penal Law, Assault has a list of
definitions of terms used in the statute. A complete understanding of these terms
is necessary to understand the crime of Assault.

Definitions of Terms (P.L. Article 10)
Physical Injury - The impairment of a physical condition or substantial pain.
Serious Physical Injury - Physical injury which creates a substantial risk of
death, or which, in fact, causes death or serious and protracted (long term)
disfigurement, protracted impairment to health, or protracted loss or impairment
of any bodily organ.
Deadly Weapon - Any loaded weapon from which a shot, readily capable of
causing death or other serious injury may be fired, or a switchblade knife, gravity
knife, billy, blackjack, metal knuckles, dagger, pilum ballistic knife, or metal
knuckle knife.
Dangerous Instrument - Any instrument, article or substance, including a
vehicle, which, under the circumstances in which it is used, is readily capable of
causing death or other serious physical injury.
Vehicle - A motor vehicle, trailer, or semi-trailer (as defined in the Vehicle and
Traffic Law), any snowmobile (as defined in the Parks and Recreation Law), any
aircraft, or any vessel equipped for propulsion by mechanical means or by sail.
Firearm - a) any pistol or revolver; or b) a shotgun with one or more barrels less
than eighteen (18) inches and any weapon made from a shotgun with an overall
length of less than twenty six (26) inches; or c) a rifle having one or more barrels
less than sixteen (16) inches and any weapon made from a rifle with an overall
length of less than twenty six (26) inches.
The penal statutes describe several ways in which the offense of Assault
may be committed. Assault is broken down into degrees in the Penal Law.
Assault 3rd Degree is a misdemeanor. Assault 1st and 2nd Degrees are both
felonies. It is important for us to be aware of the different degrees of Assault as
this knowledge plays an integral role in determining such matters as the status of
a juvenile or which procedures apply regarding a violent domestic dispute. In
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order to determine if the offense of Assault has been committed, someone must
be physically injured. This physical injury must be coupled with one of the
following mental states: intentionally, recklessly or criminal negligence.
There are Three (3) Factors to Consider in Determining the Degree of an
Assault:
1. Culpable mental state (state of mind);
2. Extent of the injury;
3. Use of a deadly weapon or dangerous instrument.
Any one of these factors, or a combination of them, will determine whether the
assault is a felony or a misdemeanor.
Assault 3rd degree - Misdemeanor (P.L. 120.00)
The lowest classification of Assault is Assault 3rd Degree - misdemeanor.
The Penal Law outlines three (3) ways to commit Assault 3rd Degree misdemeanor. As a practical matter, there are three additional ways to commit
this crime, which are not written into the statute but are classified as Assault 3rd
Degree - misdemeanor nonetheless. The three (3) statutory ways to commit
Assault 3rd Degree - misdemeanor are:
1. With intent to cause physical injury to another person, he or she causes
such injury to such person or to a third person.
Example: John, with the intent to cause physical injury, punches
Joe, thereby causing a physical injury.
Note: In any intentional assault the intent to cause injury can be
transferred from the person who was meant to receive the injury to
the person who actually was injured. The fact that the original
victim was not injured does not change the act to reckless or some
other culpable mental state; it is an intentional act. This is called
the doctrine of "Transferred Intent".
Example: Joe takes a punch at his wife, intending to injure her. He
misses his wife, but strikes a neighbor, causing a physical injury.
Once you show the required intent, (to intentionally cause an injury
to a person), and you show that such an injury has occurred, you
have an assault charge.

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2. A person recklessly causes physical injury to another person.
Example: Bill, who is late for work, is in his automobile trying to get
to his office as quickly as possible. As he approaches the
intersection of 20th Street and Third Avenue, the light against him
turns red. Although he is aware of the risk involved, he ignores the
light and strikes a pedestrian causing him to suffer a bruised leg.
Bill should be charged with Assault 3rd Degree - misdemeanor
because the three elements for this degree are present: a reckless
state of mind, a dangerous instrument (an automobile), and a
physical injury.
Note: Reckless Endangerment and assault are not mutually
exclusive. Reckless endangerment is not a lesser-included offense
contained within assault. A person who recklessly causes an injury
to another person may also be charged with Reckless
Endangerment.
3. With criminal negligence, a person causes physical injury to another
person by means of a deadly weapon or a dangerous instrument.
Note: A criminally negligent act that causes a physical injury, or a
serious physical injury, without the use of a dangerous instrument
or deadly weapon is not a crime. It is a tortious (civil) act that
would require a civil lawsuit for redress.
There are three more instances in which conduct can be classified as
Assault 3rd Degree - misdemeanor, even though they are not specifically
mentioned in the Penal Law. These instances are an extension of what is
written in the statutes. They include the following:
4. A person recklessly causes serious physical injury to another person.
The language in P.L. 120.00 subdivision (2) mentions a physical injury. A
serious physical injury would, of course, satisfy this requirement.
Therefore, a person who recklessly causes a serious physical injury to
another without the use of a dangerous instrument or deadly weapon
should be charged with Assault 3rd Degree - misdemeanor.
5. A person recklessly causes physical injury to another person with a
dangerous instrument or deadly weapon. Again, the statute does not
specifically address this situation. When reckless conduct causes a
physical injury by means of a dangerous instrument or a deadly weapon
the most appropriate charge is Assault 3rd Degree - misdemeanor.

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6. With criminal negligence, a person causes serious physical injury to
another person by means of a deadly weapon or dangerous instrument.
The Assault 3rd Degree - misdemeanor statute specifically mentions
criminal negligent conduct that results in a physical injury by means of a
deadly weapon or dangerous instrument. When the result is a serious
physical injury and the means used is a dangerous instrument or deadly
weapon, the Assault 3rd Degree - misdemeanor statute still applies.
Note: A Criminally Negligent act that causes a physical injury
without the use of a dangerous instrument or deadly weapon is not
a crime; it is a tortuous (civil) act that would require a civil lawsuit
for redress.
Assault 2nd Degree – Felony (P.L. 120.05)
Assault 2nd Degree - felony can be committed in any one of eleven (11) ways:
1. With intent to cause serious physical injury to another person, a
person causes such injury to such person or third person. Whatever the
means used, the causing of a serious physical injury involves a felony
assault situation.
Example: Joe, who is angry with Fred, shoves him down a flight of
stairs with the purpose of causing a serious physical injury. As a
result, Fred breaks his leg.
2. With intent to cause physical injury to another person, a person causes
such injury to another or a third person, by means of a deadly weapon
or dangerous instrument. This subdivision requires a person to
intentionally cause only a physical injury in order to be guilty of Assault
2nd Degree, but the person needs to use a deadly weapon or dangerous
instrument.
Example: John shoots Bill with the intention of causing a physical
injury and, indeed, causes such injury. John has committed
Assault 2nd Degree - felony.
3. This subdivision involves delaying or preventing a peace officer, police
officer, fireman, etc. from performing his or her lawful duty, and causing a
physical injury to the police officer, peace officer, fireman, etc.

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Example: A fireman is putting out a fire in a building. Joe, wanting
to see the fire continue burning, shoves the fireman and causes a
physical injury.
4. A person recklessly causes serious physical injury to another person
by means of a deadly weapon or a dangerous instrument.
Example: Frank goes to Shea Stadium and is seated in the upper
mezzanine. During the game he drinks a large amount of beer.
By the seventh inning, Frank is intoxicated. At that point, he
decides that it would be fun to throw a full bottle of beer down to
the lower level, which is filled with people. One of the bottles
strikes a fan, causing a fractured skull and serious concussion.
Frank has committed an Assault - felony. All three elements are
present: a reckless state of mind, a dangerous instrument and a
serious physical injury.
5. For a purpose other than lawful, medical or therapeutic treatment, a
person intentionally causes stupor, unconsciousness, or other physical
impairment or injury to another person by administering to another person,
without such person’s consent, a drug, substance, or preparation
capable of producing the same. The provisions of this subdivision make it
a crime to give dangerous or harmful drugs under certain circumstances.
The substance must be given without the victim's consent, causing some
damage or injury. Remember, physical injury includes damaging of
physical condition or substantial pain.
Example: Bill gives Sid some knockout drops to make him
temporarily unconscious. While Sid is in this state, Bill takes his
wallet. Bill has committed Assault 2nd Degree, as well as, Grand
Larceny.
6. In the course of and in furtherance of the commission or attempted
commission of a felony, (other than a sex offense, which requires
corroboration for conviction), or of immediate flight therefrom, a person or
another participant, if there is one, causes physical injury to another
person other than one of the participants.
Example: Joe robs the cashier in a store and, while leaving the
store, knocks down an elderly woman, causing a sprained wrist
(physical injury).

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7. Having been charged with or convicted of a crime and while confined in a
correctional facility, pursuant to such charge or conviction, with intent to
cause physical injury to another person, a person causes such injury to
another or to a third person.
Example: Bill was arrested and convicted of Assault 3rd Degree misdemeanor. He was sentenced to serve 60 days in Riker's
Island Correctional Facility. While inside Riker’s and intending to
cause a physical injury, Bill punched Joe in the face, causing him
to have a black and swollen eye (physical injury). Since Bill was
confined to Riker's Island at the time of the incident, the proper
charge would be Assault 2nd Degree - felony.
8. Being eighteen (18) years old or more and with intent to cause physical
injury to a person less than eleven (11) years old, a person recklessly
causes serious physical injury to such person.
Example: Dennis, who is six years old, is skateboarding in front of
Mr. Wilson's house. Intending to cause Dennis a physical injury,
Mr. Wilson, 35 years old, pushes Dennis off the skateboard,
causing a serious physical injury by breaking his arm.
9. Being eighteen (18) years old or more and with intent to cause physical
injury to a person less than seven (7) years old, a person causes such
injury to another.
Example: Fran, who is 35 years old, is babysitting Jimmy, who is
five (5) years old. Fran strikes Jimmy in the face for making a
mess at dinner, causing a bruise.
10. Acting at a place the person knows, or reasonably should know, such
person is on school grounds, and with intent to cause physical injury, he
or she:
a. Causes such injury to an employee of a school or public school
district;
or
b. Not being a student of such school or public school district causes
a physical injury to another, and such other person is a student of
such school who is attending or is present for educational
purposes. "School grounds," as defined in P.L. 220.00, means (a)
in or on or within any building, structure, athletic playing field,
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playground or land contained within the real property boundary line
of a public or private elementary, parochial, intermediate, junior
high, vocational, or high school, or (b) any area accessible to the
public (sidewalks, streets, parking lots, parks, playgrounds, stores
or restaurants) located within one thousand feet of the real property
boundary line comprising any such school or any parked vehicle
located within one thousand feet of the real property boundary line
comprising of any school.
11. Intent to cause physical injury to a train operator or station agent
employed by any transit agency, authority, or company (public or
private); whose operation is authorized by New York State or any of it’s
political subdivisions; he or she causes physical injury to such train
operator, ticket inspector, conductor, bus operator, or station agent;
while such employee is performing an assigned duty on, directly related
to, the operation of a train or bus.
Assault 1st Degree - Felony (P.L. 120.10)
Assault 1st Degree - felony can be committed in any of the following four (4)
ways:
1.

With intent to cause serious physical injury to another person, he or she
causes such injury to such person or a third person by means of a
deadly weapon or a dangerous instrument.
Example: Angry over a lost golf bet, Tony strikes Jeff on the head
with a golf club, causing a fractured skull.

2.

With intent to disfigure another person seriously and permanently, or to
destroy, amputate or disable permanently a member or organ of his
body, a person causes such injury to such person or to a third person.
This subdivision requires intent to disfigure someone seriously and
permanently, or to destroy, amputate or disable permanently a member
or organ of his/her body. The required mental condition is to
intentionally cause this serious type of injury. It does not matter how the
result is reached, e.g., acid throwing, shooting, cutting, etc.
Example: John, intending to permanently scar Mary's face, throws
acid at her, causing permanent damage to the facial tissue. It
does not matter what instrument or item he used to cause the
injury, it is enough that he intended to and did cause such injury.

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3.

Under circumstances evincing a depraved indifference to human life, a
person recklessly engages in conduct, which creates a grave risk of
death to another person, and thereby causes serious physical injury to
another person. What is a "depraved indifference"? A depraved
indifference is the mental state that shows a completely uncaring
attitude toward human life, and presents a grave risk of death.
Example: A man discharges a firearm toward a crowd of people as
a joke. One of the individuals in the crowd may be killed by this
act. Clearly, anyone who shoots toward a crowd of people is
acting with depraved indifference to others. If a member of the
crowd is hit by a bullet and suffers a serious physical injury, then
the proper charge would be Assault 1st Degree.

4.

In the course of and in furtherance of the commission or attempted
commission of a felony or of immediate flight there from, a person or
another participant, if there is one, causes serious physical injury to
another person (other than one of the participants).
Example: John walks into a store, displays a gun and robs the
owner of $50. After taking the money, John puts the gun in his
pocket and rushes out of the store onto the street. In making his
escape, he knocks Chris down, causing him to suffer a broken hip
(serious physical injury). Robbery is, of course, always a felony.
However, John's actions caused a serious physical injury to
another person. Thus, John could be properly charged with
Assault 1st Degree - felony.

Assault on a Peace Officer, Police Officer, Fireman or Emergency Medical
Services Professional – Felony (P.L. 120.08)
A person may be charged with Assault on a Peace Officer, Police Officer,
Fireman or Emergency Medical Services Professional when, with intent to
prevent a peace officer, police officer, a fireman, including a fireman acting as a
paramedic or emergency medical technician administering first aid in the course
of performance of duty as such fireman, or an emergency medical service
paramedic on emergency medical service technician from performing a lawful
duty, he causes serious physical injury to such peace officer, police officer,
fireman, paramedic or technician. This section of law is similar to the subdivision
contained in Assault 2nd Degree - felony. However, the injury caused must be a
serious physical injury. This section is a higher class of felony than Assault
2nd Degree - felony.

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Example: Norm is angry that EMS is administering first aid to
Gary, whom he doesn’t get along with, so Norm pushes the EMT
over, causing the EMT to suffer a broken ankle.
Aggravated Assault Upon a Police Officer or a Peace Officer – Felony (P.L.
120.11)
Aggravated Assault upon a Police Officer or Peace Officer is a felony and
the required mental condition is intentional; the type of injury involved must be a
serious physical injury. In addition, the police officer or peace officer must be
performing his/her official duties and the injury must be caused by means of a
deadly weapon or dangerous instrument.
This section of law was enacted to combat the major increase in injuries to
law enforcement officers by use of deadly weapons or dangerous
instruments. It should be noted that when a weapon or firearm is used during
the commission of an assault, an additional charge from P.L. Article 265
(Firearms and Other Dangerous Weapons) also applies.
Example: An off-duty police officer on his way home from work,
sees a Robbery taking place. He draws his revolver, takes cover
and yells, “Police! Don't move!" The officer is shot by an unseen
accomplice, causing a serious physical injury, by use of a firearm.
Gang Assault – Felony (P.L. 120.06, 120.07)
A person can be charged with Gang Assault when, with intent to cause
physical injury or serious physical injury to another person and when aided by
two or more persons actually present, he causes serious physical injury to
such person or to a third person. For this offense to be charged, three (3)
elements must be present:
1. A minimum of three (3) persons;
2. Intent to cause at least a physical injury, and;
3. They cause a serious physical injury.
Example: Pete is upset with Joe. Pete gets two friends to help
him teach Joe a lesson. Intending to “rough Joe up,” Pete and his
friend punch and kick Joe, causing a ruptured spleen.

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HOMICIDE OFFENSES
The term “Homicide” is not a charge, but rather a description of a group of
charges that involve conduct causing the death of a person or an unborn child, or
fetus, with which the female is pregnant for more than twenty-four (24) weeks.
There are six (6) separate crimes that are considered “homicide offenses.” All
are felonies, and they include Murder, Manslaughter, Vehicular Manslaughter,
Criminally Negligent Homicide, Abortion, and Self-Abortion. In this chapter, we
will discuss three (3) homicide offenses in detail: Murder – 2nd Degree,
Manslaughter and Criminally Negligent Homicide (Murder – 1st Degree will be
briefly defined).
Definitions of Terms
Homicide - Conduct which causes the death of a person or an unborn child
(non-person), with which a female has been pregnant for more than twenty-four
weeks.
Person - When referring to the victim of a homicide, it means a human being
who has been born and is alive.
Non-person - An unborn child (a fetus).
There are two degrees of Murder, first and second degree. Both are
classified as A-I felonies. The primary difference between the two is that a
conviction for Murder in the first degree could include the death penalty, and the
defendant must be at least eighteen (18) years old when the crime was
committed.
Murder 1st degree – Felony (P.L. 125.27)
A person commits Murder 1st Degree - felony when, being eighteen (18)
years old or more, he or she intentionally causes the death of a person that he
knows to be one of the following list of people, (while they are performing their
official duties): (1) a police officer, (2) a court officer, (3) a parole officer, (4) a
warrant officer, division of parole, (5) a probation officer, (6) a corrections officer,
(7) a division of youth employee (any seven while performing their official duties),
(8) a witness to a crime or their immediate family, or (9) a judge. A person is also
charged with Murder 1st Degree if he or she does the following: (1) commits a
murder while serving a life sentence, (2) commits a murder and was previously
convicted of murder, (3) has committed or engaged in murder for hire, (4) has
tortured someone to death, (5) has committed a serial murder, (6) has
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intentionally murdered while committing a Felony Murder offense, or (7)
intentionally murders while committing an act of terrorism.
Murder 2nd degree – Felony (P.L. 125.25)
There are five ways in which this crime can be committed. A person is charged
with Murder 2nd Degree when:
1. He intentionally kills another person or a third person; or
2. Under circumstances evincing a depraved indifference to human life he
recklessly engages in conduct which created a grave risk of death to another
person and thereby causes the death of another person; or
3. He or she or an accomplice causes the death of a non-participant while
attempting, fleeing from or committing one of these ten (10) felonies: Robbery,
Burglary, Kidnapping, Arson, Rape 1st Degree, Criminal Sexual Act 1st Degree,
Sexual Abuse 1st Degree, Aggravated Sexual Abuse, Escape 1st and 2nd
Degrees; or
4. He or she intentionally causes or aids another person to commit suicide
(Note: the charge is Murder 2nd degree, but there is an affirmative defense that
would lower the charge to Manslaughter); or
5. Under circumstances evincing a depraved indifference to human life,
and being eighteen (18) years old or more, a person recklessly engages in
conduct which creates a grave risk of serious physical injury or death to another
person who is less than eleven (11) years old and causes the death of such
person.
Intentional Killing of Another Person
A person is charged with intentional Murder 2nd Degree when, with intent
to cause the death of another person, a person causes the death of that person
or of a third person.
Note: If the person who is charged with Murder did so under the
influence of extreme emotional disturbance, he or she may only be
guilty of Manslaughter, however, he or she would be properly
charged with Murder 2nd Degree by the police. The court decides
the validity of an affirmative defense after the defendant - through
his or her defense attorney - raises it.

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Example: During an argument with Ross, over a sports bet, Steve
intentionally shoots and kills Ross. Because he intentionally killed
another person, Steve will be charged with Murder. What if Steve's
shot had killed Ross’ wife, who was standing close by? Should
Steve still be charged with Murder? Yes! According to the Penal
Law, when a person acts intentionally to cause the death of another
person, it is considered Murder if he/she causes the death of a third
person; that is, someone other than the intended victim. This is
referred to as transferred intent.
Depraved Indifference to Human Life
A person is charged with Murder 2nd Degree when, under circumstances
evincing a depraved indifference to human life, he or she recklessly engages in
conduct which creates a grave risk of death to another person and thereby
causes the death of another person.
Example: In order to frighten Bill, John aims a pistol one (1) foot
over Bill's head and fires it. John, however, kills Bill because of his
poor marksmanship. In this instance, John would be guilty of
Murder because he evinced a depraved indifference to human life
and engaged in reckless conduct that caused another person's
death.
Felony Murder
The third way to commit Murder 2nd Degree is commonly referred to as
the Felony Murder situation. Felony Murder occurs when there is a murder
committed in connection with certain crimes, all of which have one thing in
common: they are all felonies.
A Person is Guilty of the Felony Murder Subdivision When:
1.

Acting alone or with one or more persons;

2.

In the course of committing or attempting or immediate flight from
Robbery, Burglary, Kidnapping, Arson, Rape 1st Degree, Criminal Sexual
Act 1st Degree, Sexual Abuse 1st Degree, Escape 1st or 2nd Degree,
Aggravated Sexual Abuse;

3.

A person or another participant, if any, causes the death of a person other
than one of the participants.

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Note: The term participant refers specifically to the offender and
any accomplices. The victim of the felony is not considered to be a
participant. This offense, therefore, is limited to the death of
someone who is not a participant in the underlying felony, and all
participants are held responsible even though only one participant
may cause such death. Note also that the death may be caused
either during the commission, or the attempted commission, of the
felony or in immediate flight therefrom.
Example: Three men are in the course of committing armed
robbery at a grocery store. The store manager is shot to death by
one of the robbers. Who should be charged with Murder? All three
of the men should be charged. They were committing a robbery
and a participant in that crime caused the death of a person who
was a non-participant. No mental state concerning the death need
be shown, only that a death occurred.
Intentionally Causes or Aids a Person to Commit Suicide
A person may be charged with Murder 2nd Degree in the fourth way when
he intentionally causes or aids a person to commit suicide. It should be noted
that if the defendant did not use duress or deception in either causing or aiding
the suicide, the charge of Murder might be reduced to Manslaughter.
Note: It should be noted that whenever a person is charged with
Murder 2nd Degree and facts show that the defendant acted under
the influence of extreme emotional disturbance, the charge of
Murder 2nd Degree may be reduced to Manslaughter, by the court,
after the defendant raises the affirmative defense.
Depraved Indifference Causes Death of Person Less than Eleven
A person may be charged with Murder 2nd Degree when, being eighteen
(18) years old or older, a person acts with a depraved indifference to human life
and recklessly creates a grave risk of serious physical injury or death to a person
less than eleven (11) years old and causes that person's death. Although this
subdivision sounds very similar to the second subdivision, it differs in three (3)
ways:
1. The age of the defendant is specified (18 or older);
2. Conduct creates a grave risk of Serious Physical Injury or Death;
3. The victim's age is specified (10 or less).

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Manslaughter – Felony (P.L. 125.15, 125.20)
Technically speaking, there are six (6) ways in which a person can commit
Manslaughter. A person is charged with this crime when:
1. Intending to cause only serious physical injury, a person causes the
death of another person or a third person while; or
2. A person recklessly causes the death of another person; or
3. A person commits upon a female an abortional act which causes
her death, unless such abortional act is justifiable as per P.L.
125.05; or
4. Being 18 years old or older, with the intent to cause physical injury
to a person less than 11 years old, a person recklessly engages in
conduct which creates a grave risk of serious physical injury to
such person and thereby causes the death of such person; or
5. Under certain circumstances, #3 can constitute either Manslaughter
1st Degree or Manslaughter 2nd degree; or
6. If a person who is charged with Murder did so under the influence
of extreme emotional disturbance, he or she may only be guilty of
Manslaughter, however, he or she would be properly charged with
Murder 2nd Degree by the police. The court decides the validity of
an affirmative defense after the defendant - through his or her
defense attorney - raises it.
Intent to Cause Serious Physical Injury - Causes Death
In the first way, a person is charged with Manslaughter when:
1. With intent to cause serious physical injury to another person;
2. A person causes the death of that person or a third person.
The intent to cause serious physical injury is an essential element of this
type of Manslaughter. Suppose, for example, that Bud had George are involved
in a barroom fight. Bud hits George over the head with a broken bottle, intending
to injure him seriously. But, George bleeds to death. Bud only intended to
seriously injure George, not to kill him. If Bud had intended to kill George, the
charge would then be Murder. You should be aware that in most street
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situations, a police officer's initial charge would be Murder; then upon later
investigation, witnesses' statements and Grand Jury testimony, etc., the District
Attorney will probably reduce the Murder charge to Manslaughter.
Recklessly Cause the Death of Another Person
The second way that Manslaughter is committed occurs when a person
recklessly causes the death of another person. Remember, once again, that
when a person acts "recklessly", he or she is aware of a substantial and
unjustifiable risk, but consciously disregards that risk.
Abortional Act - Causes Death of Female
Here, a person commits an abortional act upon a female pregnant for more
than twenty-four weeks. It is this act which causes the female's death.
18 Or Older Intends Physical Injury - Recklessly Causes the Death of
Person Less Than Eleven
Example: Anna, 20 years old, is babysitting for Bill, 10 years old.
Anna, angry because Bill won't obey her, intentionally burns Bill's
arm with matches. His sleeve catches on fire and Bill is burned so
badly he dies. Anna should be charged with Manslaughter.
Criminally Negligent Homicide – Felony (P.L. 125.10)
A person is charged with Criminally Negligent Homicide when, with
criminal negligence, he or she causes the death of another person. A person
acts with criminal negligence when with respect to a result, he or she fails to be
aware of a substantial and unjustifiable risk that such result will occur or that
such circumstances exist. The risk must be such that the failure to be aware of it
constitutes a great difference from the standard of care that a reasonable person
would observe in the situation. Therefore, if a person, by his or her conduct,
causes the death of another by negligently failing to be aware of the risk of death
which might come about from his or her conduct, he or she is guilty of Criminally
Negligent Homicide, even though such person did not intend to cause the death
of another.
Examples:
1. Parents who fail to provide prompt medical care for a child, and the child
dies.

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2. Not realizing the danger and not looking down, a man throws a roll of tar
paper off a roof, striking and kills a pedestrian.

SEX OFFENSES
Sex offenses are a very sensitive area of the law. As a police officer, you
must be able to exhibit sound judgment and professional interpersonal skills in
order to effectively address these crimes. An issue for the student officer to
consider is that all sex offenses, as defined in Article 130 of the Penal Law,
are gender neutral. This means that either a man or a woman may be
charged with a sex offense. Therefore, if the elements of a particular offense
are met, the individuals who perpetrate the offense must be charged with that
crime. Before discussing the different sex offenses contained in the penal law, it
is important to understand certain legal terms. The terms contained in the penal
law have specific legal meaning. These terms may not necessarily be defined by
their Standard English meaning. Therefore, to properly apply sex offense
charges, these terms must be understood.
Definitions of Terms
Sexual Conduct means sexual intercourse, oral sexual conduct, anal sexual
conduct, aggravated sexual contact, or sexual conduct.
Sexual Intercourse means any penetration, no matter how slight, of the penis
into the vagina.
Oral Sexual Conduct means conduct between persons consisting of contact
between the:
1. Mouth and penis;
2. Mouth and anus;
3. Mouth and vulva or vagina.
Anal Sexual Conduct means conduct between persons consisting of contact
between the penis and anus.
Sexual Contact means any touching, grabbing, feeling or rubbing of sexual or
other intimate body parts (e.g., inner thighs, buttocks, genitalia, breasts) of a
person, not married to the one performing the act, for the purpose of pleasing the
sexual desire of either party. It includes the touching of the actor by the victim as
well as the touching of the victim by the actor, either directly or through the
clothing.
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Aggravated Sexual Contact means inserting, other than for a valid medical
purpose, a foreign object in the vagina, urethra, penis or rectum of a child,
thereby causing physical injury to such child.
Definitions Involving Lack Of Consent are those terms used to identify the
circumstances in which a victim failed to give or was incapable of giving consent
to engage in sexual conduct. In order to charge any sex offense you must have
what the law refers to as "lack of consent." Lack of consent can be shown by
any of the following:
A. Mentally Disabled - means a person suffers from a mental
disease or defect which makes that person unable to understand
the nature of his/her actions.
B. Mentally Incapacitated - means a person is made temporarily
unable to understand or control his or her actions due to the effects
of a drug or alcoholic substance given to that person without his
or her consent, or any other act done to that person without his or
her consent.
C. Physically Helpless - means a person is unconscious or for any
other reason is physically unable to state his or her unwillingness
to do an act.
Note: There is a similarity between mentally incapacitated and
physically helpless regarding intoxication. However, there is a
distinction that must be noted. When a person is mentally
incapacitated they are incapable of controlling their action due to
involuntary intoxication. But, if the person becomes unconscious
through a consensual administration of drugs or alcohol they are
considered physically helpless.
D. Forcible Compulsion - means physical force which is capable of
overpowering the victim, or a threat, either stated or hinted, that
places a person in fear of instant death or physical injury to himself
or another person, or in fear that he or another person will
immediately be kidnapped.
E. Age - any person, male or female, who is less than 17-years-old, is
incapable of consenting to any act described in Article 130 (sex
offenses). A person must be at least seventeen years old to
legally engage in any sexual activity. When age is the only lack of
consent, it is commonly referred to as a statutory offense.
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F. Office of Children and Family Services - A person is also
deemed incapable of consent for purposes of a sex offense if he or
she is committed to the care of the office of children and family
services in residential care, and the offender is an employee not
married to the victim.
G. Health/Mental Health Care Provider - A person is deemed
incapable of consent for the offenses of Rape 3rd degree, Criminal
Sexual Act 3rd degree, Aggravated Sexual Abuse 4th degree or
Sexual Abuse 3rd degree when he or she is a patient of a health
care/mental health care provider and the offense takes place
during treatment or examination.
Note: If the conduct is performed for a valid medical or mental
healthcare purpose, then it is not a violation.

Rape – Felony (P.L. 130.25, 130.30, 130.35)
A person is charged with rape when he or she engages in sexual
intercourse with another person who has not given consent. Rape is always a
felony and may be committed in one of the following ten (10) ways:
1.

A person uses forcible compulsion upon another person to engage in
sexual intercourse; or

2.

A person engages in sexual intercourse with another where lack of
consent results from circumstances under which the victim clearly
expressed that he or she did not consent, which would have been
understood by a reasonable person in the actor’s situation under all the
circumstances (e.g., "date/acquaintance rape"); or

3.

A person engages in sexual intercourse with another person who is
mentally disabled (that is, the person cannot understand the nature of
his/her actions because he or she is suffering from a permanent mental
disorder); or

4.

A person engages in sexual intercourse with another person who is
mentally incapacitated (he or she cannot understand the nature of
his/her actions because he or she has been drugged or given alcohol
without his/her consent); or

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5.

A person, 21 years old or over, who engages in sexual intercourse with
another person who is less than seventeen (16 years old or less); or

6.

A person, 18 years old or over (18, 19, or 20 years old), who engages in
sexual intercourse with another person who is less than fifteen (14 years
old or less); or

7.

A person engages in sexual intercourse with another person who is
physically helpless; or

8.

A person, over 18 years of age, who engages in sexual intercourse with
another person less than thirteen (12 years old or less); or

9.

A person, 16 or 17 years of age, who engages in sexual intercourse with
another person who is less than eleven (10 years old or less); or

10.

A person engages in sexual intercourse with another person without such
person's consent where such lack of consent is by reason of some other
factor than incapacity to consent (e.g., health/mental health care provider).

Criminal Sexual Act – Felony (P.L. 130.40, 130.45, 130.50)
A person is charged with Criminal Sexual Act when he/she engages in
oral sexual conduct and/or anal sexual conduct with another person who has not
given consent. Criminal Sexual act is always a felony and as in Rape, Criminal
Sexual Act may be committed in the same ten ways; with the exception that
criminal sexual act requires oral sexual conduct or anal sexual conduct. That is,
the lack of consent circumstances are the same to commit Criminal Sexual Act.
The sexual conduct required, however, is oral sexual conduct or anal sexual
conduct.
Sexual Misconduct – Misdemeanor (P.L. 130.20)
A person can commit the crime of Sexual Misconduct in three (3) ways.
1.

He or she engages in sexual intercourse with another person who is
incapable of consent because of his or her age; or

2.

He or she engages in oral sexual conduct with another who is incapable of
consent because of his/her age; or

3.

He or she engages in sexual conduct with an animal or a dead human
body.

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Sexual Misconduct generally involves sexual acts that appear at first glance to be
Rape or Criminal Sexual Act based solely upon age. However, the age
requirements for Rape and Criminal Sexual Act are very specific. If the age
between the actor and the victim does not meet those requirements, then Sexual
Misconduct may be charged. Sexual Misconduct is always a misdemeanor. For
example, a 20-year-old male engages in sexual intercourse with a 16-year-old
female. To charge rape, the male must be at least 21 years of age and the
female 16, 15 or 14 years of age. Since you cannot charge Rape, the crime of
Sexual Misconduct would be the proper charge.

SEXUAL ABUSE
A person may be charged with Sexual Abuse when he or she subjects
another person to sexual contact (touching) without the other person's consent.
The two categories of Sexual Abuse are misdemeanor and felony. Sexual Abuse
(misdemeanor) is defined as follows:
Sexual Abuse – Misdemeanor (P.L. 130.55, 130.60)
Sexual Abuse - misdemeanor, may be charged in one of three (3) ways:
1.

A person touches, feels, rubs, etc., the sexual parts of another person less
than 17 years old (16, 15, 14, 13, 12, or 11 years old); or

2.

A person touches, feels, rubs, etc., the sexual parts of another person who
is incapable of consent because he or she is either mentally incapacitated
or mentally disabled; or

3.

A person touches, feels, rubs, etc., the sexual parts of another person who
is unwilling or did not give permission.

Sexual Abuse – Felony (P.L. 130.65)
Sexual Abuse - felony, may be charged in one of the following three ways:
1.

A person touches, feels, rubs, etc., the sexual parts of another person by
forcible compulsion; or

2.

A person touches, feels, rubs, etc., the sexual parts of another person
when the victim is physically helpless; or

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3.

A person touches, feels, rubs, etc., the sexual parts of another person
when the victim is less than 11-years-old (10 years or less).

Aggravated Sexual Abuse – Felony (P.L. 130.66, 130.67, 130.70)
A person may be charged with aggravated sexual abuse when he or she inserts
either:
1.

A foreign object (whether or not it causes a physical injury), or

2.

A finger (causing a physical injury or serious physical injury);
into the vagina, urethra, penis or rectum of another person, and it is:
a.

By forcible compulsion; or

b.

When the victim is physically helpless; or

c.

When the victim is less than 11-years-old (10 years old or less); or

d.

When the victim is incapable of consent by some reason other
than being less than 17 years old (16 years old or less), (e.g.,
victim is a patient of a health care/mental heath care provider); or

e.

When the victim is incapable of consent because of being mentally
disabled or mentally incapacitated.

Notes:
•

A foreign object means any instrument or article which, when put in the
vagina, penis, urethra or rectum is capable of causing physical injury or
serious physical injury.

•

Conduct performed for a valid medical purpose does not constitute an
offense under this section.

Facilitating a Sex Offense with a Controlled Substance – Felony (P.L.
130.90)

A person commits this offense when he or she knowingly and
unlawfully possesses a controlled substance and administers the
substance to a victim without his or her consent and with the intent to
commit a felony sex offense as defined in Article 130.
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KIDNAPPING, UNLAWFUL IMPRISONMENT,
AND CUSTODIAL INTERFERENCE
ARTICLE 135
As members of the service, we pledge to protect the lives and property of
our fellow citizens and impartially enforce the law. This pledge is especially
relevant when confronted with custody disputes. At the scene of a custody
dispute, the police officer’s primary responsibility is to keep the peace and
impartially enforce the law. Thus, police officers must be aware of the various
offenses as they relate to custody disputes, as well as their responsibility to
report and investigate crimes against children.
Definitions of Terms
Restrain - To restrict a person’s movements intentionally and unlawfully in such
a way as to interfere substantially with his or her liberty by:
1.

Moving him or her from one place to another; or

2.

By confining him or her to either the place where the restriction started or
the place to which he or she has been moved, without consent and with
knowledge that the restriction is unlawful.

3.

A person is considered moved or confined without consent when the
confinement is accomplished by:
•
•

Physical force, intimidation, or deception; or
Any means whatsoever, including consent of the victim, if a child is
less than sixteen years old, or an incompetent person and the parent,
guardian or other person or institution having the lawful custody or
control of him or her has not consented to the movement or
confinement.

Abduct - To restrain a person with intent to prevent his or her escape by either:
1.
2.

Hiding or holding him/her in a place where he/she is not likely to be found;
or
Using or threatening to use deadly physical force.

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Kidnapping – Felony (P.L. 135.20, 135.25)
Kidnapping is accomplished by abduction, which is a higher form of
restraint. This action indicates an effort on the part of the offender to take control
of another, and to intentionally remove a person so that he/she will not likely be
found. The actions of the offender may also cause or create the risk of a serious
physical injury or death to the victim. A Kidnapping is often committed along with
some other crime such as Robbery, Assault, or a Larceny. In order to apprehend
a person for this crime you must be able to recognize the elements involved. The
purpose of the abduction does not matter. Therefore, a request for ransom is not
necessary to charge kidnapping.
Example: Mark and Ann are out on a date. Mark forces Ann to
engage in a sexual act with him, so he orders her at gunpoint into
his car.
Example: Bill drives Ellen to a deserted cabin in the woods where
she protests. Mark tells her that if she attempts to escape he will
kill her.
Example: Jill unlawfully takes a baby from a hospital maternity
ward and brings the baby to her home.
Unlawful Imprisonment - Misdemeanor and Felony (P.L. 135.05, P.L 135.10)
Unlawful Imprisonment is a crime that involves the term restraint and is a
lesser crime than Kidnapping. It is committed when a person restrains another.
If the circumstances expose the victim to a risk of serious physical injury, the
degree of the unlawful imprisonment is elevated from a misdemeanor to a felony.
Example: Steve drives Debra to a beach area over her protests
and parks the car. Debra insists that Steve take her home, but he
refuses, in addition he will not let Debra out of the car. Steve is
considered to have restrained Debra because he restricted her
movement intentionally and unlawfully in such a way as to interfere
substantially with her liberty by forcibly confining her in the vehicle.
Custodial Interference – Misdemeanor (P.L. 135.45)
Custodial Interference - misdemeanor can be committed two ways. One
applies to children under 16 years of age, while the other applies to incompetent
persons of any age, or persons of any age who have been entrusted by authority
of law to the custody of another person or institution.
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1. A person may be charged with Custodial Interference - misdemeanor (the
first way) when he or she is a relative of a child less than 16 years of age and
intending to hold such child permanently, or for a long period of time and
knowing he or she has no legal right to do so, he or she takes or entices
the child from his lawful custodian.
Note: This offense is aimed at the parent or other relative who
takes a child under 16 intending to separate the child from one or
both parents. For the purpose of this statute, a relative means
parent, ancestor (i.e., grandparent, great-grandparent, etc.),
brother, sister, uncle, or aunt.
2. A person may be charged with custodial interference - misdemeanor (the
second way) knowing that he or she has no legal right to do so, he or she
takes or entices from lawful custody any incompetent person or other person
entrusted by authority of law to the custody of another person or institution.
Note: This section covers the situation where any person entices or
liberates incompetents, juvenile delinquents, etc., from the
institutions in which they are confined.
Custodial Interference – Felony (P.L. 135.50)
Custodial Interference - felony is chargeable when:
1.
The person taken or enticed is exposed to the risk that his or her safety
will be endangered or that his or her health will be seriously affected; or
2.
A person removes such person from the state with intent to remove them
permanently.
Example: A divorced father, with no custodial rights, who takes his
small child from his former wife’s lawful custody for one week is
guilty of custodial interference - misdemeanor. However, if he
intentionally moves the child to another state (absent a time factor),
he can be charged with the felony. Likewise, if he keeps the child
in a hotel room at a time when the child is suffering from diabetic
shock, he can be charged with the felony.

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CONCLUSION
With the information learned in this chapter you will now be able to
aggressively pursue violators of the law and properly charge these criminals,
increasing the chance that these violent offenders will be incarcerated and
unable to hurt other citizens. This will eventually diminish people’s fears and
ultimately create a safer community.

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Theft Offenses and Property Crimes
WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO UNDERSTAND THE MATERIAL IN THIS CHAPTER?
We have pledged to protect the life, as well as the property, of every
citizen. When a person’s property is stolen or destroyed, the effect on that
individual may be devastating. Although the monetary value of the property may
seem small, the sentimental value can be significant. You must remember that,
as a police officer, you will handle every situation with courtesy, professionalism,
and respect, and with the help of the community we will aggressively take
proactive steps to prevent these crimes.
On patrol, you will frequently respond to incidents related to property
crimes. Such occurrences can range from a shoplifter to a stolen motor vehicle.
You are required to understand the various laws and related procedures in order
to effectively document, investigate, prevent, and enforce crimes against
property.
This chapter of your Police Student’s Guide will explain to you the various
laws that pertain to the theft of personal or public property or services and the
various ways that these crimes are committed. Additionally, this chapter will
show you how the forcible theft of personal property also amounts to a violent
crime against a person. Lastly, offenses against real property, or land, are
addressed in the section on Trespass and Burglary, as well as the destruction of
property by intentional or reckless means.

LARCENY (PENAL LAW ARTICLE 155)
The crime of larceny consists of the stealing of another person’s property.
There are several ways to commit this act and several definitions for the term
“property.”
Property: The term “property” (Penal Law section 155.00, subd. 1) includes:
•
•
•
•
•
•
•
•

Money;
Personal property (e.g., a camera, a car);
Real property (e.g., a home, an acre of land);
A thing in action (e.g., accounts receivable, claims for damage);
Evidence of debt or contract (e.g., a promissory note, a building contract);
Any article, substance or thing of value of any kind, including gas, steam,
water or electricity, which is provided for a fee;
Computer data or a computer program;
A credit card or debit card;

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•

An “access device,” which means any telephone calling card number,
credit card number, account number, mobile identification number,
electronic serial number or personal identification number that can be
used to obtain telephone service;

•

A “service,” which includes, but is not limited to: labor, professional
service, a computer service, transportation service, the supply of hotel
accommodations, restaurant services, entertainment, the supplying of
equipment for use and the supplying of commodities of a public utility such
as gas, electricity, steam and water. A ticket or equivalent instrument,
which allows one to receive a service, is not in itself a service but
constitutes property.
Note: Public utilities (e.g. gas, electricity, steam, water) are
considered property. However, the supplying of these services to
premises from an outside source by wires, pipes, etc., is
considered the giving of a service rather than the sale or delivery
of property. Where the property consists of gas, steam, water or
electricity, which is provided for a fee, the value shall be the value
of the property stolen in any consecutive twelve-month period.

Larceny Defined – NYS Penal Law 155.05
A person commits larceny when:
•

With intent to deprive another of property, or

•

With intent to appropriate the same to himself/herself or a third person,

•

He or she wrongfully takes or he or she wrongfully obtains or he or she
wrongfully withholds such property (for a period of time that the value of
the property is diminished) from an owner.
Note: This definition is very broad and is meant to cover the
various ways in which property may be stolen.

Forms of Larceny
1.
Common-Law Larceny by Trespassory Taking – This type of
larceny is the most common form of larceny. It is the taking of property by a
trespass, or by a directly wrongful act; that is, outright stealing without the
consent of the owner or possessor. Taking is defined as getting hold of, to get
possession of, to grasp, to gain control over, or to seize.

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Example: Kevin enters a candy store and puts a magazine under
his jacket and a pack of gum in his pocket; then leaves the store
without paying for the items. Kevin has committed larceny because
he intentionally took goods offered for sale at a store with the
intention of taking the same for his own use, without paying for
them.
2.
Embezzlement – A person commits larceny by “embezzlement”
when he or she wrongfully appropriates to himself/herself or to another, property
of another in his/her care or custody. An important aspect of embezzlement is
the betrayal of a legal duty. In other words, a person who commits
embezzlement wrongfully appropriates to himself/herself or another, property that
has been legally entrusted to him/her.
Example: Mary is shopping for clothes in a department store
where her roommate works. Mary picks out a shirt worth $30.
When she approaches her roommate at the payment counter, the
roommate charges only $20 for the outfit. By wrongfully
appropriating to Mary the property of another in her care, the
roommate has committed larceny.
3.
False Pretense – A person “obtains property by false pretense”
when: by any false token, pretense, or device, he or she obtains from another
any property, with intent to defraud him/her or any other person.
Example: Alex buys a DVD player at a department store with a
credit card he knows is forged. By false token and with intent to
defraud, he has obtained the property of another.
4.
False Promise – A person “obtains property by false promise”
when: with a scheme to defraud, he or she obtains property of another by means
of a representation, expressed or implied, that he/she, or a third person will
engage in a particular conduct, and he or she does not intend to engage in such
conduct or does not believe that the third person intends to engage in such
conduct.
Example: Norman approaches Mr. Smith and offers to remodel his
home for $5,000. Mr. Smith signs a contract for a remodeling job
on his home and gives Norman $200 as a down payment. Norman
takes the money and promises that the job will be done next week.
Norman does not intend to keep his promise. In this way, Norman
has obtained property by false promise.

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5.
Acquiring Property Lost, Mislaid or Delivered by Mistake – A
person commits larceny by “acquiring property lost, mislaid or delivered by
mistake” when he or she comes into control of property of another that he or she
knows to have been lost, mislaid or delivered under a mistake as to the nature or
amount of the property or the identity of the receiver, and intending to deprive the
owner of the property, and he or she fails to take reasonable measures to give
the property to a person entitled to it.
Example: Jane discovers a mislaid purse in the restroom of a
department store. She picks up the purse and walks out of the
store with it. Later, she examines the contents and discovers
money as well as the owner’s identification. She does not take any
reasonable measures to return the purse to the rightful owner.
6.
Issuing a Bad Check – A person has committed this subdivision
when he or she has also committed the crime of “Issuing a Bad Check,” NYS
Penal Law 190.05. This crime is completed when a person, or their
representative, issues or passes a check knowing that there are insufficient funds
to cover it, and they intend or believe the institution will refuse payment, and the
institution refuses the payment.
Example: Louie writes a check to cover the cost of purchasing a
coat; however, Louie is aware that he has insufficient funds to
cover the purchase of the coat.
7.
Extortion – A person obtains property by “extortion” when he or
she causes another person to deliver such property to himself/herself or a third
person by means of placing him/her in fear that, if the property is not delivered,
he or she or another will engage in a particular conduct.
Extortion is the obtaining of another’s property by the wrongful use of
fear. The various threats that are used to instill fear to obtain another’s property
are as follows:
•
•
•
•
•
•

Cause damage to property;
Cause physical injury to some person in the future;
Engage in other conduct constituting a crime;
Accuse some person of a crime or cause criminal charges to be
instituted against him/her;
Expose a secret or publicize an asserted fact, whether true or false,
tending to subject some person to hatred, contempt or ridicule;
Cause a strike, boycott or other collective labor group action injurious
to some person’s business;

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•
•
•

Testify or provide information or withhold testimony or information with
respect to another’s legal claim or defense;
Use or abuse one’s position as a public servant by performing some
act within or related to one’s official duties, or by failing or refusing to
perform an official duty, in such manner as to harm some person;
Inflict any other harm which would not benefit the actor, but which is
calculated to harm another person materially with respect to his/her
health, safety, business, career, financial condition, reputation or
personal relationship.
Note: Extortion is not a NYS Penal Law offense. When larceny by
extortion is committed, the correct charge is Grand Larceny.

Petit Larceny – Misdemeanor (Penal Law 155.25)
Petit Larceny, misdemeanor, is defined as the stealing of property. This
section is used when the value of the property stolen is $1,000.00 or less and
does not fall within any of the special felony categories.
Grand Larceny – Felony (Penal Law 155.30, 155.35, 155.40, 155.42)
Grand Larceny, felony, can be committed in several ways. Grand
Larceny, felony, occurs when a person steals property and when:
•
•
•
•
•
•
•
•
•
•

The property is a motor vehicle (car, truck, bus, but not a motorcycle),
with a value over $100.00; or
The property consists of a religious item with a value of $100.00 or more
which is kept for or used in connection with religious worship in a building
or structure used as a place of religious worship; or
The property consists of an access device which the person intends to
use unlawfully to obtain telephone service; or
The property consists of a credit card or debit card; or
The property consists of a gun (firearm, rifle, or shotgun); or
The property consists of a public record, writing or instrument kept, filed
or deposited according to law with or in the keeping of any public office or
public servant; or
The property is valued at an amount over $1000.00; or
The property, regardless of its value or nature, is taken by means of
extortion; or
The property consists of secret scientific material.
The property, regardless of its value or nature, is taken from the person
of another. (This includes “pick-pocketing” and “chain-snatching” where no
injury is involved).

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Note: When a person attempts but does not complete this crime,
Attempted Grand Larceny is charged. When larceny from a
person is attempted, the crime of Jostling (misdemeanor) may
also be charged. Jostling is defined as intentionally and
unnecessarily placing one’s hands in the proximity of a person’s
pocket or handbag; or crowding a person while another places their
hands in the proximity of another person’s pocket or handbag.
Distinguishing Between Grand Larceny and Petit Larceny
As every experienced police officer knows, the difference between Grand
Larceny and Petit Larceny must be determined by asking the following three (3)
basic questions: What type of property was stolen?
1.
2.
3.

What type of property was stolen? (Car, watch, U.S. currency, etc.)
What was the value of the property? ($ value of property stolen)
What method did the thief use to steal the property? (Extortion,
trespassory taking, from the person, etc.)
Example: A man approached a police officer and asked: “Can you
help me? I’ve just been ripped off.” The officer asked, “What
exactly was stolen?” The man replied, “My laptop computer.” The
officer then asked, “How much was the computer worth?” The man
responded “I paid $1,600 for it.” Finally, the officer asked “How was
it stolen?” and the man said “I left the lap top computer in the trunk
of my car last night, and this morning I discovered that the trunk
was broken into and the computer was gone.” In this case, the
answer to the officer’s second question has determined that a
Grand Larceny has occurred, because the computer is valued at
over $1000.

Note: You must conduct as thorough an investigation as possible.
Questions should be asked to clear up any confusion, to ascertain facts,
and to aid in the apprehension of perpetrators.

ROBBERY (PENAL LAW ARTICLE 160)
Robbery is a serious concern to both communities and police, due to the
inherent danger of the crime and the immediate threat or use of force involved.
You must remember to use extreme caution when responding to a Robbery in
progress and that sometimes (if not the first responder) it may be wise to patrol
the perimeter of the scene, especially train stations or parks, rather than go
directly to the scene (the perpetrator may have already fled the scene and may
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be attempting to escape unnoticed). The following information describes the
crime of Robbery.
Robbery – Felony (Penal Law 160.05, 160.10, 160.15)
Simply stated, Robbery, always a felony, is the forcible stealing of
property from another person. Robbery is committed when, in the course of
committing a larceny, a person attempts, uses, or threatens the immediate use
of physical force upon another person in order to:
•
•
•

Prevent or overcome resistance in the taking of the property; or
Prevent or overcome resistance in the retention of the property; or
Compel the owner to give the property, or another to assist in the taking of
the property.

Distinguishing Between Larceny and Robbery
Consider the following scenario:
If John puts his $80 watch on a table and Joe steals it, the crime would be
Petit Larceny, misdemeanor. However, if John had the watch in his possession,
and Joe forced John to give it to him by saying, “give me the watch or I’ll break
your neck,” the crime would be Robbery, felony. What is the important
difference? The important difference is the use or threatened immediate use
of force against a person.
In both examples Joe obtained the property. In the first situation, Joe did
not use or threaten the immediate use of force against John, so it was larceny.
In the second example, Joe threatened the immediate use of force against John
thereby making the act a Robbery.
Note: See Legal Bureau Bulletin Vol. 2, No. 5 for “Guidelines to
Differentiate between Robbery and Grand Larceny.”
Elements of Robbery
In Robbery, the force to the person cannot be threatened in the future. It
must be in the present or immediate.
Example: Joe said, “Give me the watch or I’ll break your neck next
week,” and John then gave Joe the watch. The crime would not be
Robbery, but Grand Larceny (by extortion).

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In Robbery, the force must be to the person. If the threat of force
involved damage to property, immediate or future, the crime is Larceny, not
Robbery.
Example: If Joe had said to John, “give me the watch or I’ll burn
your house down,” it would be Grand Larceny by extortion, because
the threat is not against a person.
Note: Knowing the degrees of Robbery is not as important as
knowing the elements of a Robbery. The proper charge will be
determined once the prisoner is brought to the precinct. The issue
to keep in mind is that all Robberies, no matter what the degree,
are felonies.
•

In Robbery, a weapon is not required. A verbal threat is sufficient to
constitute immediate force.

•

An injury to the victim or non-participant is not required for a Robbery. If
an injury does occur, additional charges may apply.

•

Robbery is an intentional crime. Therefore, if the crime is not completed
(the property not taken), Attempted Robbery is the appropriate charge.
Note: Keep in mind that only persons can be robbed. The
statement “My house was just robbed” is legally incorrect; people
are robbed, houses are burglarized.

CRIMINAL POSSESSION OF STOLEN PROPERTY
(PENAL LAW 165.40, 165.45, 165.50, 165.52, 165.54, 165.55, 165.60, 165.65)
In the previous pages, the offenses of Petit Larceny, Grand Larceny, and
Robbery have been discussed. Those offenses involve the taking of someone
else’s property. This crime examines the charge for possessing property that
has been stolen.
Criminal Possession of Stolen Property – Generally
A person is guilty of the offense of Criminal Possession of Stolen Property
(CPSP) when he or she knowingly possesses stolen property with the intent to:
1. Benefit himself or herself or a person other than an owner of the
property; or

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2. Prevent the recovery of property by its owner.
Note: It is not necessary to prove that the person being charged with
this offense actually stole the property. All that is necessary is that the
person “knowingly possesses stolen property.”
Definition of “Knowingly”
A person knowingly possesses property when he or she:
•

Knows (is aware of) that he or she possesses the property; and

•

Knows (is aware of) the property is stolen.

Criminal Possession of Stolen Property – Misdemeanor
(Penal Law 165.40)
The misdemeanor charge of Criminal Possession of Stolen Property is
based strictly on the dollar value of the property taken. It occurs when the value
of the property is $1,000.00 or less.
Criminal Possession of Stolen Property – Felony (Penal Law 165.45, 165.50,
165.52, 165.54)
There are several ways that Criminal Possession of Stolen Property,
felony, may be committed. Criminal Possession of Stolen Property, felony, is
committed when a person is in possession of stolen property and:
•

The property consists of a motor vehicle other than a motorcycle that
has a value of $100.01 or more. If the property is a motorcycle, the value
is the same as any other piece of property (it must be over $1,000.00 for
the felony); or

•

The property consists of a religious item of property having a value of
$100.00 or more kept for or used in connection with religious worship in
any building or structure used as a place of religious worship; or

•

The property consists of a credit card, public benefit card, debit card;
or

•

The property has a value of an amount over $1,000.00; or

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•

The property is in the possession of a collateral loan (pawn) broker or
one who is in the business of buying, selling or otherwise dealing with
property; or

•

The property consists of one or more firearms, rifles or shotguns, as
defined in Section 265.00 of the Penal Law (a gun).

THEFT OF SERVICES (PENAL LAW ARTICLE 165.15)
Overview
While Larceny and Robbery involve the unlawful taking of property, Theft
of Services involves the unlawful obtaining of a service (not property). A
person can be guilty of Theft of Services in one of the following eleven ways:
1. Intentional use of a stolen credit card or debit card to obtain a service;
2. Avoiding payment for restaurant, hotel or motel service or similar
hospitality type service;
3. Avoiding payment for transportation services;
4. Avoiding payment for telecommunications services;
5. Intentionally avoiding payment for telephone services by an access
device;
6. Avoiding payment for metered services;
7. Knowing accepting or receiving the use and benefit of services which
should pass through a meter but have been diverted or altered;
8. Intentional tampering with public utility service to receive these
services without consent;
9. Intentionally avoid payment for admission to a theatre or concert hall
or mechanical, ski-related lifting devices;
10. Wrongful use of commercial labor, equipment or facilities;
11. Intentional avoidance of payment for the use of a computer or computer
services.
Although there are many other services that can be obtained illegally, you
can only charge an individual with Theft of Services if it specifically relates to one
of the eleven ways that are discussed in detail below. Generally, these offenses
are misdemeanors except as noted.
Note: An attempt to commit Theft of Services completes the offense.

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Theft of Services Defined – NYS Penal Law 165.15
1.
Intentional Use of a Stolen Credit Card or Debit Card. With
intent to defraud, a person obtains or attempts to obtain a service; gets or
attempts to get the supplier of a service already given to receive payment by a
credit card or debit card which he or she knows to be stolen.
Note: Any type of service satisfies the statute, as long as the
method used to obtain the service is the stolen credit card or debit
card.
2.
Avoiding Payment for Restaurant, Hotel, or Motel Services.
With intent to avoid payment for restaurant services; or for services given to him
or her as a temporary guest at a hotel, motel, inn or similar place, a person
avoids or attempts to avoid payment by failure or refusal to pay or by stealth
(leaving or attempting to leave secretly and unnoticed); or any misrepresentation
of fact which he or she knows to be false.
Note: A person who fails or refuses to pay for such services is
presumed to have intended to avoid payment. However, refusing
to pay for a legitimate reason (e.g., a fly in the soup) is a civil-not a
criminal-matter.
3.
Avoiding Payment for Transportation Services. With intent to
obtain railroad, subway, bus, air, taxi, or any other public transportation service
without payment of the lawful charge, a person obtains or attempts to obtain such
service or avoids or attempts to avoid payment by force, intimidation, stealth,
deception, or mechanical tampering, or by wrongful failure or refusal to pay.
4.
Avoiding Payment for Telecommunications Services. With
intent to avoid payment by himself or herself, or another person, for the lawful
charge of a telecommunications (e.g., telephone, telegraph, etc.) service,
including cable television service, a person obtains or attempts to obtain such
service or avoids or attempts to avoid payment by him or herself or another
person (e.g., telephone, telegraph, etc.) or the supplier:
•
•
•
•

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Whether by mechanical, electrical, acoustical, or other means;
or
By any misrepresentation of fact which he or she knows to be
false; or
By any other artifice, trick, deception, code or device; or
By offering for sale a descrambling or decoding device for cable
television.

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Note: Theft of cable television service having a value not in excess
of $100 is a VIOLATION for the first offense of this section. Theft of
cable television service having a value over $100, or a previous
conviction of theft of cable television service, is a misdemeanor.
5.
Intentionally Avoiding Payment of a Telephone Service by an
Access Device. With intent to avoid payment by himself or herself, or another
person, for the lawful charge of any telephone service he or she:
•
•
•

Sells, offers for sale, or otherwise makes available, without
consent, an existing, cancelled or revoked access device; or
Uses without consent an existing, cancelled, or revoked access
device; or
Knowingly obtains any telecommunications service with
fraudulent intent by use of an unauthorized, false or fictitious
name, identification, telephone number, or access device.

Note: If the theft of telephone services is in excess of $1,000 or if
there is a previous conviction of subdivision "A," within five (5)
years, the Theft of Services is a felony.
6.

Avoiding Payment for Metered Services.
•
•
•

With the intent to avoid payment by himself or another person
for a future or currently provided service, in which the cost is
measured by a meter or other mechanical device, or
A person tampers with such device, or with other equipment
related to the device; or
Attempts in any manner to prevent the meter or device from
doing its job without the consent of the supplier of the service

Presumptions:
•

A person who tampers with such device or equipment is
presumed to do so with the intent to avoid, or to enable another
to avoid, payment for the service received.

•

Proof that a meter or related equipment has been tampered with
shall be presumptive evidence that the person who is being
supplied with service has, with the intent to avoid payment for
the service, created or caused to be created the tampering.

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7.
Wrongful Use and Benefit of a Service. A person knowingly
accepts or receives the use and benefit of a service (including gas, steam or
electricity):
a. Which should pass through a meter but has been diverted; or
b. Which has been prevented from being correctly shown by a
meter provided; or
c. Which has been diverted from the pipes, wires or conductors of
the supplier.
Presumption:
•

8.

Proof that services have been intentionally diverted or have
been intentionally prevented from being correctly registered in,
or have been intentionally diverted from the pipes, wires or
conductors of the suppliers, shall be presumptive evidence that
the person who accepts or receives the use and benefit of such
service has done so with knowledge that the condition existed.

Intentional Tampering With Public Utility Services
a. With the intent to obtain, without the consent of the supplier,
gas, electricity, water, steam or telephone services, or
b. A person tampers with any equipment designed to supply or
prevent the supply of such service either to the community in
general or to particular places.
Note: While tampering with a meter or disconnecting a meter is
considered Theft of Services, once the meter has measured a
service, the crime would then be a larceny offense.
Example: Robert took a long extension cord and plugged it into an
outside outlet that was attached to his neighbor’s garage. He then
connected the extension cord to his refrigerator for an entire year.
If the amount that his neighbor’s electric bill increased was $125,
Robert would be charged with Petit Larceny (because of the dollar
value).

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9.
Intentional Avoidance of a Lawful Charge for Admission to a
Theatre or Concert Hall or Mechanical Transportation Device Utilized in
Assisting Skiers.
Note: Theft of Services under this subdivision is a violation for the
first offense; after a conviction for this subdivision, a subsequent
arrest for this offense will become a misdemeanor charge.
a. With intent to avoid payment for the lawful charge for admission
to any theatre or concert hall; or
b. With intent to avoid payment for the lawful charge for admission
to a chairlift, gondola, rope tow or similar mechanical
transportation device used to assist skiers, a person obtains or
attempts to obtain such admission without payment of the lawful
charge.
10.

Improper Use of Commercial Labor, Equipment or Facilities.
a. With intent to get (for himself or a third person) a commercial or
other major benefit by obtaining or having control over labor in
the employ of another person; or
b. Of business, commercial or industrial equipment or facilities of
another person; or
c. A person uses or diverts to the use of himself or a third person,
any such labor, equipment or facilities, even though he knows
he is not allowed to use it.

11.
Intentional Avoidance of Payment for the Use of a Computer or
Computer Services.
With intent to avoid payment by himself or another person of the
lawful charge for the use of any computer or computer service
which is provided for a charge or compensation, he uses, causes to
be used or attempts to use a computer or computer service and
avoids or attempts to avoid payment thereof.
Note: Article 156 of the NYS Penal Law defines acts that constitute
“Offenses Involving Computers.”
Note: If a service that does not fall into the above eleven (11)
categories is stolen it is not Theft of Services and is most likely a
civil matter.

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TRESPASS, CRIMINAL TRESPASS AND BURGLARY
(PENAL LAW ARTICLE 140)
New York State Penal Law Article 140 contains offenses describing
unlawful entry upon another’s property. In an attempt to reduce indents of the
crime of Burglary, it is important that the police take an active role in educating
the public. The community-policing officer conducting crime prevention surveys
on his or her beat can accomplish this. It should be recognized that combating
burglary must be a group effort by the police and the community. We must work
together to prevent burglaries before they occur.
Definitions of Terms:
Premises – includes a “building” and any real property.
Building – in addition to its ordinary meaning includes any structure,
vehicle, or watercraft:
•
•
•
•

Used for overnight lodging of persons; or
Used by persons for carrying on business therein; or
Used as an elementary or secondary school; or
An enclosed motor truck, or enclosed motor truck trailer.

Where a building consists of two or more units, each unit is a separate
building and part of the main building. In addition, the main building is
another building by itself.
Dwelling – A dwelling is a building that is usually occupied by a person for
overnight lodging.
Enter or Remain Unlawfully – a person enters or remains unlawfully in or
upon a premise when he is not licensed or privileged to be there, and it
includes such conduct as:
•
•
•

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Without regard to intent, enters and remains upon property after
a lawful order not to remain has been personally communicated;
or
Entering property (not enclosed by a fence or other means to
exclude people) where “ No trespassing,” signs are posted in a
visible manner; or
Entering property when it is enclosed in a manner designed to
exclude people; or

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•
•

Gaining admittance to premises through intimidation, deception,
or trick; or
Entering and remaining in or about a school building without
written permission, or without legitimate reason, which includes
being responsible for the custody and or care of a pupil of the
school, without legitimate business or purpose relating to the
operation of the school.

Trespass – Violation (Penal Law 140.05)
This offense is committed when a person knowingly enters or remains
unlawfully in or upon premises. As a practical matter, it would apply to unfenced
land, or an open and abandoned building in a complete state of disrepair.
Example: Joe, while hunting in upstate New York, decides to
ignore the "No Trespassing" signs on Ed’s land.
Criminal Trespass – Misdemeanor (Penal Law 140.10, 140.15)
A person commits Criminal Trespass, misdemeanor:
1.
When he knowingly enters or remains unlawfully in a building or
upon fenced real property (real estate) or property enclosed in a manner
designed to keep people out.
2.
When a person knowingly enters or remains unlawfully in a building
that is an elementary or secondary school or a children's overnight camp or
summer day camp and such entry is:
a. In violation of clearly posted rules or regulations concerning
entry; or
b. In violation of a personally communicated request to leave the
premises from a principal, custodian, or other person in charge;
or
c. Where building is used as a public housing project; or
d. Where rules or regulations are conspicuously posted governing
the entry and use thereof: or
e. Where a request to leave the premise is personally
communicated by a police officer or other person in charge.

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3.
Where the property consists of a right-of-way or yard of a railroad
or rapid transit railroad that has been designated and conspicuously posted as
a no-trespass railroad zone, pursuant to section 83(b) of the Railroad Law, by the
city or county in which such property is located.
Examples of Criminal Trespass – Misdemeanor:
•
•
•
•

A male climbs over a six-foot fence onto the property of someone
else without permission of the owner.
A person enters a building (where he does not live) by slipping in
behind one of the residents who lives in the building.
A person who does not have any children in a school enters the
school building and wanders around the hallways. A sign clearly
states that all unauthorized persons must keep out of the school.
John, who continuously sleeps in a housing project hallway, has
been arrested because he failed to leave the premise when
requested to do so.

Criminal Trespass – Felony (Penal Law 140.17)
1.
A person commits Criminal Trespass, felony, when he knowingly
enters or remains unlawfully in a building, and one or more of the following
factors are present, he or she:
a. Possesses or knows that another participant in the Criminal
Trespass possesses an explosive or deadly weapon; or
b. Possesses a firearm, rifle, or shotgun (as defined in NYS Penal
Law Article 165) and has ammunition that is readily available
and capable of being used in the weapon; or
c. Knows that another participant in the Criminal Trespass
possesses a firearm, rifle or shotgun, and has the ammunition
readily available.
Premises Open to the Public
A person may lawfully enter or remain in premises open to the public (i.e.,
department store open for business) notwithstanding his intent. However, being
in the department store would become Criminal Trespass when the store
manager or some other authorized person tells the individual to leave, and the
person refuses to do so. Additionally, the privilege to enter the store can be
revoked. If at any time the person who has had the privilege revoked reenters or

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remains in the store, he would be committing Criminal Trespass. You should
also be aware that there are certain areas of a store or a business that are not
open to the public (e.g., a sign on a particular door indicating "authorized
personnel only"). Entering or remaining in these areas without authorization
would also give rise to a charge of Criminal Trespass.
Note: See Legal Bureau Bulletin Vol. 1, No. 18 for more information on
Criminal Trespass.
Burglary – Felony (Penal Law 140.20, 140.25, 140.30)
When a trespass occurs in a building and the trespasser possesses an
intent to commit a crime (any crime) in that building, a Burglary can be
charged.
What is Not a Building?
Would you consider an abandoned building in a state of disrepair or a
building in the early stages of construction, a building? What about a telephone
booth? In New York, all of these have been held not to be buildings for purposes
of the Burglary statute. Also, an abandoned building in a total state of disrepair
would not be considered a building for the offense of Burglary, and likewise, is
generally not one for the purpose of Criminal Trespass. However, an abandoned
structure is considered a building for the purposes of Arson.
What About the Crime Inside?
The crime intended need not be a larceny, although most involve the theft
of property. The intent to commit any crime in the building is enough to make a
Criminal Trespass of a building into a Burglary.
Example: Dave climbs up a fire escape and goes through the open
window of Linda’s apartment. While inside, Dave destroys Linda’s
computer because she won’t e-mail him anywhere.
In this example, Dave has entered and remained unlawfully with intent to
commit the crime of Criminal Mischief (discussed in upcoming pages). It is
important to note that in order to charge Burglary the intended offense must be a
crime.
Note: When the suspect commits the other intended crime inside,
he can be charged with two crimes; the Burglary plus the intended
crime.

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Example: A burglar who enters an apartment to steal items of value; TV
sets, cash or jewelry. When he steals the property, he has committed two
crimes:
1. Burglary (he entered the apartment with the intent to commit a
larceny therein).
2. Larceny of the TV set, felony or misdemeanor, depending upon
the value of the set.
Possession of Burglar’s Tools – Misdemeanor (Penal Law 140.35)
This offense involves the possession of a tool, instrument, or article under
circumstances showing the intent to use such tool, instrument, or article to
commit or facilitate an offense involving:
a. Forcible entry into premises; or
b. Offenses involving larceny by physical taking; or
c. Theft of Services relating to telephones or meters of any kind.
Example: Tools which would be designed or commonly used to break
into premises or safes, or for facilitating the theft of autos or money from
telephones coin boxes, or Theft of Services of gas or electricity by
tampering with the meters, would all constitute burglar’s tools.
Question:

Do you think a credit card could be a burglar’s tool?

Answer:

Yes, since it could be used to slip a spring lock on a door.

Another example of a common item, which is used in burglaries, is a
wooden toothpick; they are commonly used by burglars to prevent a person from
unlocking his door while the burglar is inside.
The important thing to remember is that a burglar’s tool must be
possessed with the intent to use it for either the commission of larceny by
physical taking, for a forcible entry into premises, for committing specific
Theft of Services offenses (see P.L. 165.15, subs. 4, 5, and 6), or with the
knowledge that someone else intends to use it to commit such an offense (or an
accessory to the offense). Mere possession of a screwdriver, crowbar, claw
hammer, etc., is not enough to justify the arrest of a suspect. Found by
themselves, they are not burglar’s tools. The circumstances under which
burglar’s tools are discovered will determine whether possession of such
amounts to a crime.

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CRIMINAL MISCHIEF
(PENAL LAW ARTICLE 145)
As a police officer, much of your time will be spent addressing quality of
life issues. One of the crimes that affect the community is Criminal Mischief. It
will be your responsibility to develop innovative strategies to effectively control
this problem. The police officer will not undertake this task alone. It is essential
that the members of the community work in conjunction with the officer in order to
achieve this common goal.
Criminal Mischief – Misdemeanor (Penal Law 145.00)
Criminal Mischief, misdemeanor, is committed when a person:
1. Intentionally damages property belonging to another and the amount of
the damage is $250.00 or less; or
2. Intentionally participating in the destruction of an abandoned building;
or
Note: The building being destroyed must be at least a three (3)
family house to be included in this section of the law.
3. Recklessly damages property of another in an amount exceeding
$250.00 ($250.01 or more).
Note: If the value of the property which is recklessly damaged is
$250.00 or less, no offense has been committed. It is a civil matter.
Criminal Mischief – Felony (Penal Law 145.10, 145.12)
Criminal Mischief, felony, is committed when a person:
a. Intentionally damages the property of another in an amount
exceeding $250 ($250.01, or more);
Example: Lucy, who is mad at John, intentionally damages
John’s car with a sledgehammer causing more than $300 in
property damage. Lucy could be charged with Criminal
Mischief, felony.
OR

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b. Intentionally damages the property of another by means of an
explosive.
Example: A disgruntled telecommunications employee, who is
on strike, climbs up a telephone pole and attaches a stick of
dynamite to the wires. After climbing down, he sets off the
dynamite and causes $200 worth of damage.
Note: There is no dollar amount required for this subdivision.
Note: If a person intentionally injures or kills a police animal while the
animal is performing duty under the supervision of a police or peace
officer, that person can be charged with Killing or Injuring a Police
Animal (PL 195.06)- which is a class A misdemeanor - in addition to
Criminal Mischief.

ARSON (PENAL LAW 150.00)
Arson is a crime against property, but innocent lives may be put at risk.
The person acting criminally with a flammable liquid is as dangerous as an
individual carrying a loaded gun. Combating Arson is a difficult task because the
arsonist may only be armed with chemicals that are commonly possessed by the
average person. Additionally, the fire itself may destroy the physical evidence of
the crime.
The crime of Arson is classified as either a felony or a misdemeanor. The
felony involves the damaging of a building or motor vehicle by fire or
explosion. The misdemeanor involves the damaging of any property by fire or
explosion.
The uniformed officer is usually the first to respond to an arson scene.
Accordingly, he or she will have the first responsibility to recognize, protect, and
preserve the Arson crime scene. The facts and circumstances the officer
observes at the scene may establish probable cause to make an arrest.
Definitions of Terms
Building – in addition to its ordinary meaning, includes any structure,
vehicle, or watercraft used for the overnight lodging of a person, or is used by
persons for carrying on business therein, or is used as an elementary or
secondary school; or when such vehicle is an enclosed motor truck, or enclosed
motor truck trailer.

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For purposes of Arson, where a building consists of two or more units
separately secured or occupied, each unit is not considered to be a separate
building. In other words, for Arson, a building that has multiple dwellings counts
as only one building. In contrast, if more than one unit is burglarized, then each
unit would carry separate Burglary charges. Also, an abandoned building is
considered a building under its ordinary meaning for the Arson offenses only.
A person may be charged with Arson, felony, even if he damages his own
building or motor vehicle by fire or explosion. However, for Arson, misdemeanor,
the property must be owned by another person and damaged without the
consent of the owner.
Motor Vehicle – Includes every vehicle operated or driven upon a public
highway which is propelled by any power other than muscular power, except (a)
electrically-driven invalid chairs being operated or driven by an invalid; (b)
vehicles which run only upon rails or tracks; and (c) snowmobiles as defined as
defined in Article 47 of the Vehicle and Traffic Law.
Damage Caused by Fire or Explosion – In order to charge Arson, the
fire or explosion need not be set in or against the building, or any other property.
It is enough for a charge of Arson that a fire or explosion causes damage to
property. Any amount of damage, even the slightest charring, is enough for a
charge of Arson.
Fire or Explosion to Property – A fire or explosion that causes damage
to property other than a motor vehicle, or real estate other than a building, would
constitute Arson, misdemeanor. Damage by fire or explosion to property
specifically consisting of a motor vehicle or building would constitute Arson,
felony. If the Arson causes or results in the death of a person, the arsonist could
be charged with murder in the 2nd degree, under the “felony murder rule.”
Arson – Felony (Penal Law 150.05 – 150.20)
Arson, felony, may be committed two ways:
1. A person recklessly damages a building or a motor vehicle by
intentionally starting a fire or causing an explosion.
2. A person intentionally damages a building or a motor vehicle
by intentionally starting a fire or causing an explosion.

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Note: If, at the time the person sets the illegal fire or explosion, he
knows, or the circumstances are such that it is probable that
another person is in the building or motor vehicle, and that a nonparticipant is actually in the building or motor vehicle, he would be
charged with a higher degree of Arson, felony.
Note: If the damage (by fire or explosion) was inflicted to the
criminal’s own building or motor vehicle, Arson, felony, may still be
charged.
Arson – Misdemeanor (Penal Law 150.01)
Arson, misdemeanor, is committed when a person intentionally damages
property of another without consent of the owner by intentionally:
a. Starting a fire; or
b. Causing an explosion.
Notes:
•

This property could be any property. This property could include a
building or a motor vehicle, but for our purposes, we’ll consider this
property as anything other than a building or a motor vehicle.

•

For Arson, misdemeanor, to be charged, the property must be of
another and without consent of the owner to damage such property.

When a person commits a Criminal Mischief offense where he or she
intentionally damages property (other than a building or a motor vehicle), and this
damage is inflicted by intentionally starting a fire or causing an explosion, Arson
misdemeanor and Criminal Mischief may both be charged. Specifically, for the
Criminal Mischief charge, if the damage to property (other than a building or a
motor vehicle) is sustained by fire, the amount of monetary loss will dictate
whether to charge the misdemeanor (up to and including $250.00 in damage) or
the felony (over $250.00 in damage). If the damage to property (other than a
building or a motor vehicle) is sustained by causing an explosion, Criminal
Mischief, felony and Arson, misdemeanor would be charged.

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Theft Offenses and Property Crimes
HOMEWORK
1) List and define the forms of larceny.
2) Compare and contrast:
a. Larceny and Robbery
b. Trespass and Burglary
c. Criminal Mischief and Arson
3) Define:
a. Building
b. Dwelling
4) How can a person enter and remain unlawfully?

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Weapons

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT WEAPONS?
The major reason for you to know about weapons involves your primary
responsibility to protect life. In New York City, and across the United States,
people – including police officers – are injured or killed as a result of unlawful
possession and use of weapons. Thus, it is critical that you learn about
weapons, their capabilities, how to detect them, and how to protect yourself and
others against them. You will learn much of this in the physical training and the
firearms and tactics components of this curriculum.
The purpose of this chapter is somewhat different, however. This chapter
is designed to help you to understand weapons laws and classification, and the
procedures to follow when you come in contact with weapons, through arrests,
seizures, and surrenders. Thus, this is not quite a life or death chapter in the
same sense as your training in firearms, tactics, and self-defense, but it is
extremely critical nonetheless. When police do not know how to recognize,
classify, handle, and process weapons in their custody, criminals – including
murderers – go free for reasons that have nothing to do with the question of
whether they actually committed the crimes with which they have been charged.
That is unacceptable: it puts dangerous people back onto the streets and violates
our primary responsibility to protect life.

WEAPON LAWS IN NEW YORK STATE
As you will discover, should you elect to purchase an off-duty pistol, the
legislators of New York State and New York City have given us the nation’s most
comprehensive and restrictive weapons laws. Despite these laws and despite
the great reductions in violent crime we recently have experienced, we still suffer
from an unacceptable rate of weapons-related violence, particularly involving
handguns. The major explanation for this is that, while it is extremely difficult to
legally purchase handguns in New York State, it is very easy to buy handguns in
other states with far less restrictive handgun laws, and to transport them here.
Statistics show, year after year, that the great majority of handguns carried by
criminals and used by criminals against our citizens – more than 90 percent of
the guns we seized – originated in gun shops from Virginia, the Carolinas,
Georgia, and Florida. These firearms were purchased there by people who
presented minimal credentials and then transported them to New York, as part of
a black market that too often taken the lives of innocent persons and our brother
officers. Both New York and the District of Columbia – which also has extremely

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restrictive weapons laws – are victims of this illegal weapons traffic, and it is
incumbent on you to know all you can about NYS weapon laws and the devices
they regulate and ban.
Deadly Weapons and Dangerous Instruments
The major weapons-related distinction drawn in our laws is between
deadly weapons and dangerous instruments. This is explained in detail later in
this chapter but for now, understand this basic difference:
Deadly weapons generally are devices that have no purpose other than
to hurt or to kill people. You can think of such devices: metal knuckles, for
example, have no other purpose than to break somebody’s bones. Nobody who
carries a switchblade knife does so to be ready to carve the Thanksgiving turkey.
Nobody owns a blackjack – a ball of lead wrapped into a leather handle – to
hammer nails. These are thug’s weapons, designed only to hurt people. The
law recognizes this, and makes it a crime merely to possess any of them. When
people are caught in possession of one of these devices, it does not matter what
they tell the judge about why they were carrying it. The law presumes, in effect,
that they could only have been carrying it to hurt people, and that they therefore
have committed a crime.
Unless one has a permit, a law enforcement officer’s shield, or some other
legal exemption, concealable firearms, like pistols, also are considered deadly
weapons. These are devices that are designed to hurt people and, in New York,
only law enforcement personnel and a few others who can show that they need
them for purely legitimate defensive purposes, like cops and others involved in
high-risk businesses, are permitted to own or carry them. Also in this category
are machine guns.
Dangerous instruments typically are devices that do have legitimate
purposes, so that it normally is legal to possess them. But it is a crime to
possess or use them only under circumstances that indicate intent to use them to
hurt, kill, threaten, or frighten others. Under normal circumstances, it is not a
crime to possess a baseball bat, for example, because its usual purpose is to
provide good, clean fun. Anybody who uses a bat to assault another person,
however, would be charged not only with assault, but also with criminal
possession of a weapon because he or she had used the bat under
circumstances indicating intent to use it to hurt another person. In the same way,
using an ordinary penknife to rob and/or stab someone would add a weapons
possession charge to whatever one had done with it (e.g., robbery, assault,
attempted murder, murder). Thus, the dangerous instrument category can
include virtually any everyday object – screwdrivers, ice picks, bats, hammers,

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chains, wooden bars, jack handles, crowbars, axes – carried or used to commit a
crime against other people.
Current Law
In August of 1980, the New York State Legislature passed laws
regarding the possession, sale, and use of firearms, as well as assaults on police
officers involving firearms. This legislation increased penalties for the illegal
possession of firearms mandating jail terms in some cases. The possession or
use of a firearm during violent felonies calls for mandatory imprisonment upon
conviction. Whenever a firearm is used or possessed during the commission of a
crime, an additional charge from Article 265 of the Penal Law would also be
appropriate.
In November 2000, the Gun Reform Package was signed into law. These
laws sought to ban all assault weapons. As a result, possession of an assault
weapon or a large capacity ammunition-feeding device amounts to a class “D”
felony. By requiring purchaser background checks before sales at gun shows,
this legislation also makes it more difficult to purchase a gun. It also requires the
purchase of a gun-locking device with the purchase or transfer of all firearms,
rifles, or shotguns.
Article 265 of the Penal Law addresses weapon offenses. Generally
speaking, these offenses involve the illegal possession, use, sale, manufacture,
or alteration of weapons. Difficulty may arise because of the various definitions
of similar language. It is extremely important that you understand the listed
definitions, so that you avoid errors in classification. (Note: In this chapter,
Criminal Possession of a Weapon will occasionally be referred to as CPW.)
Definitions of Terms
Firearm:
a) any pistol or revolver; or
b) a shotgun having one or more barrels less than 18 inches in length; or
c) a rifle having one or more barrels less than 16 inches in length; or
d) any weapon made from a shotgun or rifle whether by alteration,
modification, or otherwise has an overall length of less than 26 inches;
or
e) an assault weapon. The term "firearm" does not include an antique
firearm.
Note: This definition specifically excludes long guns like the rifles and
shotguns traditionally used for hunting and other sports, and not readily
concealed.

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Loaded Firearm - any firearm loaded with ammunition, or any firearm which is
possessed by one who, at the same time, possesses a quantity of ammunition
that may be used to discharge such firearm.
Deadly Weapon - any loaded weapon from which a shot, readily capable of
producing death or other serious physical injury may be discharged, a
switchblade knife, gravity knife, dagger, billy club, blackjack, metal knuckles,
pilum ballistic knife, or metal knuckle knife.
Note: Recently, some flare guns have been found to be capable of firing
shotgun cartridges, and such flare guns are to be considered firearms.
This also means that the firearm must be loaded and capable of being
fired. Do not attempt to discharge or unload any weapon you are not
qualified to handle.
Dangerous Instrument - any instrument, article or substance, including a
vehicle, which, under the circumstances in which it is used, attempted to be
used, or threatened to be used, is readily capable of causing death or other
serious physical injury.
Dangerous Weapon – This category encompasses all prohibited weapons not
specifically placed into any of the other listed categories (i.e., bomb, homemade
weapons, etc.).
Disguised Gun - any weapon or device capable of being concealed on a person
from which a shot can be discharged through the energy of an explosive and is
designed and intended to appear to be something other than a gun (i.e. a pen
gun).
Firearm Silencer - any instrument, attachment, etc., causing the firing of any
gun to be silent or with intent to lessen or muffle the noise.
Rifle - any weapon designed or redesigned and intended to be fired from the
shoulder, using a fixed metallic cartridge to fire a single projectile through a rifled
bore for each single pull of the trigger.

Machine Gun - any weapon which fires a number of shots or bullets rapidly or
automatically with one continuous pull of the trigger. This definition also includes
sub-machine guns.

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Note: Most people think of handguns as either revolvers or automatics.
In fact, what we traditionally refer to as an automatic is actually semiautomatic. A true automatic, like a machine gun or submachine gun, fires
continuously with a single pull of the trigger, so long as the trigger is held
back. A semi-automatic fires only one shot per trigger pull, as per the
definition below.
Semiautomatic - any repeating rifle, shotgun or pistol (regardless of barrel or
overall length), which utilizes a portion of the energy of a firing cartridge or shell
to extract the fired cartridge, case, or spent shell, and chamber the next round
and which requires a separate pull of the trigger to fire each cartridge or shell.
Shotgun - any weapon designed or redesigned and intended to be fired from the
shoulder, using a fixed shotgun shell that fires through a smooth bore a number
of ball-shot or a single projectile for each pull of the trigger.
Switchblade Knife - any knife which opens automatically by hand pressure that
is applied to a button, spring or other device in the knife handle.
Gravity Knife - any knife which has a blade that releases from the handle or
sheath by force of gravity, or centrifugal force, and locks in place when released.
This does not include a butterfly knife or "Balisong" knife.
Cane Sword - a cane or swagger stick having concealed within it a blade that
may be used as a sword or stiletto.
Electronic Dart Gun - any device designed primarily as a weapon, the purpose
of which is to momentarily stun, knock out, or paralyze a person by passing an
electrical shock to such person by means of a dart or projectile.
Chuka Stick - any device designed primarily as a weapon, consisting of two or
more lengths of a rigid material jointed together by a thong, rope, or chain in such
a manner as to allow free movement of a portion of the device while held in the
hand and capable of being rotated in such a manner as to inflict serious injury
upon a person by striking or choking. These devices are also known as
nunchakas and centrifugal force sticks.

Metal Knuckle Knife - a weapon that, when closed, cannot function as a set of
metal knuckles, nor as a knife and when open, can function as both.
Electronic Stun Gun - any device designed primarily as a weapon, the purpose
of which is to stun, cause mental disorientation, render unconscious, or paralyze

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a person by passing a high voltage electrical shock to such person.
Defaced Firearm, Rifle or Shotgun - to remove, cover, alter, or destroy the
manufacturer's serial number, or any other distinguishing number, or
identification mark, for the purpose of concealment (i.e. not being able to trace
the weapon to the original owner), or prevention of the detection of a crime or
misrepresenting the identity of such firearm.
Kung Fu Star - also known as a “shirken”; it is a disc-shaped object with
sharpened points on the circumference thereof, and is designed for use primarily
as a weapon to be thrown.
Pilum Ballistic Knife - any knife that has a blade that can be projected from the
handle by a button, lever, spring, or other device.
Assault Weapon - Usually a firearm with at least two special characteristics
(flash suppresser, silencer, folding stock, grenade launcher, etc.). The complete
definition is quite in depth and can be found in NYS Penal Law section 265.
Large Capacity Feeding Device - a magazine, belt, drum, feed strip, or similar
device, manufactured after September 13, 1994, that has a capacity of, or that
can be readily restored or converted to accept, more than ten rounds of
ammunition; provided, however, that such term does not include an attached
tubular device designed to accept, and capable of operating only with, .22 caliber
rim fire ammunition.

POSSESSION
Possession – The term means: to have physical possession or otherwise
exercise control over property. This includes actual possession as well as
constructive possession.
Constructive Possession - To exercise control over property while not
physically possessing it. Examples of constructive possession: a firearm is found
in the glove compartment of an automobile in which the defendant was driving; a
blackjack is discovered in a briefcase carried by the defendant; a deadly weapon
is found in an apartment occupied solely by the defendant. The offense of
criminal possession of a weapon is broken down into a four-degree framework,
including both felony and misdemeanor sections. These sections may refer to a
certain individual weapon by name, such as chuka stick, or an overall category of
weapons such as dangerous weapons. It is, therefore, important that you
understand the difference between various categories and the relationship of the

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individual kinds of weapons to those groupings.
"Mere Possession" and "Possession with Intent to Use" as they Apply to
Criminal Possession of a Weapon Statutes:
As previously noted, this section of the Penal Law has a four (4) degree
structure. All degrees are broken down into various weapon violations delineated
under two (2) categories:
1. Mere Possession of a Weapon
2. Possession of a Weapon with Intent to Use
Mere Possession: As suggested at the beginning of this chapter, this applies to
those person(s) who possess certain listed weapons, or categories of weapons.
By simply possessing the described weapon, a person commits the crime of
"Criminal Possession of a Weapon." There is no need to show that the person
intended to use the weapon unlawfully (possessing a billy, a switchblade knife, or
blackjack).
Note: Certain types of persons, such as police officers, peace officers,
and persons in the military may possess weapons and not be in violation
of article 265 of the Penal Law.
Possession with Intent to Use: This category refers to certain weapons or
types of weapons that a person possesses, but it would not be criminal unless
the officer could show that the person possessed the weapon with the intent to
use it unlawfully.
This unlawful use can be shown by one of the two ways:
1. The circumstances in which the weapon was discovered or found
a. A person swings a golf club at another person with intent to cause a
physical injury. The golf club, a legal instrument, now becomes a
weapon.
2. The intent to use the weapon unlawfully is presumed by law.
a. The law presumes that any person in possession of a dangerous
knife or a homemade weapon possesses such weapon with the
intent to use it unlawfully against another.

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CRIMINAL POSSESSION OF A WEAPON
Criminal Possession of a Weapon in the 4th Degree - Misdemeanor
(P.L. 265.01)
Subdivision 1 - No intent is required, so that the mere possession of the
following weapons is a crime. A firearm, electronic dart gun, electronic stun gun,
gravity knife, switchblade knife, pilum ballistic knife, cane sword, billy, blackjack,
bludgeon, metal knuckles, chuka sticks, sandbag, sand club, wrist-brace type
slingshot or slungshot, shirken or kung fu star, or a metal knuckle knife.
Note: For subdivision 1, for the firearm, to charge CPW 4th Degree such
firearm, if loaded, must be inside of home or place of business; if
unloaded, such firearm may be anywhere.
Note: For subdivision 1, eight of the nine deadly weapons are included in
this subdivision. The dagger is not included but is listed in subdivision 2.
Subdivision 2 - Unlawful intent is required for certain weapons. With a dagger,
a dangerous knife, a dirk, a razor, a stiletto, an imitation pistol, or a dangerous
instrument it is required for an officer to show intent to use the weapon unlawfully
against another.
Note: Under P.L. 265.15 Subdivision 4, intent is presumed for a dagger
(dirk, stiletto), or a dangerous knife. However, intent is not presumed and
must be established through other facts for a razor, an imitation pistol, or a
dangerous instrument.
Subdivision 3 - Possession of a shotgun, rifle or firearm upon an educational
premise without authorized permission.
Subdivision 4 - Possession of a rifle or shotgun and has been convicted of ANY
felony or serious offense.
Subdivision 5 – A non-U.S. citizen possesses a dangerous or deadly weapon.
Subdivision 6 - Person certified not suitable to possess a rifle or shotgun and
refuses to yield possession of weapons to police.
Subdivision 7 - Possesses explosive bullets.
Subdivision 8 - Possesses armor-piercing ammunition with unlawful intent.
Criminal Possession of a Weapon in the 3rd Degree – Felony

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(P.L. 265.02)
Subdivision 1 - Commits subdivisions 1, 2, 3, or 5, of CPW in the 4th Degree
(the misdemeanor) and has a prior conviction of any crime.
Subdivision 2 - Possesses any explosive substance, firearm silencer, machine
gun, or any other firearm or weapon simulating a machine gun and which is
adaptable for such use.
Subdivision 3 - Possesses a defaced machine-gun, shotgun, firearm, rifle for
the purposes of concealment or prevention of the detection of a crime or
misrepresenting the identity of such machine-gun, firearm, rifle or shotgun.
Subdivision 4 - Possesses a loaded firearm, outside of home or place of
business.
Subdivision 5 - Possesses twenty (20) or more firearms, or possesses a firearm
and has a prior conviction of a felony or a penal law class (A) misdemeanor
within five (5) years. The firearms or firearm need not be loaded.
Subdivision 6 - Knowingly possesses any disguised gun.
Subdivision 7 - Possesses an assault weapon.
Subdivision 8 - Possesses a large capacity ammunition-feeding device.
Note: To charge CPW 3rd degree - felony, the machine gun, disguised
gun, or assault weapon possessed, need not be loaded.

Criminal Possession of a Weapon in the 2nd Degree – Felony
(P.L. 265.03)
With intent to use unlawfully against another, he or she:
Subdivision 1 - Possesses a machine gun.
Subdivision 2 - Possesses a loaded firearm.
Subdivision 3 - Possesses a disguised gun.

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Note: The machine gun or disguised gun need not be loaded. Therefore
intent to use can be established by the firing of such weapons and other
actions such as the pointing of the listed weapons at an individual with the
intent to place them in reasonable fear of a physical injury, serious
physical injury, or death (Menacing) Additionally, intent can be established
by the suspect’s intent to use the weapon to forcibly obtain property from
another person (Robbery).
Criminal Possession of a Dangerous Weapon in the 1st Degree - felony
(P.L. 265.04)
Possess any explosive substance with the intent to use it unlawfully against a
person or property of another.

CPW: FELONY VS MISDEMEANOR
The following is a reference chart for specific weapons and/or circumstances
and may be used to assist you in classifying a weapon offense.
Criminal Possession of a Weapon – Misdemeanor (mere possession)
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•

Billy (Bludgeon)
Blackjack
Sand bag (Sand club)
Switchblade knife
Gravity Knife
Metal Knuckles
Cane Sword
Unloaded Firearm (Loaded Firearm inside home or business)
Chuka Stick
Dart Gun
Explosive Bullets
Wrist-brace type slingshot or Slungshot
Pilum ballistic knife
Shirken or Kung Fu star
Electronic stun gun
Metal Knuckle Knife

Criminal Possession of a Weapon – Misdemeanor (possession with intent
to use unlawfully):

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The law presumes that anybody who possesses any of the following does
so with intent to use them unlawfully:
•
•
•

Dagger (Dirk, Stiletto)
Dangerous knife (“catch all” for other dangerous knives not specifically
included in the statute).
Any other weapon or instrument adapted or designed to be used primarily
as a weapon (homemade weapon).

Hence, mere possession of any of the above weapons is a misdemeanor.
Possession plus Unlawful Intent
Mere possession of the following four weapons is not enough to charge
criminal possession of a weapon 4th degree. The intent to use them unlawfully is
not presumed and must be established by other facts or circumstances. You can
recall them by keeping in mind the acronym RAID:
•
•
•
•

Razor
Armor-piecing ammunition
Imitation pistol
Dangerous instrument
Note: Mere possession of an imitation pistol, or any ammunition without a
license, is a violation of the NYC Administrative Code. Mere possession of
a razor by certain persons is also a violation of the NYC Administrative
Code. Persons found to be in violation of the NYC Administrative Code
are subject to a summons or arrest (depending on the circumstances).
See the chart later in the chapter for more information on violations of the
NYC Administrative Code.

Criminal Possession of a Weapon – Felony
It is a felony for a person to possess any of the following:
•
•
•
•
•
•

Silencer
Machine gun
Assault weapon
Loaded firearm outside of a persons home or business or anywhere with
an intent to use unlawfully
Large capacity ammunition feeding device
Defaced/ disguised firearm, machine gun, rifle, shotgun

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•
•
•

Any prior conviction of a crime
Twenty or more unlawfully possessed firearms
Explosive

PRESUMPTIONS
A presumption in law allows a police officer to infer certain elements of an
offense without the burden of providing proof. The officer is not mandated to use
these presumptions, and should exercise common sense when applying them.
Regarding weapons, presumptions assist police officers in areas of possession,
unlawful intent and defacement of firearms.
Presumptions related to weapons possession are defined in P.L. 265.15.
They include the following:
Machine Gun: When a machine gun is found in any dwelling, structure or
vehicle, it is presumed to be possessed by all persons occupying the place
where it is found.
Stolen Vehicles: Whenever any weapon listed in Sections 265.01 through
265.05 are found in a stolen vehicle, it is presumed to be possessed by all
persons in the vehicle at the time the weapon is found.
Automobiles: The presence in an automobile, other than a stolen vehicle
or a public omnibus, of any firearm, large capacity ammunition feeding device
defaced firearm, defaced rifle or shotgun, defaced large capacity ammunition
feeding device, firearm silencer, explosive or incendiary bomb, bombshell, gravity
knife, switchblade knife, pilum ballistic knife, dagger, dirk, stiletto, billy, blackjack,
metal knuckles, metal knuckle knife, chuka stick, sand bag, sandclub or
slungshot is presumptive evidence of its possession by all persons occupying
such automobile at the time such weapon, instrument or appliance is found,
except under the following circumstances:
•

If such weapon, instrument or appliance is found upon the person of one
of the occupants therein; or

•

If such weapon, instrument or appliance is found in an automobile which is
being operated for hire by a duly licensed driver in the due, lawful and
proper pursuit of his trade, then such presumption shall not apply to the
driver; or

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•

If the weapon found is a pistol or revolver and one of the occupants, who
is not present under duress, has in his possession a valid license to have
and carry it while it is concealed.

Presumptions of Unlawful Intent
Explosive Substance: A person who possesses an explosive substance
is presumed to possess it with intent to use it unlawfully against the person or
property of another.
Deadly Weapons: A person who possesses a dirk, dagger, stiletto,
dangerous knife, or any weapon designed or adapted primarily for use as a
weapon is also presumed to have intent to use it unlawfully against another.
Presumptions of Intent to Sell
The possession of 5 or more firearms by any person is presumptive
evidence that such person possessed the firearms with the intent to sell them.
Such a person may be charged with Criminal Sale of a Firearm- Felony (P.L.
265.11).
Presumption of Defacement
Any person who possesses a defaced machine gun, firearm, rifle or
shotgun is presumed to have done the defacing. Such a person may be charged
with Criminal Possession of a Weapon - Felony.

WEAPON POSSESSION BY JUVENILES
Unlawful Possession of Weapons by Persons under Sixteen - Misdemeanor
(P.L. 265.05)
It is unlawful for any person under the age of sixteen to possess the following:
•
•
•

Any air gun, spring gun, or other instrument or weapon in which the
propelling force is a spring or air, or
Any weapon in or upon which any loaded or blank cartridges may be
used, or
Any loaded or blank cartridges or ammunition therefore, or

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•

Any dangerous knife.

Juveniles in possession of any of the weapons listed above should be
arrested and charged with Juvenile Delinquency. An exception to this would be
if the possession of a rifle, shotgun, or ammunition is by the holder of a hunting
license or permit (which is issued pursuant to Article II of the Environmental
Conservation Law) and the weapon is used legally.
Unlawful Possession of a Weapon upon School Grounds - Violation
(P.L. 265.06)
It is unlawful for any person age sixteen (16) or older to knowingly
possess any air-gun, spring-gun or other instrument or weapon in which the
propelling force is a spring, air, piston or co2 cartridge in or upon a building or
grounds, used for educational purposes, of any school, college or university,
without the written authorization of such educational institution.
Example: BB gun, paintball gun, etc.
Note: NYC Administrative Code also makes it a violation for anyone to
possess an air-gun anywhere within NYC. (A.C. 10-131[b])

OTHER OFFENSES RELATING TO PUBLIC SAFETY
Unlawful Wearing of a Body Vest - Felony (P.L. 270.20)
A person may be charged with this section of the law when:
1.

Acting alone or with others;

2.

Person(s) commit any violent felony offense while possessing a
firearm, rifle, or shotgun; and

3.

Wears a body vest (bullet-resistant soft body armor).

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Example: Leo committed an armed bank robbery. After being
apprehended by the police, he is found to be wearing a bulletproof vest.
An additional charge of unlawful wearing of a body vest would be
appropriate.
Unlawfully Possessing or Selling Noxious Material - Misdemeanor
(P.L. 270.05)
Self-defense spray device: A pocket sized spray device that contains and
releases a chemical or organic substance which is intended to produce
temporary physical discomfort or disability through being vaporized or otherwise
dispensed in the air or any like device containing tear gas, pepper or similar
disabling agent.
Noxious material: Any container which contains any drug or other substance
capable of generating offensive, noxious or suffocating fumes, gases or vapors,
or capable of immobilizing a person.
Unlawfully possessing or selling noxious material: A person can be charged
with this in one of two ways:
1.

A person possesses such material under circumstances evincing
intent to use it to or cause it to be used to inflict physical injury upon
or cause annoyance to a person, or to damage property of another,
or to disturb the public peace.
Note: Possession of noxious material is presumptive evidence of
intent to use it or cause it to be used in violation of this section.

2.

A person sells a self-defense spray device and such sale was not
authorized in accordance with the provisions of paragraph fifteen
(15) of subdivision (a) of section 265.20.

The following have been exempted from prosecution for weapons offenses
(P.L. Article 265) and/or the noxious material offense (P.L. 270.05):
1. Persons who possess a self-defense spray device for the protection of
person or property, and
2. Use of such self-defense spray device under circumstances that would
justify the use of physical force pursuant to Article 35 of the Penal Law.
Example: A person who possesses or uses a self-defense spray device

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under circumstances evincing intent to possess or use it for self-defense
purposes only, may not be criminally charged. However, a person who
possesses or uses a self-defense spray device in the commission of a
crime or under circumstances that would not be justified under Article 35
of the Penal Law may be criminally charged as circumstances warrant.
The following persons may not possess or use a self-defense spray
device under any circumstance:
1.

Persons who are less than eighteen (18) years of age, or

2.

Persons who have been previously convicted in New York State of
a felony or an assault (P.L. Article 120), or

3.

Persons who have been convicted of a crime outside New York
State which, if committed in New York State, would constitute a
felony or an assault crime.

Retail sale of self-defense spray devices may be made only by the
following entities:
1.

Dealers in firearms licensed pursuant to P.L. 400.00.

2.

Pharmacists licensed pursuant to Article 137 of the Education Law.

Note: The provisions of Administrative Code Section 10-131,
subdivision (e), governing permits for tear gas are pre-empted by
this section and may not be enforced.
Fireworks Sale and Possession
The definition of “firework” is extensively detailed in the NYS Penal Law and
contains the common terms, such as; firecracker, Roman candle, sparkler,
explosive toy cannon, bombs, explosive devices, etc.
Unlawfully Dealing with Fireworks – Misdemeanor (PL 270.00- 2a)
It is unlawful for anyone to sell, offer or expose for sale, or furnish another
person with fireworks without a permit.
Unlawfully Dealing with Fireworks – Violation (PL 270.00- 2b)

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It is unlawful for anyone to possess, use, or explode any fireworks without a
permit.
Note: possession of fifty dollars (or more) worth of fireworks is presumed
that such person possesses those fireworks with intent to sell them (PL
270.00 2c).

ADMINISTRATIVE CODE SECTIONS PERTAINING TO WEAPONS
Discharge of Small-Arms in City - Misdemeanor (10-131, Subdivision c)
It is unlawful for any person to fire or discharge any gun, pistol, rifle,
fowling- piece (bird gun) or other firearm in the city, provided that the provisions
hereof shall not apply to premises designated by the Commissioner.
Possession or Sale of an Imitation Pistol (10-131, Subdivision g)
It is unlawful to possess, sell, offer for sale, use, or attempt to use, an
imitation pistol or revolver which substantially duplicates an actual pistol or
revolver unless it is a color other than black, blue, silver, or aluminum, and
provided that the barrel is closed with the same material of which the toy or
imitation pistol or revolver is made for a distance of not less than one half inch
from the front end of the barrel. In addition, the name or trademark of the
manufacturer must be stamped on an imitation pistol.
Note: This section does not apply to imitation pistols sold or delivered
outside New York City or those used in the production of television,
theatrical or motion picture presentations.
Rifles and Shotguns: Carrying and Possession – Misdemeanor (10-131,
Subdivision h)
•

It is unlawful for any person to carry or possess a loaded rifle or shotgun in
public within the city limits.

•

It is unlawful for any person to carry or possess an unloaded rifle or
shotgun in public within the city limits unless such rifle or shotgun is
completely enclosed or contained in a non-transparent carrying case.

Note: A misdemeanor is the appropriate charge for a person in
possession of a rifle or shotgun under circumstances not amounting

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to the penal law weapons statute (265.01 Subdivision 4). A
summons or arrest is authorized as per Patrol Guide. (See P.G.
212-85.)
A person who possesses a rifle or a shotgun in New York City must have
a permit. However, a person who does not live in New York City and is passing
through New York City does not need a permit for 72 hours provided the rifle or
shotgun is unloaded and in a closed case or in an automobile trunk.
The Penal Law allows certain persons to possess rifles and shotguns
without a permit and not be in violation of the law. Police officers, peace officers
and owners of antique rifles or shotguns are among this group of persons.
Actions to be taken by members of the service observing a possible rifle or
shotgun violation:
The most critical factor in such cases is your own safety. Follow carefully
the principles taught to you in your tactical training, and do not expose yourself to
any unnecessary risk. Whenever possible, challenge armed people only after
you have asked for and received the presence of other officers on the scene.
Confront armed people from positions of cover or concealment from which,
should things go wrong, you will enjoy all the advantages. Once you have
stabilized such scenes:

1. Question the possessor to see if he or she has a permit or can possess it
without a permit.
2. If not, tell the owner that the weapon must be surrendered.
3. Take the person to the station house; voucher the weapon at the station
house, and give the person a receipt for it.
4. Arrest, issue summons, or prepare a juvenile report as the facts warrant.
Knives: Unauthorized Carrying or Displaying - Violation (10-133):
1.

A person who carries or possesses, in any public place, street or
park, any knife with a blade length of four or more inches is
violating this law.

2.

A person who, in a public place, street or park, wears outside of
his/her clothing or carries in open view, any knife with an exposed

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or unexposed blade unless such person is actually using such a
knife lawfully. Such knife has a lawful purpose if it is:
a.

Displayed or carried to or from hunting, fishing, camping,
hiking, picnicking, or any employment, trade or occupation
customarily requiring the use of such knife.

b.

Displayed or carried by a member of theatrical group, drill
team, parade or practice which customarily requires the
carrying of such knife.

c.

Being transported directly to or from place or purchase,
sharpening or repair and packaged so as not to allow easy
access.

d.

Displayed or carried by an enrolled member of the Boy or
Girl Scouts, or similar society, and the knife is necessary to
participate in the society's activities.

Prohibited Sale of Certain Types of Knives - Violation (10-134)
Local Law 24 of 1984 prohibited the sale of certain types of knives. Any
person who sells or offers for sale, within the confines of New York City, any
folding knife with a blade length of four (4) or more inches, which locks in an
open position and cannot be closed without activating a release mechanism, is
guilty of violating section 10-133 of the Administrative Code. Violators should be
issued a personal service summons, which is returnable to Criminal Court.
Note: Exempt from this law are merchants who ship the above described
knives in bulk to a point outside New York City.
The Laser Pointer Law - Misdemeanor (10-134)
•

Section 10-134.2 (b) states that it is unlawful for any person to give, sell,
or offer to sell a laser pointer to a person eighteen years of age or
younger.

•

Section 10-134.2 (c) states that it is unlawful for the sellers of laser
pointers to place them on open display in a manner that makes them
accessible to the public without the assistance of the seller or his/her
employee. In addition, the sellers cannot even advertise the sale of laser
pointers unless the seller has first posted a note stating that the selling of
laser pointers to persons under nineteen years old is a misdemeanor.

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Open displays are also permitted when the devices are packaged to be
larger than 41 square inches.
•

Section 10-134.2 (d) states that it is unlawful for persons less than 21
years old to possess laser pointers on “school premises,” which is defined
as the building or inside of any vehicle used to transport students. This
section also holds that it is unlawful for any person eighteen years or
younger to possess a laser pointer in a public place. It is also unlawful for
any person of any age to direct light that is emitted from a laser pointer in
or through a public place. While violation of the other subdivisions is a
misdemeanor, any person who violates this subdivision shall be guilty of a
violation for the first offense and a misdemeanor for all subsequent
offenses. Keep in mind that those individuals that possess a laser pointer
for a valid reason (such as for a valid school or employment related
purpose) and use it lawfully would not be charged with any violation.

•

It is unlawful for any person to direct light from a laser pointer at a
uniformed police officer, uniformed security guard, uniformed school
safety officer, uniformed traffic agent, uniformed emergency medical
service or ambulance worker, or other uniformed city, state, or federal
peace officer, investigator or emergency service worker or at the marked
vehicle of any such person.
EXEMPTIONS

The provisions of the weapons statute regarding possession do not apply
to the following:
•

Police officers and Peace officers of New York State.

•

A Police officer or sworn Peace officer of another state, while conducting
official business within New York State.
Note: P.L. 265.20, Subdivision 16 (b), states that, although
auxiliary police officers are not included in the above groups of
persons, they may possess a “police baton.” They are required to
be trained in its use including, but not limited to, the defensive use
of the baton and the legal use of deadly physical force within the
meaning of P.L. Article 35. For a complete listing of individuals
excused, see P.L. 265.20.

Weapons Licensing

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Penal Law Section 400.00, subdivision 8, states that every licensee while
carrying a pistol or revolver shall have on his/her person a license to carry the
weapon. Every person licensed to possess either a pistol or a revolver in a
particular premises, shall have the license for the weapon on such premises.
Upon demand, the license shall be exhibited for inspection to any peace officer
acting pursuant to his special duties. Failure of a licensee to exhibit or display his
license shall be presumptive evidence that he is not duly licensed.
Penal Law Section 400.00, subdivision 10, deals with the expiration,
certification, and renewal of licenses. These licenses are normally issued for a
three-year period.
Licensed firearm holders will not be charged with offenses listed in Section
265.00 if they have violated a subdivision of Section 400.00. For example, a
licensee with an on-premises permit would not be charged with a violation of
Section 265 if he was discovered carrying the firearm on the street; or a person
carrying a firearm whose permit has expired if that expiration date is within one
year. The proper charge in both cases would be Section 400.17, which is a class
A Misdemeanor. Section 265 would apply only if the licensee possesses the
firearm with the intent to use it unlawfully against another person.

Penal Law Section 400.00, subdivision 1, now states that applicants for
pistol licenses must now be twenty-one years of age or older, unless they have
been honorably discharged from the United States Army, Navy, Marine Corps, or
Coast Guard or the National Guard of the State of New York.

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ITEMS PROHIBITED TO POSSESS IN NEW YORK CITY
ADMINISTRATIVE
CODE CHARGE
10-131 (b)
10-131 (g)
10-131 (h1)
10-131 (h2)
10-303
10-304 (a)
10-306 (d)
10-131 (i3)
10-131 (i6)
10-133 (b)

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DESCRIPTION OF VIOLATION
Unlawful possession of an air pistol/rifle
Unlawful possession of an imitation pistol
(black, blue, silver or grey in color)
Unlawful possession of a loaded rifle or
shotgun in public
Unlawful possession of an unloaded rifle or
shotgun in public view
Possession of a rifle or shotgun without a
permit
Possession of an unregistered rifle or
shotgun
Unlawful possession of rifle or shotgun
ammunition or ammunition feeding device
Unlawful possession of pistol or revolver
ammunition
Unlawful possession of ammunition feeding
device
Unlawful possession of a knife 4 inches or
WEAPONS

CLASSIFICATION OF
CHARGE
Violation
Violation
Misdemeanor
Violation
Misdemeanor
Misdemeanor
Misdemeanor
Misdemeanor
Misdemeanor
Violation
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10-133 (c)
10-134.1 (e)

10-134.2 (d)

10-134.2 (e)

10-147
10-103 (a)

more
Possession of any knife in public view
-Unlawful possession of a boxcutter by
person under 22 on school grounds
-Unlawful possession of a boxcutter by
person under 21 in public
-Unlawful possession of a laser pointer by
person under 21 on school grounds
- Unlawful possession of a laser pointer by
person under 19 in public
- Unlawful use of laser pointer in public (no
age)
Unlawfully directing laser pointer light at
uniformed government worker or marked
vehicle
Unlawful possession of handcuffs
Unlawful possession of police scanner

Violation
Misdemeanor

Violation

Misdemeanor

Violation
Misdemeanor

PATROL GUIDE PROCEDURE RELATED TO INVOICING FIREARMS
The New York City Police Laboratory is mandated to remain accredited by the
New York State Commission on Forensic Science. To ensure that the Department
conforms to the Commission’s accreditation standards, Patrol Guide procedure 21823, “Processing Firearm and Ballistics Evidence” has been amended. This will also
ensure that all firearms and firearm-related evidence coming into possession of the
Department is properly marked, packaged, sealed, and invoiced in order to properly
secure and maintain a continuous chain of custody.
Definitions
Firearm - The Department’s definition of a firearm includes:
a.
Any rifle, shotgun, pistol, revolver, derringer, machine gun, etc., with or
without a rifled bore.
b.
Any starter’s pistol, zip gun, air gun, CO2 hand/long gun, etc.
c.
Any type of homemade, modified, converted, etc., weapon.
d.
Any type of simulated firearm such as a toy gun, imitation pistol, etc.
Cartridge - Live ammunition. A cartridge consists of a bullet (projectile), and a shell
casing together as one (1) unit. Cartridge(s) will be distinguished based upon the
location from which the cartridge was recovered:

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ƒ

Cartridge removed from the chamber of a firearm.

ƒ

Remaining cartridge(s) removed from a firearm other than the cartridge removed
from the chamber (i.e., removed from magazine or removed from cylinder).

ƒ

Cartridge(s) not removed from a firearm but seized in connection with the
recovery of a firearm from a person, object, or location and there is no need to
establish a crime scene.
Example: cartridge(s) seized from a person’s clothing in connection with
an arrest where a firearm is recovered; or, cartridge(s) seized from a
home during an investigation where a firearm is recovered and there is no
need to establish a crime scene because all of the perpetrators are
identified.

ƒ

Cartridge(s) not removed from a firearm but recovered from a crime scene
where a firearm may or may not have been recovered.

Example: cartridge(s) found lying in the street after a shooting; or,
cartridge(s) found lying on the floor in an apartment or automobile after a
robbery.
Fired Bullet - That part of a cartridge which has been fired though the barrel of a firearm
(usually lead, metal-jacketed lead or coated lead). A fired bullet may break into pieces of
lead, coated lead, metal jacketing, metal jacketing attached to lead, etc.
Shell Casing - Metal casing part of the cartridge remaining in or ejecting from a firearm
after the fired bullet leaves the firearm’s barrel.
Properly “Marking” Firearms and Firearm-Related Evidence
Members of the service will utilize a scribe or other sharp writing instrument to
scratch their initials and a unique consecutive number on each firearm and each item
of firearm-related evidence.
Example: The following is recovered at a crime scene:1 fired bullet, 3 shell
casings, a semiautomatic pistol with 1 cartridge in the chamber, and 4 cartridges in
the magazine. This evidence should be marked as follows:
Firearm numbered –“1”
Magazine numbered –“2”
Cartridge in the chamber numbered –“3”

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Cartridges in the magazine would be numbered “4” through “7”
Fired bullet would be numbered 8 and the 3 shell casings would be
numbered “9” through “11”.
Note: It does not matter what particular number a firearm or item of firearm-related
evidence is assigned provided the same number is not used more than once.
Properly “Sealing” A Container
In order to properly seal a container (other than NYPD Plastic Security
Envelope), a member of the service must fasten the container securely with masking
tape in a manner to prevent loss/contamination of the evidence and to ensure that if the
container is opened there would be obvious damage to the container and/or masking
tape and sign name legibly across the border between the masking tape and the
container.

Note: An NYPD Plastic Security Envelope has adhesive on the envelope flap
and does not have to be fastened with masking tape; however, the officer’s name
must be legibly signed across the border between the flap and the envelope.
Step-by-Step Procedure
Whenever a firearm as defined above, and/or firearm-related evidence comes into the
possession of a member of the service, in addition to other required actions:
1.

Do not touch, move or disturb any firearm and/or firearm-related evidence
that may become part of a crime scene except when absolutely necessary,
e.g., large crowd gathering, rendering aid to a victim, etc.

2.

Unload cartridge(s) from cylinder, chamber, and/or magazine of a firearm.
a. To prevent possible destruction of fingerprints or other forensic evidence,
do not handle unnecessarily.
b. If a firearm is unfamiliar or it appears to be difficult to unload, safeguard in
original condition and notify desk officer.

3.

Mark, package and seal the cartridge removed from the chamber of the
firearm.
a. Mark the bullet portion of the cartridge; do not mark the metal shell
casing portion. Do not mark the cartridge if it is too small or deformed.

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b. Package and seal in a container/envelope. Write initials, unique
consecutive number and “Cartridge Removed from Chamber” on the
container and include the serial number of the firearm/lead seal.
4.

Mark, package and seal ALL cartridges removed from the firearm other
than the cartridge removed from the chamber.
a. Mark the bullet portion of the cartridge(s); do not mark the metal shell
casing portion. If the cartridge is too small to mark or deformed, package
each cartridge that cannot be marked in a separate container/envelope, seal
it, write initials and unique consecutive number on the container and
package in conformance with step 4b.
b. Package and seal all cartridges removed from the firearm other than the
cartridge removed from the chamber in one evidence container/envelope.
Write “Cartridge(s) Removed from Firearm” on container and include
the serial number of the firearm/lead seal.

5.

Mark, package and seal ALL cartridge(s) NOT removed from a firearm but
seized in connection with the recovery of a firearm from a person and/or
location AND there is no need to establish a crime scene.
a. Mark the bullet portion of the cartridge(s); do not mark the metal shell
casing portion. If the cartridge is too small to mark or deformed, package
each cartridge that cannot be marked in a separate container/envelope,
seal it, write initials and unique consecutive number on the container and
package in conformance with step 5b or 5c, as applicable.
b. Do not package cartridges removed from a person in the same
container/envelope as cartridges removed from a location. All cartridges
removed from the same person will be packaged in one (1)
container/envelope and cartridges removed from different persons will be
packaged in separate containers/envelopes. Write the name and date of
birth of the person from whose clothing the cartridge(s) were recovered
and the words “Cartridge(s) Removed from Clothing” on each separate
container and include the serial number of the firearm/lead seal.
c. Do not package cartridges removed from a location in the same
container/envelope as cartridges removed from a person. All cartridges
that were seized from the same location will be packaged in one (1)
container/envelope and cartridges removed from different locations will be
packaged in separate containers/envelopes. Identify the location from

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which the cartridge(s) were recovered on each separate container and
include the serial number of the firearm/lead seal.
Note: If one (1) or more boxes containing cartridges are seized in
connection with the recovery of a firearm and there is no need to establish
a crime scene, package the entire box or boxes in an appropriate
container and seal. Write initials and unique consecutive number on the
outside of the container. It is not necessary to individually mark the bullet
portion of each cartridge in the box.
6.

Mark, package and seal ALL cartridges that were NOT removed from a
firearm BUT were recovered from a crime scene where a firearm may or
may not have been recovered.
a. Mark the bullet portion of all of the cartridges. Do not mark or place any
scratches on the metal shell casing portion of the cartridges. If a cartridge
is too small to mark or deformed, write initials and unique consecutive
number on the container/envelope in which the cartridge is packaged.
b. Package and seal each individual cartridge in a separate
container/envelope. Never place two (2) or more individual cartridges in
the same container/envelope.

7.

Mark, package and seal ALL fired bullets recovered from a crime scene.
a. Mark the bottom/base of all of the fired bullets. Do not mark or place
any scratches on or near the sides of the fired bullets. If a fired bullet is
too small to mark or deformed, write initials and unique consecutive
number on the container/envelope in which the fired bullet is packaged.
b. Package and seal each individual fired bullet in a separate
container/envelope. Never place two (2) or more individual fired bullets in
the same container/envelope.

8.

Mark, package and seal ALL shell casing(s) recovered from a crime scene.
a. Mark the inside of all of the shell casings. DO NOT mark or place any
scratches on the exterior or bottom of the shell casings. If a shell casing is
too small to mark or deformed, write initials and unique consecutive
number on the container/envelope in which the shell casing is packaged.
b. Package and seal each individual shell casing in a separate
container/envelope. Never place two (2) or more individual shell casings
in the same container/envelope.

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9.

Mark initials and unique consecutive number on recovered firearm(s).
a. Affix a separate lead seal on each firearm without a distinguishable serial
number.

10.

Mark initials and unique consecutive number on magazine removed from
firearm.

11.

Mark initials and unique consecutive number on ALL silencers seized.

12.

Mark initials and unique consecutive number on ALL other types of
firearm-related evidence that is not affixed to a firearm.

13.

Prepare PROPERTY CLERK’S INVOICE WORKSHEET for recovered
firearm(s) and firearm-related evidence.

14.

Place firearm and all other firearm-related evidence that is listed on the
same WORKSHEET into one (1) Plastic Security Envelope and properly
seal in presence of desk officer.
a. If firearm and firearm-related evidence will not fit into one (1) Plastic
Security Envelope:
i. Place the firearm and all other firearm-related evidence that are
invoiced on the same worksheet into the one (1) appropriate sized
bag/container. If possible, do not use more than one (1)
bag/container. Properly seal the bag/container.
ii. Write command and invoice number on the outside of the
bag/container. If more than one (1) bag/container is used, write
command, invoice number and corresponding item numbers on the
outside of EACH bag/container. Mark each bag/container as “Bag
1 of _____,” “Bag 2 of _____,” etc.
Note: If firearms and/or other firearm-related evidence being invoiced are so
numerous that more than one (1) invoice must be used, do not place
evidence listed on two (2) different invoices into the same Plastic Security
Envelope or the same bag/container.

15.

When a firearm with a distinguishable serial number is seized, query
NYSPIN/NCIC by utilizing the FINEST system.

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16.

Do not cancel alarm for firearms(s).
a. Recovering command will not cancel alarm for firearms. Cancellation
will be made only by stolen property inquiry section.

17.

18.

19.

Prepare an On Line Complaint System (OLCS) computer generated copy of
the COMPLAINT REPORT (PD313-152) from the precinct of recovery. This
applies for all firearms as described in the “Definitions,” e.g., zip, air/CO2,
imitation, etc.
Prepare REQUEST FOR LABORATORY EXAMINATION if firearm(s) and/or
firearm-related evidence must be examined by the Firearms Analysis
Section, Office of the Chief Medical Examiner (OCME) Forensic Biology
Unit, or any other unit or agency.
Deliver firearm(s) and firearm-related evidence to the desk officer,
command of occurrence.

Properly Listing Items On The Property Clerk Invoice (PCI)
The firearm and related property that is invoiced on a PCI must be listed in a
specific order. This order is outlined below:
1. List the firearm as item # 1 on line 1 of the worksheet.
2. List the magazine removed from the firearm, if any, as the next item on the
worksheet.
3. List the cartridge removed from the chamber of the firearm as the next item on
the worksheet. Describe the evidence as “cartridge removed from the chamber
of the firearm.”
4. List all of the other cartridge(s) removed from the firearm, other than the
cartridge removed from the chamber, as only one (1) item on the next line of the
worksheet, irrespective of the number of cartridges. Under “Quantity,” list the total
number of cartridge(s) removed from the firearm other than the cartridge removed
from the chamber. Describe the evidence as “cartridge(s) removed from the
firearm.”
5. A Silencer, whether or not affixed to a firearm, will be listed separately as the next
item of the Worksheet. If more than one (1) silencer is recovered, each silencer will
be listed as a separate item on the Worksheet and will be separately described.
State on the Worksheet whether the silencer was affixed to the firearm and if not,
identify the person or location from where it was recovered.
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6. Each firearm accessory that is affixed to the firearm (scope, laser, sling, etc.)
or, that is not affixed to the firearm but is necessary to make the firearm
operable, will be listed separately as the next item(s) on the Worksheet and will be
separately described.

7. List any additional firearm(s), associated magazine(s), cartridge(s), silencer(s),
appropriate accessories, etc., as the next item(s) of the Worksheet in accordance
with the procedures and sequence contained in Steps 1 through 6, as applicable.
8. List all cartridges not removed from the firearm but seized in connection with the
recovery of a firearm from a particular person and there is no need to establish a
crime scene as only one (1) item on the next line of the Worksheet, irrespective of
the total number of cartridges recovered from that person. Under “Quantity,” list
the total number of cartridge(s) not removed from the firearm but seized from a
particular person. Describe as “cartridge(s) not removed from the firearm” and
identify the person.

a. Note: If cartridges were seized from more than one (1) person, list the
cartridges seized from different persons on separate lines on the Worksheet
and identify that person. Use only one line of the Worksheet for each specific
person from whom the cartridges were seized, irrespective of the total
number of cartridges that were seized from that person.
9. List all cartridges not removed from a firearm but seized in connection with the
recovery of a firearm from a particular location and there is no need to establish
a crime scene as only one (1) item on the next line of the Worksheet, irrespective of
the total number of cartridges recovered from a particular location. Under “Quantity,”
list the total number of cartridge(s) not removed from the firearm but seized from a
particular location. Describe as “cartridge(s) not removed from the firearm” and
identify the location, e.g., briefcase, closet, trunk of auto, etc.
a. Note: If cartridges were seized from more than one (1) location, list the
cartridges seized from different locations on separate lines of the Worksheet
and describe the location. Use only one line of the Worksheet for each specific
location from where cartridges were seized, irrespective of the total number
of cartridges that were seized from that particular location.
10. List all shell casings recovered from a crime scene as only one (1) item on the
next line of the Worksheet, irrespective of the total number of shell casings

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recovered. Under “Quantity,” list the total number of shell casings. Describe the
evidence as “shell casings recovered from crime scene.”

11. List all fired bullets recovered from a crime scene as only one (1) item on the
next line of the Worksheet, irrespective of the total number of fired bullets
recovered. Under “Quantity,” list the total number of fired bullets. Describe the
evidence as “fired bullets recovered from crime scene.”
12. Voucher all cartridges not removed from a firearm that are recovered from a
crime scene where a firearm may or may not have been recovered as only one
(1) item on the next line of the Worksheet, irrespective of the total number of
cartridges recovered. Under “Quantity,” list the total number of cartridges.
Describe the evidence as “cartridges recovered from crime scene.”
a. Note: Firearm accessories, e.g., holster, sling, gun case, etc., that are not affixed
to the firearm and are not needed to make the firearm operable, will not be listed
on the same invoice as the firearm(s) and firearm-related evidence. Instead, the
accessory(s) will be listed on a separate worksheet and will be delivered direct
to the Property Clerk Division. If there is more than one (1) accessory, invoice all
of the accessories separately on one (1) Invoice, if possible.
FIREARMS INVOICED FOR SAFEKEEPING
Certain firearms coming into possession of members of the service which are
categorized for “Safekeeping” should be listed on one (1) invoice and must be delivered
direct to the Property Clerk Division.
Firearms within this category are:
ƒ
ƒ
ƒ
ƒ
ƒ

Property of retired, resigned, dismissed, suspended, sick or hospitalized
uniformed members of the service.
Lawfully possessed property of a deceased person.
Obtained from a licensed dealer when license is revoked, suspended or
expired.
Lawfully possessed and removed by court order, order of protection, etc.
Obtained from permit holder during renewal, expiration or cancellation of
permit.

If any of the above described firearms were obtained under circumstances that
indicate a valid reason for examination, only the firearms that require examination will
be forwarded to the Firearms Analysis Section. All of the firearms that require

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examination will be listed on one (1) invoice, if possible. The reason for the examination
will be specifically explained on the “request for laboratory examination.”
Do not invoice firearms categorized for safekeeping that are being delivered to
the Firearms Analysis Section on the same invoice as the firearms that are being
delivered direct to the Property Clerk Division.

BIOLOGICAL EVIDENCE
If firearms and/or firearms-related evidence also have bloodstains, DNA, serology,
saliva, body fluids, tissue, or any other biological evidence thereon, they will be
processed according to the following guidelines:
•

Do not package biological evidence if it is wet; it must be air-dried before it is
packaged.

•

Do not package biological evidence requiring examination/analysis in a plastic
security envelope or any other type of plastic bag/container. Package and
properly seal each individual item of biological evidence requiring
examination/analysis in a separate paper bag/container. Affix an orange
Biohazard label to each paper bag/container.

•

Write command and invoice number on the outside of each bag/container. If
more than one (1) bag/container is used, also write corresponding item number
on the outside of each bag/container and mark each bag/container as “Bag 1 of
___,” “Bag 2 of ___,” etc.

•

Do not mark firearms and/or firearm-related evidence if to do so would
contaminate, alter, damage, etc, the biological evidence thereon. Instead, write
initials, unique consecutive number, command and invoice number on the outside
of each paper bag/container. If more than one (1) bag/container is used, also write
corresponding item number on the outside of each bag/container and mark each
bag/container as “Bag 1 of ___,” “Bag 2 of ___,” etc.

The Office of Chief Medical Examiner (OCME) Forensic Biology Unit will perform
all biological evidence examinations/analyses. Therefore, firearms and/or firearmrelated evidence requiring biological evidence examination/analysis will be invoiced on a
separate invoice from any other evidence that will not be examined by the OCME
Forensic Biology Unit and will be processed as follows:
•

All of the firearms and/or firearm-related evidence that require biological
evidence examination will be listed on one (1) invoice, if possible. Specifically

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explain the reason for the examination on the “Request for Laboratory
Examination.”
•

List each individual firearm and/or firearm-related evidence as a separate item
on the invoice and specifically describe.

•

Deliver property and invoice to Desk Officer.

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HOMEWORK
1) Explain the difference between “mere possession” and “possession with intent to
use” as they apply to Criminal Possession of a Weapon statutes.
2) List the weapons that would constitute the crime of Criminal Possession of a
Weapon, Felony.
3) List and explain the weapons possession presumptions as they pertain to:
a.
b.
c.
d.
e.

Stolen vehicles
Vehicles (not stolen)
Vehicles for hire
Machine guns
Possession with intent to sell

4) Explain the procedure for marking firearms and firearm-related evidence. Including
the procedure for marking shell casings, fried bullets, cartridges, and accessories.
5) Explain the procedure for invoicing firearms and cartridges recovered in connection
with the recovery of a firearm (listing the proper order of invoicing property).

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Drug Offenses

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT DRUG OFFENSES?
Drug abuse and drug-related crime are major problems plaguing
communities throughout New York City. The sale and use of illegal controlled
substances are directly and/or indirectly responsible for a great percentage of the
violent crimes, as well as property crimes that are committed in our communities.
Crimes that may not at first appear to be drug- related can often be traced to
drugs. Addicts commit violent offenses like robbery, larceny, burglary, assault,
and even homicide to secure money for their habits. Sellers commit violent
felonies to ensure that business is not interrupted. While New York search and
seizure laws place limits on our authority to frisk or search individuals for drugs,
patrol officers can combat the problem by keen observation and by being aware.
Being aware of the specific offenses discussed in this chapter will help us
to identify and apprehend offenders and charge them accordingly. Being aware
of search and seizure laws will help us enforce drug laws without infringing upon
citizens’ fourth amendment rights. Being aware that seemingly harmless items,
like baking soda, tin foil, or scales, can be indicators of drug distribution. Being
aware of the proper procedures for invoicing illegal drugs, so as to not corrupt
evidence for trial. And, always, being aware that we must work as one with the
community in our effort to rid the city of the scourge of drug abuse.

DRUG LAWS
New York State Penal Law Article 220 (Controlled Substances Offenses)
and Article 221 (Marijuana Offenses) delineate the various illicit drugs and other
harmful substances listed in the Public Health Law Sections 3302/3306, which
are unlawful to possess or sell. In general, substances are treated as unlawful if
they:
1.

Have a high potential for abuse; or

2.

Have no medical or healing value; or

3.

Are considered unsafe.

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DEFINITIONS
•

Controlled Substance - any substance listed in Schedule I, II, III, IV, or V
of Section 3306 of the Public Health Law. Generally, these include drugs
such as: cocaine, heroin, and ecstasy, but not marijuana.

•

Marijuana - all parts of the cannabis plant, whether growing or not, seeds
thereof, resin extracted and every compound, manufacture, salt,
derivative, mixture, or preparation of the plant, its seeds or resin. It
does not include the mature stalks of the plant, fibers produced from the
stalks, oil or cakes made from the seeds or any other mixture or
preparation of the mature stalks.

•

Concentrated Cannabis (hashish, or "hash" )
a.

The separated resin, whether crude or purified, obtained from a
plant of the genus cannabis; or

b.

A material, preparation, mixture, compound or other substance that
contains more than 2.5 percent by weight of tetrahydrocannabinol.

CONTROLLED SUBSTANCES – GENERAL
Article 220 of the Penal Law "Controlled Substance Offenses" contains 54
subdivisions. These mention specific drugs and amounts, as well as categories
of controlled substances. You will not be required to memorize the names of
each controlled substance or the amounts that comprise various offenses.
Instead, you should recognize the basic pattern in this statute:
•

Possession of a small amount of a controlled substance (e.g., a glassine
envelope of heroin; two vials of crack cocaine) is usually a misdemeanor.
Absent evidence that one intends to sell such small amounts, the general
logic of the law is that they are possessed for personal use rather than out
of a profit motivation.

•

Conversely, the exception to this general rule is that: possessing even a
small amount of controlled substance for the purpose of selling it, would
be a felony.

•

Possession of a very large amount (a suitcase full, a truckload, or a kilo
[i.e. 2.2 pounds]) would also be a felony. The logic here is that the only
reason to possess such large amounts is sell them.

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Criminal Possession of a Controlled Substance – misdemeanor
(P.L. 220.03)
A person is charged with criminal possession of a controlled substance
(misdemeanor) when he knowingly and unlawfully possesses a controlled
substance (a small amount).
Criminal Possession of a Controlled Substance – felony
(P.L. 220.06 - 220.21)
A person is charged with criminal possession of a controlled substance – felony,
when he knowingly and unlawfully possesses a large amount of a controlled
substance or any amount with intent to sell.

SALE OF A CONTROLLED SUBSTANCE
Laws controlling drug sales also contain definitions with which you must
be well acquainted. These include:
•

Sell - means to sell, exchange, give, or dispose of to another, or offer, or
agree to do the same.

We typically think of selling as an exchange involving money, but this is
not the case where drugs are concerned. If a person merely gives, or even
offers to give, another person a controlled substance, he or she could be
charged with criminal sale of a controlled substance. Remember, the sale of a
controlled substance is always a felony regardless of the amount. Here’s an
example -- Bill gives his friend Henry a vial of "crack" cocaine. A police officer
sees this. The charge in this situation is criminal sale of a controlled substance felony.
Criminal Sale of a Controlled Substance – felony (P.L. 220.31 -220.43)
A person is guilty of criminal sale of a controlled substance, the felony, when he
knowingly and unlawfully sells any amount of a controlled substance.
Note: Marijuana is not a controlled substance and is not included in this
section (P.L. Article 220.00); marijuana offenses are included under P.L.
Article 221.00.

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MISCELLANEOUS CONTROLLED SUBSTANCES OFFENSES
Criminal Possession of a Hypodermic Instrument - misdemeanor
(P.L. 220.45)
This offense is committed when a person knowingly and unlawfully possesses
or sells a hypodermic syringe or hypodermic needle. Note that the sale of a
hypodermic needle constitutes a charge of possession under this statute.
Example: Bill sells a hypodermic syringe to John. Both Bill and John are
guilty of criminal possession of a hypodermic instrument.
Note: A recent change in the N.Y.S. Public Health Law (Chapter 56,
Part G) allows a licensed pharmacist, health care facility, or health
care practitioner to sell or furnish up to ten hypodermic needles or
syringes to a person who is 18 years old or older without a
prescription. However, the law does not allow that person to sell or
provide needles to another person. Under this new law, persons
in possession of hypodermic needles or syringes should not be
charged with criminal possession of a hypodermic instrument
unless there are other charges, such as criminal possession of
a controlled substance. Thus, if an individual who is arrested
for possessing drugs is searched and found also to possess a
syringe, he or she should be charged with criminal possession
of hypodermic instruments.
Criminal Injection of a Narcotic Drug – felony (P.L. 220.46)
Criminal injection of a narcotic drug – felony, is committed when a person
knowingly and unlawfully possesses a narcotic drug and he intentionally injects,
by means of a hypodermic syringe or hypodermic needle, all or any portion of
that drug into the body of another person with the latter’s consent. In this
crime, the consent of the other person is required. If done without consent, the
charge is assault felony.
Example: Joe, a novice narcotic drug user, asks Jim to give him the
injection, because he doesn't know how. Jim agrees and injects the
narcotic drug into Joe. In addition to possession of a controlled substance
charge, Jim would be charged with criminal injection of a narcotic drug.
Criminally Using Drug Paraphernalia - misdemeanor or felony
(P.L. 220.50 and 220.55)
To commit the offense of criminally using drug paraphernalia in the 2nd degree misdemeanor a person must possess or sell:

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1.

Diluents, dilutants, or adulterants, which are adapted for the dilution
of narcotic drugs or stimulants.

2.

Gelatin capsules, glassine envelopes, or any other material suitable
for the packaging of individual quantities of narcotic drugs or
stimulants.

3.

Scales and balances used or designed for the purpose of weighing
or measuring controlled substances.

Note: To commit Criminally Using Drug Paraphernalia - the felony, a
person commits Criminally Using Drug Paraphernalia in the second
degree (misdemeanor), and he has previously been convicted of that
specific offense.
Note: These substances and/or paraphernalia must be possessed under
circumstances evincing intent to use the same for the purpose of mixing,
compounding, packaging or dispensing any narcotic drug or stimulant.

NEEDLE / SYRINGE KEEPER
Unfortunately, contact with drug offenders and paraphernalia is not without
risks. To protect officers from one such hazard, the Department employs
needle/syringe keepers, which should be employed as described in P.G. 218-24.
In brief, these devices assist in the proper and safe storage of syringes:
Features:
• A unique container designed to aid in protecting officers from accidental
punctures by contaminated sharps.
• Holds a single syringe without altering evidence.
• Bayonet lock for a positive seal.
• Shatter proof.
• Transparent for viewing without opening
• Compact 4 ½ " - can be carried in pocket prior to use.
• Individual poly bagged.
• Label for identification.
• Easily recognizable BIOHAZARD symbol.

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OFFENSES INVOLVING MARIJUANA
In June of 1977, the Marijuana Reform Act was signed into law. The
intent of the law is to reduce the stigma of convictions for possession of small
amounts of marijuana for private use in a non-public place by taking it out of the
controlled substance category. It has not been legalized nor has it been
decriminalized. The possession and sale of marijuana is still a criminal offense.
Before the Marijuana Reform Act of 1977, marijuana – like such hard
drugs as heroin and cocaine – was defined as a controlled substance under
Penal Law Article 220 (Controlled Substance Offenses). Today, however,
marijuana is still considered unlawful to possess and sell. Therefore, laws
regarding the possession and sale of marijuana have been placed in a new
article, Article 221 of the Penal Law.
Unlawful Possession of Marijuana – violation (P.L. 221.05)
A person is guilty of unlawful possession of marijuana, the violation, when he or
she possesses up to and including 25 grams of marijuana, approximately up to
and including 7/8 of an ounce [approximately up to and including 129
cigarettes] in a:
1.

Public place, when concealed; or

2.

Private place.

Note: Section 240.00 of the Penal Law defines a public place as
highways, transportation facilities, schools, hallways, lobbies and, in
general, a place to which the public has access to.
Enforcement Procedure for Unlawful Possession of Marijuana – violation
1.

If a properly identified person is to be charged with a violation
under this section, and no other charges are involved, serve a
personal service summons as per P.G. 209-01 and 209-09 (after
completion of a warrant check), and invoice any evidence per P.G.
218-24.

2.

If the person does not qualify for a personal service summons and
an arrest is made, such arrest may be processed for a DESK
APPEARANCE TICKET as per P.G. 208-27.

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Note: Department guidelines state that normal DESK
APPEARANCE TICKET INVESTIGATION verifications do not
apply in this case. The only disqualifying factors are:
a. You are unable to ascertain the defendant’s identify or resident
address; or
b. You reasonably suspect that identification or address given by
defendant is not accurate; or
c. You reasonably suspect that defendant does not reside within
the state.
3.

If the person does not qualify for a DESK APPEARANCE TICKET,
the desk officer will require posting of $100.00 pre-arraignment bail.

Criminal Possession of Marijuana - misdemeanor (P.L. 221.10 & 221.15)
A person is guilty of criminal possession of marijuana, the misdemeanor, when
he or she knowingly and unlawfully possesses marijuana:
1.

In any amount, in a public place – burning, or otherwise in
public view,

2.

He or she possesses anywhere (public or private place)
more than 25 grams and approximately up to and including
227 grams, which includes anything more than 7/8 of an
ounce, up to and including eight ounces of marijuana
(approximately 130 to 704 cigarettes).

Criminal Possession of Marijuana - felony (P.L. 221.20 through 221.30)
A person is guilty of criminal possession of marijuana, the felony, when he
knowingly and unlawfully possesses more than eight ounces of marijuana
(approximately more than 227 grams or approximately 705 cigarettes or
more).
Criminal Sale of Marijuana – misdemeanor (P.L. 221.35, 221.40)
A person is guilty of criminal sale of marijuana, the misdemeanor, when he or
she sells up to and including 25 grams of marijuana (approximately up to and
including 7/8 of an ounce or approximately up to and including 129
cigarettes).

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Criminal Sale of Marijuana - felony (P.L. 221.45 through 221.55)
A person is guilty of criminal sale of marijuana – felony, when he knowingly and
unlawfully sells:
1. More than 25 grams (approximately more than 7/8 of an ounce of
marijuana or approximately 130 cigarettes or more); or
2. Any amount of marijuana to a person under 18 years of age.
Note: As it does where other drugs are concerned, the term sell used in
the marijuana law includes giving or agreeing to give marijuana to
another person.

POSSESSION OF MARIJUANA AND JUVENILES
A person under the age of sixteen who violates the provisions of unlawful
possession of marijuana (the violation) could be classified as a person in need of
supervision (PINS). Therefore, applicable sections of the Patrol Guide dealing
with "persons in need of supervision" should be observed. A person at least
seven but less than 16 years old who commits the violation will be the subject of
a Juvenile Report. In such cases, the marijuana will be vouchered as per P.G.
218-24 (see end of chapter).

PRESUMPTIONS RELATED TO POSSESSION
The penal law includes two presumptions concerning the possession of a
controlled substance.
Presumption One is that the presence of a controlled substance in a
vehicle justifies the presumption that all persons in the vehicle at the time
knowingly possess the drug.
The law is not without common sense, so there are three exceptions to
this presumption. Suppose, for example, that Charley is a cab driver who picks
up Joe, a fare, whom Charley has never before seen. As the taxi proceeds on its
way up Third Avenue, Joe lights up a crack pipe. Shocked, Charley yells at him
to stop-but not before Officer Smith, who is on patrol, happens to look into the
cab window and sees Joe with what clearly appears to be a crack pipe. Should
presumption one apply to Charley in this case? Should he be arrested because
he was in a vehicle in which Joe smoked crack? That really wouldn’t be right,
would it?

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Here’s another one. Alice is driving her husband, Ralph, to the local
bowling alley. On the way there, Alice runs a red light and is stopped by Officer
Jones. As Alice searches through her bag for her driver’s license, Officer Jones
notices that she takes out a pill container bearing a pharmacist’s label and the
inscription, “Prozac – two per day, as indicated.” It may be legal for Alice to
possess this controlled substance, because she has a prescription for it – but
now we have Ralph, who has no right to possess this drug, caught in a vehicle in
which it was found. Should presumption one apply to Ralph in this case?
Should he be arrested because he was in a vehicle in which there was a drug he
could not legally possess? That also would not be fair, would it?
Here’s a third one. Buddy and his pals have gone out for a night on the
town in Buddy’s new car. Buddy gets drunk, but will not allow anyone else to
drive. On the way home, Officer Peters spots Buddy’s car weaving, pulls it over,
determines that Buddy is driving while intoxicated, and arrests him. In the course
of searching Buddy pursuant to this arrest, Officer Peters and her partner find
that Buddy is concealing an envelope of cocaine in his trouser pocket. All of
Buddy’s pals are shocked, and profess to have known nothing of this. Should
presumption one apply to them? Should they be arrested because they and the
cocaine in Buddy’s pocket were in a vehicle at the same time?
These three examples illustrate the exceptions to presumption one. The
exceptions are:

Concealed:

The controlled substance is concealed upon one of the
occupants;

Authorized:

Any person voluntarily and willingly in the auto is authorized to
possess the substance, and the substance is in the original
container. This exception, obviously, applies only to substances,
like prescription drugs, that may be lawfully possessed under
certain circumstances.

Taxi:

The person is the operator of a taxi or other vehicle for hire, and is
in lawful pursuit of his business. Example: a taxi driver.

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Presumption Two applies only to narcotic drugs or preparations,
marijuana, or PCP ("Angel Dust"). It presumes that every person in
close proximity to the controlled substance possesses these drugs
when they are found:
•

In open view in a room, in other than a public place; and

•

Under circumstances showing intent to mix, compound or package or
otherwise prepare for sale.

Again, there are exceptions to this presumption. It does not apply when:
•

One person is authorized to possess the substance and the substance is
in the same container as when the person received it, and is not under
duress, or

•

One of the individuals has the substance upon his or her person, whether
or not it is concealed.
Example: Two police officers respond to an apartment to handle a
noise complaint. They knock on the door and when it is opened,
they observe what appears to be a narcotic drug and packaging
material on a chair near the doorway. There are ten people in the
room. The police officers should charge all ten people in the room
with criminal possession of a controlled substance.

NARCOTICS IDENTIFICATION
Police officers cannot effectively enforce narcotics laws without knowing
what to look for. The following information should assist in this process:
•

Heroin: This is a morphine derivative, usually seen as a white powder.
Depending on the country of origin, however, it may vary in color, from
yellow to brown. It is known by many names by users and pushers as
"horse, h, seat, junk, snow, stuff, harry, big H, joy, or powder."
Physical Symptoms: Stupor or drowsiness, needle marks on body
(generally on arms), watery eyes, loss of appetite, bloodstains on shirt
sleeve, running nose.

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Look For: Small wax paper packets (about the size of a razor blade)
stamped with an identifying symbol or word. Referred to as “slabs, decks,
and bundles” (depending on quantity).
•

Marijuana: Generally found in the form of a hand-rolled thin cigars or
cigarettes, and called by users “pot, grass, tea, gage, reefers, locoweed,
jumbo, gold, red, ganja, weed, Mary Jane, and blunt.”

Physical Symptoms: Sleepiness, wandering mind, enlarged eye pupils,
lack of coordination, craving for sweets, increased appetite, and
uncontrollable laughter.
Look For: Strong odor of burnt leaves, small seeds in pocket lining,
cigarette or cigar paper, and discolored fingers.
•

Amphetamines: Pills of varying colors or capsules. Known by various
names: "bennies, dexies, co-pilots, wake-ups, lid poppers, hearts, and
pep pills." Methamphetamines are known as "speed and dynamite."
Physical Symptoms: Aggressive behavior, giggling, silliness, rapid
speech, confused thinking, no appetite, extreme fatigue, dry mouth,
shakiness.
Look For: Jars of pills of varying colors, or capsules, chain smoking.

•

Barbiturates: Pills of varying colors or capsules. Known as "barbs, blue
devils, candy, yellow jackets, bennies, peanuts, blue heavens, goof balls,
and downs."
Physical Symptoms: Drowsiness, stupor, dullness, slurred speech,
drunken appearance, vomiting.
Look For: Pills or capsules of varying colors.

•

LSD, DMT, and STP: In liquid form; known as "acid, sugar, big D, cubes,
trips." The drug is also referred to as the "businessman's high."
Physical Symptoms: Severe hallucinations, feelings of detachment,
incoherent speech, cold hands and feet, vomiting, laughing and crying.

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•

PCP: In liquid, tablets, and powder form. May be dusted on mint, parsley
or marijuana leaves. The drug is also referred to as "angel dust, dust,
peace pill, and hog."
Look For: Odor of ether, or acetone (nail polish remover).

•

Crack: Light brown, beige or white crystalline rocks often-packaged in
small vials or small zip-lock plastic bags. This drug is also known as
"rock, slab, and gravel."
Physical Symptoms: Dilated pupils, elevated pulse and blood pressure,
elevated body temperature, anxiety, body tremors, euphoria, excitation,
hallucinations, increased alertness, restlessness, sweating.

•

Cocaine: white powder substance (purer forms appear yellow). Usually
packaged in clear plastic bags. Also known as “blow, coke, and nose
candy.” (Used to make crack)

•

Ecstasy: small pills of various shapes and colors. This drug has grown
increasingly popular among the youth in the city. They are primarily orally
ingested before going to a bar or club. Also known as “E” or the name of
the pill (i.e. Lexus, Champs, Blue Diamond).
Physical Symptoms: Dilated pupils, excessively outgoing, hyper, and
dehydrated.

•

KHAT: a green leaf shrub grown in Kenya and illegally trafficked into the
U.S. through Somalia, Africa. Similar in appearance to basil and often
stored in banana leaves to retain their potency. Ingested by chewing the
leaves or boiled in tea.
Look For: the smell of rotten vegetation.
Physical Symptoms: sense of euphoria, very talkative, and wide awake.
User may appear paranoid and delusional, and may hallucinate.

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STORING CONTROLLED SUBSTANCES OR MARIJUANA
The procedure for invoicing any controlled substance or marijuana
requires that the items be marked with the officer's initials and then consecutively
numbered. If, for example, Officer Katherine Roberts seized 100 glassine
envelopes, they would all be initialed and then sequentially labeled as “K.R. 1 of
100,” “K.R. 2 of 100,” etc., until “K.R. 100 of 100,” (the last glassine envelope)
was reached. After this, the items must be packaged.
In general, such items should be placed into a Narcotics Evidence
Envelope and then placed into a Plastic Security Envelope. All captions on
each envelope must be complete. Both envelopes must be completely sealed,
signed, and dated by the invoicing officer in the presence of the verifying
supervisor. Staples should not be used to seal the Narcotics Evidence Envelope.
The serial numbers of both envelopes should be recorded in the remarks section
of the invoice. The captions on the Narcotics Evidence Envelope should be
visible through the rear of the Plastic Security Envelope.
However, there are two situations that you may encounter when
processing such items, that would either prevent you from using a security locktype envelope or require you to use a plastic security envelope, in addition to a
security lock-type envelope. These are as follows:
1.

The item being packaged is too large to fit into a security lock-type
envelope. In this case, you should securely wrap the item in a package,
secure it with tape, and properly identify it.

2.

In certain instances, a controlled substance that contains phencyclidine
(Angel Dust) will be placed into a Plastic Security Envelope and sealed
prior to being placed into a Narcotics Evidence Envelope. This is
necessary because Angel Dust can be absorbed into the skin through a
narcotic envelope, but not through a Plastic Security Envelope.

The Police Laboratory asks that you do not use tape to seal individual
items of controlled substance evidence. For example, if you have a number of
crack vials, marijuana cigarettes, or envelopes (glassine envelopes, etc.), it is not
necessary to tape all the vials or packages together. They should be placed
loose into the Narcotics Evidence Envelope (always in the presence of the desk
officer), secure it (do not staple) and write your name, shield, command and
date across the back flap before placing it into the Plastic Security Envelope.

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When storing property, certain procedures from the Patrol Guide must be
followed to insure that the chain of custody is maintained. Therefore, narcotics,
controlled substances, and marijuana must be stored at the command of
arrest/occurrence until they are removed to the laboratory and subsequently
transported to the Property Clerk's Office for safekeeping. This is also true of
any evidence that requires a laboratory examination.
You should be aware of the instances when controlled substances or
marijuana are to be stored in the command’s controlled substance locker.
•

Controlled substances or marijuana are stored in the command when
the weight is less than eight ounces and fits in the controlled
substance locker.

•

Conversely, if the controlled substance or marijuana weighs eight ounces
or more, or is too large to fit into the controlled substance locker, or it is
the controlled substance KHAT, it will be delivered directly to the lab.

Note: KHAT dissipates quickly if not properly handled, making
prosecution for possession/sale difficult. KHAT should be transported
in a cool environment to protect the integrity of the evidence.

CLANDESTINE DRUG LABS
Clandestine drug laboratories are miniature chemical labs that produce
illegal drugs. These labs are usually found in rented garages, basement
apartments, and rented multi-dwelling homes where the landlord is absent.
These drug laboratories pose serious health hazards to law enforcement
personnel. A typical site contains both toxic and volatile chemicals and
materials. This exposes those who seize, process, and dispose of these
laboratories to unknown dangers. These labs present a variety of physical,
chemical and toxicological dangers.
Either brief or extended exposure to hazardous materials can have
serious health consequences, depending on the type of chemical and the body’s
reaction to it. In order to mask the presence of the lab, the operator foregoes
proper ventilation and other safety measures, and confines the area with few
access routes and poor lighting. There also exists the possibility of assault by
attack dogs. Booby traps also are being used with increased frequency. There
is also the potential for explosions and fire caused by burning cigarettes, sparks
from electrical switches, electrical equipment, and damaged or mishandled gas

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cylinders. Before entering a suspected or known drug location – and as a matter
of general practice – you should be cautious of certain signs common to these
clandestine laboratories. Signs of possible clandestine laboratories include:
ƒ

The sight of chemical drums outside the location or in the backyard;

ƒ

Unusual chemical odors (the smell of bitter almonds), heavily fortified
locations;

ƒ

Heavy pedestrian and vehicular traffic during odd hours;

ƒ

Persons leaving the location only long enough to have a “smoke.”

SEARCH OF PRISONERS
When searching prisoners, police officers should always be cautious and
thorough. Always be cautious of needles or other sharp objects when
frisking/searching individuals. When possible, the officer should ask the person if
he/she has any sharp objects in their possession. To avoid missing small objects
secreted on a person, searches should always be thorough. Every pocket should
be turned inside out and all cuffs (pants, sleeves, and collar) should be rolled
down. Pay particular attention to areas that criminals commonly use to store drugs
(i.e. the small change pocket on jeans, inside socks, inside shoes/sneakers/boots,
inside waistband).

LEGAL ISSUES
NYS courts have established several rules that govern our police
procedures in narcotics cases. Failure to follow these rules will lead to dismissal
of the case and, possibly, to a civil suit against the police officer and the
Department.
These rules are as follows:
1.

Probable cause for a drug sale arrest can be established in
several ways. These include, but are not limited to:
a.

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An officer observes money passed in exchanged for a
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b.

Furtive or evasive behavior on the part of the participants,
coupled with the passing of a glassine envelope.

c.

The exchange of a glassine envelope in a narcotics prone
location and the officer concerned can present evidence in
court demonstrating the area is truly narcotics prone.

d.

An officer who is trained and experienced in narcotics
enforcement observes the passing of glassine envelopes.

2.

In a Stop, Question and Frisk situation, when an officer feels what
he believes to be drugs, the officer may not search that area for
the drugs. The plain view doctrine does not include any plain
touch provision.

3.

The plain view observation of packaging that is immediately
apparent to the police officer as drug packaging establishes
probable cause. The officer does not need to see the actual drug
packaged therein. Thus, if a certain “brand” of heroin or marijuana
packaged with a label has become commonplace in a
neighborhood, an officer who spots such packages is generally
considered to have probable cause to believe they contain drugs.

4.

When a police officer has probable cause to believe that an
automobile contains drugs, the officer can search any part of that
automobile he or she believes could contain the drugs.

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MANDATORY PATROL GUIDE AND SUPPLEMENTAL READING
The following are Patrol Guide procedures that must be added to this chapter –
Drug Offenses. These procedures must be read in conjunction with this chapter.
Questions for the 3rd Trimester Exam may come from these procedures:
•

P.G. 218-24 “Processing Controlled Substances or Marijuana
Contraband Stored At Stationhouse.”

•

P.G. 218-25 “Processing Controlled Substances or Marijuana
Contraband Not Stored At Stationhouse.

•

Interim Order 40 of 2000

•

Interim Order 37 of 2003

•

Interim Order 9 of 2004

•

NYS Penal Law sections 220 and 221

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HOMEWORK
1) Define “sell” as it pertains to the sale of controlled substances/marijuana.
2) List and explain the drug possession presumptions (and the exceptions to
the presumptions) as they pertain to:
a. Controlled substance found in a vehicle
b. Drugs found in plain view in a private home under circumstances
evincing an intent to sell
3) Explain the difference between:
a. Criminal Possession of a Controlled Substance, misdemeanor &
felony
b. Unlawful Possession of Marijuana and Criminal Possession of
Marijuana
c. Criminal Sale of Marijuana, misdemeanor & felony
4) Explain the procedure for invoicing controlled substance or marijuana (to be
stored in the station house).
5) Explain four (4) ways in which probable cause can be established in
narcotics cases.

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Integrity Crimes and Liability Issues

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT INTEGRITY AND LIABILITY?
The most important reason for knowing the contents of this chapter is that the
worst thing that can happen to any organization is for the public to believe that it lacks
integrity. When this occurs in policing, it is impossible to do the police job effectively
especially since the people who need the police most – the poor and victimized – also
are the first to realize that integrity is missing. When people trust us, they view us as
partners, and are willing to share secrets and information with us in order to better their
communities. When our actions cause the belief that we put personal gain ahead of
public interest, they turn elsewhere for help and our effectiveness is lost. Therefore, it is
critical not only that we have integrity, but that we do nothing to create the impression
that we lack integrity.
A second reason for studying this chapter is that it helps define right and wrong
for us, for other public servants, and for members of the public who may try to corrupt
us and other officials. This information will serve as a guide to your own behavior, and
will also be useful when you encounter circumstances in which others have engaged in
behavior that shows a lack of integrity.
A third reason for studying this chapter is its discussion of liability. Liability, in
this context, is exposure to civil suits based on your police-related conduct. Both you
and the City of New York are potentially liable for misconduct every time you take
action, or refrain from taking action.
Liability is a scary subject for some police officers, who seem to believe that
everything they own is up for grabs every time they do anything at work. This is a
grossly exaggerated belief, caused mostly by lack of knowledge. The best way to avoid
exposing yourself and the City to liability is to do your job properly and in good faith.
Keep in mind, before you take action, that you may be required to explain why you did
what you did. This still may not prevent someone from suing you. Unfortunately, this is
a litigious society and suit involving the police are not uncommon. However, you are
very unlikely to lose any case in which your explanation shows the necessity and
reasonableness of what you did. Even if you do lose a suit under these circumstances,
it is likely that the City will assume the costs of any judgment against you.

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NYPD Values
The New York City Police Department Values Statement is as follows:
In partnership with the community, we pledge to:
I.
II.
III.
IV.

Protect the lives and property of our fellow citizens and
impartially enforce the law.
Fight crime both by preventing it and by aggressively pursuing
violators of the law.
Maintain a higher standard of integrity than is generally
expected of others because so much is expected of us.
Value human life, respect the dignity of each individual and
render our services with courtesy and civility.

As police officers, we must serve equally all members of the community in which
we work, not showing preference to any particular person or group and not acting in an
unauthorized manner. Since we are in an occupation where we have great power over
others (e.g. issuing summonses, making arrests), there are times when we will be
offered items such as money by others who seek to gain our favor. This Department
takes a very strong stand on issues of integrity, and will try to remove any member
whose actions tarnish our reputation. In addition to this, it is important for you to know
how to criminally charge those individuals who offer unauthorized benefits to public
servants.
The Law
This chapter discusses the Penal Law offenses that deal with issues of integrity,
including Bribery, Bribe Receiving, and Official Misconduct. Following this is a section
that deals with Department policy on the acceptance of gifts by police officers and the
procedures we must follow in this matter. The mere perception by the public that an
officer is somehow getting something that he or she is not entitled to hurts the entire
Department, because it breaks down the community’s trust in us.
Civil Liability
The chapter’s last subject, civil liability, is most important in this litigious society.
Police officers can be sued whenever they take police action, even when they have
done nothing wrong. This is why officers need to have a superior understanding of the
procedures that need to be followed in order to be indemnified by the City of New York.
Lawsuits may be brought for many reasons, in either a state or a federal court. In
almost every case the lawsuit is against both the police officer and the City of New York.
As long as an officer has acted correctly, he or she will be indemnified, which means

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that the City will provide free lawyers (the Corporation Counsel) to represent him/her,
and will also pay any damages in Civil Court decisions. The procedures for this are
very specific and are repeated in Legal Bureau Bulletin Volume 17, Number 2, which is
included in your packet of Legal Bulletins.

DEFINITIONS OF TERMS
Before discussing the law, it is useful to define the terms in it:
Benefit (PL § 10.00 subd. 17) - Any gain or advantage to the beneficiary (person
receiving the benefit) and includes any gain or advantage to a third person pursuant to
the desire or consent of the beneficiary. It is not necessarily limited to money.
Public Servant (PL § 10.00 subd. 15)
1.
Any public officer or employee of the State of New York or of any political
subdivision thereof or of any governmental agency within the State; or
2.
Any person exercising the functions of any public officer or employee. The term
"public servant" includes a person who has been elected, hired or appointed as a public
servant in New York State, and includes a person who has been elected or designated
to become a public servant and who has not yet taken that position. Examples of public
servants include: mayor, police officers, city marshals, city health inspectors, district
attorneys, assistant district attorneys, public school teachers, traffic enforcement
agents, doctors or nurses employed by a municipal hospital.
Note: Only employees of New York State or its subdivisions are public servants
according to the N.Y.S. Penal Law definition. Federal employees, such as mail carriers,
FBI agents, DEA agents, and the like are not included in this definition. Instead, they
are covered under federal law. Employees of other states or employees of counties, or
cities of other states, would be covered under the laws of those states.
Bribery of a public servant is a very serious crime and is always a felony. This
section of law contains three (3) basic elements:
1.

There must be a "benefit."

2.

A "public servant" is involved.

3.

There must be an agreement or understanding to influence the public servant's
present or future conduct as it relates to the public servant's official duties.

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A TRAGIC BUT TRUE CASE
A police officer became aware that a junk dealer in
the Bronx was dealing in stolen cars. The cars were
stripped of all usable parts, and then the car was flattened
and sold as scrap metal. The expensive parts were shipped
to a dealer in North Carolina for resale. The officer entered
a trailer on the junk dealer's grounds and told the manager
that he would overlook the illegal operation if he was paid
$5,000. The manager called the owner of the junkyard and
at a later meeting the money was delivered to the officer.
The owner, the manager of the junkyard, and the
officer were all convicted of felonies and were put in jail for
long periods of time. In addition, the police officer lost all of
his pension rights.
The severity of this punishment shows how seriously
society regards the bribery of a police officer. Police
officers should not accept any benefit under any
circumstances, with the exception of situations
authorized by the Board of Ethics.
An arrest of the briber is important to preserve the
integrity of the Department and to deter others from the
same offense. It is so important that it may be rewarded by
commendation and promotional consideration. One act of
bribe receiving brings disgrace upon all Police Department
employees and their families. It is important that you report
any offer of a bribe immediately. The law holds the briber
and the bribe taker equally guilty.
The law considers it a crime when a public servant's opinion, judgment, action,
decision, or exercise of discretion is affected or changed by the offer of some benefit.
Any offer of a benefit that is supposed to influence you not to perform properly or
not to enforce the law must be reported by you as per Patrol Guide Sections 207-21,
207-22, 208-34, and 208-35, as amended.

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BRIBERY - FELONY
(P.L. 200.00, 200.03, 200.04)
In the crime of bribery, the bribe giver (briber) offers or gives a benefit in an
attempt to influence a public servant's present or future conduct, thereby bypassing the
orderly processes of the government. The briber, in effect, attempts to "buy"
preferential status or treatment from the government. The integrity and professionalism
of a New York City police officer is not for sale.
An important fact to remember as you read the following definition and examples
of bribery is that there is no such crime as attempted bribery. This is so because
bribery occurs when an offer is made: the law does not require that the benefit actually
be handed over to the public servant.
A person is guilty of Bribery when:
1.

He or she confers or offers or agrees to confer;

2.

Any benefit upon a public servant;

3.

Upon an agreement or understanding;

4.

That such public servant's vote, opinion, judgment, action, decision or
exercise of discretion, as a public servant will be thereby influenced.

The benefit used in this offense does not have to go directly to the public servant.
It includes a benefit to a third person or to any person or thing in whose welfare the
beneficiary is interested.
Example: Mr. Brown offers Mr. Smith, an Assistant District Attorney, a discount on a
new automobile if he refuses to prosecute him. The benefit offered in this case is "a
discount on a car."
Note: The benefit never has to change hands. As long as there is an agreement or
understanding, the attempt of bribery or a related offense constitutes the offense.
Note: The penalty for the offense of Bribery increases when the conduct involves either
benefits valued in excess of $10,000 or class A felonies involving controlled substances
(P.L. §220).

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BRIBE RECEIVING - FELONY
(P.L. 200.10, 200.11, 200.12)
With the crime of bribe receiving, the public servant solicits or accepts a benefit
to influence the public servant's present or future conduct. Public confidence in the
police must be built on the knowledge that the Department protects the rights of its
citizens impartially and professionally. Since the police are viewed as defenders of law
and order, discovery of criminal activity within the Department brings about a strong and
long lasting backlash of public sentiment.
A person is guilty of Bribe Receiving when:
1.

A public servant;

2.

Solicits (asks for), accepts, or agrees to accept any benefit from another
person;

3.

Upon an agreement or understanding;

4.

That the public servant's vote, opinion, judgment, action, decision, or
exercise of discretion as a public servant, will thereby be influenced.

Notes:
1.

It is important to realize that a public servant can commit bribe receiving by either
initiating the crime, by asking for a benefit (money or some gift or service) or by
agreeing to accept or accepting a benefit. Therefore, the public servant can be
seen as either a "bribe asker" or "bribe taker."

2.

Sometimes a police officer may take a bribe by agreeing to accept a benefit with
no intention of doing anything for the benefit of the bribe giver; remember, the
mere acceptance of the offer constitutes bribe receiving.

3.

A third person acting with the same intent as the public servant can also be
charged with bribe receiving through accessorial conduct when that third person
accepts or agrees to accept the benefit on behalf of the public servant.

4.

It does not matter whether the agreement to influence the public servant's action
is legal and proper or is unlawful and bad. Once an agreement or understanding
is reached by both parties that a benefit will influence the public servant's action,
the offenses of bribery (for the bribe giver) and bribe receiving (for the public
servant/bribe taker) are complete whether or not the public servant keeps his part
of the bargain.

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Example: A police officer observes Mr. Darin break into a store and apprehends him.
The officer asks Mr. Darin for $100 to avoid being arrested. If Mr. Darin agrees, the
offenses of bribe receiving on the officer's part and bribery on the civilian's part are
completed. It is not important if the officer or civilian fails to keep his part of the deal.
Once there is an agreement or understanding between them, the offense of bribe
receiving has been completed.
Note: As in bribery, the seriousness of this crime increases when the incident involves
either benefits valued in excess of ten thousand dollars or class A felonies involving
controlled substances (P.L. §220).
Note: If you are offered a bribe, notify the desk officer/supervisor as soon as possible.

OFFICIAL MISCONDUCT - MISDEMEANOR
(P.L. 195.00)
Official misconduct is a "catch-all" charge whenever a public servant commits an act,
which is an unauthorized exercise of his official function or an omission to act when
there is a lawful responsibility to do so. Simply stated, if you see a public servant
commit a bad act (act of commission or omission), and that bad act is related to that
public servant's official function, then the appropriate charge is official misconduct. As
you have already learned, public servants who solicit, accept, or agree to accept any
benefit to influence their present or future conduct may be charged with bribe receiving,
but in addition an appropriate charge would be official misconduct.
More specifically, Official Misconduct is committed by a public servant with the intent to
obtain a benefit or deprive another person of a benefit:
1.

A public servant commits an act (act of commission) relating to the public
servant's office knowing it is an unauthorized exercise of his official functions; OR

2.

A public servant knowingly does not perform a duty which the public servant has
a lawful responsibility to perform (act of omission).

Examples:
1.

A police officer intentionally searches a person unlawfully for the purpose of
arresting him. The unlawful search would be considered an act of commission.

2.

A police officer fails to make an arrest when he has observed a crime committed,
even though the officer knows he should make the arrest (an act of omission).

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Under subdivision #1, the act must relate to the public servant’s office in that it
constitutes an unauthorized exercise of his or her official function.
Subdivision #2 refers to public servants who knowingly do not perform an official
duty imposed on them by law or which is clearly part of their job. The failure to act must
be more than a lack of good judgment. It must be a knowing failure, not simply a
mistake.
The conduct in subdivisions 1 and 2 of the Official Misconduct statute is not
criminal unless it is coupled with intent to obtain a benefit or deprive a person of a
benefit. The term "benefit" also includes any gain or advantage to a third person. In
this crime, even though the intent may be to obtain a benefit, there need be no active
solicitation, acceptance or agreement by the public servant.
Example: P.O. Norton is walking his steady beat when he observes John, a known
drug dealer, and another man exchange U.S. currency for two vials of crack. P.O.
Norton has a party to attend that night and does not wish to make an arrest and spend
hours in court. P.O. Norton approaches the two men, takes the two vials of crack,
throws the crack down the sewer and continues walking his beat. P.O. Norton was
under a duty to arrest the suspects and voucher the drugs properly, but instead
breached his duty. P.O. Norton would be guilty of official misconduct - misdemeanor.

REWARDING OFFICIAL MISCONDUCT - FELONY
(P.L. 200.20, 200.22)
This crime is committed by anyone who knowingly confers, or offers or agrees to
confer, any benefit upon public servants for having violated their duty as public
servants. This crime is one in which the public servant violates their duty (a past bad
act) and has received no offer or benefit nor had they agreed to a benefit prior to their
act.
Note: The seriousness of Rewarding Official Misconduct increases when it involves a
class A felony in §220 (controlled substances) of the penal law.
Example: In the example of official misconduct, P.O. Norton failed to take appropriate
police action. The next day the drug dealer, John, walks up to P.O. Norton and states,
"Thanks for not arresting me yesterday," while he slips a $50 bill into P.O. Norton’s
hand. John may be charged with rewarding official misconduct. John Maloney gave
the $50 bill to P.O. Norton for having violated his police duties, namely not making the
arrest and not vouchering the recovered drugs properly.

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RECEIVING REWARD FOR OFFICIAL MISCONDUCT - FELONY
(P.L. 200.25, 200.27)
This crime is committed by public servants when they solicit, accept or agree to
accept any benefit from other persons for having violated their duty as public servants.
This crime also requires that the public servants have already violated their duty (a past
bad act) and that up to the time of such violation there was no solicitation or agreement
to give a benefit for their action.
Note: The seriousness of the crime of Rewarding Official Misconduct increases when it
involves a class "A" felony in §220 (controlled substances) of the penal law.
Example: Referring to the example of official misconduct and rewarding official
misconduct, if P.O. Norton accepts the money offered by John the drug dealer, P.O.
Norton may be charged with receiving reward for official misconduct. P.O. Norton
accepted the money for having violated his police duties, namely not making the arrest
and not vouchering the recovered drugs properly.

GIVING UNLAWFUL GRATUITIES - MISDEMEANOR
(P.L. 200.30)
This crime is committed when a person knowingly gives or attempts to give, or
offers any benefit to public servants who have done their job properly (a past good act)
and for which they were not entitled to extra compensation. It could be considered
giving a "tip" to the public servant.
Example: Mr. Jones offers $100 to firemen who put out a fire in his home. He could be
charged with Giving Unlawful Gratuities in this case. He voluntarily offered a benefit in
return for a job well done.

RECEIVING UNLAWFUL GRATUITIES - MISDEMEANOR
(P.L. 200.35)
This crime occurs when public servants actively solicit, or accept, or agree to accept
any benefit for having performed their duty properly (a past good act).

Example: A police officer heroically saves a child's life. He then accepts a benefit
offered to him by the child's grateful father. The police officer could be charged with
receiving unlawful gratuities and the father could be charged with giving unlawful
gratuities.

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The important thing to remember about the crimes of giving and receiving
unlawful gratuities is that unlike bribery and official misconduct, there is no prior
wrongful act required of the public servant. In essence, these crimes involve tips for
jobs well done – and tips cannot be part of a public servant’s income.

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QUESTIONS:
1.

Identify the benefit offered in this situation:
Ms. Burns says she will give Police Officer Friday $25 if he does not give her a
summons for speeding.

2.

Which of the following persons would not be considered a public servant?
a.
b.
c.
d.

3.

A lawyer in private practice
An Assistant District Attorney
A New York City Criminal Court Judge
A doctor working for the New York City Health and Hospitals
Corporation

TRUE or FALSE -- A person is considered to be a public servant only if he is
holding an elected position.
Explain:

4.

Officer Smith has arrested Joe. Prior to the trial, Joe's attorney tells Officer Smith
that he will give him money not to testify about certain details of the arrest.
Officer Smith agrees to accept the money. Has the officer committed a crime?
______YES

______NO

Explain:
5.

Mr. Brown is the owner of a drug store. Every year he gives the officers who
patrol the area of his store a small sum of money for the good job they have
done. What crime, if any, has been committed?

6.

Ms. Smith has pleaded guilty to a crime. She then gives the prosecutor money to
recommend a suspended sentence. Could Ms. Smith be charged with Bribery?
______YES

______NO

Explain:

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7.

If the prosecutor in Question #6 agrees to accept the money for his
recommendation of a suspended sentence, could he be charged with Bribe
Receiving?
______YES

______NO

Explain:
8.

Officer Bryant stops Mr. Edwards for a motor vehicle violation. Bryant tells the
motorist that he will ignore the violation if Mr. Edwards gives her $20. Can
Officer Bryant be charged with Bribe Receiving?
______YES

______NO

Explain:
9.

A judge tells a district attorney that he will give him money if he handles a case in
a certain manner. With what crime should the judge be charged?
______ BRIBERY

______ BRIBE RECEIVING

Explain:
10.

Police Officer Jones observes Mr. Parker pass a red light. Upon informing Mr.
Parker of his violation, Officer Jones indicates that for a favor of some kind she
will forget the whole thing. Mr. Parker agrees. Has Bribery occurred?
______YES

______NO

Explain:
11.

What about Police Officer Jones, who started the whole thing with Mr. Parker?
Has Jones committed a crime?
______YES

______NO

Explain:

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12.

13.

14.

If Mr. Parker, in Question #10, had started this matter by offering $10 to forget
the whole mess and Officer Jones immediately placed him under arrest, what
would be the correct charge?
a.

BRIBERY – FELONY

b.

OFFICIAL MISCONDUCT – MISDEMEANOR

c.

ATTEMPTED BRIBERY - FELONY

d.

BRIBE RECEIVING - FELONY

While Officer Harrington is on patrol he observes Nick "The Needle" selling one
ounce of heroin to little Jimmy. Officer Harrington approaches and places Nick
under arrest for Criminal Sale of a Controlled Substance 2nd Degree, an A-1
felony. During the trip to the station house Nick offers Officer Harrington
$100,000 to forget the whole thing. Officer Harrington, who is in debt, agrees.
What crimes have been committed?
a.

ONLY BRIBERY - FELONY

b.

ONLY BRIBE RECEIVING - FELONY

c.

BRIBERY - FELONY, AND RECEIVING REWARD FOR
OFFICIAL MISCONDUCT – FELONY

d.

BRIBERY - FELONY, AND BRIBE RECEIVING - FELONY

Police Officer McNair is very friendly with the people on her post. In fact, she has
prevented many robbery attempts at the Adams’ grocery store. To show his
honest appreciation, Mr. Adams gives Officer McNair an envelope containing $25
as a Christmas gift. What, if any, crime would Mr. Adams be guilty of?
a.

NO CRIME

b.

BRIBERY - FELONY

b.

GIVING UNLAWFUL GRATUITIES – MISDEMEANOR

d.

OFFICIAL MISCONDUCT - MISDEMEANOR

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15.

If in the above question Officer McNair looked into the envelope and saw the $25
and understood the reason for it and then pocketed it, could she be charged with
any crime?
______YES
______NO
Explain:

16.

Is Officer McNair guilty because she did something wrong in order to get a
reward?
______YES

______NO

Explain:
17.

If Mr. Gonzales merely offered the $25 to Officer McNair without actually giving
her the money, would that be enough to constitute the crime?
______YES

______NO

Explain:
18.

If Officer McNair asked for the $25 and Mr. Gonzales refused payment, would
either one be guilty of a crime?
______YES

______NO

Explain:

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GIFTS AND OTHER COMPENSATION GUIDELINES
Police officers that are assigned to particular neighborhood beats or sectors on a
regular basis are expected to have considerable interaction with members of the
community. This daily interaction may lead to an increase in situations where gifts or
other types of compensation are offered to them by grateful citizens. When confronted
with a situation in which a gift or other compensation is involved, members of the
service must be guided by Board of Ethics rulings.
In an effort to clarify pertinent guidelines and disseminate necessary information
concerning recent law revisions, the Board of Ethics presents this compilation to which
members of the service may refer to for guidance in this area. It should be noted that
this is by no means a complete or exhaustive compilation regarding gifts or gratuities.
Any further questions concerning the acceptance of gifts or other ethical questions may
be referred to the Legal Bureau at 1 (646) 610-5400. Questions that go beyond the
scope of the Police Department may be referred to the New York City Conflicts of
Interest Board. The Board will provide definitions and guidance regarding the ethical
provisions of the New York City Charter.
General Guidelines
Chapter 68 of the New York City Charter governs the ethical propriety of gift
acceptance. In most instances, members of the service may not accept gifts from the
public. However, each case must be decided on its own merits by evaluating the totality
of the circumstances surrounding the gift.
Three factors must always be examined when considering the ethical propriety of
accepting a gift:
1.
2.
3.

The value of the gift;
The intent of the donor; and
The intent of the recipient.

The Value of a Gift
Members of the service may not accept valuable gifts such as expensive
watches, money or savings bonds given in appreciation of police service unless the
Board of Ethics approves such acceptance. A member of the service who accepts gifts
or favors for performing official duties is subject to the imposition of penalties which
include a fine and/or suspension or removal from office. Additionally, it should be noted
that it is a class “A” misdemeanor under Section 200.35 of the Penal Law for public
servants to solicit, accept or agree to accept any special benefit for having engaged in
official conduct which they were required or authorized to perform. However, it is

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neither unethical nor illegal for a member of the service to accept a gift which is of little
value such as an inexpensive plaque, a pen and pencil set, or a favor distributed to all
those attending a function. See Ethics Ruling Nos. 1, 2, & 8.

THE INTENT OF THE DONOR
If a donor's conduct or demeanor indicates that he may expect special treatment
from members of the service as a result of his gift, it may not be accepted regardless of
its value. Additionally, if another person could get the impression that the donor was
influencing official conduct, the gift must be declined. A gift from a person or entity with
whom the employee deals with in their official capacity may never be accepted even if
the gift is not given for police service. The appearance of corruption has the same
negative effect on the Department’s image as does actual corruption. See Ethics
Ruling Nos. 11, 26, & 31.

THE INTENT OF THE RECIPIENT
The intent of members of the service who receive gifts may be scrutinized by the
Department:
•
•
•

If the gifts are valuable; or
If they accept inexpensive gifts on a routine basis; or
If they accept a gift from someone with whom they have official contact,
regardless of its value. See Ethics Ruling Nos. 9, 27, & 33.

Where the gift is inexpensive, the members of the Department should be guided
by P.G. 203-13 and 203-14 regarding financial restrictions, and by their commanding
officer as per P.G. 203-16, before accepting or declining the gift. In instances where
unique or expensive gifts are tendered to a member as part of an official ceremony, or
where refusal would create an embarrassment to the donor, the gift should be accepted
by the member in a manner that indicates that the acceptance is on behalf of the
Department. See Ethics Ruling No. 14. Additionally, if return of a prohibited gift is not
practical, the Chief of Inspectional Services should be contacted to determine
disposition of the gift.
In addition to being offered gifts at educational and social functions, it is not
unusual for members of the public to offer police officers a cup of coffee or a danish
during the course of their duties. This type of offer is acknowledged and accepted in
our society as a social courtesy. In certain instances, refusal may be insulting.
Accordingly, under certain circumstances the acceptance of a cup of coffee or small
meal would not be improper or unethical. For example, where an officer is detained in a

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private home on a sick call or awaiting the arrival of the Medical Examiner, a cup of
coffee offered as a token of sociability or courtesy may be accepted. This does not
apply in cases where police officers must leave their assigned posts or linger
unnecessarily merely to be sociable.
Restaurants that offer free cups of coffee or meals, and newspaper vendors who
offer free newspapers cannot be considered in the same light as persons who display
their sense of hospitality in their own homes. In most instances, any "free" offer from a
commercial establishment usually comes with the expectation that special consideration
will be given by the police officer in return. Even in those few instances where the offer
is genuinely free of such expectations, the public at large negatively perceives the
appearance of such expectations. In any instance where the appearance to a member
of the public may be improper, such behavior is prohibited. Thus, a police officer may
not accept any free or discounted item from any merchant where the same is not given
to the public at large.
Section 14-136 of the New York City Administrative Code regulates rewards
given to members of the service. This section provides that members of the service
who receive rewards or presents for meritorious services rendered in the due discharge
of their duties must notify the Police Commissioner. The Commissioner may either
order the members to retain all or part of the reward or may dispose of it for the benefit
of the Police Pension Fund. Failure to notify the Commissioner is considered cause for
termination from the Department.
Recent revisions to the New York City Charter have created additional limitations
on acceptance of gifts by public servants. Section 2604 (b) (3) of the Charter states:
No member of the board of estimates or the council or other
salaried officer or employee of the city or any city
agency…shall accept any valuable gift, whether in the form
of service, loan, thing or promise, or in any other form, from
any person, firm, corporation or other entity which to his
knowledge is interested directly or indirectly in any manner
whatsoever in any such business dealings.
The phrase business dealings with the City is defined as any transaction with the
City involving the sale, purchase, rental, disposition or exchange of any goods, services,
or property, any license, permit, grant or benefit and any performance of or litigation
with respect to the foregoing. "Business dealings with the City" do not include any
transaction involving a public servant's residence or any ministerial matter.

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If a member of the service receives gifts that are customary on family or social
occasions, which would otherwise violate Sections 2604 (b) (3), the member must be
sure that:
1.

It can be shown under all the relevant circumstances that it is the family or
personal relationship rather than the business dealings that is the controlling
factor; and

2.

The public servant's receipt of the gift would not result in or create the
appearance of: (i) using his or her office for private gain; (ii) giving preferential
treatment to any person or entity; (iii) losing independence or impartiality; or (iv)
accepting gifts or favors for performing official duties.

If a gift is a reward or is presented for police service rendered in the discharge of
official duty, the member’s commanding officer will prepare a report, on typed letterhead
to the Police Commissioner for review and a final determination regarding acceptance
of the gift.
If a gift is offered by a person or firm which is engaged or intends to engage in
business with the City of New York, the member’s commanding officer will review the
City Charter to ensure that there is no conflict of interest, request a ruling by the Board
of Ethics if necessary, and notify the member concerned regarding the propriety of
accepting the gift.
If any member receives two or more gifts, regardless of value or source, within a
calendar year, the member’s commanding officer must prepare a report on typed
letterhead to the Chief of Internal Affairs Bureau.

DEPARTMENT BOARD OF ETHICS GUIDELINES
General Guideline No. 2
Subject: Soliciting discounts from stores or entering places of entertainment such
as theaters and ballparks free of charge by members of the service.
Guideline: It is unethical, without exception, for members of the Department to solicit
or accept any discount on merchandise or service, or to solicit or accept entry without
fee to a place of entertainment such as a theater or ball park, based solely on his/her
being members of the Department.

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It should be noted that there is a distinction between attending community
sponsored affairs or "Policemen's and Firemen's Day" at the ballpark and routinely
using a shield for free admission. In the former cases, members of the service attend in
an official capacity to improve community relations or they attend as police officers to be
honored by a baseball team and the public. In the latter case members of the
Department use their official position as an instrument to gain special favors for
themselves. This practice is demeaning to police service and unethical.
General Guideline No. 6
Subject: Gifts given to members of the service.
Guideline: When considering the ethical propriety of accepting a gift there are
several aspects of the gift-giving situation which must be examined:
1.
2.
3.

What is the value of the gift?
What is the intent of the donor?
What is the intent of the recipient?

Valuable gifts such as expensive watches, money, savings bonds, etc., should
not be accepted at any time by members of the Department if they are given in
appreciation or recognition of police service, unless reviewed by the Board of Ethics and
approved by the Police Commissioner. The acceptance of gifts which are of little value
such as inexpensive plaques, pen and pencil sets or favors distributed to all those
attending a function, is not considered unethical.
The intent of the donors and their expectations regarding the nature of their
relationship with recipient members of the Department is an important consideration. If
the donors' conduct or demeanor indicate that they may expect special treatment from
members of the Department as a result of their gifts, they may not be accepted
regardless of their value. Regarding the donor's intent, members of the Department
must be prudent in deciding whether to accept or decline a gift. If, for example, the
intentions of the donor clearly do not involve influencing the member's official conduct,
but the danger exists that another person could get this impression, the gift must be
declined. The appearance of corruption has very much the same negative effect on the
Department’s image as does actual corruption.
The intent of the recipient of the gift is the next consideration. Your intentions
would not be questioned, for example, if while attending a large public dinner you
accepted an inexpensive gift given to all present. Your behavior could be suspect,
however, if a valuable gift were given to you; or if over a period of time, inexpensive gifts
were routinely given to you; or if any gift, regardless of its value, were given to you by
someone with whom you have official contact.

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Where the gift is an inexpensive gift as indicated above, the members of the
Department should use their own judgment in accepting or declining said gift. Where
the gift is of a unique nature or carries a value above and beyond that of an inexpensive
gift, the member should not accept the gift without a priority ruling by the Board of Ethics
and, where warranted, approval of the Police Commissioner. In instances where
expensive or unique gifts are tendered to a member as part of an official ceremony, or
where refusal would create an embarrassment to the donor, the gift should be accepted
by the member in such a manner as to denote that the acceptance of such is on behalf
of the Department. Guidance of the Board of Ethics should then be sought to determine
the disposition of the gift. In all cases where prior knowledge exists on an intended
presentation by any person or organization to a member of the service, prior
determination by the Board should be sought. Where warranted, approval of the Police
Commissioner is also necessary.
The holiday season is no exception to these rules. In fact, members of the
Department must be especially careful to avoid accepting or appearing to solicit gifts
during the months of November and December.
Members of the Department must use good judgment in accepting gifts in all
instances. Where doubt exists, the gifts should not be accepted without a prior ruling of
the Board of Ethics.
General Guideline No. 8
Subject: The acceptance of a cup of coffee.
Guideline: It is recognized, and accepted, in our society that the offer of a cup of
coffee to a person in our home is a manifestation of social courtesy. Refusal may,
under certain instances, be taken as an insult by the host or hostess. In considering
this matter, the Board of Ethics has sought to evaluate the value of the acceptance of
such hospitality and the damage to community relations by refusing the offer.
It is therefore, acknowledged, that in certain instances, refusal to accept the offer
may engender a gap in communications between the police officer and members of the
community. Thus, under such circumstances the acceptance of a cup of coffee would
not be improper or unethical.
Where an officer is legitimately detained for a period of time in a private home on
official police business and the host or hostess offers the police officer a cup of coffee or
a small meal, the officer may accept as a matter of courtesy. Naturally, this does not
apply in cases where police officers must leave their assigned posts or linger
unnecessarily merely to be sociable. Nor does it apply with respect to public areas.

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Restaurants which offer free cups of coffee, meals, etc., newspaper vendors who
offer free newspapers, cannot be considered in the same light as persons who display
their sense of hospitality in their own homes. In most instances, any "free" offer usually
comes with the expectation that special consideration will be given by the police officer
in return for the free "cup of coffee," etc. Even in those few instances where the offer is
genuinely free of such expectations, the public perceives the appearance of impropriety.
In any instance where the appearance to the general public may be improper, such
behavior is prohibited.
Thus, a police officer may not accept any free or discounted item from any
merchant where the same is not given to the public at large.
The guiding standard must not only be that behavior in fact be free of taint, but
that the public perceives the police officer to be beyond reproach.

DEPARTMENT BOARD OF ETHICS RULINGS
In order to further clarify gift and compensation acceptance guidelines the
following compilation consisting of Board of Ethics Rulings is being provided. Members
of the service should note that while there are some clear rules concerning the
acceptance of gifts, each case must be decided on its own merits. Common sense,
good judgment and prudence must be utilized. Additionally, members should be aware
that the manner in which the public perceives certain conduct is a considerable factor in
deciding ethical issues. Accordingly, activities which may reflect negatively on the
member or the Department are strictly scrutinized.

GIFTS AND RELATED AREAS
Ruling No. 1
Facts: A member of the service performing duty as an instructor at the Police Academy
in performance of his official duties gave a series of lectures to a group of employees of
another city department. Subsequently, the police instructor was invited and attended a
public ceremony where he was praised for his efforts and presented with a plaque and
valuable wristwatch. Rather than cause embarrassment to the presenting official, the
instructor accepted the awards and thereafter sought the guidance of the Police
Department and the Board of Ethics as to whether he may ethically retain possession of
the award and gift.

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Ruling: At a meeting of the Board of Ethics it was determined that receipt of the plaque
was not improper and it could be retained, but receipt of the wristwatch was in conflict
with the ethical and professional standards required of a police officer and it must be
returned.
Explanation: It is wrong for any police officer to accept a gift for professional services
performed. The wristwatch was in the nature of a gratuity for the performance of duty
and is equivalent to an offer of a monetary reward. The plaque is in the nature of an
award in recognition of outstanding service. So long as it does not have an unusually
costly intrinsic value and is unaccompanied by monetary or another valuable gift, it is
not unethical for a member to accept such an award. The requesting member was so
advised.
Ruling No. 2
Facts: A Police Department superior officer with many years of service was invited to
be "guest of honor" at a dinner to be given by a fraternal organization. At the dinner a
plaque was to be presented to the police officer in recognition of police work performed
over the years. The member sought the guidance of the Police Department and the
Board of Ethics regarding the propriety of accepting the invitation to be guest of honor
and receiving the plaque.

Ruling: The Board of Ethics determined that attendance at the dinner, as guest of
honor and acceptance of the plaque would not be unethical. The requesting member
was so advised.
Explanation: If no other gifts are offered, and if there is no attempt by the sponsoring
organization to utilize the presence of the Department member for any purpose that
would compromise the integrity of the member or the Police Department in an
unfavorable light, it is not improper for the member to accept the invitation and plaque.
The police profession centers on service to the public, sometimes extending over a
period of many years. It is expected that some officers' service and dedication will be
commendable and that community groups will seek to honor him/her.
Ruling No. 8
Facts: A community group wanted to hold a testimonial dinner for a local precinct
commander where he/she would be presented with a plaque for outstanding efforts in
promoting community relations. They also wanted to invite a number of police officers
and supervisors from local commands to attend the dinner free of charge. The Board
was asked to determine if attendance at the dinner and acceptance of the plaque would
be ethical for the commander and if members of the service could attend free of charge.

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Ruling: The Board of Ethics determined it would not be unethical for the commander to
attend and accept the plaque. The board also determined that, under the
circumstances given, it would not be unethical for other invited members of the service
to attend free of charge.
Explanation: Acceptance of the invitation by the commander and his acceptance of
the plaque is not unethical if no other gift is offered and no attempt is made by the
sponsoring organization to use his presence for a purpose that would compromise his
integrity or place the Department in an unfavorable position.
Regarding the acceptance of free admission by other invited officers, the Board
believes that the fundamental question is whether such attendance would improve
community relations. In this case, the answer is clearly "yes." Acceptance of the
invitation to attend free of charge is therefore not unethical.
Ruling No. 9
Facts: The Colgate-Palmolive Company has sponsored a contest in conjunction with
the television series "Police Surgeon." Contest rules dictated that winning contestants
receive a prize and a duplicate prize be given to their local police. The commanding
officers of three precincts requested the opinion of the Board regarding the propriety of
accepting the television sets and a station wagon awarded for use in their commands.
Ruling: The Board of Ethics determined that accepting the gifts would not be unethical,
but the gifts could not be made directly to the Police Department. According to law,
certain procedures must be followed to secure the gift through the Corporation Counsel.
Explanation: In this case, the prizewinners were not businessmen doing business with
the City so there was no conflict of interest. There would be no contact between
precinct personnel and the civilian prizewinners so there was no danger that the gift was
being given to receive preferred treatment from the Department. There was no threat,
or appearance of a threat, to the integrity of any police officer. Therefore, the Board
ruled that accepting the gifts through appropriate channels would be ethical.
Ruling No. 11
Facts: The management of Madison Square Garden offered to donate tickets to
several commands for free admission to the openings of various shows. The main
purpose for this offer, as expressed by the management, was to insure a full house on
opening nights. The Board was asked to decide if accepting the offer would be ethical.
Ruling: The Board ruled that acceptance of the tickets would be improper.

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Explanation: The express purpose of this offer was to benefit the corporation. The
offer was in no way related to community service nor was it intended to improve police
community understanding. Useful motivation for acceptance was entirely lacking. In
addition, because there would be no procedural controls over the donations, it would be
difficult to prevent the appearance of the acceptance of unlawful gratuities by members
of the commands involved. Thus the Board determined that acceptance would be
improper.
Ruling No. 14
Facts: Two members of the service, assigned to escort and security duty for a visiting
foreign dignitary, were given valuable gifts as a token of appreciation by the grateful
ambassador. The officers attempted to refuse the gifts but the donor insisted. The
officers felt that refusal would be embarrassing to both the Department and to the State
Department. They accepted the gifts and sought a Board of Ethics opinion as to what
the proper disposition of the gifts would be.
Ruling: The Board decided that the acceptance of the gifts was proper in this situation
and determined that the gifts be turned over to the Training Division Museum for
display. Should incidents of this nature occur again, in that acceptance of gifts is
necessary for the sake of courtesy or diplomatic tact, officers would realize that they are
accepting on behalf of the Department and have the gifts placed in the museum.
Explanation: It is difficult to refuse a tendered gift especially where diplomatic courtesy
is in question. Established Department policy which prevents officers from accepting
gifts should be explained to the donor and police refusal should be attempted. The
Board of Ethics realizes that this procedure is not always conducive to good public
relations or diplomatic protocol. In cases where refusal could well prove embarrassing
or insulting to the donor, the member so honored should accept the gift on behalf of the
Department. It will then be turned over to the Museum for display. Whenever prior
knowledge of an intended gift of this type exists, the opinion of the Board should be
sought. Where warranted, the approval of the Police Commissioner will be necessary.
Ruling No. 26
Facts: A request for an opinion was submitted to the Board of Ethics as to the propriety
of seeking financial sponsorship from private businesses for a softball team formed by
and composed of members of the service.
Ruling: The Board of Ethics has determined that a member of the service may not
seek financial sponsorship from a private enterprise because such an arrangement
constitutes the appearance of a conflict of interest. This type of arrangement is
therefore prohibited.

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Explanation: The sponsorship of departmental athletic teams or activities by private
businesses, or the solicitation of businesses to sponsor such teams or activities would
create the appearance that the businesses would be accorded favoritism or special
attention. The members of the team would derive the benefit of equipment, uniforms
and other favors afforded them by them. The sponsoring business may, in turn, feel it
should be treated more favorably. In addition, the advertising gained by the sponsoring
business would give the appearance of impropriety to businesses not sponsoring
teams, and those businesses may feel that they are being pressured to sponsor teams.
Ruling No. 27
Facts: Members of the service participating in an intramural Police Department football
league were sponsored by the owner of a social club which supplied jerseys worth
approximately $250.00 bearing the name of the social club. The club has been raided
by the borough's Public Morals Division for operating after hours, and appears on the
precinct's corruption prone list.
Ruling: The Board determined that it would be improper and unethical for members of
the service to accept sponsorship from a business interest whether legitimate or not,
and that the jerseys must be returned to the owner of the social club in question.
Explanation: Although the impropriety of accepting anything of value from a social club
whose questionable legitimacy is obvious, this ruling does not depend on the character
of the giver. Rather, the Board's general guidelines clearly prohibit solicitation or
acceptance of anything that carries with it even the appearance of special consideration
for the giver. In this case, members of the service wearing the name of a particular
business while playing football under the auspices of the Department can only lead to
the assumption that the business enjoys a special relationship with the officers involved,
and hence, the Department itself. Analogous prohibitions are found in Patrol Guide
203-16, General Regulations, wherein members of the service may not solicit or publish
"booster lists" and may not accept gifts as rewards for police service.
Ruling No. 31
Facts: The Board of Ethics became aware of an American Legion Post making its
facilities available to a precinct club, free of charge. The precinct club provides its own
food and drink, but was not charged for use of the facility.
The cost for use of the facility was normally $100.00, though the American
Legion often waives this fee for some community organizations. At issue, is whether or
not it is permissible for a precinct club to hold its meetings at an American Legion Post,
or any other similar facility without payment of the normal fee for such use.

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Ruling: The Board of Ethics has determined that free use of an American Legion
facility by a precinct club, is unethical. While the Board recognizes that other
community organizations may be permitted to use the facility for free, such activity on
the part of a police precinct club is improper. Notwithstanding the good intentions of the
American Legion Post, there is, at the very least, an appearance of impropriety. The
police are sworn to uphold the laws impartially and free use of an American Legion
facility may have an adverse impact on this impartiality.
In consideration for use of their facility, some members of the American Legion
Post may expect special treatment when confronted with local enforcement, i.e.,
parking, moving violations, etc. Even if the offer by the American Legion Post is
extended without any expectation of special treatment, the public may nevertheless
conclude that the American Legion Post is receiving special treatment. The only way to
prevent this perception is to not allow the free use of the post by the precinct club.
Ruling No. 33
Facts: A prominent watch manufacturer has proposed to sponsor an annual special
awards ceremony to honor deserving auxiliary policemen and policewomen who have
demonstrated their utmost in service to the community. The awards of watches valued
up to $250.00 will be given to six outstanding auxiliary police officers. The award
recipients will be chosen by a committee comprised solely of auxiliary police members.
The Board of Ethics was asked to rule on whether it is appropriate for a private
company to offer something of value to a member of an organization (auxiliary police)
officially connected with the New York Police Department.
Ruling: The Board of Ethics determined that it was not unethical for the auxiliary police
members to accept the awards.
Explanation: There is little or nothing that these individuals have in their authority to
enable them to reciprocate by showing favorable treatment to the donor and the watch
manufacturer does not engage in any business with the Police Department. It has been
taken into consideration that auxiliary police officers freely donate their time to the
service of the community for solely altruistic reasons with no expectation of monetary
compensation or reward. Therefore, in this matter, the recognition of their services by
these awards has been deemed appropriate.

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Integrity Crimes and Liability Issues

CIVIL LIABILITY OF POLICE OFFICERS
INTRODUCTION
Sometimes a police officer's actions may result in a civil lawsuit not only against
the police officer, but also against the City of New York. Lawsuits may be brought for
many reasons. Examples of allegations made in lawsuits are as follows:
1.

A police officer unnecessarily forced a confrontation with an emotionally
disturbed person, antagonizing the emotionally disturbed person into attacking
the officer. The officer then shot the emotionally disturbed person.

2.

A police officer unlawfully searched an apartment without a search warrant and
without being privileged under one of the exceptions to the search warrant
requirement to the Fourth Amendment.

3.

A police officer used excessive force while making an arrest.

4.

Instead of arresting a domestic violence offender who had assaulted his wife, a
police officer sent the offender for a walk. The offender returned home an hour
later and killed his wife.

PROTECTION FOR POLICE OFFICERS WHO ARE SUED
Generally, New York State General Municipal Law, Section 50-K, indemnifies
police officers from civil liability, provided that they act reasonably and within the scope
of their employment. Under this section, the City of New York will provide legal counsel
and pay any subsequent judgment assessed on the officer and the City.
In order for you to be fully protected in case of a civil lawsuit, you must know the
important parts of Section 50-k.
This section of law states that:
1.

The act for which you are sued must have happened:
a.

While you were acting within the scope of your employment as a police
officer; and

b.

In the discharge of your duties as a police officer; and

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c.

While performing your duties, you were not violating any regulation or
rule of the Police Department for which a civil action is being brought
forward.

2.

The City will not pay any judgment if you intentionally did something wrong or
acted in a reckless manner.

3.

Any legal papers served must be delivered to the Corporation Counsel within
10 days (P.G. 211-21 states that this is done via your commanding officer).

4.

You must cooperate fully with the Corporation Counsel and the Comptroller’s
Office in defense of the case.

5.

If you receive departmental charges for the act for which you are sued, you must
be cleared of these charges first in order to be indemnified by the City.

6.

In order to sue the City or an employee of the City, a notice of claim must be filed
within ninety days of the incident. However, any action or proceeding must
commence within one (1) year and ninety (90) days from the incident.

ACTING WITHIN THE SCOPE OF YOUR EMPLOYMENT AND IN THE DISCHARGE
OF YOUR DUTIES AS A POLICE OFFICER
While you are a police officer throughout New York State, you are also an
employee of the City of New York. If you are off duty and outside the City of New York
and you take police action that results in a lawsuit against you, the City may claim that
you were not acting as its employee. It is not within the scope of your employment to
act as a police officer off duty outside the City of New York.
However, you are likely to be indemnified if you make an off duty arrest in the city
except: (a) when you are personally involved, (b) when engaged in off duty
employment, and (c) when enforcing traffic regulations.
If you are on duty and take police action, whether you are in New York City or
not, you will be protected if you acted properly. You will not receive protection, if your
police action involves intentional wrongdoing, a criminal act, a reckless act, or any other
act that cannot reasonably be seen as part of your duties as a police officer.

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DELIVERY OF LEGAL PAPERS
If you are sued, you must be sure that any legal papers are delivered to the
Corporation Counsel. Patrol Guide Procedure 211-21 sets forth relevant guidelines.
The papers should be given to your commanding officer and he or she will forward them
to the Legal Bureau.

COOPERATION WITH THE CORPORATION COUNSEL AND THE OFFICE OF THE
COMPTROLLER OF THE CITY OF NEW YORK
If you wish to be indemnified, you must cooperate with the Corporation Counsel
and the Comptroller's Office. It is only proper that as a City employee you assist the
City in its defense of the case. If you refuse to cooperate, the City will notify you that
they will not provide you with an attorney and will not pay any judgment against you.
However, there should be no reason why you would not cooperate.

HOW TO PROTECT YOURSELF AND THE CITY OF NEW YORK FROM LAWSUITS
In order to do a professional job as a police officer, and at the same time protect
yourself and the City from judgments in civil lawsuits, you should:
1.

Know the principles contained in the United States Constitution and the laws
granting rights and privileges to citizens, and always uphold them. The
requirements of due process, lawful searches and seizures, and probable cause
should be studied and mastered by all police officers.

2.

Although you are new to the area of law enforcement and are devoting your
entire day to learning, upon graduation, you should keep up with the changes in
the law and related procedures. The law is always changing. It is your
responsibility to be aware of any changes that affect how your job is done.
In addition to formal classes conducted at the Police Academy, all members of
the service attend field level unit training several times a year as well as
instructions at the range and daily roll call training periods. In addition, the Police
Department publishes Legal Bureau Bulletins, orders, and directives, which tell
you of new cases that concern your job. It is your responsibility to read these
publications and to follow their direction when performing your duty. The Legal
Bureau has attorneys who will help clarify the law and answer questions that you
may have. If you are in doubt about the law, confer with your supervisor to
determine if a consultation with the Legal Bureau is appropriate.

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3.

Do not be overly concerned about civil lawsuits. Base all your actions on the
facts and act in good faith and on probable cause. Don't abuse the power or the
trust people have for you as a police officer. Always act as a professional.

4.

If you act reasonably, Section 50-k fully protects you from any monetary loss.

5.

For a full understanding regarding the subject, the following should be read:
Patrol Guide 211-21 and Legal Bureau Bulletin Vol. 17, No. 2.

WHISTLEBLOWERS LAW
During this lesson, we have discussed very important topics regarding our
integrity as police officers; more importantly our responsibility to maintain this integrity
and image. We should all recognize the importance of reporting corruption in a timely
manner in order to prevent its widespread effects. Those officers who witness corruption
and report it should be commended for their efforts. However this is not always the
case. Officers who have reported acts of misconduct have often been subject to what is
known as "Adverse Personnel Action" and have been labeled as "Whistleblowers."
In order to combat this type of retaliation, Mayor Bloomberg signed a bill on
February 18, 2003 Amending the NYC Whistleblowers Law. (NYC Administrative Code
12-113) "Adverse Personnel Action" by definition includes dismissal, demotion,
suspension, disciplinary action, negative performance evaluation, any action resulting in
loss of staff, office space or equipment or other benefit to appoint, failure to promote, or
any transfer or assignment or failure to transfer or assign against the wishes of the
affected officer or employee.
The Amendment to the Whistleblowers Law has extended protection beyond the
categories of criminal activity and corruption. The law now includes reports against
gross mismanagement and abuse of authority. The Amendment has also expanded
protection to all city agencies, not just those who have heads appointed by the Mayor.
Of course the law protects all members of the New York City Police Department. In
essence, the law stipulates that if any member of the service reports any act of
misconduct there shall be no "Adverse Personnel Action" taken against said member.
The Amendment also stipulates that anonymity and confidentiality of the reporting
member be maintained. Those that do take "Adverse Personnel Action" against a
reporting officer are subject to penalties including but not limited to Department
dismissal, fines and, or imprisonment.

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QUESTIONS
1.

Officer Jones was served with a summons and complaint on March 10th. He goes
on vacation, and delivers the documents to his commanding officer upon his
return on March 25th. Is this appropriate?

2.

Officer Marshall is being defended by the Corporation Counsel. When requested
by the Corporation Counsel to come down for an interview on her regular day off,
she refuses. Must she be indemnified?

3.

Officer Williams makes an off-duty arrest in Nassau County. Although Officer
Williams acted properly, he is later sued for making an illegal arrest. Must he be
indemnified?

4.

In the situation in Question 3, may Williams be indemnified?

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L.B.B. INDEX
For more information on Bribery and related offenses, read the following Legal Bureau
Bulletins:
1. Vol. 1, No. 19, “BRIBERY,” Penal Law sections 10.00 (17) and 200.00.
2. Vol. 15, No. 2, “ACCEPTANCE OF FREE OR DISCOUNT MEALS OR
OTHER GRATUITIES BY POLICE PERSONNEL,” Penal Law sections 200.30 and
240.36.
For more information on civil liability, read the following Legal Bureau Bulletin:
1. Vol. 17, No. 2, “CIVIL LIABILITY OF POLICE OFFICERS,” General Municipal Law,
50-k.

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Domestic Violence

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT DOMESTIC VIOLENCE?
One of the most explosive issues facing the criminal justice system today
is how to react to and control interpersonal violence. Until recently, primary
attention was placed upon the control of violence committed by strangers. Such
acts were properly seen not only as inflicting serious harm, if not fatalities, on
their victims but also as challenging the essence of a public order committed to
nonviolent resolution of disputes.
Within the last fifteen years, attention has also focused on what is
statistically the greater problem, violence within family structures. As awareness
grew of previously unreported incidents of brutal attacks upon intimates and
elderly relatives, concerns that first arose over abused children were expanded to
encompass other family members.
The following are alarming statistics on domestic violence related crimes:
•

The New York City Police Department responds to 600 domestic incidents
per day.

•

49% of all female homicide victims in New York City are killed in intimate
partner homicides. (Mayor’s Office to Combat Domestic Violence)

•

Of these intimate partner homicides, teenagers comprise approximately
8% of the total victims. (Mayor’s Office to Combat Domestic Violence)

•

In the United States, four women are killed every day by their male
partners.

•

In New York City, foreign-born women were an overrepresented group
among intimate partner homicide victims between 1990-1997. (Mayor’s
Office to Combat Domestic Violence)

•

In 2002, 68% of all family related homicides in New York City were
committed against women who were either immigrants or women of color.

•

Although overall homicide rates have declined in New York City, domestic
violence homicide remained at 12-13%. Approximately 25% of those
victims are under 10. (Mayor’s Office to Combat Domestic Violence)

•

A 2002 study of 11 cities, including New York City, showed a high
correlation between forced sexed and domestic violence related homicide.
(Mayor’s Office to Combat Domestic Violence)

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Domestic Violence
•

Studies estimate that 3-5% of the elderly population have been abused.
The Senate Special Committee on Aging estimates that there may be as
many as 5 million elders abused every year.

•

It is estimated that $5 to $10 billion a year is spent on health care, criminal
justice, and other social costs of domestic violence.

•

Domestic Violence is a public health epidemic directly affecting an
estimated 6.2 million American women every year, and causing more
injury to women than vehicle accidents, rape, and robbery combined.

•

Proportionately, women are more likely to be injured in violence committed
by intimates than by strangers.

•

It is estimated that 25% of workplace problems such as absenteeism,
lower productivity turnover, and excessive use of medical benefits are the
result of family violence.

•

In fiscal year 2001, the New York City Police Department made nearly
24,000 family related arrests, an increase of more than 60% since Fiscal
Year 1994. (Mayor's Management Report, fiscal year 2001)

•

Over 4,000 of these family-related arrests were for violations of Orders of
Protection, more than double the amount of such arrests made in Fiscal
Year 1994. (Mayor's Management Report, fiscal year 2001)

•

In 2002, New York City's Domestic Violence Hotline received over
150,000 calls, a 67% increase from 1999. (Safe Horizon, New York, N.Y.)

•

Over 10,000 calls to the City's Domestic Violence Hotline in 2002 were
from teenagers. (Safe Horizon, New York, NY)

•

In a survey of New York City public hospitals and treatment centers, 2,430
victims were self-identified as domestic violence victims in 2000. (New
York City Health and Hospitals Corporation)

•

Approximately 10% of the identified domestic violence victims treated at
New York City Public Hospitals are under the age of 20.

•

In a survey of over 500 female clients involved with preventive service
child welfare agencies in New York City, approximately 49% reported
violence in their intimate relationship. (Family Violence Prevention Project
Data, 1996-97, Administration for Children's Services)

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Domestic Violence
Domestic Violence Facts
Domestic violence is a learned behavior, not a mental illness or individual
pathology. People are abusive because they are taught that it is an effective,
acceptable response to stress, frustration, and anger. Men, specifically, may be
socialized to believe that aggression equals power and that abuse and control
can be justified.
Domestic violence occurs in all ethnic, religious, and social groups. The
actual extent of domestic violence may not differ much across social and cultural
groups but the rate of official reporting and identification does.
It is clear that both male and female children are affected when they grow
up in an abusive environment. The symptoms exhibited by children who witness
domestic violence can be similar to those of children who are physically abused.
Research has shown that battering may first occur or increase during
pregnancy. According to a study published by the March of Dimes, pregnant
women seeking routine prenatal care reported being abused. These women
tend to suffer injuries to the stomach, breasts, or pelvic area.
According to the Justice Department, about three out of four spousal
assaults occur between people who are divorced or separated. In many cases,
the separation process precipitates an increase in the level of violence and
harassment. Several studies have indicated that the majority of domestic
homicides occur during the separation or divorce process. This phenomenon is
easily understood because the abuser’s power and control are threatened when
a partner leaves.
Women stay in abusive relationships due to fear, lack of resources,
psychological damage, and the hope that the abuse will stop. More women are
killed by their partners after ending the relationship than at any other time.
Of all families experiencing domestic violence, many also experience the
effects of alcohol-related problems. The use and abuse of alcohol however does
not cause violent behavior. Substance abuse and physical abuse are problems
that should be dealt with separately. Many batterers use alcohol to explain or
excuse their violence and to minimize their responsibility for the violent acts they
have committed. This is also true with drug use and stress. Stress, drugs, and
alcohol do not cause battering, but batterers often use these as a way to excuse
their use of violence.

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Domestic Violence
Abusers tend to harm any person with whom they are in a relationship,
regardless of the victim’s personality or actions. An abuser needs no provocation
to become violent. Violence is part of the abuser’s pattern of responding. It is
important to understand that his/her partner, the victim, is not in control of this
behavior, nor does the victim cause the partner’s behavior.
Studies indicate that batterers will also harm their children. The severity of
the abuse of the mother is reflected in the abuse of the child. The abuse of
children is more likely when the marriage is dissolving, or when the couple has
separated. The aggressor may not wish to relinquish dominance of the partner
and/or the children.
Domestic violence is a pattern of coercive behavior, which serves to
maintain power and control over family/household members, including children,
or intimate partners. This pattern may include physical, emotional, psychological,
economic, and/or sexual abuse and may escalate in frequency and severity over
time.
Coercive behavior can include criminal acts such as: assault, sex crimes,
stalking offenses, property crimes, and child endangerment. Conduct that is not
considered criminal in nature by itself may nevertheless form a basis for criminal
charges when the behavior instills fear of injury, harm, or is intended to annoy,
intimidate, or alarm the person over a period of time. Domestic violence is not
usually an isolated incident, but rather a pattern of abuse.
Dynamics of Violence
Some types of abuse have the potential for escalating into violations of
law, for which police officers can make arrests. However, other forms of abuse
do not rise to the level of criminal behavior. In order to monitor all victims,
police officers are required to complete a New York State Domestic
Incident Report (D.I.R.) (DCJS 3221) to track all incidents, regardless of
whether the conduct complained of is criminal behavior.
Tactics Used by People who Batter to Control the Lives of their Partners
For the police officer to have a better understanding of domestic violence,
it is important to understand the tactics used by abusers against their partners.
Developed by the Domestic Abuse Intervention Project of Duluth, Minnesota, the
Power and Control Wheel helps us to see how an abuser keeps the victims from
leaving the relationship.

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Domestic Violence
Using Coercion and Threats
• Making and/or carrying out threats to do something to hurt the victim
• Threatening to leave the victim/commit suicide/make false allegations
• Making the victim drop charges
• Making the victim engage in illegal activities
Using Intimidation
• Instilling fear
• Destroying property
• Abusing pets
• Displaying weapons
Using Emotional Abuse
• Verbal abuse and insults
• Playing mind games
• Humiliation
Using Isolation
• Controlling who or what the victim sees and does
• Limiting outside involvement
• Using jealousy to justify actions
Minimizing, Denying and Blaming
• Making light of abuse
• Denying abuse
• Shifting responsibility for abuse by blaming victim
Using Children
• Using children to relay intimidating or threatening messages
• Using visitation to harass
• Threatening to take away children
Using Male Privilege
• Treating victim like a servant
• Making all decisions
• Acting like the “master of the castle”
Using Economic Abuse
• Preventing victim from getting a job
• Making victim ask for money/denying access to money
• Giving victim an allowance

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Domestic Violence
Cycles of Violence
A batterer does not always batter. Sometimes the batterer is loving and
caring and at other times, he/she is threatening and abusive. Domestic violence
tends to follow a six-phase cycle. The length of each phase depends on the
individuals involved, although the period between violent outbursts tends to be
shorter over time. In terms of risk assessment, police officers should be aware
that a victim who has left the relationship or has threatened to leave might be in
increased danger.
Build-Up Phase - Tension builds within the perpetrator for various
reasons. His/her behavior may be more aggressive and intense regardless of
how hard the victim tries to calm him/her.
Stand-Over Phase - Because of the perpetrator’s possible and implied
physical strength, and the realistic and frightening threats, the victim feels under
the partner’s control.
Explosion Phase - A violent outburst occurs and is usually carried out in
a fit of self-righteous rage. These outbursts are likely to intensify over time. After
the assault, the perpetrator may enter the remorse stage.
Remorse Phase - The perpetrator may feel ashamed or guilty and afraid
of the consequences, however, he/she will usually deny or understate the
violence and refuse to take responsibility for his/her actions. The abuser may
claim that the victim is responsible for the violence and provokes the abuser.
The abuser may claim that he/she was out of control and did not realize what he
or she did. The abuser may feel that the victim deserved it. The victim often
believes this “reasoning” because to admit otherwise would be to acknowledge
the potentially dangerous situation in which he/she is living.
Pursuit Phase - If the victim leaves the abuser following the violent
incident, the perpetrator will usually try extremely hard to win the partner back.
This is also known as the “Buy-Back Phase” because the perpetrator will try to
buy back the victim by showering the victim with extravagant gifts, being loving
and attentive, and promising not to hurt again. The victim may return, wanting to
believe that the abuser has changed. If the victim still refuses to go back, the
abuser may resort to threats and more violence. The majority of domestic
violence occurs during this time. The victim may then return out of fear.
Alternatively, the perpetrator may become helpless, saying that he/she cannot
cope without the partner and threaten suicide if the partner does not come back.
The victim may return feeling needed, or that they must protect the abuser from
harming themselves.

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Domestic Violence
Reconciliation Phase - If reconciliation occurs, the couple, having come
so close to separation and destruction, may experience a very intense, intimate
relationship where neither wants to remember the pain of the violence and earlier
abuse is denied. The perpetrator may be communicative and responsive to his
partners needs leading her to hope or believe that he has changed.
Unfortunately, in violent relationships, the cycle inevitably continues as the
underlying issue of control reappears.
Progression of Violence
Early on in a relationship, when the controlling behaviors are typically less
intense, less severe, and are imposed under the disguise of good intentions, it
may be very difficult to clearly identify them as part of a pattern. Often the victim
views the first violent incident as an isolated incident. This coupled with the
batterer’s likely remorse and promises to never repeat the behavior can cause a
victim to be easily persuaded to stay and “work it out.”
Over time, however, the victim may begin to see the repeated promises
and apologies as empty, seeing little change (or an increase) in his/her partner’s
violence since the first violent incident. If the abuser’s “making up” behaviors no
longer instill hope and motivate the victim to stay in the relationship, he or she
may look for other ways to maintain control over the victim.
Often, that means the abuser will increase his/her use of threats, violence
or other forms of control, which increases a victim’s level of danger and fear – a
process known as entrapment. The fear, isolation, and confusion caused by this
pattern of abuse can keep a victim on edge and afraid to tell anyone what is
happening. This can also make the victim afraid to reach out for help.
Why Victims Stay
Under the best of circumstances, it is difficult to end a relationship with an
intimate partner. Love, extended family, children in common, shared memories,
and a sense of commitment to each other are bonds that are hard to break.
Victims face the additional risk of physical, emotional and psychological harm,
and a justifiable fear that it is more dangerous to leave. In addition, many victims
want the violence to stop, but they do not necessarily want the relationship to
end.
There are many obstacles to achieving safety with a violent partner, and
the choices victims confront are not risk free. Some of these obstacles include
the risk of physical and psychological abuse to self and children, financial
hardship, hope that the abuser will change, and fear of loneliness.

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Domestic Violence
The Domestic Violence Hotline
On June 1, 1994, New York City established a dedicated, 24-hour, seven
days a week, toll-free Domestic Violence Hotline. The only centralized citywide
hotline of its kind in the nation, it was created in response to the needs of the
City's domestic violence victims seeking immediate assistance. Previously,
victims of domestic violence were forced to navigate through a variety of
fragmented, uncoordinated systems in order to obtain services.
The Domestic Violence Hotline is staffed by trained counselors, through a
contract with a not-for-profit organization. They provide victims with immediate
information on crisis counseling, safety planning, legal assistance, healthcare,
and referrals to the City's emergency shelter system and to non-residential
domestic violence services in the victim's neighborhood. The Hotline is
accessible to hearing-impaired victims and those who require services in
languages other than English.
Because of the City's extensive public education efforts, the number of
calls to the Hotline has more than doubled since its inception. In 2002, the
hotline received over 150,000 calls. The Mayor’s Office to Combat Domestic
Violence was made a permanent part of City government in 2001. This unit can
be contacted at (212) 788-3156 for information regarding City services for victims
of domestic violence.
New York City Police Department - Police Strategy #4
Police Strategy #4 was created in 1994 to provide a comprehensive law
enforcement response to domestic violence. It created an aggressive, pro-arrest
policy for domestic violence-related crimes, and placed specially trained,
dedicated Domestic Violence Prevention Officers (DVPO) and Domestic Violence
Investigators (DVI) in each of New York City's 76 police precincts. The Police
Department also created a computer database and tracking systems for all
records of domestic incidents and current Orders of Protection, and mandated
on-going trainings within the Department, ensuring that domestic violence is
treated as seriously as any other crime. A domestic violence unit was established
at NYPD headquarters to oversee the Department's efforts in this area.
Implementation of Police Strategy #4 has been thorough and successful.
From fiscal year 1994 to fiscal year 2001, family-related arrests increased 35%
and arrests for violations of Orders of Protection increased 114%. There are now
over 300 Domestic Violence Prevention Officers and Domestic Violence
Investigators throughout the City. In fiscal year 2001, there were over 233,000
Domestic Incident Reports (DIR’s) filed. Every time we respond to an incident
involving family matters, a DIR must be prepared, (e.g., altercation,
disturbance, conflict, or dispute), or if the incident is an allegation of child
abuse.
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Domestic Violence
P.H.O.N.E.S. Initiative
New York City conducted the largest citywide cellular telephone recycling
program in the country. This program is now providing individuals who need
immediate access to emergency services with cellular telephones preprogrammed to call 911 and the City’s Domestic Violence Hotline. The recycling
drive led to over 22,000 cell phone donations. Through the P.H.O.N.E.S.
program (People Helping Others Needing Emergency Services), City agencies
are distributing the re-programmed cell phones to domestic violence victims. For
additional information, contact the Mayor’s Office to Combat Domestic Violence
at (212) 788-3156.
Tactical Considerations
Responding to instances of domestic violence has long been a common
occurrence for police officers. These situations, however, place the police officer
in a very demanding and complicated position. Experience has shown that
officers must be constantly aware that their safety and the safety of others must
be given constant consideration. In addition, the role of peacemaker on the one
hand, and law enforcer on the other, also comes into conflict in these situations.
On May 21, 1996, Police Officer Vincent Guidice and his partner
responded to the scene of a domestic violence call. As the officers attempted to
subdue and apprehend the perpetrator, Officer Guidice was mortally wounded
when a shard of glass from a broken mirror severed his femoral artery as a result
of the struggle. Throughout the country, nine (9) police officers were killed at the
scene of domestic incidents in 2001 alone.
To minimize the threat of injury to members of service on the scene of a
domestic incident, police officers must be cognizant of the hidden dangers
involved. It is important to separate and observe the parties involved while
maintaining visual contact with other police officers. Many victims may be
reluctant to reveal details if the perpetrator can hear the conversation. Certain
areas of the home, such as the kitchen where knives are present, pose a
particular threat, however weapons may be secreted almost anywhere. Every
effort should be made to keep all parties away from areas that may contain
dangerous articles (i.e. kitchen, garage, etc.).
Overcoming Obstacles to Communication
At times, the assistance of an interpreter may be needed when there is an
inability to communicate with parties involved in the incident because of a
language barrier or other obstacle to communication (e.g., hearing impairment).
The Operations Unit should be contacted to provide an interpreter as necessary.
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If an interpreter is not available, it is not advisable for a police officer to use a
family member to communicate because of potential impartiality due to the fear
of arrest of a family member or other personal bias. Victims are more likely to
respond openly and honestly if an impartial party translates.

WHY POLICE RESPOND TO DOMESTIC INCIDENTS
A primary distinction that the police officer must draw is whether the
incident constitutes a domestic dispute or domestic violence incident. A
domestic dispute involves two or more persons living in a family-type setting
where a verbal conflict has arisen and no criminal law has been violated. A
domestic violence incident, however, is an incident that involves two or more
persons living in a family-type setting who have engaged in an altercation that
has violated criminal law.
An act defined by the penal law as a crime is still a crime regardless of the
relationship of the offender to the victim. The offense may arise from a dispute
(e.g., argument, screaming matches), but once the conflict reaches a criminal
level, it may no longer be handled as merely a dispute.
Creation of Department Guidelines
Department guidelines define standards for police response to domestic
violence situations involving members of the same family or household. They
were instituted with two major objectives in mind:
1. To provide a concise explanation of the standards to be followed in
domestic violence situations involving (a) felonies, (b)
misdemeanors, (c) violations, and (d) orders of protection; and
2. To provide police officers with procedures for recording their
compliance with these standards.
Definition of a Family/Household
For purposes of properly investigating, referring, or enforcing the law with
respect to instances of domestic violence, the following relationships will be
considered members of the same family or household as defined in the Family
Court Act. These include persons who:

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A. Are legally married to one another; or
B. Were formerly legally married to one another; or
C. Are related by blood (consanguinity); or
D. Are related by marriage; affinity (e.g., in-laws, etc.); or
E. Have a child in common, regardless of whether such persons
have been married or have lived together at any time.
Definition of a Family/Household – NYPD Expanded Definition
The NYPD has expanded the definition of a family/household to include
two other categories to afford persons who have non-traditional family
relationships the same procedural protections as those that have traditional
family relationships. Accordingly, the NYPD’s definition includes subdivisions
"A" through "E" above, and persons who:
F. Are not legally married, but are currently living together in a
family-type relationship, including New York City domestic
partners; or
G. Are not legally married, but formerly lived together in a family
type relationship.
A complainant or offender in a domestic violence situation may be a
spouse, a parent, a child, other relative through blood or marriage, people who
have a child in common, roommate, or any individual who is living in or has lived
in a family-type relationship with another.
Note: Only persons whose relationship is defined in the Family
Court Act, Section 812, as described in categories "A" through "E"
above, may have their cases adjudicated in family court. The family
court does not recognize categories “F” and “G.”
Definition of “Family Offenses”
Criminal Procedure Law Section 530.11 and Family Court Act Section 812
establish special procedures regarding arrests for specific domestic violence
crimes. These crimes, referred to as family offenses, consist of the following:

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1. Menacing (3rd Degree, a class B misdemeanor, and 2nd Degree, a class
A misdemeanor);
2. Assault (3rd Degree, a class A misdemeanor, and 2nd Degree, a class D
felony, including Attempted Assault 3rd Degree, and Attempted Assault 2nd
Degree);
3. Disorderly Conduct (a violation - including acts not committed in a public
place).
4. Reckless Endangerment (2nd Degree, a class A misdemeanor, and 1st
Degree, a class D felony);
5. Aggravated Harassment (2nd Degree, a class A misdemeanor);
6. Stalking (1st Degree, a class D felony, 2nd Degree, a class E felony, 3rd
Degree, a class A misdemeanor, 4th Degree, a class B misdemeanor);
7. Harassment (2nd Degree, a violation, and 1st Degree, a class B
misdemeanor).

PROPER POLICE RESPONSE TO DOMESTIC VIOLENCE (P.G. 208-36)
When a police officer responds to, or is notified of, any incident involving
members of the same family/household (including the NYPD expanded
definition), the officer should
1.

Obtain medical assistance if needed or requested.

2.

Ascertain all facts.

3.

Take photographs (2 sets) if the victim has visible physical injuries,
or if property damage exists as a result of violence.

4.

Collect evidence and record statements of persons present at time
of occurrence.

5.

Be cognizant that many ethnic cultures may have different views as
to what constitutes domestic violence or abuse.

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6.

Determine whether:
a. Probable cause exists that any offense has been committed;
b. An order of protection has been obtained by the complainant/
victim;
c. The offense constitutes a family offense.
d. There are children present in the home who may be victims of
neglect, abuse, or maltreatment. The officer should conduct an
investigation and make proper notifications or take summary
action as required.

7.

If it appears that members of the New York City Police Department
are involved (uniformed or civilian members of the service),
request response of the Patrol Supervisor.

8.

You should temporarily remain on the scene until reasonably
satisfied that the danger or recurrence of the incident has passed if
no arrest has been effected.

9.

When offender has departed scene prior to arrival of police:
Conduct search of immediate vicinity for offender when:
a. Probable cause exists that a crime has been committed or an
Order of Protection has been violated, and
b. Officer has reason to believe that such search might yield positive
results. Advise complainant/victim to call police when offender
returns if search produces negative results. Follow reporting
procedures as set forth below.

Domestic Incident Report
In all instances in which police respond to, or become apprised of an incident
(e.g., altercation, disturbance, conflict, or dispute) that involves members of the same
family/household (including NYPD expanded definition), or an allegation of child abuse
is received, the assigned officer must prepare a New York State Standardized
Domestic Incident Report (DIR).
When preparing a DIR, the officer should adhere to the following guidelines.
1. If prepared in response to a radio run, include SPRINT job number on
form.

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2. List in the “Narrative of the Incident” section all factors that resulted in
determination or inability to determine that a particular offender was
the primary physical aggressor and whether any property was
removed, (e.g. arrest evidence, safekeeping, etc.).
3. Ensure that the name and phone number of the precinct Domestic
Violence Prevention Officer is printed on the rear of the last copy of the
N.Y.S. Domestic Incident Report. Advise complainant/ victim to
contact the Domestic Violence Prevention Officer to obtain further
information (e.g. referrals, voucher number, etc.).
4. Insert tax number of reporting member of the service in caption entitled
“Officer I.D. No.”
5. Give New York State Standardized Domestic Incident Report (pink
copy) and Domestic Violence Notice (gold copy) to complainant/victim,
if present. This copy contains information concerning victim’s rights
and the telephone number to the 24 hour all language domestic
Violence Hotline.
6. Inform all parties that the Precinct Domestic Violence Prevention
Officer may contact them concerning the incident.
Note: Domestic Incident Reports must be maintained at the precinct of
occurrence. If an arrest is effected, the arresting officer must ensure
that the Assistant District Attorney is provided with copies of all
Domestic Incident Reports prepared concerning the person arrested.
The Presence of Firearms
In addition to the above-mentioned guidelines, police officers will question
persons who are present at a domestic incident about the existence of firearms in
the household. Officers should seize any firearms (including rifles and
shotguns), and any licenses or permits if:
1. License holder is arrested; or
2. An order of protection exists against Licensee; or
3. Incident involves physical force or threat of physical force.
In addition, when a police officer reasonably believes that the presence of
firearms at a location creates an imminent risk of physical injury or serious
physical injury, the following actions should be taken to remove the weapons
from the location:

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4. Seize illegally possessed weapons and arrest offender; or
5. Seize any legally possessed weapons when such weapons
create an imminent risk of P.I. or S.P.I.; or
6. Voucher legally possessed firearms that are voluntarily
surrendered

Proper Documentation at Domestic Violence Incidents or Arrests:
Police officers should carefully document information obtained at the
scene of a domestic incident whether or not an arrest is made. Information that
may seem unimportant at the time may prove to be significant during an
investigation leading to an arrest or helpful to prosecutors after an arrest. This
information is vital because complainants may change their minds about
testifying or may be intimidated by the defendant.
Additionally, domestic violence cases prompt the involvement of many
other units within the department such as the Domestic Violence Prevention
Officer, Precinct Detective Squad, Special Victims Squad, Gang Unit, just to
name a few, as well as outside agencies such as Administration for Children’s
Services (“ACS”) and various other City agencies created to intervene and assist
families affected by domestic violence.
Police officers should follow the general guidelines listed below regarding
the areas to document when responding to the scene of a domestic incident.
Excited Utterances: Also known as Spontaneous Utterances
Document what the defendant is saying and how he or she is acting (e.g.,
“She asked for it.”).
Note: If a defendant makes a verbal threat to the victim as he or
she is being arrested by the police (e.g., “you’ll pay for this”), you
should also charge Intimidating a Witness - Felony (P.L. 215.15),
which deals with the intent of a person to prevent a witness of a
crime from relaying information to a law enforcement officer.
Location of Alleged Offender: Document where the defendant was
when the police arrived. Did the police officers hear what was going on
inside prior to entering the home?

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Injuries: Document the victim’s injuries and encourage him/her to go to
the hospital. Did the victim appear to be treating him/herself (e.g., ice
pack over eye, etc.)? Was the victim limping or complaining of pain?
Remember: He or she may testify, “It wasn’t that bad.” Document the
defendant’s injuries. He or she may claim that they acted in self-defense.
Condition of Scene: What is the condition of the scene or home?
Document the layout. If the area qualifies as a crime scene follow the
appropriate Patrol Guide procedure (P.G. 212-04)
Persons Present: Find out who was present at the time of the incident.
Take statements from other witnesses (family members, neighbors, etc.).
Identify the Caller: Document who called 911 and why they called.
Interview Children: Interview each child in the home separately.
Ask specific, non-leading, open-ended questions. Do not use children as
interpreters for alleged victims or alleged perpetrators.
Invoice Evidence: This includes any item that may have been used as a
weapon, even if the item may not be unlawful (e.g., rope, phone wires,
kitchenwares, etc.), as well as threatening communications (e.g., letters,
tapes, etc.), and clothing, if torn or bloody. If an item cannot be invoiced,
such as a wall or floor that a victim was injured against, document and
photograph, then invoice the photos.
The Primary Physical Aggressor
Criminal Procedure Law Section 140.10 (4) (c) mandates that where a
police officer has reasonable cause to believe (i.e., probable cause) that more
than one (1) family member or household member has committed a family
offense misdemeanor, such police officer is not required to arrest each person,
but must attempt to identify and arrest the primary physical aggressor.
When attempting to determine who the primary physical aggressor in a
domestic violence situation was, a police officer shall consider the following
criteria:
1. The comparative extent of any injuries by and between the parties. (In
other words, whose injuries are worse?)

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2. Whether there are offensive and defensive wounds. For example, a
swollen hand may be an offensive wound, while a bruised forearm may
be an indication that the person tried to shield himself from an attacker
resulting in a defensive wound.
3. Whether there is an existing order of protection.
4. Evidence from witnesses.
5. Whether any of the parties are threatening future harm against another
party or another family or household member.
6. Whether any of the parties have a history of domestic violence that the
police officer can reasonably ascertain.
7. Whether any such person acted defensively to protect himself or
herself from injury. In other words, is the person’s conduct justifiable
under Article 35 of the Penal Law?
The primary physical aggressor law does not prohibit the arrest of both
parties if a primary physical aggressor cannot be determined in a domestic
violence situation.
Example: Where there is reasonable cause to believe that both parties to
a particular domestic violence dispute have committed family offense
misdemeanors and the responding police officers are unable to determine
who, if anyone, was the primary physical aggressor, it would be lawful to
arrest both parties. Even where the responding police officers are able
to determine who the primary physical aggressor was, both parties may be
arrested, if appropriate.
The primary physical aggressor law does not pertain to violations, nonfamily offense misdemeanors, or felonies. Furthermore, it only applies to
persons who are covered by the definition of family/household members located
in section 530.11 of the Criminal Procedure Law or section 812 of the Family
Court Act (“A” through “E”). Thus, there is no obligation to identify the primary
physical aggressor in domestic disputes between persons who are not legally
married but currently living together, or have formerly lived together in a familytype relationship - unless they have a child in common (NYPD expanded
definition “F” and “G”).

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The primary physical aggressor law also requires that each complainant of
domestic violence be evaluated separately and provides that the police officers
shall not base a decision to arrest or not arrest on the willingness of a person to
testify or otherwise participate in a judicial proceeding. In addition, police officers
shall not threaten the arrest of any person for the purpose of discouraging
requests for police intervention. Finally, when the victim of domestic violence is
non-English speaking, a translator must be used before making a dual arrest to
assure the police officer has accurately assessed that a primary physical
aggressor could not be determined.
Circumstances Where the Officer Must Arrest
Pursuant to the New York State Criminal Procedure Law and applicable
Patrol Guide procedures, a police officer who responds to a report of an offense
committed between members of the same family or household (including NYPD
expanded definition A-G above), must make an arrest and shall not attempt to
reconcile the parties or to mediate situations where there is probable cause that
the offense committed was:
Felony: An arrest will be made even if complainant does not want the
arrest made. The officer has no discretion in this matter.
Violation of an Order of Protection: An arrest will be made even if the
complainant does not want an arrest made. This is so even if the act prohibited
by the order does not amount to a crime. The fact that the order was violated
constitutes a misdemeanor or possibly a felony under the penal law.
Misdemeanor: The officer must arrest unless the complainant
specifically states that he or she does not want the offender arrested. If the
complainant does not want the offender arrested, it is within the officer's
discretion to effect the arrest if, in the officer’s judgment, an arrest is warranted
(e.g., on-going dispute, complainant appears to be intimidated, or potential for
greater violence).
Violation in Officer’s Presence: In this instance, the officer also must
arrest unless the complainant specifically states that he or she does not want the
offender arrested. If the complainant does not want the offender arrested, it is
within the officer's discretion to effect the arrest if in the officer’s judgment an
arrest is warranted. A summons may not be issued.

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Note: For misdemeanors and violations in the officer’s presence where
the complainant does not want the offender arrested, the officer will make
an entry in his or her Activity Log and request the complainant to sign. If
the complainant will not sign the Activity Log, the officer will enter
“Refused Signature.”
Complainant’s Objection to an Arrest
The primary considerations when the complainant/victim does not want an
arrest are the prevention of further violence and the safety of all household
members. Factors to be taken into consideration include, but are not limited to:
a. The history between the offender and victim (prior arrests, incidents, injuries
sustained etc.). If possible, conduct an inquiry through the Precinct
Domestic Incident Database.
b. The officer’s observations of the scene and victim.
c. Statements of witnesses.
d. Statements made by the offender (especially threats of suicide,
homicide or other future violence).
e. Threatened use of weapons, or the presence of or access to weapons by
the offender.
f. Mental and physical state of the offender (drug or alcohol intoxication,
etc.).
g. Presence of other household members who may be at risk, including
the elderly.
In misdemeanor or violation domestic violence cases, the officer shall
not ask whether the victim wants an arrest made. If an officer has any doubts
about the continued safety of any household member, an arrest should be
effected.
Unless the complainant specifically communicates to the officer that he
or she does not want the arrest effected, nothing will preclude an officer from
making the arrest. This is true even if the officer believes that the complainant
will not follow through with the prosecution or the victim refuses to cooperate with
the officers.

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Violations Not Committed in the Officer’s Presence
For a police officer to make an arrest, a penal law violation must be
committed in the officer’s presence. If it is not, refer the complainant as follows:
1. Family/household members, as defined in the Family Court Act, and
family offense violation, to:
a. N.Y.S. Family Court, or
b. N.Y.C. Criminal Court, Summons Part. (If concurrent
jurisdiction exists, the complainant may go to either court or
both.)
2. Family/household - expanded definition subdivisions "F" and "G" and/or
non-family offense violations - N.Y.C. Criminal Court, Summons Part.
Note: A police officer cannot arrest for a violation not committed in his/her
presence unless the conduct constituting the violation is specifically
prohibited in a valid order of protection.
Concurrent Jurisdiction
The family court and the criminal courts have jurisdiction to hear domestic
violence related matters. This parallel authority is known as concurrent
jurisdiction.
There is concurrent jurisdiction in these courts to hear family offenses
between family/households as defined in the Family Court Act (“A” through “E”).
When such a family member is arrested on a family offense, although concurrent
jurisdiction may exist, the arrested person must be first taken directly to
criminal court for arraignment. Charges, however, may be brought in either
family court or the criminal courts, and the complainant/victim has the option to
change from one court to the other at anytime before the verdict or disposition, or
to proceed simultaneously in both courts.
It is the responsibility of the assigned or arresting officer to advise the
complainant of the option to proceed in one court or both. Before the
complainant can make an informed decision, the officer must explain the different
nature of the two court systems.

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Generally, a family court proceeding is a civil proceeding for the
purpose of attempting to stop violence, end family disruption and obtain
protection. Referrals for counseling and counseling services are also made
available. A proceeding in the criminal courts, on the other hand, is for the
purpose of prosecution of the offender and can result in a criminal conviction of
the offender. Both family court and the criminal courts have the authority to
issue an order of protection, the purpose of which is to stop the violence and
provide protection. A police officer investigating a family offense must also
advise the victim of the availability of shelter or other services by providing the
Domestic Violence Hotline number that is on the back of the DIR.
Note: If the respondent would not be criminally responsible by
reason of age, pursuant to Section 30.00 of the Penal Law, then the
Family Court shall have exclusive or sole jurisdiction (i.e., juvenile).
Note: If any non-family offense is committed, then one of the
criminal courts shall have exclusive jurisdiction.
Situations Where Concurrent Jurisdiction Does Not Exist
When a family offense is committed between individuals who are not
legally married to one another but who are living together in a family-type
relationship (including New York City domestic partners), or persons who
previously lived together in a family-type relationship (NYPD expanded definition;
“F” and “G”), then concurrent jurisdiction does not exist and the offender
must be taken to criminal court where the matter will be heard and properly
disposed.
Similarly, when the offense committed is not a family offense as defined
by the Family Court Act, a criminal court will have sole jurisdiction.
If a defendant is charged with a family offense and an additional
criminal charge that is not a family offense (e.g., assault 1st degree, rape, etc.),
then the case may only be handled in a criminal court.
If a violation of an order of protection exists, regardless of the court of
issuance, a criminal court will have jurisdiction.
A police officer will not issue a desk appearance ticket or station house
bail when complainant or victim and offender are members of the same
family/household (including expanded definition).

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ORDERS OF PROTECTION
An “order of protection” is a legal order, signed, by a judge, that forbids a
person from engaging in certain threatening behavior against the complaining
party. The N.Y.S. Family Court, N.Y.C. Criminal Court, and the N.Y.S. Supreme
Court, may issue an order of protection or a temporary order of protection on
behalf of a complainant. The complainant is commonly referred to as the
petitioner, while the defendant is referred to as the respondent.
The family court order may set forth reasonable conditions of behavior to
be observed for a period of one (1) year or three (3) years (or longer if there
was child abuse) by the complainant, defendant, or both parties, or any other
member of the family or household. Supreme Court orders and criminal court
orders can remain in effect for as long as the court specifies in the order.
Terms of the Order of Protection
An order of protection mandates that the respondent avoid certain
behavior or face criminal charges for violating the order. Typically, an order
requires the defendant to:
1. Stay away from the home, school, business, or place of employment,
of the other spouse or the child; or
2. Permit a parent to visit the child at stated periods; or
3. Refrain from committing a family offense or any other criminal offense
against the other party and/or the child; or
4. Abstain from offensive conduct against the child or against the other
parent or against any person to whom custody of the child is awarded;
or
5. Refrain from acts of commission or omission that tend to make the
home an improper place for the child; or
6. Pay the reasonable counsel fees and disbursements involved in
obtaining or enforcing the order of the person who is protected by such
order, if such order is issued or enforced; or
7. Participate in an educational program and pay the costs thereof if the
person has the means to do so; or

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8. Surrender firearms, ammunition, and licenses.
The court may also award custody of the child during the term of the order
of protection to either parent or to an appropriate relative. The court may also
upon the showing of special circumstances, extend the order of protection for a
reasonable period of time.
Procedures to Follow Regarding Orders of Protection
If you receive a complaint that an order of protection has been violated, an
arrest must be made. Prior to the arrest, however, you must ascertain that the
order is valid and is not expired. You must also determine whether there is
probable cause to believe that the person to be arrested did violate the terms of
the order of protection.
In situations where an arrest is made for a violation of any order of
protection issued by any court either in New York State or any other state, the
arrest will be processed in N.Y.C. Criminal Court.
If the Family Court issued the order, the officer will also advise the
complainant or victim that he or she has the right to proceed independently in
Family Court by filing a petition with that court. The police officer, however, will
still be required to bring the offender before the local criminal court.
This procedure applies only to arrests arising from violations of orders of
protection. Keep in mind that concurrent jurisdiction still exists for arrests arising
from family offenses committed against family members as recognized by the
Family Court Act where no orders of protection exist.
What to Charge when an Order of Protection is Violated
Regardless of the nature of the prohibited conduct, a violation of an
order of protection is a criminal act. This is because the arrest is based on the
defendant’s defiance of the order. For instance, an order may prohibit the
respondent from standing outside of the petitioner’s residence. This act by itself
does not constitute a crime, but when a judge orders a person to refrain from this
behavior, and the person defies it, he has committed a crime.
When an order of protection is violated and the act that violates the order
is also an offense (e.g., assault, menacing, harassment, etc.), the offender will be
charged with the offense committed in addition to the charge for violation of the
order of protection.

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In all cases, whether the order of protection was issued by Family Court,
Supreme Court, or Criminal Court, and whether the violation constitutes an
offense or not, the penal law crime charged will be either Criminal Contempt,
1st degree; Criminal Contempt, 2nd degree; or Aggravated Criminal
Contempt; as appropriate, and the offender will be brought to Criminal Court.
Out-of-State Orders of Protection
Uniformed members of the service are mandated by Federal Law to
enforce out-of-state orders of protection in the following situations:
1. The complainant produces a valid order of protection or the officer
reasonably believes of the existence of such an order; and
2. The officer has probable cause to believe the order of protection has
been violated; and
3. The offender had notice of the existence of the order and an
opportunity to be heard before the court of issuance.
In all cases where a violation of an order of protection is alleged, the
appropriate charge will be criminal contempt, in addition to any other charges.
Article 215 of the New York State Penal Law defines the various criminal
contempt charges.
Certificate of Warrant
The Family Court may also issue a warrant directing that the defendant
be brought immediately before the court when it appears that:
1. The summons cannot be served; or
2. The respondent has failed to obey the summons; or
3. The respondent is likely to leave the jurisdiction; or
4. A summons, in the court's opinion, would be ineffectual; or
5. The safety of the petitioner is endangered; or
6. A respondent on bail or on parole has failed to appear.
Upon issuance of the warrant, the complainant will usually be given a
certificate stating that a warrant has been issued. The presentation of such a
certificate to a police officer authorizes him to arrest the individual stated on
the warrant and take him or her to the issuing family court. A Certificate of
Warrant expires ninety-days (90) from the date of issuance, but the issuing
court may renew it.

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Note: All applicable rules regarding warrants of arrest also apply to
this type of warrant.
What if a Complainant Cannot Produce the Order of Protection?
PG 208-38 New York State Order of Protection Registry
If complainant is unable to produce the order of protection, the police
officer must telephone the Central Records Division, Identification Section, to
verify whether an order of protection was issued. If Central Records does not
have an order of protection on file, the officer will check with the Desk Officer,
precinct of complaint’s residence to determine whether an order has been
filed at the precinct level. If further verification is required, the uniformed member
of the service may inquire whether a record of the order exists on the Statewide
Registry of Orders of Protection, or the protection order file maintained by the
National Crime Information Center (N.C.I.C.).
If the arresting officer is unable to verify the existence of the order through
the above means, an arrest may still be effected as long as the investigating
officer has probable cause to believe that the order is in existence through
credible information supplied by the complainant or victim or other reliable
source.
Additionally, the officer must also have probable cause that the order was
effectively served upon the respondent prior to its violation. While a
notation in the database file will provide the member with sufficient probable
cause to believe the order was effectively served, the absence of such
information in the database file will not automatically prevent the member from
making the arrest. If the member, through alternate means, can verify that the
order was properly served (e.g., an affidavit of service, an admission by the
respondent that he/she was properly served, etc.) then the arrest can be
affected.
Lastly, the fact that the order has not been properly served or that the
specific terms of the order have not been violated will not prevent the member
from effecting an arrest if the underlying conduct constitutes a crime.
Service of an Order of Protection by a Police Officer
At times, a police officer will be called upon to serve an order of protection
upon a respondent. This is necessary for two reasons: (1) police officers can
effectively document the fact that the person was properly served, and (2) police
officers can prevent violence between the parties.

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A police officer may serve an order of protection at any time - seven (7)
days a week, twenty-four (24) hours a day. Service will be attempted for six (6)
consecutive tours. Once service is completed, the officer is required to prepare a
Statement of Personal Service.
Note: When called upon to serve an order of protection, inform the
complainant that they need not be present upon the service of the order if
they choose not to be.
The officer should make every effort to locate the respondent and serve
the order. This may require the officer to inquire of neighbors, superintendent, etc.,
as to the respondent’s whereabouts. If the respondent has moved, the officer should
attempt to obtain the new address. If the new address is within the precinct, service of
the order of protection will be attempted at the new location for an additional six (6)
consecutive tours.
If the officer is unable to serve the order of protection, he or she is
required to document each attempt on a Warrant Officer’s Report of
Investigation, make an Activity Log (PD112-145) entry of each attempt, and
return the order of protection and any accompanying forms to the Desk Officer at the end
of tour.
If the new address is outside the precinct concerned, this fact will be
indicated on the Warrant Officer’s Report of Investigation. The order of
protection will be returned to the patrol borough coordinator for forwarding to the
proper patrol borough.
Service of Exclusionary Orders of Protection
An order of protection that prohibits contact between the petitioner and
respondent or excludes the respondent from being present at the stated
location is referred to as an “exclusionary order of protection.” Once such an
order is served and the respondent is made aware of the terms of the order, the
order takes effect and the respondent must leave the premises. Police officers
serving the order will not forcibly remove the respondent. Instead, the officers
will explain to the respondent that failure to leave the premises within a reasonable
time will result in his or her arrest for the violation of the order.
Additionally, uniformed members of the service may not assist
respondents who wish to remove clothing or property (commonly known as
“clothes jobs”). Instead, the respondent should be advised to return to the court
that issued the order to have it amended, so that he/she may remove clothing or
personal property from the location, or that the items may be delivered to the
respondent or a third party.

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Domestic Violence

MEMBERS OF THE SERVICE INVOLVED IN DOMESTIC INCIDENTS
As members of the New York City Police Department, it is difficult to
envision one of our own being the perpetrator or the victim of a domestic violence
incident. This topic is very sensitive. As a police officer, you may have to
address domestic violence among members of the service.
The use of violence in domestic relationships always indicates the use of
power and control by one household member over another. When the offender is
a police officer or another member of the Department, the abuse of power can be
even greater. The victim may be afraid to call the police, thinking that his or her
allegations will not be believed. He or she may feel that the responding officers
will try to protect their fellow officer, and/or the victim may be the one arrested.
The victim probably is aware that if the batterer is arrested or the subject of an
order of protection, the officer may face disciplinary action, or even worse, loss of
his/her job and income.
As with any job that police officers perform, or any tasks we are assigned,
we must uphold the standards of the law. We must not let our peers, or even our
desire to protect one of our own, dictate the decisions we make or the actions we
take – professionalism and integrity must be the overriding concern.
The Police Officer and Domestic Violence
In many ways, families with police officers are the same as any other
family. However, in addition to dealing with the same daily frustrations that all
families must deal with, officers must cope with the exceptional pressures that
accompany police work. The following are some factors that may make police
officers more prone to alcoholism, domestic violence, divorce, and suicide:
•
•
•
•
•

The police officer is a victim of abuse;
Inability to exercise the power and control in the home that exists in the
workplace;
Sleep deprivation due to rotating shifts;
Safety anxieties;
Exposure to pain / suffering / violence.

Consequences of Domestic Violence Involvement
Federal law makes it illegal for anyone convicted of a misdemeanor crime
of domestic violence to possess any firearm or ammunition. This means that
police officers convicted of such a misdemeanor will be placed on modified
assignment, and/or suspended pursuant to Department guidelines. New York
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Domestic Violence
City Police Department policy dictates that an officer who is involved in a
domestic violence situation has two (2) options for referral purposes:
1.

The officer who voluntarily seeks counseling will have that
information kept confidential, with no record of such in his or her
personnel file, and such information may not hinder a transfer or
promotion.

2.

The officer who is referred involuntarily, usually by a supervisor will
in fact have a record of this referral, which may hinder transfers and
promotions.

Procedures Regarding Domestic Violence Situations That Involve
Uniformed Members of the Service and Probationary Police Officers
(P.G. 208-37 and P.G. 212-34):
When police officers respond to a domestic violence incident involving a
uniformed member of the service, they must follow the same domestic incident
procedure in P.G. 208-36, and assure that the patrol supervisor is responding to
the location. When the patrol supervisor responds, and once he or she
determines that the situation is a domestic incident involving a member of the
service, the patrol supervisor then notifies the Commanding Officer, precinct of
occurrence, or the Duty Captain.
When the member of the service is a victim, the Commanding Officer or
Duty Captain ensures that appropriate action is taken, and apprises the parties of
the availability of counseling. When the member of the service is alleged to have
committed an offense, the patrol supervisor directs that a Complaint Report
Worksheet (PD313-152A) be prepared. If a member of the service is arrested,
P.G. 206-11, "Member of the Service Arrested - Uniformed or Civilian," is
applicable.
If a probationary police officer is involved in a domestic incident, or any
police incident, the probationary police officer must report the facts to the
Commanding Officer of the Police Academy, as per P.G. 212-34.
In all circumstances, no matter where issued, when a member of the service
(uniformed or civilian) becomes aware that he or she is the respondent/defendant on
an order of protection, the member concerned must immediately notify his/her
commanding officer/supervisory head. The commanding officer/supervisory head
will interview the member concerned and conduct an investigation to determine
whether the member of the service is fit for duty. The commanding
officer/supervisory head must then notify the Internal Affairs Bureau Command
Center at (212) 741-8401 and obtain an Internal Affairs Bureau log number. If the
member’s command is not open when such situation occurs, the member
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concerned will immediately notify the Internal Affairs Bureau Command Center at
(212) 741-8401 and obtain an Internal Affairs Bureau log number. The member will
subsequently notify his/her commanding officer/supervisory head (providing the
Internal Affairs Bureau log number) at the first available opportunity. After obtaining
the log number, the commanding officer/supervisory head will prepare a report to
the Chief of Internal Affairs, containing a decision as to duty status.
In cases where the member of the service is a petitioner or complainant
on an order of protection, the member may choose to notify their commanding
officer for safety reasons. If necessary, those affected should comply with the
provisions of P.G. 212-31, “Threats to Members of the Service.”
Counseling and other services are available for both members of the service
and their families. Uniformed and civilian members or their families may contact any
of the units listed below to obtain necessary services and referrals for counseling,
shelter and other assistance:
Family Counseling Unit
Employee Relations Section
Early Intervention Unit
Counseling Service Unit
Chaplains’ Unit
Psychological Services Section
Sick Desk
Sick Desk Supervisor
NYPD HELPLINE
Operations Unit

(718) 760-7665
(646) 610-5434
(646) 610-6730
(718) 834-8433
(646) 610-6472
(718) 760-7665
(718) 760-7600
(718) 760-7606
(718) 271-7777
(646) 610-5580

After hours, contact the HELPLINE, Sick Desk, or Operations Unit.
In addition, the following non-Departmental programs and Domestic Violence
Prevention Hotlines can provide referrals:
New York City (Safe Horizon)
NYS Coalition Against Domestic Violence
Police Organization Providing peer Assistance
Police Self Support Group
Columbia University (free counseling)

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(800) 621-HOPE (4673)
(800) 942-6906
(888) 267-7267
(888) 400-7125
(800) 845-8965

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VICTIM SUPPORT SERVICES
Project Safe - Escorts for Victim Services Client and Locksmiths
Project Safe is a program administered by Safe Horizon that provides
lock replacements and counseling to victims of domestic violence and other
crimes. This Department will assist in this endeavor by providing a police escort.
The desk officer will assign the precinct crime prevention officer or the precinct
domestic violence officer to escort the client and locksmith, if time permits. If the
crime prevention officer or the domestic violence officer is not available, the desk
officer will assign a uniformed member of the service to provide the escort.
1. Escort identified client and locksmith to location and notify radio
dispatcher.
2. Have client ride in Department vehicle to the location, if necessary.
3. Remain at location until locksmith has completed the work.
4. Escort locksmith from premises.
5. Notify radio dispatcher that escort is completed.
6. Report completion of assignment to desk officer.

CONCLUSION
It must be stressed that these procedures are not aimed at merely
creating a mechanical reaction to domestic violence situations. Rather, these
procedures seek to provide police action for victims of domestic crime by
mandating the arrest of a member of the same family or household where
probable cause exists that he or she has committed a felony, violated an order of
protection, committed a misdemeanor or a violation in the officer's presence.
Also, remember that an act defined as a crime in the penal law is still a crime
regardless of the relationship between the offender and victim, or if the offender
or victim is a police officer.
Responding to domestic violence is difficult, and requires knowledge,
sensitivity, and an understanding of the complex nature of domestic violence.
Police officers responding to a call of domestic violence must be aware that their
actions will either provide for the safety of all parties concerned, or continue a
situation that continues to escalate. Victims of domestic violence may be
reporting details of their abuse for the first time when police officers respond to a
call. Negative experiences in the reporting of domestic violence incidents may
lead victims not to call police in the future. An empathetic approach to the
individuals involved and knowledge of the law and department procedures is of
the utmost importance to the proper handling of domestic incidents.

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Domestic Violence
MANDATORY READING
The following are Patrol Guide procedures, and a Legal Bureau Bulletin,
that must be added to this chapter – Domestic Violence. These materials must
be read in conjunction with this chapter. Questions for the 3rd Trimester Exam
may come from these procedures:
P.G. 208-36
P.G. 208-37
P.G. 208-38
P.G. 212-04
P.G. 212-34

Family Offenses/Domestic Violence
Family Offenses and Domestic Violence Involving Uniformed
or Civilian Members of the Service
New York State Order of Protection Registry
Crime Scene
Probationary Police Officer, Police Eligible or Civilian
Employee Involved in a Police Incident

Legal Bureau Bulletin Vol. 16, No. 3, “ORDERS OF PROTECTION AND FAMILY
OFFENSES,” Sorichetti v. City of N.Y. (1985).

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Children and Adolescents

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT CHILDREN AND ADOLESCENTS?
Before you opened your Student Guide, you probably knew that you would
be required to know the law and Departmental procedures regarding the handling
of children, youth and adolescents. Police work does, after all, include a myriad
of responsibilities and tasks involving kids, ranging from finding lost children to
apprehending juvenile offenders. What may not have occurred to you is that it is
also essential that you learn to communicate with the young people you meet on
patrol. There are two major reasons you must develop sufficient knowledge to
talk to kids. First, your interactions with them may profoundly affect their lives.
Second, your effectiveness as a police officer involved in maintaining order,
enforcing the law, and protecting the public, partly depends on the quality of
relationships you develop with children and adolescents.
This lesson examines what you need to know to deal effectively with
young people. We begin with a discussion of those aspects of child development
that influence how kids react to you and you may respond to them. We go on to
explore the types of children that police officers typically encounter on patrol.
These include kids who are runaways, homeless, truant from school, involved
with drugs or alcohol, engaged in delinquent acts, members of gangs, and
children who are victims and/or witnesses to crimes. The laws and police
procedures that relate to each category are included in relevant sections.

CHILD AND ADOLESCENT DEVELOPMENT FOR POLICE OFFICERS
Children of every age are heavily influenced by the adult figures in their
environment, particularly those in positions of authority. You can provide a
positive role model for the kids in the neighborhood, depending on your behavior
and the kind of relationships you develop. In some instances, you may be the
only positive role model in the child’s life. As a police officer you can influence
whether the child finishes school, finds productive work, and grows up to be a
respectful and law abiding citizen. This point will become clear when you think
about the adults who were both positive and negative influences on your life.
Some of you may even have had encounters with police officers which influenced
how you perceived them and why you decided to become one.

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Young people often have special access to information regarding crimes
and other important activities that are going on in their neighborhood. Many of
them will be willing to share what they know with police officers who have a
reputation for being fair and helpful and with whom they’ve developed rapport.
This is true for kids in school who are troubled by the illegal activities they
observe around them. This is also the case for some youth who are involved in
criminal activity but ambivalent about participation or who find particular actions
morally problematic.
I went into the grocery store to check the time and was on my way home when I got stopped by a
scooter cop. “What are you doing?” he said, like I’d done something wrong. “What do you mean
what am I doing?” I responded, “I went to the store to check the time,” He then asks, “What time
is it?” So I told him the time and he checked his watch to see if it was true and I said, “Officer is
there something wrong?” He took that as a challenge or something because… I remember
exactly what he said, “Don’t get smart with me. Cause I’ll lock you up for being in a drug infested
neighborhood…” Whatever that means and I went upstairs to my place. I was thinking about
what happened. What did he stop me for? He said he was going to lock me up. For what reason?
I was pretty heated. Really upset. He violated my civil rights. It left a bad stigma about how I felt
about the cops in the precinct (Interview, 2003). (This boy became a New York City police officer
in order to better understand and help change how officers deal with juveniles. Most children who
experience this sort of encounter do not become police officers. Instead, regardless of whether or
not they violate the law, they begin to view the police as an enemy to be hated and feared.)
REMEMBER THAT THE IMPRESSION YOU MAKE ON A CHILD CAN LAST A LIFETIME

Your relationship with kids also has implications for your standing in the
larger community. What youths tell their parents and friends about the police
influence whether they perceive you as part of an occupational army invading
their neighborhood and harassing people, or an advocate working to reduce
crime and keep their children safe and out of trouble.
It’s apparent that you are an important person to kids and kids are
important to you. Having a shield and gun will transform you into an authority
figure, even if you’re a rookie police officer. What isn’t so obvious is how to deal
effectively with a population of teenagers who are neither innocent nor compliant.
Knowledge about what happens to youths, as they become adolescents, will help
you understand and better deal with this sometimes difficult group.

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When children leave their families and begin school, they are exposed to a
group of peers who introduce new values and customs and to teachers who
educate and evaluate them. The children then begin to acknowledge a different
and more general adult authority and learn to assess behavior according to new
standards.
“…an officer described a high speed chase involving a man and 5−year old boy. In reporting the
scene, the officer described the panic he felt that accompanied his fantasy of the motorcycle
crashing and killing the boy. However, what bothered him most after this incident was that as he
yelled at the man, the boy began to cry and shouted at him to stop being mean to his father”
(Marans, 1996; 531.)
AVOID CRITICIZING PARENTS IN FRONT OF CHILDREN AND ADOLESCENTS. DOING SO
WILL MAKE THEM FEEL THAT THEY MUST DEFEND THEIR PARENTS, MAKING YOU
LOOK LIKE THE ONE WHO’S BAD OR WHO’S DONE SOMETHING WRONG.

The importance of peer groups to children’s sense of esteem cannot be
underestimated. Children often attribute their moments of greatest unhappiness
to peers rather than to parents. The reactions of peer groups thus play an
important role in what words and actions children define as good and bad,
influencing their behavior. How kids act in relation to you as a police officer
partly depends on the opinion of their peers. A youth whom you embarrass in
front of his or her peers may become a life long enemy. His or her friends will
mark you as problem cop and spread the word of your reputation around the
neighborhood. While one “mistake” will not automatically destroy your
relationship with the neighborhood kids, it will make it more difficult to gain their
trust.
The adolescent stage of development begins when a youth is about 12
years old, and continues until about 22. During this time, biological and
hormonal changes dramatically affect children’s moods and how they feel about
themselves, their families, and the authority figures in the world around them.
Some adolescents openly welcome the physical changes that accompany
puberty. Others have conflicting feelings about whether or not they want to grow
up. The increase in sexual desire that occurs during this time is sometimes
accompanied by guilt and confusion and a lot of misinformation.
Many adolescents experience vacillations in self-esteem. They may worry
about their appearance (whether they are growing in height at the same pace as
their peers) and popularity (whether or not they are in the “right” clique, or have
boyfriends and girlfriends). During this time, even well adjusted teenagers may

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be acutely vulnerable to criticism or hostility emanating from peers, parents,
teachers, and other authority figures, including the police.
Some fluctuations in mood are made worse by feelings of temporary or
longer-lasting depression. Kids who are depressed may lose their capacity to
enjoy school, work and relationships. They may feel that the world is a bleak
place and that they have no future. Depressed teenagers tend to be irritable,
sullen, and angry, do poorly in school, and may engage in activities that provoke
trouble (e.g., fighting).
Depressed teenagers may tempt fate and put themselves in emotional
and physical harm by engaging in high-risk behaviors. They may attempt to
reduce anxiety and sadness by drinking excessively or taking mood altering
drugs (e.g., ecstasy, cocaine, marijuana, amphetamines, valium, and
barbiturates). Depressed teenagers may also be suicidal. They may kill
themselves alone or, on rare occasions, as part of a couple (like Shakespeare’s
Romeo and Juliet).
Kids also take drugs for reasons other than depression, including
involvement in a peer subculture which encourages their use; desire to
experience new things; wish to act grown up; a need to express independence
by negating parental rules; or a traumatic reaction to witnessing violence (e.g.,
shootings, stabbing, beatings etc.). In any case, regular or binge drinking and
drug abuse can disrupt the course of normal adolescent development,
compromising performance at school and relationships with parents, teachers,
and other authority figures, including the police. The upheaval of adolescent
development is often compounded for children who live in adverse social
conditions and have to contend with poverty, inadequate housing, disruptions in
family care, poor schools, and crime-ridden neighborhoods.
Attention Deficit Hyperactivity Disorder (ADD or ADHD) is another
condition that can affect the moods and behaviors of adolescents as well as
younger children. Kids with ADD may be impulsive and hyperactive, and have
difficulty being attentive. These symptoms can manifest themselves in behavior
which appears rude or defiant (e.g. ignoring commands, inability to concentrate
on a task, restlessness, inability to focus, fidgeting). Even with the help of
medication, kids with ADD cannot completely control these responses and, as a
result, they often have difficulty developing stable relationships with peers and
adults. This is important for police officers to keep in mind so they can avoid

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overreacting to unintended provocations on the part of children with ADD, whose
condition you may not be able to easily recognize.
Physical change in adolescents is accompanied by renewed attempts to
assert an autonomous identity that is different from that of their parents.
Sometimes adolescents show their independence in ways that involve
disobedience to authority. As symbols of authority, police become the targets of
the anger, resentment, and negative feelings the adolescent has towards parents
and society. Kids who have a history of criminal victimization, arrest, or
questioning by police tend to have more negative attitudes towards police.
Adolescents are full of contradictions. As part of their effort to develop
their identity, they may act in negative ways towards people in authority. At the
same time, they are engaged in a search for adult authority figures whom they
can respect, admire and emulate. Those of you who are able to deal with
antagonistic behaviors in a respectful and professional manner can become
important role models for these kids.
Police officers’ contacts with youths and adolescents frequently occur after
they get involved in antisocial or delinquent behavior. While some adolescents
commit serious crimes, others engage in minor offenses which would not be
viewed as troublesome if they were committed by adults. How you use your
discretion to handle these minor offenses has far reaching implications for
youths’ lives and whether or not they are labeled “bad.”
It’s important for patrol officers to be aware that the way they
communicate with kids can affect whether or not situations become unruly. The
officer who is familiar with the community and reacts to the kids as familiar
individuals rather than as anonymous groups of “juvenile offenders” will usually
be successful in averting trouble. It’s essential to keep in mind that, as a result of
your authority as a uniformed police officer, you will be the target of powerful
emotions by some of the very children and adolescents you find most difficult to
deal with. Understanding that the origins of such intense emotional responses
are not personal, even if they feel that way, should help you administer your
authority in ways which maximize compliance, and lessen the likelihood for
unnecessary conflict.

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Following the shooting of a 17year old gang member, there was concern about retaliation and
further bloodshed. In the days that followed the death, grieving gang members congregated on
the corner where the shooting had taken place. The efforts at increased presence and
containment were in the form of the police spending time on the corner and listening to the gang
members express their grief. As one senior police officer put it, “We could show our concern for
their trauma by being with them, lending an adult ear to their misery. Alternatively, we could put
more officers on the street, show them who’s boss and, with a show of force, sweep them off the
corner as often as necessary….We could then offer them an additional enemy and wait for them
to explode...” [A gang member and brother of the victim said to a neighborhood cop] ‘You were
there for us, that helped… and we were there for you” (Excerpt from Marans, l996:532).
IN THIS SITUATION IT WAS SAFE FOR THE POLICE TO LEND AN EAR AND TALK TO
MOURNING GANG MEMBERS. IT SERVED TO AVERT VIOLENCE AND STRENGTHEN
AVENUES OF COMMUNICATION.

COMMUNICATION SKILLS
1.

Always be polite, courteous and professional when you deal with
neighborhood youths. Acting tough does not engender respect. When you
begin to talk with them, do not assume they have done something wrong.

2.

Take care to avoid seeming punitive in the tone of your voice, the way you
ask a question, or in the words you choose. You may provoke a
dangerous confrontation by talking to juveniles in an overly harsh manner
that evokes feelings of humiliation and undermines their developing sense
of independence and autonomy.

3.

Try not to take challenges to your authority personally or to react harshly
when kids, who aren’t breaking the law, are antagonistic or even teasing
towards you.

4.

Don’t put down a kid in front of his or her peers. This will be experienced
as a painful humiliation. Talk to the youth when he or she is alone or take
him or her aside, if possible.

5.

Don’t scold a parent in front of a kid, even if you are upset at the parent’s
careless behavior. If possible, take the parent aside.

6.

When trying to develop relationships with youths, including members of
gangs and others who may be involved in criminal activity, try to talk to
them apart from peers and siblings.

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7.

Observe the activity of youth groups before deciding who to approach first.
Such observations will provide important information regarding who is who
in the group. With gangs, for example, it’s probably useful to approach the
lower status members (go-fers) because they are more likely to have
mixed feelings about their participation in gang activity.

8.

Explain your reasoning when making requests of kids who don’t know the
law and may therefore perceive its enforcement as a form of harassment.

9.

Use your discretion when dealing with youth who commit minor offenses.
There are times, for example, when a simple admonishment or a trip to his
parent or guardian’s house will suffice to help the child get on the right
path.

10.

Do not take offense if some youths are hostile to you in the presence of
peers.

11.

An irritable child may be depressed. Watch for high-risk behavior that
indicates that child is suicidal. Take overt suicidal threats seriously.

12.

Don’t adopt overbearing attitudes when talking to youths and adolescents
who are acutely sensitive to perceived attacks on their sense of self and
desire to be treated like an adult.

13.

Remember that an antagonistic attitude towards the police by some
individuals results from their assumption that you are looking for trouble.
When safe and appropriate, find ways to defuse concerns.

14.

Be cognizant of your tone of voice and body language when speaking to
young people. They are acutely sensitive to contradictory messages.
Don’t be sarcastic.

15.

Keep lines of communication open.

16.

Appreciate and understand diversity among youth population, even within
the same group.

17.

Establish trust and relationship with youths.

18.

Appreciate and learn about youth and adolescent culture.

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19.

Be alert to personal biases in your feelings about kids.

20.

Know the resources available to which you can properly refer youths and,
when appropriate, provide mediation and counseling referrals for troubled
youths.

“Hey, it’s not illegal to be in a gang. What are you getting upset about? “
- A member of the NYPD Gang Division
DEFUSE THE SITUATION.

In my experience, when dealing with youths it is important for officers to explain their reasoning
because the kids do not know the law. A potentially explosive situation can be derailed by
explaining to the kids what, for example, “dis-con” is and why it is necessary for them not to block
pedestrian traffic….
- A member of the NYPD Gang Division
AVOID EXPLOSIVE SITUATIONS. EXPLAIN YOUR REASONING.

CHARACTERISTIC PROBLEMS OF ADOLESCENTS
Runaways (Patrol Guide 215-05)
The Patrol Guide defines a runaway as a child who runs away from home
and is a New York State resident under the age of sixteen (16). Some out of
state residents are also considered runaways, as per the Interstate Compact for
Juveniles. Most runaways to do not have the permission of their parents or legal
guardians to leave home or to stay overnight at some place other than their
home. It is estimated that about one million children run away from home each
year. These figures do not include the large number of children who run away
from home but go unreported because their behavior is chronic or their parents
do not care whether or not they return.
Children run away from home for a variety of reasons. Some have
psychological problems that are manifested by impulsive, disorganized or
delinquent behavior. A history of suicide attempts is common among this group.
Others kids leave home to avoid family conflict, divorce, alcoholism, parental
drug abuse, neglect and maltreatment, including sexual or physical abuse. Other

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youths who run away are too old for foster care and too young for adult shelters.
Some leave to escape maltreatment at the hands of foster parents. A few run
away, seeking adventure, and encounter trouble instead. Some youths have
even run away to meet someone they met on the Internet.
Victimization of Runaways
Criminals are aware that runaways will not report crimes committed
against them out of fear of giving away their own status. As a result both male
and female runaways often fall victims to many types of crimes. These include
sexual abuse (prostitution and pedophilia). Pimps and other persons of
questionable character loiter in and around the Port Authority bus terminal
waiting to pick up runaways upon their arrival in the city. These individuals
pretend to befriend these youths then introduce them to a new world of drugs
and prostitution. The life-style of the runaway makes him or her prone to
illnesses linked to poor nutrition, inadequate medical care, venereal diseases,
and drug addition.
The Police and the Runaway
A police officer should realize that a child runs away for a reason. An
abused or neglected youth may be calling attention to his or her problem by
running away, seeking someone who will understand his or her troubles. The
officer who apprehends the runaway may be the first person the youth has had
the opportunity to talk with about his or her problems.
If the officer is skeptical or feels that the child is exaggerating or lying, he
or she may ignore the complaint. The police officer should try to ascertain if the
runaway is telling the truth. The officer must take full advantage of this
opportunity to find out the reasons why the child has run away. This is important
because the officer does not want to return a child to an abusive home.
The factors that lead to runaway behavior have long-term consequences
that may cause youths to develop the same problems as their parents. Those
who run away are less likely to complete school and are more likely to be
unemployed and to have interpersonal problems. The opportunity to talk to a
police officer who can refer the youth to agencies that provide help and
psychological treatment can positively influence the child’s future. For the

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chronic runaway, leaving home may be a well thought out act. By leaving a
situation of personal and family turmoil, he or she hopes to change his or her
relationship with parents, school or peers.
The Family Court Act states that a police officer "may return to his or her
parents or other person legally responsible for his or her care any child under
age 16 who has run away from home without just cause." The police officer
should interview the runaway as to the reason for leaving home. If there is
reason to believe that the child is abused or neglected, the officer should contact
the Administration of Children Services (ACS). The child will not be returned
home until that agency investigates the situation. In the meantime, the child will
be placed in a youth house or other facility. If the charge of neglect or abuse is
unfounded, the child will be returned home. If there is some basis to the
allegations, the Administration of Children Services (ACS) or the Society for the
Prevention of Cruelty to Children will bring the case into Family Court for a
hearing, which may result in placement of the child and action against the
parents.
Another reason that police officers should interview the runaway is to
determine what the child has been doing since leaving home. The child may
require medical treatment for drugs, sexually transmitted diseases (STDs),
physical injuries, or sexual abuse. As the result of information received, arrests
may be made of individuals who harbor a runaway under Section 260.10 Penal
Law (Endangering the Welfare of a Child) if the officer can show that they were
aware that the child was a runaway.
Police officers should know that many runaways feel that they would lose
face if they return home voluntarily and are often quite content to allow
themselves to be discovered by a police officer. In some cases, they will do
everything possible to ensure detection by the officer, short of announcing
themselves as runaways.
Missing Persons Squad
The police officer should know that the Detective Bureau maintains a
Missing Person’s Squad, which consists of police officers and detectives who are
specially trained in this area. They are available to assist and counsel the patrol
officer who may not have the time or expertise to handle runaways in the most
effective manner. The unit is familiar with the areas where runaways usually

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congregate. In addition to the Port Authority Bus Terminal, runaways are most
frequently found in prostitution prone locations, and in Times Square.
Applicable Laws
In New York, runaways fall within the category of "Persons In Need Of
Supervision," commonly referred to as PINS. Section 718 of the Family Court
Act authorizes peace officers to return a runaway to his or her parent. It also
allows them to detain a child who is not properly identified, and in the reasonable
opinion of the officer, appears to have run away from home.
At present, there is a conflict in the law in the areas of parental
responsibility for their children. On the one hand, the law states that upon
reaching his or her 16th birthday, the child is mature enough to be on his or her
own, and the parent can't do anything to detain the child. On the other hand, the
parent is responsible for the child's health and welfare until the child is 18 years
old, as defined in the “neglected child statute” of the Family Court Act, Section
1012 (f). This means that New York Family court processes runaways from New
York only up to 16 years of age. However, the age jurisdiction in most states is
18 rather than 16 years old for juveniles. Runaways from other states, who are
picked up in New York, will therefore be processed in the Family Court, pursuant
to the Inter-State compact (Unconsolidated Laws, 1801, et seq.).
In 1978, the New York State legislature amended the Social Service Law
and the Executive Law by enacting the Runaway and Homeless Youth Act. This
act was designed to establish procedures and services to help protect runaway
and otherwise homeless youth. This important act provides for temporary
shelter, care and counseling services for runaway and homeless youth under the
age of eighteen.
Out-of-Town Runaways
Under the Home Free Program provided by the Greyhound Bus Company,
any child is delivered home free of charge. The officer must first confirm that the
youth is in fact a runaway, by conducting a National Crime Information Center
(NCIC) computer check, and must have the youth's consent to be sent home. If
the officer delivers the child to the Emergency Children’s Services (ECS),
transportation home will be arranged by them after contacting guardian or parent.

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Out-of-state runaways may also be brought to Bridges or Beach House facility in
cases where the officer cannot arrange the child to be taken to the Emergency
Children’s Services.
Juvenile Court Jurisdiction
Juvenile Court is responsible for the following:
1.

Processing out-of-town alarms from other authorities.

2.

Processing runaways who refuse to identify themselves.

3.

Detaining uncooperative runaways via out-of-town missing persons’
alarms, warrants, enforcing provisions of the Inter-State Compact,
which is an agreement between member States to return each
other’s runaways, absconders and escapees.

At present, the Missing Person’s Squad is faced with multiple obstacles
when dealing with out-of-town runaways and local runaways who require
overnight lodging to insure their surrender to parents or their appearance in
Juvenile Court.
Port Authority Police, Youth Services Unit
The New York City Police Department Missing Person Squad and the Port
Authority Youth Officers, located in the Port Authority Bus Terminal, exchange
information and assist each other in the return of runaway children.
The New York City Police Department's Missing Person Squad also
assists the Amtrak and Metropolitan Transportation Authority Police Department
in handling and processing runaways.

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PROCESSING OF A RUNAWAY (PG 215-05)
Upon determining that a child has run away from home, the uniformed member
of the service must:
1.
2.
3.

Take the child into custody and remove to command (stationhouse).
Prepare a Juvenile Report.
Prepare an Aided Report Worksheet. (A duplicate copy gets sent to the
Missing Persons Squad) and notify the precinct youth officer.

HOMELESS YOUTH
A homeless youth is defined as a youth who has no place of shelter and is
in need of services, shelter, supervision, and care. Some homeless youth are
runaways who have left their homes for unknown reasons. Others have been
thrown out by their families, often after a history of conflict with the family and
problems in the school and the community. Still, others have been abandoned
by parents and other relatives who can no longer afford to care for them.
Although runaways and homeless youths share many problems, homeless
youths face additional obstacles, including health care problems and the absence
of care. Homeless youth are at increased risk of acquiring sexually transmitted
diseases, such as Acquired Immune Deficiency Syndrome (AIDS). They also are
less likely to be treated for alcohol or drug abuse problems and are much less
likely to be reunited with their families.

CRIMES AGAINST CHILDREN
Crimes against children range from neglect, through exposure to a world
of criminal activity, to physical and sexual abuse. Many incidents of child abuse
go unreported. Children don’t always understand that what has been done to
them is bad. Others fear that parents will abandon or punish them if they tell.
Many child victims feel guilty, as if they are partly responsible for what the
parents or other adults or children have done. The non-abusing parents deny
what is happening and fail to protect the child because they fear the guilty
spouse will leave them; and suspicious neighbors may be hesitant to get
involved.

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In order to ensure that child victims are protected, a number of laws have
developed. Certain occupations (Mandated Reporters) are legally required to
report child abuse to the New York State Child Abuse and Maltreatment Register
(The Central Registry). These include teachers, doctors and police officers.
Failure to report child abuse by those designated as Mandated Reporters is a
class A misdemeanor. The failure to report child abuse would also make them
liable for damages in civil court (Social Services Law §420).
The Family Court Act and Social Services Law have set forth
classifications for children of abuse. These classifications are encompassed in
the acronym, MAN which stands for Maltreated, Abused and Neglected. Police
officers and other mandated reporters are required to know what makes a child a
“MAN” child, so that they can recognize the signs and take appropriate actions.
Below are the definitions for a “MAN” child. The required age is under eighteen
(18) years old, unlike that of a juvenile, who by definition, is under sixteen (16)
years old. Assault and related charges may also be applicable in the cases
below.

MALTREATED, ABUSED, NEGLECTED CHILD DEFINED (PG 215-03)
Maltreated Child (Social Services Law, Section 412):
A child under eighteen (18) years of age who is:
1.

Defined as neglected by the Family Court Act; and

2.

Who has had serious physical injury inflicted upon him by other than
accidental means; or

3.

Who is in residential care and whose custodian impairs, or places in
imminent danger of becoming impaired, the child’s physical, mental, or
emotional condition.

Abused Child (Family Court Act, Section 1012, subd. e):
A child less than eighteen (18) years old whose parent or person legally
responsible for his or her care either:

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1.

Inflicts or allows to be inflicted upon such child, physical injury, by other
than accidental means, which causes or creates a substantial risk of
death, disfigurement, impairment of physical or emotional health, or the
loss or impairment of any bodily organ; or

2.

Creates or allows to be created a substantial risk of physical injury, with
the results as listed in subdivision a; or

3.

Commits or allows to be committed a sex offense against a child.

Neglected Child (Family Court Act, Section 1012, subd. f):
1.

A child less than eighteen (18) years old whose physical, mental, or
emotional condition has been impaired or is in imminent danger of
becoming impaired as a result of the failure of his parent or other person
legally responsible for his care to either:
a.

Supply adequate food, clothing, shelter, education, medical, dental,
or optometric (eye), or surgical care; or

b.

Provide proper supervision or guardianship by inflicting or allowing
being inflicted harm, including excessive corporal punishment,
misusing drugs, or misusing alcohol to the extent that he loses selfcontrol of his actions, or any other acts of a similarly serious nature;
or abandons the child.

INVESTIGATIONS OF CHILD ABUSE CASES
When responding to family disputes or any other jobs that involve children,
a police officer must make a reasonable determination as to whether the child
has been maltreated, abused, or neglected. If a police officer has reasonable
suspicion that a child is a maltreated, abused or neglected child, the form
“Report of Suspected Child Abuse or Maltreatment” must be prepared and
the State Central Registry must be notified. This form must be prepared
whether the State Registry accepts notification of the facts or not. Failure to
prepare this form is a class “A” misdemeanor.

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When imminent danger to a child’s life or health exists, a police officer
must request that the patrol supervisor respond to the scene. A police officer
may only remove a child from a home with the consent of a parent or other
person legally responsible for his or her care. If the parent does not consent to
having the child removed, the patrol supervisor has the responsibility and
authority to remove the child without the parent’s consent. In cases where
probable cause exists that a crime has been committed, the perpetrator will be
arrested. Unless medical attention is required, the child will be brought to the
stationhouse and the Child Welfare Administration will be notified. They will send
a representative to the stationhouse, who will transport the child to a shelter.
At times there may be complaints of child abuse that allege that there are
drugs, guns, or violent incidents in a household. If these allegations are received
by caseworkers from the Administration for Children’s Services, they will present
themselves to the desk officer in the precinct of occurrence and request a police
escort to the location of the alleged incident.
Uniformed members are required to notify the Special Victim’s Squad in
the following two cases. First, they must be notified when there is any allegation
that a child less than 11 years of age is the victim of abuse inflicted by a parent
or a person legally responsible for the child’s care. In addition, the Special
Victim’s Unit must be notified if there is any allegation that a child less than 13
years of age is a victim of any sex crime committed by any person.
In certain cases, an “Instant Response Team,” which consists of ACS
caseworkers, members from the Special Victim’s Unit or Precinct Detective
Squad and/or patrol personnel will respond and conduct joint investigations. It
should be noted that members of the service may release all pertinent
information and copies of documents (complaint reports, vouchers, aided cards,
etc.) regarding cases of child abuse to ACS case workers upon request except
for sealed records and the identity of adult victims of sex crimes. Whenever a
child is removed from a household by police personnel, or an arrest is made in
connection with the abuse or neglect of a child, the Administration for Children’s
Services Instant Response Team Coordinator must be notified (1-877-CALLIRT/
1-877-225-5478).

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PENAL LAW OFFENSES RELATING TO CHILDREN
Endangering the Welfare of a Child – Class A Misdemeanor (P.L. 260.10):
1.

When a person knowingly acts in a manner that is likely to be injurious to
the physical, mental or moral welfare of a child less than seventeen (17)
years old, or If he or she directs or authorizes the child to engage in an
occupation involving a substantial risk of danger to life or health. This
charge can stand alone or be added as an additional charge. Below are
two examples.
•
If John beat his 8 year old child, causing injuries, he could be
charged with Assault and also Endangering the Welfare of a Child.
•

2.

If Tina had her 12 year old son sell crack cocaine, or if she hid
drugs in the baby carriage with her baby daughter inside the
carriage as well, she would properly be charged with Criminal
Possession and/or Criminal Sale of a Controlled Substance and
also Endangering the Welfare of a Child.

When a parent or a guardian who is legally charged with custody of a child
less than eighteen (18) years old fails or refuses to exercise reasonable
diligence in the control of the child to prevent the child from becoming
abused, neglected, a juvenile delinquent, or a person in need of
supervision as those terms are defined in Articles 3, 7, and 10 of the
Family Court Act. This charge can stand alone when there is sufficient
evidence of a “MAN” child. It basically pertains to a child who is being
neglected.

Abandonment of a Child – Class E Felony (P.L. 260.00):
This offense can be charged when a person, who is a parent, guardian, or
other person who is legally charged with the care or custody of a child less than
14 years old deserts the child in any place with intent to wholly abandon it.

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Abandoned Infant Protection Act – Operation Safe Haven (P.G. 215-19)
This act was designed to protect the lives of newborn infants that were
abandoned by their parents. Under the Abandoned Infant Protection Act, parents,
guardians, or other legally responsible persons who are unable to care for their
newborn infants may anonymously and safely leave their infant in the care of a
responsible person at a hospital, police station, fire station or a responsible
person at another safe location. It also created an affirmative defense to the
charges of “Abandonment of a Child” and “Endangering the Welfare of a Child,” if
the abandonment is done in a manner that is safe for the child. It holds that
persons abandoning a child not more than five days old whose intent was that
the child be safe from physical injury and properly cared for, may leave the child
with an appropriate person or in a suitable location and notify an appropriate
person of the child’s location.
Unlawfully Dealing with a Child in the 2nd Degree – Class B Misdemeanor
(P.L. 260.21):
1.

When an owner, lessee, manager, or employee of a place where alcoholic
beverages are sold or given away permits a child who is less than sixteen
(16) years old to enter or remain in such a place unless:
a.

The child is accompanied by a parent, guardian or other authorized
adult; or

b.

The activity or entertainment being offered is part of a benefit or
under the auspices of a non- profit school, church, or other
educational or religious institution; or

c.

It is otherwise permitted by law; or

d.

The establishment is closed to the public for a specified period of
time and no alcoholic beverages are being sold, served, given
away, or consumed during that period.

2.

When a person tattoos the body of a child less than eighteen (18) years
old.

3.

When a person sells tobacco in any form to a child who is less than
eighteen (18) years of age.

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Unlawfully Dealing with a Child in the 1st Degree – Class A Misdemeanor
(P.L. 260.20):
1.

This occurs when a person knowingly permits a child who is less than
eighteen (18) years old to enter or remain in or upon a place, premises, or
establishment where there is sexual activity, controlled substances, or
marijuana.
Examples:

2.

•

Mary and Tom often smoke crack in their house in front of their
three (3) year old child.

•

Jacob allows his fifteen (15) year old son to hang out in a house of
prostitution.

When a person gives, sells, or causes to be given or sold any alcoholic
beverage to a person who is less than twenty-one (21) years old. (This
subdivision does not apply where the tasting of alcohol is required in
courses that are part of the curriculum in colleges, trade schools, etc.)

SEXUAL OFFENSES INVOLVING CHILDREN
The sexual offenses of Sexual Misconduct, Rape, Criminal Sexual Act,
Sexual Abuse, and Aggravated Sexual Abuse all have subdivisions that
specifically pertain to children under 17 years old. These offenses are discussed
in greater detail elsewhere in your student reading.

ASSAULT CHARGES INVOLVING CHILDREN
Assault 2nd Degree – Class D Felony (P.L. 120.05, subd’s. 8 & 9):
Subdivision 8: Being eighteen years old or more and with intent to cause
physical injury to a person less than eleven years old, the defendant recklessly
causes serious physical injury to such person.

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Subdivision 9: Being eighteen years old or more and with intent to cause
physical injury to a person less than seven years old, the defendant causes
physical injury to such person.
Aggravated Assault Upon a Person Less than Eleven Years Old – Class E
Felony (P.L. 120.12):
When a person, being eighteen years old or more, commits the crime of Assault
in the 3rd Degree upon a person less than eleven (11) years old and has a
previous conviction for Assault in the 3rd Degree within the preceding three
years.

SIGNS OF ABUSE
Whether responding to jobs involving children or just observing children
during your tour, it is your responsibility to look for signs of abuse and neglect,
and to report suspicious findings. When you respond to a family dispute, ask to
see the children and look at their appearance. Discreetly look for bruises, signs
of malnourishment, dirtiness, or any other signs of neglect.
If you have probable cause that an offense has been committed against a
child, call the patrol supervisor and make the arrest. If you have any suspicion at
all that a child is suffering from any form of abuse, prepare the “Report of
Suspected Child Abuse or Maltreatment” form. Of all the preventive measures
we take to recognize and deter crimes against children, this is perhaps the most
important measure there is.
Remember that you are there to protect the child (the victim) and the
rights of all involved parties, including the “alleged suspect.” Child abuse is
highly emotional for the child, the non-abusing parent(s), the “alleged” abuser(s)
and for you, as the police officer.

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UNLAWFUL CONDUCT BY JUVENILES
General Categories
Enforcement responsibilities as they pertain to youths and adolescents fall
into three categories:
1. Juvenile Misconduct
2. Juvenile Delinquent
3. Juvenile Offender
We will describe and illustrate each category and discuss the various procedural
responses.

JUVENILE MISCONDUCT
Patrol officers encounter many situations involving juvenile misconduct,
which require the use of discretion on your part. Juvenile misconduct includes,
but is not limited to: PINS, truants, alcoholics and runaways.
Persons in Need of Supervision (PINS)
As a police officer, you will frequently encounter distraught parents who
are worried about the behavior of their children. Their complaints run the gamut
from frequent truancy to petty stealing around the house, talking back to the
parents, staying out late with undesirable friends, refusal to listen to parent and
generally being uncontrollable. The child has done nothing for which he or she
should be arrested and the parents are at their wit’s end. In these situations, the
Family Court has jurisdiction.
A person in need of supervision (PINS) is a person less than 18 years of age
who:
1.

Does not attend school in accordance with part one of Article 65 of the
Education Law; or

2.

Is incorrigible, ungovernable, or habitually disobedient and beyond the
lawful control of parent or other lawful authority; or

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3.

Violates the provisions of section 221.05 of the Penal Law (marijuana
possession).
Note: Unlike the definition of juvenile delinquent, the definition of a
person in need of supervision contains no minimum age.

The statute lists three separate grounds on which a juvenile may be
designated a person in need of supervision. Each is considered separately
below.
a.

Lack of compliance with the Educational Law - In order to comply with
Part One of Article 65 of the Education Law, a person 6 to 16 years of
age, is required to attend school regularly for the entire time school is in
session and be orderly while so attending. Thus, there are two possible
ways under the education law on which to have a petition: (1) truancy, and
(2) disruptiveness in class. A single absence from school would not be
grounds for a proceeding since the education law only requires a minor to
"attend regularly," whereas the petition must allege that the respondent is
"a habitual truant"; i.e., one who goes to school rarely, if at all.

b.

Beyond Control - The second ground for filing a PINS petition is that the
juvenile is "incorrigible, ungovernable or habitually disobedient and
beyond the lawful control of parent or other lawful authority". The phrase
"incorrigible, ungovernable or habitually disobedient" has been upheld as
not being unconstitutionally vague; however, the courts have never
specifically defined these terms.
Example: A certain child was consistently running away from home to
live at a relative's house. In this case, although the child
may technically fall within the definition of a person in need
of supervision, the court may refuse to designate the
child as a PINS based upon all the facts and circumstances.
The juvenile, in this case, may have good reason to refuse to
live at home and reside instead with a relative.

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c.

Marijuana Violation - The third ground on which a PINS petition may be
based is a violation of P.L. 221.05. This section makes the possession of
25 grams or less of marijuana a violation punishable by a fine not to
exceed one hundred dollars. This ground was added by a 1977
amendment. The amendment enables the Family Court to exercise its
jurisdiction over a juvenile who engages in forbidden conduct, and is
necessary since such conduct is a violation and therefore could not
otherwise be the basis of a juvenile delinquency petition.
Note: A written court order is necessary to take a PINS into custody.
Similar to the juvenile delinquency petition, the PINS petition, in
addition to the underlying acts, must also allege that the
respondent requires supervision or treatment as required
by the Family Court Act. A petition lacking such allegation
and proof is defective, and the court will not hear the
case.

Procedure for PINS (P.G. 215-08)
1.

Prepare a Juvenile Report and write across the top of the report,
“Person in Need of Supervision.”

2.

Refer the parent to Family Court to seek a PINS petition.

3.

Police Officers will not take a PINS into custody without a court order.

Truancy – Generally
Truancy is an early indicator of delinquency and may be symptomatic of
family problems. A police officer should take the appropriate action whenever he
or she observes a youth who is:
•

Involved in street trades (selling newspapers, shining shoes, washing
windows, selling flowers, selling fruit, etc.); or

•

Is on the transit system for extended periods of time; or

•

Is simply out of school when it is normally in session.

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Truancy sometimes is an outward sign of other problems like PINS,
abuse, neglect, or maltreatment. A youth might have some type of learning
disability, or a psychological or social problem which leads to his or her avoiding
school. It is critical that you interview the youth in a non-threatening manner so
he or she can vent. Ask the youth to tell you why he or she is not in school so
that you can find out whether the child is avoiding an abusive situation and make
the appropriate referrals.
Truancy: Patrol Guide 215-07
A truant is defined as a juvenile at least six years old but less than
eighteen years old who is observed on the street during school hours and is
absent from school without permission.
The Educational Law requires that a person attend school until the last
session of the school year in which the person reaches seventeen years of age.
This law defines the term school year as the period starting on July 1st and
ending the next June 30th. Therefore a person who reaches his or her 17th
birthday on or after July 1st must attend school, when in session, until the
following June 30th.
Example: Joe and Bob are seniors at Central High. Both are seen in the
park during school hours. Joe reached his 17th birthday
August 15th, while Bob reached his 17th birthday on June 20th.
Joe would be considered a truant, but Bob would not.
Procedure for Truants
A police officer will deliver a child to either a principal or designee of the
school in which the child is enrolled, if known. If it cannot be determined or is
impractical to deliver the truant to that school, the juvenile will be taken to the
borough truancy site, which is designated by the School Chancellor. An officer
should make appropriate activity log entries. The principal or his or her
representative should be asked to sign the police officer’s activity log as receipt
for the child. The officer should then prepare a Youth Referral and deliver it to
the desk officer upon completion of the tour.

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Remember:
1.

A Juvenile Report is not prepared in the case of a juvenile who is only a
truant and has not committed a crime.

2.

When dealing with juveniles, discretion should always be used. Truants
may be frisked to ensure the officer's safety. They may also be
handcuffed if the officer believes his safety is in danger.

Precinct Youth Officer
The Precinct Youth Officer is an excellent resource for patrol officers. This
is especially true if you work in an area where there are a large number of
schools and school-aged children in residence. The Precinct Youth Officer is
responsible for processing and investigating all the Juvenile Reports prepared for
youths residing in the precinct. The Youth Officer also maintains the files of
juveniles arrested in the precinct, contacts parents/guardian, and warns them of
truancy problems or other offenses committed by their children.
The Youth Officer executes youthful offender warrants and institutes the
court process when necessary. He or she coordinates youth-directed activities,
follows up on crimes committed by youths, identifies home conditions which
contribute to youth violence, tracks statistics on violence in schools (by conferring
with principals and school safety officers) and serves as an information resource,
advising precinct personnel, parents and community groups on youth matters. In
addition, the Youth Officer works with the precinct Domestic Violence Prevention
(DVPO) Officer on cases involving child abuse.

JUVENILE DELINQUENCY (PG 215-09)
As defined by the Family Court Act, a juvenile delinquent is a child over 7
and under 16 yrs. of age who commits an act that would be a crime if committed
by an adult.
Designated Felony Offenses (PG 215-12)
Certain serious crimes which if committed by a Juvenile Delinquent
require special processing. After a child is apprehended for committing a
designated felony offense, detain the child and notify the desk officer of the facts.

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Attempt to verify the age of the juvenile by satisfactory documentary proof, if
available. If Family Court is closed, a Designated Felon can qualify for personal
recognizance.
The Desk Officer will consider the following criteria in determining whether a
juvenile will be arrested and charged with juvenile delinquency or if a Juvenile
Report applies:
•
•
•
•
•

Facts or circumstances;
Offense committed;
Recommendation of Youth Officer;
Manner in which committed;
Previous record from command and Youth Records Section.

Offenses for Which a Juvenile Will Be Taken Into Custody
A police officer will effect the arrest of a juvenile if the child commits:
•
•
•

Any Felony
Unlawful Assembly - Misdemeanor
A “Photographable Misdemeanor” (see PG 208-07
“Photographable offenses”)

Parent or guardian must be notified of the custody and location where a
juvenile is being detained. Detain juvenile in location designated for juvenile
detention and interrogation, if court is not in session. If court is in session,
determine if the juvenile should be delivered direct to court or processed for
personal recognizance. Have a female police officer or other qualified female
present, if the juvenile is a female.
Questioning Juveniles in Custody
A juvenile in most circumstances will not be questioned concerning his or
her criminal activity until the juvenile and the parent/guardian are advised and
understand the juvenile's Constitutional Rights. Miranda warnings should be
read to the juvenile while the parent/guardian is present. The juvenile may be
questioned if he waives Miranda rights in the presence of the parent/guardian.
The parent/guardian does not have to separately waive the Miranda rights. They
only have to be advised of such rights. However if the parent/guardian objects to

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the questioning or requests an attorney for the juvenile, no questioning should
occur even if the juvenile is willing to answer questions.
Special Instructions Concerning the Preparation Of OLBS Worksheet;
a.

Under caption #9 "CHARGES INFORMATION” enter "JD" followed by
specific crime.

b.

Complete entire section captioned "JUVENILE INFORMATION" (boxes
32-33).

c.

Prepare Juvenile Arrest-Investigation Probation Intake Report.

d.

Attach hard copy of FINEST system / Investigation Card / Juvenile
Recidivist Check to court copy of report.

If Juvenile Will Be Released On Personal Recognizance:
Determine if applicant's parent, guardian, or lawful custodian is a
responsible adult by evidence of their identity and relationship to the juvenile.
Call the Identification Section, Youth Records Unit for prior police record of
juvenile. Conduct a Warrant investigation card/juvenile recidivist name check
conducted via FINEST system.
Juveniles Will Not Be Released On Personal Recognizance If:
•

Classified a Juvenile Offender;

•

Dangerous to Community;

•

Wanted on a warrant/ is a juvenile recidivist;

•

The applicant cannot provide adequate supervision;

•

Health or morals would be endangered;

•

Not likely to appear on return date;

•

Designated Felony and Family Court is in session;

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•

Arrest on a Felony and awaiting trial on a Violent Felony;

•

An act committed against a Family/ Household member and the act
is Felony Assault, any Sex Offense or the release would be a
danger to the family.

Member of the service will prepare “Appearance Ticket – Family Court” and
distribute:
1. Prepare and have the applicant sign in the place provided.
2. If the person refuses to sign the form, the word "refused" will be
entered on the signature line. The member of the service must then sign
the ticket.
3. The appearance date for Family Court is obtained from the borough court
section. The arresting officer must appear if:
a. Juvenile was sent to a detention shelter.
b. If multiple arrests were made and one (1) or more juveniles does
not qualify for Personal Recognizance.
c. When Family Court is closed and the juvenile is charged with a
designated felony and an Appearance Ticket - Family Court was
issued.
If there is a civilian complainant, he or she must also appear in Family
Court on the return date. The arresting officer should inform them of this. Some
patrol boroughs are involved in the “Officer Excusal program” (Refer to PG 21512 [Interim Order 57 of 2003] for further information).
A juvenile will be transported to Family Court if it is open or to the Bridges
Juvenile Center if the Family Court is closed. The arresting officer must call
the Bridges Juvenile Center to arrange for lodging prior to transporting.
Certain paperwork must accompany the juvenile to the Bridges Juvenile Center;
namely, a copy of the ON LINE BOOKING SYSTEM ARREST WORKSHEET
and a copy of the JUVENILE ARREST INVESTIGATION/PROBATION INTAKE
REPORT. An arrest package must also be prepared and sent to the borough

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court section. This package should contain copies of all related arrest
paperwork. Juveniles will never be transported with adult prisoners.
When juveniles are taken into custody and charged as juvenile delinquents with
any offense listed below, the arresting officer must contact Corporation Counsel
by Telephone during business hours. All other hours, the arresting officer will
use the beeper system for contact at 212−314−9878:
•
•
•

Murder 2nd degree
Manslaughter 1st & 2nd degree
Rape 1st degree

Photographs
1.

Take one (1) front view Polaroid photo of juvenile & on the reverse side
enter the following info:
•
•
•
•
•

2.

Name of juvenile;
Date of birth;
Mother's full name, including maiden name;
Date and the precinct of arrest;
Arrest number, complaint number and crime charged.

Forward photo promptly, in sealed envelope to:
•
•
•

Identification Section;
Youth Records;
Room 110B Police Headquarters.

Fingerprints via the “Livescan” System are required to be taken only in the
following cases (208-08):
1.

Juvenile 11 years of age or older and is charged with a class A or B
felony

2.

Juvenile 13 years of age or older and charged with any felony

3.

Juvenile charged as a Juvenile Offender

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Note: For information on processing juveniles that have been
arrested see PG 215-09 for Juvenile Delinquents and PG
215-10 for Juvenile Offender.
Bring juvenile to the juvenile room in station house for interrogation. A
female police officer, if available, or another qualified female will be present if the
juvenile is a female. Notify parent/ guardian of custody and location.
An arrest for juvenile delinquency requires an arrest number generated by
Central Booking. The juvenile’s statement of age may be in conflict with official
records. The arresting officer shall ask to examine the following references from
Bridges Juvenile Center:
a.

Family Court - Remand Order Form C-23B.

b.

Family Court - Order Directing Detention of Respondent Form 3-11.

c.

Criminal Court - Securing Order Form 299.

d.

Supreme Court - Securing Order Form 299.

JUVENILE DETENTION (ARREST) PROCEDURES
(Juvenile Delinquents and Juvenile Offenders)
1.

Detain and question juveniles only in designated room of the station house
(As per Legal Bureau Bulletin Volume 13, number 4).

2.

Send for parents - Give Miranda Warning to juvenile and the parents at
the same time, prior to questioning. An arresting officer can obtain
pedigree information prior to Miranda. A juvenile may waive his or her
rights in the presence of a parent or guardian. The parent does not need
to waive the rights separately. However, if the parent objects to the
questioning or they request an attorney, all questioning will end. If the
parent/guardian cannot be notified, the juvenile can only be questioned
after:

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a.

Every reasonable effort has been made to notify the
parent/guardian;

b.

Determining the necessity for questioning at this time;

c.

Considering the age, apparent intelligence, and the ability for the
juvenile to understand the Miranda Warnings.

Note: If the juvenile must be questioned without the parent or guardian
present the officer must be prepared to testify that a “good faith” attempt was
made to have a competent adult present during questioning.
3. Check juvenile’s activity (home, school, youth officer). Call Youth Records
Unit to obtain prior police contacts. Call Central Warrants Division to
ascertain if the juvenile is wanted.
4. Determine if the juvenile should be released in accordance with Patrol Guide
section 215-12 (I.O. 57 of 2003) Verify the identity of all parties concerned
and relationships.
5. Prepare Department forms (e.g., OLBS, Complaint Report, Vouchers, etc.).
When Personal Recognizance is given prepare the following forms:
a.

Juvenile Arrest Invoice/Probation Intake Report Worksheet;

b.

Appearance Ticket, Family Court;

c.

Complainant’s Notification to Appear in Court.

6. Have an official department photograph taken for anyone charged with any
felony, including juvenile offenders (JO’s) and for any of the following
misdemeanors (PG 208-07):
•
•
•
•

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Criminal Possession of a Weapon 4th degree (firearm only)
Manufacture, Transport, Disposition, Defacement Of Weapons And
Dangerous Instruments And Appliances
Prohibited Use Of Weapons (subd. 1 and 3)
Fraudulent Accosting Except If Specifically Charged With Operating
a “Three Card Monte” Game

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•
•
•
•
•
•
•
•

Sexual Abuse 2nd degree
Criminal Impersonation 2nd degree (subd. 3)
Promoting Prostitution 4th degree
Loitering For The Purpose Of Promoting Prostitution (sub. 3)
Prostitution
Patronizing a Prostitute 3rd degree or 4th degree
Patronizing a Prostitute
Trademark Counterfeiting 3rd degree

7. A Juvenile Delinquent (“J.D.”) that is not eligible for personal recognizance
will be removed to the Bridges Juvenile Center with a copy of the OLBS,
Complaint Report and the Juvenile Arrest Investigation/Probation Intake
Report. If the arresting officer is informed that the juvenile will be detained at
the Vernon C. Bain Center (males) or the Bronx Juvenile Center (females),
the officer must contact the admissions unit of each location prior to delivering
the juvenile and provide them with information (PG 215-09). Juvenile
Offenders (“J.O.”) are not eligible for personal recognizance. They will be
brought to Central booking, but will not be placed with adult prisoners. Under
no circumstances will a JO be brought to a Juvenile Detention Center.
8. Place the following forms in an envelope addressed to the Special Projects
Officer in Family Court and mail using Department mail:
a.

OLBS.

b.

Appearance Ticket - Family Court.

c.

Juvenile Arrest Investigation/Probation Intake Report.

d.

Property Clerk’s Invoice (if applicable).

e.

Copy of the Complaint Report.

f.

Copy of Activity Log.

g.

Any other related information.

9. In cases where the JD was given personal recognizance, obtain the hearing
date for Family Court from the Borough Court Section and notify the
complainant.

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JUVENILE REPORTS
(PATROL GUIDE 215-08)
In order to properly record and investigate certain complaints concerning
juveniles at least seven (7) years of age, but less than sixteen (16) years of age,
uniformed members of the service will prepare a Juvenile Report in the following
instances:
• An act that would constitute a crime if committed by an adult except
for those acts recorded on a Complaint Report;
• Petty Violations by juveniles;
• Persons in Need of Supervision;
o Print in capital letters across top of Juvenile Report “Person
in Need of Supervision.”
o Advise civilian complainant of right to seek a petition in
Family Court.
• Intoxicated Juveniles;
• Juveniles under sixteen years of age found in a house of
prostitution;
• Stranded juvenile;
• Runaway juvenile;
• Juvenile unlawfully present in a licensed premises;
• Juvenile apparently under the influence of a dangerous drug, e.g.
heroin, cocaine, morphine, opium, marijuana, amphetamines,
barbiturates, hallucinogens;
• Missing person, at least seven (7) years of age but less than
sixteen (16) years of age;
• Traffic infractions – bicycles – persons over seven (7) but less than
sixteen (16) years of age.
•
•

Prepare a separate Juvenile Report for each juvenile involved.
Deliver completed Juvenile Reports to the Desk Officer, at completion of
tour.

In September of 2003, the School Safety Division of the N.Y.P.D. instituted a
pilot program allowing School Safety Agents to prepare Juvenile Reports at Taft
High School in the Bronx. Based upon the success of this pilot program, the
program has been expanded to include one (1) high school in each Patrol
Borough, in addition to Taft High School. (Operations Order 1 of 2005 [1/06/05])

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JUVENILE OFFENDER (“J.O.”) (P.G. 215-10)
A juvenile offender is defined as child less than 16, taken into custody, and
charged with a felony as indicated.
a.
13, 14, 15 yr. old charged with Murder 2nd degree (PL 125.25)
subdivisions 1 and 2 (intentional and depraved mind); or
b.
14, 15 yr. old -Murder 2nd degree subdivision 3 (Felony Murder) if the
underlying felony is listed in subdivision c below.
c.

14, 15 yr. old charged with:
•

Assault 1st degree (PL 120.10) subdivision 1 and 2;

•

Manslaughter 1st degree (PL 125.20);

•

Rape 1st degree (PL 130.35) subdivision 1 and 2;

•

Criminal Sexual Act 1st degree (PL 130.50) subdivision 1 and 2;

•

Kidnapping 1st degree (PL135.25);

•

Burglary 1st degree (PL140.30) and Burglary 2nd degree (PL 140.25)
subdivision 1;

•

Arson 1st degree and 2nd degree (PL 150.20 and 150.15);

•

Robbery 1st degree (PL 160.15) and Robbery 2nd degree (PL
160.10) subdivision 2;

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•

Aggravated Sexual Abuse 1st degree (PL 130.70);

•

Attempted Murder 2nd degree (PL 110/125.25) or Attempted
Kidnapping 1st degree (110/135.25);

•

Criminal Possession of a Weapon 2nd degree (PL 265.03) and 3rd
degree (P.L.265.02) within school grounds.

The officer must bring the juvenile to the room designated for juveniles.
Have a female police officer or other qualified female present if the juvenile is a
female. Notify a parent or guardian of custody and location.
Arrest Procedures for Juvenile Offenders
1.

Notify parent.

2.

When filling out an On Line Booking Sheet, Juvenile Offender crimes
would be listed first in the "charges section.” Enter the words "Juvenile
Offender" in the D.A.T. return date caption.

3.

J.O. will be lodged and transported separately from adults. Arresting
officers will remove J.O. to Central Booking, not Bridges Juvenile Center
(Juveniles will be lodged separately at Central Booking). Fingerprint the
J.O. using the LIVESCAN Fingerprint Imaging System.

4.

The arresting officer will confer with the Borough Court Section Supervisor
to determine if arraignment can be completed prior to removing the J.O. to
the Borough Court facility. The Desk Officer will arrange for transport for
the J.O. if they cannot be received at central booking, and will have to be
lodged at another location. If the J.O. is already at central booking, the
central booking supervisor will arrange lodging to an alternative location if
they cannot receive the juvenile.

5.

A juvenile offender cannot under any circumstances receive personal
recognizance.

6.

A juvenile offender who is awaiting arraignment in criminal court will not be
detained overnight at a Juvenile Detention Center. These perpetrators are

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charged as adults, and although they will not be lodged with adults, they
will not be held with juvenile delinquents.
7.

The identity of a youth under 16, who has been charged as a juvenile
offender, may be released.

If the Assistant District Attorney declines to prosecute, comply with PG
210-16 “Release of Prisoner from the Complaint Room.” If classification is
dropped to Juvenile Delinquency, the arresting officer will change the OLBS with
the Booking Officer, if it has not been forwarded, or they will prepare an Arrest
Supplement if the OLBS has already been forwarded.

GANGS
Gangs can be found in both depressed and more affluent areas of New
York City. Most gangs originally form in an effort to preserve the identity of their
culture or cause. At some point, as the desire for profit and power grows, gangs
may begin to recruit from among their friends and acquaintances who are
members of different racial, ethnic or cultural group.
Gangs are attractive to some neighborhood youth for a variety of
psychological and sociological reasons. Sometimes youths who come from poor
families are attracted to the power and comparative wealth which gang members
display. Others who come from poorly functioning families (including very hard
working parents who can’t afford to be at home) may find in gangs a substitute
family to guide and reward their behavior.
Much of the criminal activity perpetrated by juveniles and young adults can
be attributed to the growing number of gangs in our neighborhoods. Gangs are
involved in narcotics, extortion, robberies, and homicides.
It is important that police officers familiarize themselves with the signs of
gang activity. Gang graffiti, for example, contain coded messages which are
used to communicate information such as the gang’s territory (turf) and the

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identity of its members. Bandanas and flags placed on various parts of the body
may also be used to communicate important information.
Officers must be diligent when inspecting their posts for any gang-related
activity or graffiti. Members of the service who want to find information about a
particular activity or report an incident involving a gang member, whether as
perpetrator or victim, should contact Intelligence Division’s Operations Desk at
(877) 4INTELL, (877-446-8355), or (718) 834-4301 24 hrs / 7 days a week.

TYPES OF GANGS
Criminal Gang
•
•
•

Group or criminal enterprise having a formal structure;
Identifiable leadership/membership;
Activities focus on for-profit crimes.

Street Gang
•
•
•
•
•
•

A group of people that form an allegiance of some duration;
Concerns with “turf”;
Special dress or "colors";
Interest in violence for status or reputation;
Engages in criminal activity;
Can create fear/intimidation in the community.

Youth Gang
•
•

Generally compiled of adolescents;.
Identifiable group who have engaged in unlawful or anti-social activity,
verifiable by police records or reliable sources.

Situation/ Event Group
•

This is not necessarily a gang; nonetheless a group of people who come
together, and spontaneously engage in criminal conduct (i.e. homicide,
rape, robbery, and violent assaultive behavior), defined by a specific
event, time, or occurrence.

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Reporting Gang Related Criminal Activity (P.G. 212-13)
Definitions:
Gang - a group of persons, with formal or informal structure that includes
designated leaders and members, that engages in or is suspected of engaging in
unlawful conduct.
Drug Gang - a gang as defined above that exists primarily for the purpose of
distributing illegal narcotics and/or marijuana.
Gang Related Incident - any incident of unlawful conduct by a gang member or
suspected gang member.
Gang Motivated Incident - any gang related incident that is done primarily
to benefit or further the interests of the gang or as part of an initiation,
membership rite, or act of allegiance to or support for a gang or as a result of a
conflict or fight between gang members of the same or different gangs.
Gang Related Intelligence - information about a gang, a suspected gang, an
individual gang, or suspected gang member. This includes information about
gang meetings, recruiting attempts by gangs, plans by gang members to
organize or take part in protests, marches, and other public events, self-styled
“community” events organized by a gang, as well as any information useful
developing profiles and intelligence about gang activities.
Why Report Gang Activity?
The purpose of reporting and collecting information about gangs is to
inform other members of the service and other law enforcement agencies citywide of gang activity and intelligence information. Upon learning of a possible
gang related or gang motivated incident, or upon making an arrest of a
suspected or identified gang member for any offense:
1.

Take immediate action as necessary;

2.

Notify the Patrol Supervisor;

3.

Enter information in your activity log, if appropriate;

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4.

Contact the Intelligence Division’s Operations Desk (877) 4INTELL,
(877- 446 - 8355), or (718) 834 - 4301 24 hrs / 7 days a week.
Provide all pertinent information to the Intelligence Division member
accepting the report along with the telephone number of the
command/location that you are calling from.

5.

Prepare Complaint Report Worksheet and/or On Line Booking System
Arrest worksheet, as appropriate.

If incident or information is not recorded on Complaint Report or On Line
Booking System Arrest worksheet, follow procedure 212-12 “Citywide
Intelligence Reporting System.” This will insure that proper information can be
forwarded to all commands concerned. If the information received involves a
drug gang, in addition to notifying the Intelligence Division, also notify the
Organized Crime Control Bureau Field Operations Desk 1 (646) 610-6610.
6.

Be guided by the direction given by the Intelligence Division member.
if requested, and when feasible, remain at command until Gang Division
investigators arrive.

7.

Provide full cooperation to the Intelligence Division personnel conducting
the investigation of the reported gang incident.

8.

Enter the following information in the “Details” Section of the Complaint
Report worksheet and in “Box 11” (when an arrest is made) of the OLBS
worksheet:

9.

•

The name of the Intelligence Division member taking the
notification and the Gang Division Log Number.

•

If victim/witness has gang affiliation and the name of the gang.

•

Perpetrator’s gang affiliation and the name of the gang.

Enter the appropriate designated gang code on the Complaint Report
worksheet in the caption which reads “Detective Squad Case Number”:

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a.

Codes 30 (Gang-Motivated) or 31 (Gang-Related) for incidents
occurring within the confines of Patrol Services Bureau Patrol
Boroughs/S.A.T.C.O.M. Brooklyn North (excluding Transit and
Housing).

b.

Codes 40 (Gang-Motivated) or 41 (Gang-Related) for incidents
occurring within the New York City Transit System.

c.

Codes 50 (Gang-Motivated) or 51 (Gang-Related) for incidents
occurring on New York City Housing Authority Developments or
Properties.

10. Fax a copy of the completed Complaint Report to the Intelligence Division at
(718) 625-3076.
11. Provide the Intelligence Division with all information available.
12. Permit Intelligence Division member to interview any prisoner(s),
complainant(s), witness (es), or other police officer(s).
13. Notify, when appropriate, the Intelligence Division member of:
a.
b.
c.
d.
e.
f.
g.
h.

Name of the Assistant District Attorney assigned;
Charges preferred against the defendant;
Charges on any indictment;
Amount of any bail;
Next court date;
Scheduling of each subsequent court appearance;
Status of the prisoner;
Final disposition.
Note: MOS will immediately notify both the Intelligence Division
and the complainant if the defendant posts bail or is released
from custody.

14. Submit all completed forms to the desk officer for review.

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The Intelligence Division has a twenty-four (24) hour a day, seven (7) days
a week, response capability and can dispatch experienced detectives to debrief
gang prisoners, victims, and witnesses of gang-related incidents. The
Intelligence Division serves as the department’s central repository of intelligence
on violent street gangs. The Intelligence Division will insure that any valuable
criminal intelligence obtained regarding suspected gangs or gang members is
rapidly disseminated to all units within the department that can use this
information to further their investigations and to reduce crime.

DEPARTMENT RESOURCES FOR YOUNG PEOPLE
Anti-Graffiti Initiative
The Office of the Deputy Commissioner of Community Affairs has been
involved in the Department's quality of life strategy by developing and
implementing programs and policy regarding the eradication of graffiti in our city.
Mayor's Anti-Graffiti Task Force
Established in August 1994, the Task Force consists of twenty-one city
agencies working together to enhance the quality of life in New York City. DCCA
represents the Police Commissioner, who is co-chair with the Mayor, overseeing
the coordination of these agencies.
Graffiti Hot Line
In October 1994 the Graffiti Hot Line 1 (212) 374-5914 was established for
residents to report acts of graffiti vandalism in progress to the Department.
Graffiti Reward Program
The Graffiti Reward Program issues rewards of up to $500 to persons who
give information resulting in the arrest, prosecution or conviction of a graffiti
vandal.

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Graffiti Vandals Unit
The first ever graffiti vandal unit in the New York City Police Department
was established in June 1994 to follow up on complaints, investigate and arrest
those involved in graffiti vandalism. Policy was instituted whereby desk
appearance tickets are no longer issued for graffiti related crimes.

YOUTH PROGRAMS – NYPD
Youth Division
The mission of the Youth Division is to prevent youth violence by
developing and implementing innovative educational programs. In response to
the growing demands on the resources of the D.A.R.E. Program and the Youth
Services Division, the Office of the Deputy Commissioner of Community Affairs
recently reorganized the two Divisions into the newly created Youth Division. The
Youth Division consists of two major sections: the Education Violence Reduction
Section and the Youth Outreach Section.
The Youth Division serves as a repository for all reports on juvenile
offenses and suspected child abuse.
The Education and Violence Reduction Section conducts educational
programs within schools, address the causes of drug abuse and youth violence.
Early education about these problems is an important tool. The programs use
police officers as role models to foster positive relations between the youth and
the police department. The following programs alter the attitudes and perceptions
of young people regarding substance abuse, violence, gang affiliation, bias and
criminality, and increase their awareness of the effects and consequences of
negative behavior.
The Youth Outreach Section develops and coordinates innovative
recreation and discussion group programs. The programs have been developed
as a preventive approach to the escalating problem of youth related crime. These
programs provide a climate in which youth can grow and develop into positive
adults; they are discussed below.

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YOUTH OUTREACH SECTION
Police and Community Together (PACT) - Stop the Violence
The Youth Dialogue Unit and other members of the Youth Division
participated in the coordination of a series of PACT - Stop the Violence
neighborhood rallies/concerts throughout the city. These events focused on a
Police and community alliance against violence, crime and drugs. Numerous
community organizations, social service organizations, block, tenant and citizen
organizations participated in these community events. In 1995, there were nine
events held in large parks throughout the city with an attendance estimated at
63,000. The Spanish Broadcasting Station sponsors these events. These events
have proven to be most appealing to the city's youth. There are twelve large
events scheduled throughout the city during the summer months.
Fresh Air Fund Youth Leadership Weekend
The Youth Division personnel and New York City Youth spend a weekend
at the Fresh Air Fund Camp in Fishkill New York and participate in workshops
and activities designed to forge harmonious relationships between the police and
the youngsters. This biannual event was conceived by Youth Division personnel
and is funded by the Fresh Air Fund Inc. It involves police officers, detectives and
sergeants from the Youth Division As well as precincts and youth ranging from
"at risk" to productive college bound. The weekend events are held in the spring
and in the fall. The Youth Leadership Weekend was recently highlighted on a
segment of "World News Tonight." One hundred and forty young people
participate in each of these weekend events.
Police Athletic League Liaison Unit
The Police Athletic League (PAL) is the largest independent youth
organization in New York City. Trained police officers are assigned to each
patrol borough as program coordinators for the Police Athletic League. These
officers work with local schools, churches, civic organizations, and local precincts
to help establish such recreational opportunities as seasonal sports leagues,
tournaments, clinics, trips and outings. This unit coordinates the annual Police
Commissioner for a Day and the PAL Essay contests in the school.

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Police Athletic League (PAL) Play Streets
PAL officers will bring recreational activities during the summer to
neighborhood streets experiencing heavy drug activity. These drug prevention
play sites are located in all precincts.
Youth Games
The New York City Police Department Youth Games were designed to
strengthen the partnership between the community, the Board of Education and
the New York City Police Department. This undertaking included the scheduling
of nine sporting events in over two (2) hundred public and parochial schools with
eight thousand children participating citywide.
Juvenile Database Processing Unit
The Youth Database Processing Unit is currently working with the
Management Information Systems Division (MISD) to develop a comprehensive
Juvenile Database. The Database will enable the processing unit to provide
accurate statistical information on Juvenile offenses and reports of child abuse.
This database will track juvenile crime trends and aid in developing crime
reduction strategies and programs. Presently the processing unit is manually
recording and filing reports of juvenile offenses. The Youth Division and the
Management Information Systems Division are in the process of creating and
implementing a Juvenile Database LAN system. The database will have both
investigative and report function capabilities. The database will serve as a tool in
juvenile investigations and will be available at the precinct level to authorized
personnel. The report function will enable the Youth Division to produce citywide
statistical reports and allow for borough and precinct command report capability.
The database investigative function will allow for access on-line to Juvenile
Reports and Youth Referral history. The database will track juvenile crime trends
and aid in developing crime reduction strategies and programs.
D.A.R.E. Program - “DARE to Say ‘NO’ to Drugs!”
DARE, which stands for “Drug Abuse Resistance Education,” is a
preventative program originally developed in Los Angeles. In September 1996,
the NYPD joined forces with DARE America to bring the nationally recognized
D.A.R.E. Program to New York City’s classrooms. The 17-week curriculum is
aimed to equip NYC youths with the skills to resist peer pressure and help youths

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to live productive drug-free and violence-free lives. The concept is
straightforward and simple: DARE to say "NO"! The instructors are specially
trained Police Officers. Each year DARE elementary curriculum is taught to over
5.5 million children in over 250,000 classrooms. The program is taught from
kindergarten through the twelfth grade in public and private city schools. There
are over 16,000 police officers certified to teach DARE throughout the United
States and the world. The DARE program is now the largest and most
successful drug presentation program in the United States. A recent Gallup
survey of students who have completed the DARE program, more than 90%
believe the DARE program provided them with skills to avoid drugs and alcohol.
Drug Abuse Resistance Education is not about keeping kids off drugs. Our state
education system has many effective education programs to teach kids about
drugs by using professionals in the field. More than 22,000 community-oriented
law enforcement officers from 7,000 communities throughout the country have
taught the core curriculum to more than 25 million elementary school students.
An additional 20 million students will be influenced by D.A.R.E. D.A.R.E. is
taught by law enforcement officers in 19 countries and is being implemented in
Department of Defense Dependent Schools worldwide.

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CHILDREN AND ADOLESCENTS
MANDATORY PATROL GUIDE READING
The following are Patrol Guide procedures that must be added to this
chapter – Children and Adolescents. These procedures must be read in
conjunction with this chapter. Questions for the 3rd Trimester Exam may come
from these procedures:
PG 208-07

Photographable Offenses

PG 212-13

Reporting Gang-Related Criminal Activity

PG 215-03

Emergency Removals or Investigation and Reporting of Abused,
Neglected, or Maltreated Children

PG 215-05

Runaway Children

PG 215-06

Children or Minors Requiring Shelter

PG 215-07

Truants

PG 215-08

Juvenile Report

PG 215-09

(I.O. 56 of 2003) Offense Committed by a Child Under 16 Years of
Age (Other than a Juvenile Offender)

PG 215-10

Arrest of a Juvenile Offender

PG 215-11

Arrest of Child Unlawfully in Certain Licensed Premises

PG 215-12

(Which is currently suspended by I.O. 57 of 2003) Personal
Recognizance Juvenile Delinquent

PG 215-13

Handcuffing Students Arrested Within School Facilities

PG 215-19

Abandoned Infants/Operation Safe Haven

Operations Order #49 of 2001
Operations Order #1 of 2005

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REFERENCES
Hurst Y. G and J Frank, 2000, “How Kids View Cops: The Nature of Juvenile
Attitudes Towards the Police.” Journal of Criminal Justice 28:189−2002.
Marans, S., 1996, “Psychoanalysis on the Beat: Children, Police, and Urban
Trauma. The Psychoanalytic Study of the Child 51, ed. A.J. Solnit, P.B.
Neubauer, S. Abrams, and A.S. Dowling: New Haven, Yale University Press.
Marans, S., R. A. Murphy and S.J. Berkowitz, 2002, “Police−Mental Health
Responses to Children Exposed to Violence.” In Melvin Lewis, (ed.) Child and
Adolescent Psychiatry: A Comprehensive Textbook, 3rd Edition. Baltimore:
Lippincott Williams and Wilkins.
Zide, M.R. and A.L. Cherry, l992, “A Typology of Runaway Youths: An
Empirically Based Definition.” Child and Adolescent Social Work Journal, Vol. 9 #
2:155−168.

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Auto Related Crimes and Procedures

WHY IS IT IMPORTANT FOR POLICE OFFICERS TO
KNOW ABOUT AUTO RELATED CRIMES AND PROCEDURES?
In a city as densely populated as New York City, police officers’ daily
routines revolve around the automobile. Patrol officers can expect that, virtually
every day, automobiles will play a major part in their work lives. Every day,
officers issue summonses, complete accident reports, and take complaints for
stolen autos. In order to do these jobs effectively, officers must have extensive
knowledge of automobiles and automobile related procedures. Your learning
starts here in the Academy. In other parts of your program, we will train you in
emergency vehicle operation and in vehicle searches and the laws that govern
them, as well as in the proper procedures related to car stops and the issuance of
summonses.
In this chapter, we focus on auto related crime and paperwork. We will
begin with auto crime (including prevention and detection measures, vehicle fraud,
stolen vehicle complaints, and crimes related to autos) and then advance to
vehicle accident procedures (including accident scene safety), related paperwork,
and towing. We will also cover vehicle pursuit procedures.

VEHICLE LARCENY
More than one million vehicles are reported stolen in the United States
annually. According to the National Automobile Theft Bureau (NATB), between ten
and fifteen percent of these reports are fraudulent. The police officer responding to
an auto larceny call is responsible for more than just taking a report. A diligent
investigation will uncover fraudulent claims, along with other instances where
missing vehicles, in fact, have not been stolen. Your observations while on patrol
will aid in the prevention and detection of auto theft. Knowing what to look for in
identifying a potential stolen vehicle is the first step toward making quality arrests.
In turn, those arrests will contribute to the reduction of auto crime in that area. This
chapter will help in identifying prevention and detection techniques as well as the
laws relating to auto larceny.
The goal of the auto related crime strategy is to enable police officers,
particularly at the patrol level, to gain the expertise necessary to mount a
meaningful and concentrated citywide effort to combat auto related crime. The
Department wants the auto related crime strategy to be as disruptive and averse to
the criminals of New York City as auto related crime is to the citizens of New York
City. Vehicle theft has become a nationwide problem. Many vehicles are stolen
for parts and are dismantled very soon after the crime, in chop shops. Other stolen
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vehicles are stripped for parts, as they lay abandoned by the side of highways after they were stolen or used in the commission of a crime. An even worse and
more recent trend is carjacking, in which motorists are robbed of their autos as
they drive them. In other situations, vehicle owners arrange for their own autos to
be stolen and destroyed for the insurance settlement. By following the
investigative techniques mentioned within this lesson, the Department can reduce
the incidence of vehicle theft and apprehend those individuals who profit from other
people’s possessions.
Prevention and Detection
Vehicle registration plates of automobiles can easily be removed and
changed, facilitating many thefts. The police officer, therefore, must be familiar
with the vehicle identification number (“VIN”), which is permanently affixed to
each vehicle. This will help the officer accurately ascertain the true ownership of
the vehicle and identify whether or not it has been stolen. The vehicle identification
number was introduced in 1954, and is attached to the vehicle by the
manufacturing plant. The VIN characters describe certain features of the
automobile (e.g., year, model, make, restraint systems, engine type, etc.).
Knowledge of the VIN code provides the officer with inside information into
the makeup of the automobile. For instance, if the VIN code reveals that the auto
is supposed to have four doors, but it only has two, it can be concluded that the
VIN has been replaced or altered and a crime has occurred. Extensive knowledge
of VIN codes takes years of experience and the codes themselves vary from car to
car. A smart patrol officer carries the VIN code booklet issued by the National
Insurance Crime Bureau. This booklet is an essential tool in combating auto theft
and fraud.
Each automobile manufacturer has its own system for compiling the VIN.
There are several locations on an automobile where the “public VIN” is attached.
This is the VIN that can easily be seen from outside the vehicle. These locations
are:
1.

Left side of the dashboard/instrument panel;

2.

Left side of windshield pillar or post;

3.

Door post of the driver’s side (on vehicles manufactured prior to
1968).

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Although the VIN is generally more reliable than the registration plate, it is
also subject to alteration or removal. One method used by counterfeiters is to
produce a plastic strip with a tape-punching machine, and then attach it over the
true VIN plate. Another involves the removal of a single character from the VIN
and replacing it with a different character made by the counterfeiter and then
sprayed black.
When searching a vehicle, never make the assumption that a VIN is
absolutely accurate; always check for signs of tampering, including:
•

Obvious alterations;

•

A scratched or bent plate;

•

Improperly affixed or crooked plate;

•

Rivets that appear to be damaged;

•

Paper or other material covering the location where the VIN is normally
found. (Ask the driver to remove the paper. Do not do this yourself).
Note: Without probable cause, a police officer cannot reach inside
an auto to move an object in order to view the VIN. To avoid this
form of illegal search, officers should request the operator to move
the object.
Note: It is a Class “E” felony in the Penal Law to knowingly alter a
VIN plate, or possess such a plate that has been removed from a
vehicle illegally. Any evidence of tampering requires careful
investigation.

When there arises a question concerning the location and/or the validity of
the VIN or whether assistance is needed to ascertain if the vehicle is stolen,
request the help of someone in your command who has been trained by the Auto
Crime Division. If such local assistance is unavailable, contact the Auto Crime
Division direct.

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Observations While On Patrol
In addition to the information listed on your Auto Larceny Activity Log insert,
there are certain indicators of suspicious circumstances involving vehicles. While
on patrol, at accident scenes, conducting car stops and conducting vehicle safety
check points, you should be aware of the following indicators of vehicle theft:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•

A clean license plate on a dirty vehicle, or vice versa;
A worn license plate attached with new bolts or wire;
A new car without hubcaps or riding on undersized spares (“donuts”);
A damaged trunk lid that appears to have been forced or pried open;
Vehicle with a shattered window;
Front & rear plates that do not match;
A freshly painted vehicle;
Ignition locks - missing, tampered with;
Cars with tool marks on the frame around windows;
Missing trunk, door lock cylinders;
Flapping or missing vent windows;
Folded over, obstructed or missing registration plates;
Out-of-state plates with NYS stickers and vice versa;
Cars showing evidence of recent tool marks on bolts holding license
plates;
Cars with license plates insecurely mounted;
Operator appears to be unfamiliar with the operation of the vehicle;
Operator of vehicle appears to be underage;
A vehicle that will not pass, or tries to avoid a marked patrol car;
Unmarked tow trucks and flatbeds;
Tow trucks and flatbeds hauling undamaged vehicles;
Unmarked pick up and rack trucks carrying vehicle parts;
Trucks with “cover-up” paint jobs;
Chewed up steering columns;
Drivers who appear nervous and confused when questioned;
Persons removing parts or accessories from automobiles;
Persons apparently repairing or, without reason, loitering in the vicinity
of a parked car;
Persons trying a number of keys to open a car door.
Note: These are indicators and do not, alone, equal probable cause.
Several factors or a combination of these factors may lead to
suspicion that a crime is in progress.

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Extreme care must be exercised when approaching a suspected stolen
vehicle. An approach should be made from the rear of an occupied vehicle. The
officer should never walk in front of, or reach into, an occupied vehicle for keys or
documents. Documents should be handed to the officer by the operator, or
removed after the operator has exited the vehicle.
Chop Shops
A chop shop is any building, lot, or other premise where any person has
been engaged in altering, destroying, disassembling, dismantling, reassembling, or
storing any motor vehicle or motor vehicle part known to be illegally obtained by
theft, fraud, or conspiracy to fraud, in order to do either of the following:
1.

Alter, counterfeit, deface, destroy, disguise, falsify, forge, obliterate,
or remove the identity of a motor vehicle or motor vehicle part, in
order to misrepresent the identification of the motor vehicle or the
motor vehicle part;
or

2.

Sell or dispose of the motor vehicle or motor vehicle part.

Becoming aware of the existence of chop shops on patrol affords you the
opportunity to assist in mounting a meaningful effort to combat auto crime. The
following is a list of indicators that may aid you in identifying such locations:
•
•
•
•
•
•
•
•

The building is usually located in a commercial area;
There are no business signs posted on the building’s exterior;
The surface of the building is usually covered with graffiti;
There is bodywork being done on cars, however, the Department of
Motor Vehicle issued Repair License is not displayed out front;
The business is operating during odd hours. For example, while
adjoining businesses have closed for the day, this shop remains open;
The building will have gates that remain closed, but open periodically
to allow for the entrance or exit of vehicles or people;
Service stations and auto body repair shops with: wrecks with missing
VIN plates, cut up chassis rails, or late night work and deliveries;
Private garages and residential areas: numerous vehicles without
plates, wrecks in driveways and yards.

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The following are vehicles that may be observed in the vicinity of a chop shop:
Parts Truck - This vehicle is usually an ordinary van with no windows. It is
used to transport parts to the body shop that ordered them. It is important to
note that cars are stolen based on demand for parts.
Bones Truck - This vehicle usually is a box van, like those typically used as
bread trucks. It is used to remove what is left of the vehicle (skeleton of the
car) after the desired parts have been removed. The Bones Truck is usually
extended five to six feet from the end of the truck and reinforced with a beam.
The doors on the truck look typical but are actually hinged at the top of the
truck. Ramps are installed inside the truck to aid in the entry and removal of
vehicles. It may also have a hole in the roof that allows for a crane to go over
the wall of a salvage yard and fish the remains out of the truck.
Tools of the Trade
National statistics show that a large percentage of all cars stolen have keys
left in the ignition. However, to the professional, the absence of a key means little.
Locks, as well as anti-theft devices, can be bypassed. Like skilled technicians,
auto thieves rely on a variety of specialized tools to make their jobs easier. Below
are some of the tools of their trade:
•
•
•
•
•
•
•
•

Screwdriver;
Slim Jim;
Dent Puller;
Slap Hammer;
Extracting Ignition Lock Puller;
Ignition Lock Breaker;
Special Wrench Socket;
Coat Hanger.

Possession of these tools in and of themselves may not constitute a crime,
but can raise a police officer’s level of suspicion when investigating auto larceny. If
these tools are recovered on a perpetrator charged with larceny an additional
charge of Possession of Burglar’s Tools (P.L. 140.35) can be added.

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Preventive Measures
In a continuing effort to reduce crime, the NYPD has developed specific
strategies to address property crimes. As part of this effort, the Department has
stepped up initiatives to combat auto theft. These strategies include using specially
trained plainclothes officers, VIN etching for participating car owners and decal
programs such as Combat Auto Theft (CAT), and Help End Auto Theft (HEAT).
Officers also conduct vehicle checkpoints and directly patrol areas known to attract
car thieves. These programs are available to all communities and are offered
throughout every precinct in the City. A person interested in becoming involved in
these programs should contact the precinct’s Crime Prevention Officer.
Crime prevention is a cooperative enterprise between the police and the
community. Residents are urged to avail themselves of the many free crime
prevention programs, including bicycle registration, security surveys, and
Operation Identification for property in homes or businesses.
Combat Auto Theft (C.A.T.) Program
The Combat Auto Theft Program (C.A.T.) is designed to deter auto
larceny, and assist you in the identification and recovery of stolen vehicles. A
"C.A.T." sticker is attached to the rear side windows of an auto. The stickers are
depicted with yellow shields identifying the precinct and an ID Number. The owner
signs an authorization form, which allows you to stop their auto during the hours of
1:00am until 4:00am. The person stopped need only show proper identification.
Commuter C.A.T.
This program is set specifically for those residents who commute and leave
their auto parked for the day. This is the same as the C.A.T. program except the
hours that a vehicle may be stopped are from 10am until 4pm. This program also
works by placing stickers on a vehicle’s window.
H.E.A.T. (Help End Auto Theft)
This is a citywide volunteer program to combat auto theft. In order to
participate, a person must be a New York City resident, a registered owner of a
motor vehicle, and above the age of 40. When a person registers for this program,
two decals are placed on their vehicle. The decals inform the police that anyone
driving the vehicle that is apparently under the age of 25 may be doing so without
the owner’s consent. It authorizes you to stop and check the vehicle. H.E.A.T. is
in effect 24 hours a day.
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Preliminary Investigation, Recording And Transmission Of Alarms For Stolen
Vehicles (P.G. 207-11)
A complainant, present at a precinct command, or other Department facility
to report a stolen vehicle, must be transported by Department vehicle to the place
of occurrence, or be requested to await the arrival of a uniformed member(s) of the
service at the location where the crime occurred. The assigned uniformed member
of the service will then conduct a preliminary investigation at the scene and enter
the results in the details section of the Complaint Report Worksheet. (Including
the presence of broken glass or a “popped” vehicle lock left at the scene, the
license plate number of the auto that is now parked in the spot of the theft (if any),
as well as the plate numbers of the cars parked in front and behind the vehicle).
Note: In situations where it is not feasible to either transport or meet
a complainant at the location of a reported vehicle theft (e.g., when
the date of theft and the reporting date may be days or weeks apart),
the need for an RMP canvass will be left to the discretion of the desk
officer. A complaint for a stolen vehicle must never be taken over
the phone.
The complainant must be given a Vehicle Theft Preliminary Investigation
Report and Vehicle Theft Supporting Deposition to prepare and sign. If the
complainant is unable to prepare the forms, the investigating officer will prepare
them. If the complainant refuses to prepare the reports, note facts on the face of
the reports and sign them. Refusal to sign these reports does not preclude the
officer from taking the complaint.
The reports will be attached to the Complaint Report worksheet and given to
the desk officer for review. After the desk officer confirms (through FINEST) that
the automobile is not impounded, wanted in connection with a crime, towed or
previously reported stolen, the investigating officer will use the FINEST system to
transmit an alarm for the stolen vehicle.
Note: The Complaint Report will be closed to patrol unless it was
used in the commission of a crime or other condition indicates that
further investigation is necessary (pattern, unique crime, etc.).

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Complaints of Lost or Stolen License Plates (P.G. 207-13)
When a complainant reports license plates missing or stolen, certain
procedures must be followed to ensure the proper transmittal of an alarm. First,
the investigating officer must ascertain that the complainant is the registered owner
or a true representative of the owner of the plate(s), and then he must prepare a
Complaint Report Worksheet.
•

If one plate is missing and there is no other evidence to suggest a larceny or
other crime, classify the complaint as lost property and close the complaint
immediately as referred to Department of Motor Vehicles. Whether the
complaint is classified as a crime (e.g., larceny) or lost property, direct the
owner/representative to turn in the remaining plate to the Department of Motor
Vehicles. Advise complainant to contact the precinct after the plate is turned
in for transmission of an alarm. A person subsequently found to be in
possession of a lost license plate could be charged with larceny by acquiring
lost property. A license plate missing from an out-of-state registered vehicle,
that is only required to have one plate, will not be classified as a larceny or
other crime unless there is additional evidence to support the crime. An
alarm, however, will be transmitted in all cases.

•

If both plates are missing, have alarm transmitted via FINEST System and
attach a copy of the NYSPIN acknowledgement to the Complaint Report.
Note: When one plate is missing from a vehicle registered to this
Department, have alarm transmitted as soon as possible via FINEST
System. Ensure that the “DETAILS” section of the Complaint Report
includes that the missing/stolen plate is registered to a Department vehicle.
Note: Unless additional information is available to determine if a
missing plate(s) is stolen, one missing plate will be classified as lost
property. When both plates are missing, the case will be classified
as a Petit Larceny.

The investigating officer must then prepare and sign Report of Lost or
Stolen License or Registration Items and give it to the complainant. This form
will also be prepared when a complainant claims that their driver’s license or
registration was stolen or lost. The complainant will then be instructed to deliver
the form to the Department of Motor Vehicles to obtain new documents.

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AUTO CRIMES
This section describes some offenses that, at first glance, appear to be a
larceny. However, these offenses either lack the elements necessary to charge
larceny or are used as additional charges to the crime of larceny. To commit a
larceny, it is necessary that the offender intends either to deprive the owner or to
appropriate the property permanently or for so long a period that the major portion
of the property’s economic benefit is lost to the owner. A person who takes a
vehicle to use for a day, a week, even a couple of weeks, and does not intend to
deprive the owner either permanently or for so long a period that a major part of
the vehicle’s economic value or benefit is lost, has committed Unauthorized Use of
a Vehicle. This is the basic difference between the two crimes. Where intent to
take the vehicle permanently can be determined, the crime should be handled as a
Grand Larceny.
Unauthorized Use of a Vehicle
Unauthorized Use of a Vehicle is an offense commonly referred to as
“joyriding.” It can be either a misdemeanor or a felony. Basically, Unauthorized
Use of a Vehicle means using a vehicle without the permission or consent of
the owner; there is no intent to gain the value of the vehicle permanently.
There are three (3) ways to commit the offense of Unauthorized Use of a
Vehicle:
1. Use of a vehicle without permission;
2. Use of a vehicle as a gross deviation from a repair contract;
3. Use of a vehicle, retained or withheld, as a gross deviation from an agreement.
Unauthorized Use of a Vehicle - Misdemeanor (P.L. 165.05)
1.

A person is guilty of Unauthorized Use of a Vehicle (without permission)
when, knowing that he does not have the consent of the owner; he takes,
operates, exercises, control over, rides in, or otherwise uses; a vehicle.
Note: This charge would also apply in the case of the theft of an
auto. Charge Grand Larceny for appropriating the property and
Unauthorized Use of a Vehicle for using the vehicle.

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Example: A person sees his neighbor’s vehicle parked in their
common driveway with the keys in the ignition. He decides to use it
to go to the store and returns after approximately thirty (30) minutes.
2.

A person is guilty of Unauthorized Use of a Vehicle (gross deviation from
contract) when:
•

Having custody of a vehicle;

•

Pursuant to an agreement between himself (or another) and the
owner of the vehicle;

•

That he (or another) is to perform for compensation a specific service
for the owner involving maintenance, repair or the use of the vehicle;

•

He intentionally uses or operates the vehicle without the consent of
the owner for his own purposes and in a manner constituting a gross
deviation from the agreed purpose.
Example: A mechanic was given a car to repair on Friday. He was
told that the owner would pick it up on Monday. The mechanic
finished the repair work Friday evening and decided to use the car to
go on a weekend trip. The mechanic could be charged with
Unauthorized Use of a Vehicle, because his trip was a gross
deviation from the agreement to repair the car. The agreement could
have included a short drive for testing purposes, but not a weekend
trip.

3.

A person is guilty of Unauthorized Use of a Vehicle (retained or withheld)
when:
•

Having custody of a vehicle;

•

Pursuant to an agreement with the owner of the vehicle (usually a
rental/lease agreement);

•

That the vehicle is to be returned to the owner at a specified time;

•

He intentionally retains or withholds possession of the vehicle without
the consent of the owner;

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•

For so lengthy a period beyond the specified time as to make such
retention or possession a gross deviation from the agreement.
Note: If the rental contract was obtained through fraudulent means, a
complaint report will be prepared for Grand Larceny, if not; the
complaint report will be classified as Investigation - Unauthorized
Use of a Vehicle.

Unauthorized Use of a Vehicle - Felony ( 165.06/.08)
A person is guilty of Unauthorized Use of a Vehicle - felony when he
commits Unauthorized Use of a Vehicle - misdemeanor, subdivision 1 (without
permission); and
•

He has been previously convicted of this same offense and subdivision
within the preceding ten (10) years; or

•

He has the intent to use the vehicle in the course of, or the commission of, a
class A, B, C, or D felony, or in immediate flight therefrom.

Auto Stripping - Misdemeanor (P.L. 165.09)
A person can be charged with Auto Stripping - misdemeanor, when he
removes or intentionally destroys or defaces any part of a vehicle, including an
abandoned vehicle, without permission of the owner, or authorization by law.
Example: Joe sees a car parked on the street. He takes the front bumper
off, in order to put it on his own car.
Auto Stripping - Felony (P.L. 165.10/.11)
A person can be charged with Auto Stripping - felony when:
•

He commits Auto Stripping – misdemeanor, and has been previously
convicted within the last five years of Auto Stripping - misdemeanor; or

•

He or she removes or intentionally destroys, defaces, disguises, or alters
any part of two or more vehicles, other than abandoned vehicles,
without the permission of the owner, and the value of the parts removed,
destroyed, defaced, disguised, or altered exceeds an aggregate value (or
total value) of $1,000.

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CRIMES RELATED TO AUTOMOBILE OPERATION
A police officer may come across a variety of crimes in the course of an
automobile investigation. These crimes may relate to the automobile itself (auto
larceny, altered VIN) or to the person (DWI, unlicensed operation of a vehicle).
This section will cover the crimes and violations related to the operator of a vehicle.
Driving While Intoxicated (D.W.I.)
The media reminds us, daily, of the tragic consequences of drinking and
driving. Yet deaths, injuries, and property damage accidents attributed to alcoholimpaired driving continue to be a serious problem in New York State. In fact
studies indicate that alcohol is a contributing factor in more than 40 percent of all
motor vehicle accidents in which someone is killed.
You will undoubtedly encounter intoxicated drivers during the course of
performing your patrol duties. Your keen observations of the circumstances of the
incident will result in a conviction of the drunken or drugged driver. Accurate and
complete Activity Log entries as well as detailed associated reports are
essential to the successful prosecution of this offense.
While on patrol, an observant officer will be aware of the warning signs of
an intoxicated driver. Driver impairment signs include:
•

Following too close to another vehicle;

•

Inconsistent speeds (too fast/ too slow);

•

Gradually drifting/weaving;

•

Failing to dim hi-beam headlights at night;

•

Disregarding traffic signs/signals;

•

Condition of a vehicle (damaged);

•

Complaints from citizens;

•

Extreme caution (prolonged/unnecessary stops);

•

Asleep at the wheel;

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•

Interfering with oncoming traffic;

•

Wide turns;

•

Straddling center or lane marker;

•

Almost striking an object or vehicle;

•

Face too close to the windshield;

•

Gripping steering wheel tightly;

•

Staring straight ahead with fixed eyes;

•

Inappropriate behavior (throwing an object from the vehicle/urinating
at roadside/arguing with other motorists);

•

Braking erratically;

•

Driving the wrong way on a one way street;

•

Driving recklessly or aggressively.

There are a number of observations you may make during an interview that
would be describable clues or evidence of alcohol or drug influence. Among
these are:
•

Alcohol on the breath;

•

Soiled clothing/appearance in disarray or stained;

•

Speech (thick/slurred/confused);

•

Balance (unsteady, swaying, relaxed);

•

Face (pale or flushed);

•

Eyes (bloodshot, red or puffy);

•

Fumbling or dropping of Driver’s License, I.D.;

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•

Misjudges distance;

•

Alcohol containers present in the vehicle;

•

Unusual actions (i.e., excessive hiccupping, vomiting);

•

Drugs or drug paraphernalia.

Definitions Relating to D.W.I.
•

D.W.I.: Driving while intoxicated, .08 BAC (blood alcohol concentration) or
higher or other evidence of intoxication.

•

D.W.A.I.: Driving While Ability Impaired by alcohol, more than .05 but less
than .08 BAC, or other evidence of impairment.

•

Chemical Test Refusal: Refusing to take a chemical test, such as a
breathalyzer, for blood alcohol content shall result in license revocation and
a $300 civil penalty ($350 for commercial vehicle drivers). Chemical test
refusal within five years of a prior DWI-related charge carries a $750 civil
penalty.

•

D.W.A.I./Drugs: Driving while ability impaired by drugs other than alcohol.

•

Zero Tolerance: Drivers under 21 who are found to be driving with any
alcohol in their system (.02 to .05 BAC) may be charged with violating the
Zero Tolerance Law.
Note: Any amount of drinking will affect judgment and coordination and will
reduce the ability to safely operate a vehicle.

Intoxicated/Impaired Driver Arrest (P.G. 208-40)
Driving While Intoxicated (“DWI”) is a crime. DWI laws are strictly
enforced in New York State. Penalties include loss of driving privileges, loss of
vehicle under New York State forfeiture laws, fines, and possible jail time.

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Your observations prior to taking the person into custody are crucial to
establishing probable cause for an arrest. Ordinarily, DWI arrests will originate in
one of three different ways:
1. Observations of improper driving;
2. Vehicle checkpoint stop;
3. As a result of an accident.
When you conduct a car stop as a result of erratic driving, the nature of
what was seen should be noted, the particulars must be explored (e.g., slow
speed, weaving, stop and go pattern, etc.). If either a moving violation (speeding,
illegal turn) or some other infraction (e.g., a defective muffler, a broken taillight)
caused the stop, make certain that the initial violations are noted.
When the arrest occurs as a result of a checkpoint stop, the placement and
operation of the stop should be noted (as well as your observations). Ordinarily,
the intrusion upon a driver will escalate gradually from a mere glance through a car
window, to a brief verbal exchange, to removal from the vehicle and a full
observation of the person’s appearance and conduct.
Arrests, which follow from an accident, usually result in the most serious
cases. These may be the most difficult to prove in court as you may be responding
to the scene and did not witness the actions of the driver prior to the accident.
However, your ability to gather evidence and make observations of the driver’s
condition will play an important role in the prosecution of the case. If the driver is
not seriously injured as a result of the accident, he or she will be processed in the
normal manner.
Upon Arresting a Person for Operating a Vehicle While Under the Influence
of Drugs or Alcohol:
Remove the prisoner to the stationhouse (precinct of arrest) and comply
with arrest procedures as indicated in Patrol Guide Section 208-40. Voucher, as
evidence, any credit card receipts from a recent stop at restaurants, bars, etc.,
found on the driver during a search.
Once arrested, the person will be asked to submit to a chemical test, the
chemical test is administered by use of a Breathalyzer exam. A Breathalyzer is a
self-contained instrument, which determines the concentration of alcohol
present in a person’s blood, indirectly, by determining the concentration of
alcohol present in his breath.

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Continuous observation of the subject will be maintained for at least 20
minutes prior to the collection of the breath specimen. During the period of
observation, the operator must not ingest alcoholic beverages or other fluids,
regurgitate, vomit, eat, or smoke, or be allowed to place anything in his or her
mouth.
The arresting officer reads a card which sets forth a warning that failure to
submit to a chemical test will result in immediate suspension of the
arrestee’s license and revocation of his or her driving privileges.
The Vehicle and Traffic Law (VTL) mandates that a chemical test be
performed within two hours of the arrest, or within two hours after a screening
test indicates consumption of alcohol. Despite a great deal of scientific data
indicating that tests performed within this period will frequently provide an
inaccurate reflection of the blood alcohol concentration in existence at the time of
the operation of the vehicle, the courts have given this section of the VTL a most
literal interpretation.
Note: Chemical testing of a prisoner arrested for driving while intoxicated or
impaired may be administered beyond the two-hour limit if the prisoner
consents.
If Prisoner Refuses Chemical Test or Any Portion Thereof
The Intoxicated Driver Testing Unit (IDTU) technician will prepare and sign
the Chemical Test Refusal Form and the arresting officer will sign it as well.
The arresting officer must be able to articulate circumstances that led to the
original charge of Intoxicated or Impaired Driving. After arraignment, the court will
forward to the arresting officer a NOTICE OF SUSPENSION /NOTICE OF
HEARING FORM, with instructions to appear at a designated date, time and place
for a hearing, which will be within fifteen days of the arraignment.
When a chemical test reading is .05 of 1% or less, and the prisoner still
appears to be intoxicated, request the prisoner submit to testing for controlled
substances. If the prisoner refuses, follow applicable steps in this procedure
regarding chemical test refusal.
If a prisoner requests to consult an attorney prior to submitting to a chemical
test, they may do so as long as it does not delay the administration of the test
beyond the two-hour limit mandated by the VTL. There is no obligation to inform
the prisoner, prior to the test that he may consult with his attorney if he wishes to
do so.
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You should be aware that a motorist's license will not be suspended or
revoked for failure to submit to a chemical test conducted more than two (2) hours
after arrest.
If a prisoner requests to be tested for intoxication by his personal physician,
the test will not be allowed until the Department testing is completed. If he or she
refuses a test by this Department, he will not be allowed to have a test
administered by his or her personal doctor.
Note: In arrest cases for DWI involving vehicle accidents, a
photocopy of MV-104AN (Police Accident Report) will be attached to
arrest paperwork.
Note: Notify the ADA when the prisoner is removed to Central
Booking if the prisoner has any previous arrests for the same crime
within the past ten years.
Driving While Intoxicated (Vehicle And Traffic Law - Section 1192)
V.T.L. Section 1192, subd. 1 - Operating a Motor Vehicle While Under the
Influence of Alcohol or Drugs - Violation.
•

Driving While Ability Impaired: no person shall operate a motor vehicle
while the person’s ability to operate such motor vehicle is impaired by the
consumption of alcohol.
Note: A third conviction for this offense within ten years is a
misdemeanor.

V.T.L. Section 1192, subd. 2 - Operating a Motor Vehicle While Under the
Influence of Alcohol or Drugs - Misdemeanor.
•

Driving While Intoxicated: no person shall operate a motor vehicle while
such person has .08 percent or more by weight of alcohol in the person’s
blood as shown by chemical analysis of such person’s blood, breath, urine,
or saliva.

V.T.L. Section 1192, subd. 3 - Operating a Motor Vehicle While Under the
Influence of Alcohol or Drugs - Misdemeanor.
•

Driving While Intoxicated: no person shall operate a motor vehicle while in
an intoxicated condition (based upon a police officer’s observation).

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V.T.L. Section 1192, subd. 4 - Operating a Motor Vehicle While Under the
Influence of Alcohol or Drugs - Misdemeanor.
•

Driving While Impaired by Drugs: no person shall operate a motor vehicle
while the person’s ability to operate such a vehicle is impaired by the use of
drugs.

Zero Tolerance Law (P.G. 208-41)
The Zero Tolerance Law (Section 1192-a VTL) requires a six-month
suspension of a Drivers License or privilege and payment of a civil penalty of
$125.00 if, after an administration hearing, conducted by the NYS Department of
Motor Vehicles, it is determined that a person, less than twenty-one years of
age, operated a motor vehicle after having consumed alcohol. Such a person
must have had a chemical test reading of .02 to .05%.
If a uniformed member of the service has probable cause to believe that a
person under the age of 21 is operating a motor vehicle while impaired or
intoxicated, a summary arrest will be effected.
Under the authority of the Zero Tolerance Law, a police officer can
temporarily detain a motorist younger than 21 years of age, for the purpose of
administering a chemical test upon reasonable grounds to believe that the
individual is operating a motor vehicle after having consumed alcohol. Reasonable
grounds are considered as follows:
•

The totality of the circumstances surrounding the incident which, when
taken together, indicate that an operator under the age of 21 was driving a
motor vehicle while impaired or intoxicated. Such circumstances may
include any visible or behavioral indication of alcohol consumption by the
operator, the existence of an open container containing or having contained
an alcoholic beverage in or around the vehicle driven by the operator, or any
other evidence surrounding the circumstance of the incident which indicates
that the operator has been operating a motor vehicle after having consumed
alcohol at the time of the incident.

A violation of VTL Section 1192 (a) is not a criminal offense. It is a civil
violation, which can result in a six-month license suspension and a fine. An
individual who refuses a chemical test pursuant to this statute will have their
license revoked for a period of one year. Even though the law allows for civil
penalties only, it also allows a police officer to temporarily detain the individual for
the purpose of administering a chemical test.
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The procedures for administering the chemical test are virtually the same as
a standard chemical test. If the subject registers between a .02 and .05 he will be
notified that he must appear at a scheduled suspension hearing and released. If
the subject registers above a .05, he will be processed as an arrest.
Note: The initial detention of the individual under the Zero Tolerance
Law is for the purpose of administering a chemical test.

CRIMES RELATING TO DWI
When a person is arrested for Driving While Intoxicated as the result of an
auto accident and the person has seriously injured or killed another individual,
additional charges will be added as follows:
Vehicular Manslaughter - Felony (P.L. 125.12, 125.13)
A person commits Vehicular Manslaughter - felony, when with criminal
negligence, he causes the death of another by operating a motor vehicle,
including a snowmobile or all-terrain vehicle (A.T.V.), while intoxicated by alcohol
or drugs.
Vehicular Assault - Felony (P.L. 120.03, 120.04)
A person commits Vehicular Assault - felony, when with criminal
negligence, he causes a serious physical injury to another by operating a
motor vehicle, including a snowmobile and an all-terrain vehicle (A.T.V.), while
intoxicated by alcohol or drugs.

UNLAWFUL OPERATION OF A MOTOR VEHICLE
The authority to operate a motor vehicle may be suspended, revoked or
otherwise withdrawn for a variety of reasons, including reckless driving, failure to
take a chemical test, D.W.I., failure to pay fines etc. Additionally, licenses are not
granted to individuals who fail road tests. Individuals who unlawfully operate motor
vehicles pose a danger to all other drivers and pedestrians. The following sections
explain those NYS Vehicle and Traffic Law (VTL) statutes that apply to Unlawful
Operation of a Motor Vehicle.

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Unlicensed Operator – Traffic Infraction (VTL Section 509, subd.1)
No person shall operate or drive a motor vehicle upon a public highway, or
upon any sidewalk or to or from any lot adjacent to a public garage, supermarket,
shopping center or car-washing establishment unless he or she is duly licensed
pursuant to the provisions contained in Article 19 of the NYS Vehicle and Traffic
Law.
Note: If such motorists are properly identified, they usually are
issued a summons for this infraction.
Aggravated Unlicensed Operation 3rd Degree – Misdemeanor
(VTL 511, subd.1) [P.G.208-53]
No person shall operate a motor vehicle upon a public highway/street
while knowing or having reason to know that his or her license is suspended,
revoked or otherwise withdrawn.
Note: The motorist, in this situation must be arrested and, if
eligible, should be processed for a Desk Appearance Ticket (DAT).
Aggravated Unlicensed Operation 2nd Degree – Misdemeanor
(VTL 511, subd 2) (Patrol Guide Section 208-53)
No person shall operate a motor vehicle upon a public highway/street
while knowing or having reason to know that his or her license is suspended,
revoked or otherwise withdrawn, and:
1.

The operator of such motor vehicle has a conviction for the same
offense within the preceding eighteen months; or

2.

The suspension or revocation is based upon a refusal to submit
to a chemical test pursuant to Section 1192 of the NYS Vehicle and
Traffic Law; or

3.

Such person has in effect three or more suspensions imposed on
at least three separate dates for failure to answer, appear or pay a
fine for previously issued summonses.
Note: Motorists stopped for 511, subd. 2 must be arrested and are
not eligible for DATs.

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Aggravated Unlicensed Operation 1st Degree – Felony
(VTL 511, subd. 3) (Patrol Guide Section 208-53)
No person shall operate a motor vehicle upon a public highway/street
while knowing or having reason to know that such person’s license is suspended,
revoked or otherwise withdrawn and is operating a motor vehicle while such
person has in effect ten or more suspensions imposed on at least ten separate
dates for failure to answer, appear or pay a fine for previously issued
summonses.
Note: This is a felony. The motorist must be arrested and
processed through normal procedures (NO DAT).
Note: When a license is run through the DMV computer a list of
suspensions and/or revocations will appear. The total number of
suspensions, as well as the total number of dates, must be noted in
the arrest paperwork. This will usually determine the specific
charge. A printout should then be attached to the arrest paperwork
before being sent to the ADA.

VEHICLE PURSUITS
Everybody has seen dramatic and frightening vehicle pursuits on
television and in the movies. Two New York cop movies – The French
Connection and The Seven-Ups – featured spectacular chase scenes. But
they were both fiction, and did not happen in real life. If, today, any New York
police officer conducted a pursuit anything like the chases in those movies, it is
very likely he or she would very soon be looking for new employment. No matter
how well you may drive, it is not consistent with your primary responsibility to
protect life to chase people on public streets – especially in this densely
populated city – in order to apprehend them for traffic violations, property crimes
(like vehicle larceny), or for anything but offenses that are so serious that they
show that the fleeing suspects will be an imminent danger to the community if
they are not immediately apprehended. Many studies of vehicle stops and
vehicle pursuits have been conducted. Here’s what they show:
1.

Except for the traffic violations that cause police to try to stop them, the
great majority of motorists the police attempt to stop are otherwise lawabiding people who present no danger to the police. Instead, because
they are anxious to avoid traffic summonses, they do everything officers
ask of them.

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2.

Because most traffic stop subjects act precisely as officers expect them to,
officers tend to become very nonchalant about pulling over motorists. This
causes two problems:
a.

Every once in a while, officers meet motorists who pull over to the
side of the road as requested, but who then surprise by forcibly
resisting their authority. If such officers have used poor tactics
because they have come to assume that all traffic violators are nice
guys who pose no threat, they may find themselves in deep trouble.
You can avoid this by never taking any motorist for granted, and by
always adhering closely to the vehicle stop tactics you will learn
here in the Academy.

b.

Every once in a while, motorists push down on the gas pedal
instead of the brake pedal when officers try to stop them. Unless
they are carefully trained in what to do when this happens, officers
are likely to let their emotions take over at this point, and to do
some really stupid things in response to this sudden challenge to
their authority. For example:

JANUARY 2005

1)

In 1980, a motorcyclist took off when Miami-Dade officers
tried to stop him. When they finally caught him after an 8.5mile chase, five officers beat him to death. They were
caught in lies about what they had done, and were tried for
murder. Because the prosecutor could not prove which of
these officers had actually struck the fatal blow, the officers
were acquitted. This acquittal led to a demonstration, which
turned violent, and became the notorious Liberty City riot.
The riot killed 18 people, caused $80 million in property
damage, and resulted in 855 arrests.

2)

In 1989, a motorcyclist riding with a passenger fled from the
Miami police. An officer who was handling another call saw
the chase approaching, and stepped into the street to stop
the motorcycle. The motorcyclist did not stop and, as he
sped past, the officer shot and killed him. The bike then
crashed, killing the passenger, as well. Four nights of rioting
followed. The officer subsequently was convicted of
manslaughter, and was sentenced to seven years in prison.
His conviction was overturned on appeal.

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c.

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3)

In 1991, the California Highway Patrol attempted to stop a
motorist, who fled and led the police on an 8.5-mile chase.
When he was finally apprehended, a neighbor videotaped
four Los Angeles police officers beat the motorist with their
batons. They subsequently were criminally tried and
acquitted, which led to several nights of rioting. Fifty people
were killed, and more than $1 billion in property damage
resulted. The officers subsequently were charged with
federal civil rights violations and were convicted and sent to
prison.

4)

In 1995, police in Pennsylvania chased a fleeing motorist
who ran through a red light and broadsided an innocent
citizen’s car. The police then ran to the fleeing motorist’s
car, dragged him out and, according to several witnesses,
beat him up. As they did so, they failed to notice that the
innocent citizens’ automobile had burst into flame and that,
trapped in the car by the force of the collision, he was
screaming desperately for help. He burned to death while
the officers subdued their prisoner.

It is true that some very serious offenders have been caught by the
police after being stopped for routine traffic violations. Timothy
McVeigh, the Oklahoma City bomber, was stopped for speeding as
he left the scene of his crime, and was in a rural jail overnight
before the police realized his connection to the bombing. Ted
Bundy, the notorious serial rapist and killer, was brought to justice
after a Florida officer stopped him for a routine traffic violation.
These two cases illustrate the need for great care when dealing
with people who appear to be only traffic violators: both of these
men wound up being executed after encounters with the police that
started only with minor traffic violations. But these two cases also
make another point: neither of these two individuals fled from
the police. Instead, they pulled over and then tried to talk their
way out of trouble. This is fairly typical, because research also
shows that very few serious offenders are among those who lead
the police on high-speed chases. When really serious offenders
leave the scenes of their crimes, they may speed away for a block
or two, but they then slow down and try to blend in with all the other
traffic. This means that the motorists who flee from the police are
very unlikely to be on anybody’s wanted lists.

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d.

Instead, the research shows, most of those who flee from the police
are relatively minor offenders. Typically, they are young men who
have no drivers’ licenses and/or have very little driving experience
and/or are drunk and/or are driving their parents’ cars without
permission. In other words, no matter how good and expert a
driver you may be, the person who is most likely to flee is likely to
be a bad, and panicky, driver whose apprehension is likely to result
only in charges related to the pursuit itself.

e.

When fleeing motorists have committed a serious crime, it is most
likely that they have stolen the vehicles they are driving. When
police engage in pursuits of such offenders, they are putting life at
risk in order to protect property. This is a violation of their
fundamental responsibility to protect life, isn’t it?

f.

About 30 percent of all high speed pursuits end in accidents.
Consider this: most people believe that police do the owners of
stolen cars no favors when they chase them until they are totaled.

g.

About ten percent of all chases result in injuries to someone.
Sometimes, it is the driver of the fleeing vehicle who is injured.
Sometimes, it is the pursuing officer. Sometimes, it is a passenger
in the fleeing vehicle – who usually has had no part in the driver’s
decision to flee, and would much rather be someplace else.
Sometimes, it is a completely innocent and uninvolved citizen –
often a child or an elderly person - surprised to be caught in the
middle of a police pursuit, and maimed or crippled for life.

h.

About one percent of all pursuits kill at least one person.
Sometimes, this is a fleeing motorist. More often, it is an officer or
a totally innocent citizen. A few years ago, an Oklahoma police
chief responded to an accident that had ended a pursuit. When he
arrived, the chief found that the fleeing subject – a teenaged traffic
violator – had struck his wife’s car as she returned home from an
errand. Dead in the chief’s private vehicle were his wife and his
three children. In Pennsylvania, an officer pursued a van that had
been stolen from a local business. The van sped down a quiet
street, ran a stop sign, struck an auto, and spun out of control. It
struck a mother crossing the street with her infant in a stroller and,
literally, tore them both into pieces.

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i.

The remaining pursuits generally end in one of two ways:
1)

The subject comes to his or her senses and stops
voluntarily. But when this happens, it occurs almost
immediately after the chase begins. It is rare that people
who have led the police on long, dangerous, high-speed
chases stop voluntarily. Instead, the longer the chase
proceeds, the more panicky and dangerous the subject
becomes.

2)

The police break off the chase. When this happens, fleeing
motorists typically slow down and quietly try to drive home in
order to get their vehicles off the street. If the officers
involved in the pursuit have broadcast good descriptions,
these motorists frequently are spotted and stopped by other
patrol officers. When such chases involve car thieves or
other offenders who have done something more serious than
violate traffic laws, the subjects drive far enough to be sure
that police are no longer behind them. Then they stop and
abandon their cars and try to flee on foot. This means that
the vehicles involved are usually recovered intact. This
usually makes car theft victims a lot happier than would be
the case if police had persisted in pursuing their cars until
they were wrecked in accidents.

j.

Vehicle pursuits are much more dangerous to the police than are
actual vehicle stops. Every year, felons kill about six U.S. police
officers who have stopped them for traffic violations. Every year,
60 or 70 U.S. police officers are killed in vehicle accidents, most of
which involve pursuits.

k.

Vehicle pursuits are much more dangerous to the public than are
police guns. Although the figures are hard to come by, it is virtually
certain that more people die every year in police pursuits than are
killed in shootings by police. Further, unlike the overwhelming
majority of the people shot by the police, a large percentage of
those killed in police pursuits are completely innocent people who
were presenting no danger to anybody when they were struck.

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l.

There is no evidence anywhere that prohibiting the police from
engaging in dangerous pursuits has any effect on crime or
encourages motorists to flee from the police. Instead, the evidence is
that fleeing from the police in a motor vehicle is a stupid and reckless
act. Rational people know that doing this can have extremely serious
consequences and, therefore, they don’t do it (this discussion is
based heavily on Alpert, 1987; Alpert and Anderson, 1986; Alpert and
Fridell, 1992; California Highway Patrol, 1983; Fyfe, 1989;
International Association of Chiefs of Police, 1989; State of New
Jersey, 1993).

If you are a native New Yorker, these figures are likely to have surprised
you, because you have very rarely heard anything about police pursuits in this
City. Even if you are not a native New Yorker, it is a safe bet that you have never
seen any NYPD vehicle involved in a spectacular high-speed chase on any
television news show; on any reality-based television show; or on any of the
Insane Police Chases types of videotape. There is a simple explanation for this:
we do not do it. We have very strict regulations on vehicle pursuits, and it is
critical that you understand them and that you adhere to them. If you do, you will
know precisely what to do on that one in a thousand vehicle stop when a motorist
takes off on you. That is:
-

You will not take the motorist’s flight personally;

-

You will not let your emotions get the better of you, but will
make quick, rational, and smart decisions about what to do
next;

-

You will ask yourself several questions, and will have quick
answers to them;
•

Does the immediate apprehension of this subject outweigh
the danger to public safety caused by the pursuit? Or, in
plainer English:
9 Is trying to catch this individual worth risking the
life of everybody on the road?
9 Would I chase this individual if this were the
street where I lived? Where my kids walked home
from school? Where my deaf grandmother lived?

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9 If I chase this individual and somebody gets hurt
or killed, will I be able to explain – to my bosses;
to the family of the killed or injured person; to the
lawyers who will inevitably sue me; to the jury
that hears the suit – why I became involved in
this pursuit? Will they think I acted reasonably?
Or will they think I am a cowboy?
Many times, pursuing officers do not know why a subject refuses to stop.
When this happens, a simple rule applies – WHAT YOU SEE IS WHAT YOU’VE
GOT – and the decision of whether to pursue should be made on what is known.
If the subject was being stopped for a traffic infraction and a license plate
check comes up clean, that is all you know – that you’ve got a traffic violator
and that chasing him or her cannot be justified on the basis of what you might
find out later. As the data above suggest, you cannot assume that the fleeing
subject is a violent felon, therefore, you should terminate the pursuit.
Note: A supervisor will be monitoring the radio when a pursuit is
initiated. If the supervisor calls off the pursuit, all patrol cars
will terminate the pursuit immediately. Any officer who continues
the pursuit past that point will be subject to disciplinary action. Any
officer who continues a pursuit after it has been called off may be
subject to criminal and civil penalties if the pursuit results in a
vehicle accident or injuries.
Department Guidelines Relating to Vehicle Pursuits (P.G. 212-39)
When a pursuit is initiated, there are guidelines that must be followed.
Failure to comply with these rules will result in disciplinary action (and possibly
criminal and civil penalties):
•

Unmarked Department vehicles will limit pursuits. In practice,
this means that unmarked cars should engage in pursuits only under
the most serious circumstances, and that they should turn pursuits
over to more easily identifiable marked units at the first opportunity.

•

Department vans and scooters (2 and 3 wheel) will not be used
in pursuits.

•

Like unmarked cars, two wheel motorcycles will limit pursuits and
terminate pursuit when four-wheel Department vehicles have joined
the pursuit.

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•

Only two vehicles (primary and secondary) and supervisors will
pursue the subject and transmit over the radio. Other vehicles will
maintain alert and stay off the radio (unless emergency).

•

The secondary vehicle will stay at least five car lengths behind
the primary vehicle and will not pass (unless primary is disabled or
requests).

•

The following tactics are prohibited and will not be used in an attempt
to stop a vehicle:
o
o
o

Ramming or placing a moving Department vehicle in a position
to be struck by the pursued vehicle;
Driving alongside the pursued vehicle;
Roadblocks (unless specifically directed by supervisory
personnel).

As you can see, the Department takes this very seriously. This is a densely
populated city in which, at almost any time of day or night, there are more than 10
million residents, visitors, or workers. You simply cannot engage in high-speed
pursuits in this environment without endangering yourself, innocent citizens, and
the person you are pursuing – who, more often than not, is an irrational and
panicked kid who is doing something stupid, rather than a serious career criminal.
When we direct you not to pursue except in the rarest and most serious
circumstances – which should be so serious that you believe beyond any doubt
that you will be putting life in imminent danger unless you apprehend the subject
immediately – we are requiring you to honor your highest responsibility: to protect
life. Smart cops know that this is more important than anything else you do.

MOTOR VEHICLE ACCIDENTS
The response to, and handling of, vehicle accidents are a common
occurrence on patrol. The severity and location of a vehicle accident will dictate
the procedures you will follow. In those instances where an accident is relatively
minor, your basic responsibilities will encompass rendering aid, minimizing hazards
caused by the accident, directing traffic, conducting an investigation, preparing
reports and assuring that vehicles are moved to a safe location. While performing
these tasks, you must remain alert to the danger of moving traffic.

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When a vehicle accident involves fatalities or seriously injured persons
who are likely to die, your responsibilities at the scene multiply. The basic steps
still apply at serious accidents, such as rendering aid, taking safety precautions,
etc. The fundamental difference is that the accident location will be considered a
Crime Scene. Also, the formal investigation shifts to specially trained
investigators. These investigators are members of the service trained as accident
technicians or assigned to the Accident Investigation Squad (AIS) of the
Highway Unit.
The specific procedures to follow when you become aware of, or observe a
vehicle accident, will be discussed in this section. Additionally, you will learn the
steps to take when you find that one of the parties, involved in an accident, has
fled the scene without fulfilling the legal reporting requirements.
Many factors are to be considered when deciding how to best apply the
Patrol Guide vehicle accident procedures to each of the accidents you respond to.
You can expect to encounter vehicle accidents under many diverse circumstances.
Consider that accidents; involve one (1) or more vehicles (parked and / or moving);
can be minor or serious, with fatal injuries or none at all; extensive or minor
damage can occur; good or adverse weather conditions and a host of other
situations. These and other factors will dictate the actions you will take at the
scene.
Vehicle Accidents – General Procedure (P.G. 217-01)
Whenever you respond to a vehicle accident, check with the parties
involved for injuries and render necessary aid. Some injuries are not apparent;
therefore ask and don't assume there are none.
As noted, any accident scene involving deaths or serious injuries likely to
cause death must be treated as a crime scene. The integrity of the scene will not
be disturbed unnecessarily.
If the accident is minor and it is impeding traffic and/or causing a hazard, the
vehicles may be moved. This can be accomplished if the vehicles can be driven
and the persons involved are not injured to the extent that they should not be
moved. Have the vehicles moved to a safe location (e.g., safety zone, shoulder or
location off of an expressway). This will assist in minimizing the hazards to all
involved. A good idea would be to first obtain the required documentation from the
operator before the vehicles are moved. Be sure that the vehicle operators are
given clear instructions and that those instructions are understood before they
move their vehicles. This will alleviate confusion and assure all parties stop at the
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same location. If necessary, stop traffic to allow the safe movement of the
vehicles.
Upon your arrival and during the time you are at the scene, you must
constantly keep safety in mind. Stay alert at all times. Use the turret lights,
flashers, light bar, reflective traffic vest, cones and flares (if available), and
any other items available to increase your visibility and safety. Check behind you
for moving vehicles before opening the RMP doors. Be especially careful when on
a curve, top of a hill, or when traffic is moving on both sides of the accident. This
may occur when the vehicles are located in the center portion of a roadway or
intersection. Also, caution the operators and occupants of the vehicles involved to
remain out of the roadway. When it becomes necessary to enter the RMP trunk,
be aware that the trunk lid may obstruct the view of the turret lights from oncoming
traffic.
As you can see, there are many duties to perform before any paperwork is
initiated. In view of this, additional units may be requested to assist you in
directing or diverting traffic, aiding the injured or transporting additional safety
equipment (flares, cones, etc.).
When it becomes necessary to request assistance at an accident
(ambulance, ESU, additional RMPs, etc.), especially on highways, use the radio to
inform those units of the best route to the scene. The first unit on the scene should
advise other responding units which approach would be faster, considering any
traffic delays caused by the accident. There may be occasions when the only way
emergency vehicles can reach the scene on an expressway will be to enter the
roadway from an exit ramp. This means that these vehicles will be traveling in the
opposite direction of traffic. Therefore it is imperative that careful communications
are maintained with these units.
When directing traffic at accident scenes involving multiple lane roads,
highways, bridges, elevated roadways, etc., move only one lane at a time, holding
the other lane(s). This will minimize traffic delays, congestion, and confusion
resulting from the accident. Controlling the flow of traffic will also decrease
chances of other accidents occurring even at some distance from the scene.

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Flare/Cone Patterns
When responding to an accident in low visibility weather or at night, use
lights and flares (maintained in trunk of the RMP). In other instances, traffic
cones should be utilized to divert traffic. On high-speed highways, bridges, or
tunnel, place the first cone at least 200 feet from the accident. Your front row of
flares and cones should be placed on an angle so that traffic merges into the lane
away from the accident or disabled vehicle. Cones should be placed eight to ten
feet apart. Flares should be two to three feet apart for the front line. Once the
front line of flares and cones has been set up, flares will be placed along the lane.
These flares should be placed approximately fifteen to twenty feet apart and
should continue all the way up to the accident scene or disabled vehicle.
After the pattern is complete, move the RMP and place it approximately two
car lengths behind the disabled vehicle and turn the front wheels of the RMP
towards the curb; if your safety is in jeopardy, request additional units for
assistance. In extremely hazardous situations, it may be necessary for you to
temporarily shut down the roadway in order to establish your flare pattern safely.
Note: Light poles generally are spaced 100 feet apart, and can be
used as a guide to determine the distance.
Investigation of Motor Vehicle Accidents
The Patrol Guide requires you to determine the cause of vehicle
accidents by inquiry and observation. Apply the questioning techniques you have
learned in past lessons (e.g., separate the parties before questioning, don't ask
leading questions, be objective, etc.).
Note: Accident investigations involving a fatality or a motorist who is
seriously injured and likely to die will be conducted by Highway Unit
personnel only. Members of the service will render any necessary
assistance at the scene but will not take an active role in
photographing, measuring, or diagramming an accident scene in
order to determine the cause of an accident.
Once you’ve completed your interview, check to see that the information
you’ve received is consistent with the damage and conditions at the scene (be
aware of the possibility of insurance fraud). The Police Accident Report
(MV104AN) must be prepared for each vehicle accident. It contains a section that
requires the officer's opinion as to the factors that contributed to the accident.
These factors must be based on the investigation you conduct.
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Preparation of Reports
After all safety precautions have been taken and all victims attended to,
prepare the top portion of Accident Information Exchange/ Acknowledgement
of Found Property (PD301-092); enter the address of the precinct of occurrence
and give it to the operators. Advise operator, if incapacitated, that another participant in the accident, or the owner of the vehicle, must complete the form. If no
other participant is available to complete the form, then a uniformed member on
the scene will prepare it.
Upon notification of any vehicle accident, you are required to prepare a
Police Accident Report (MV104AN). The mandated preparation of Police
Accident Reports (PAR) is not predicated upon property damage estimates, and
should not be confused with the circumstances under which motorists are required
to report the facts on a Report Of Motor Vehicle Accident (MV104) as per
section 605 of the New York State Vehicle and Traffic Law (explained below).
The PAR is a multi-captioned form, and may seem somewhat confusing at
first. With some practice, it will become one of the more simple reports you are
required to prepare. It is very important that the PAR is properly prepared. Proper
preparation will ensure:
1. Fair and just settlement of any claims resulting from the accident;
2. Accurate documentation by the Department of Motor Vehicles of drivers
who may pose a danger to other motorists and pedestrians;
3. Statistical information that can be used for developing traffic laws, and
safety and prevention programs;
4. Identification and assessment of road hazards and implementation of
corrective measures;
5. That unscrupulous motorists cannot alter the PAR to commit insurance
fraud.
The PAR (MV104AN, a form adapted specifically for use in New York City)
requires two types of entries: written entries in the body of the report and numbers
entered in boxes on the sides of the report. There are certain major points that the
officer must always remember when filling out a PAR:

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•

Prepare the PAR using the license, registration and insurance card of all
drivers involved (copy exact information);

•

The following vehicles do not require insurance identification cards:
a.
b.
c.
d.

Taxis, buses and other rented vehicles;
Vehicles operating under the authority of the Public Service
Commission and ICC;
Government owned vehicles;
Certain farm vehicles.

•

If an injury was involved, note whether the airbag (if any) inflated and
deployed;

•

Place Identification Tag on aided if unconscious and removed to
hospital;

•

Personal injury bicycle accidents NOT involving motor vehicles are
reported on Aided Report Worksheets, not PAR’s;

•

If accident involves an arrest for Driving While Intoxicated/Impaired, a copy
of the PAR will be attached to court papers and delivered by the arresting
officer to the Assistant District Attorney in the complaint room;

•

To reduce fraud, certain steps must be taken:
o All boxes in the “all involved” and “persons killed or injured” section
must be lined out and initialed (if not used);
o All persons named on the PAR should be properly identified through
photo identification (if they cannot, it must be noted in the “officer’s
notes” section);
o VIN’s must be noted on the front and back of the PAR and identified
through observation of the dashboard VIN, as well as the VIN on the
driver-side door;
o Insurance fraud indicators (discussed later) should be noted in the
“officer’s notes” section of the PAR.

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Truck/Bus Classification
The Truck & Bus Supplemental Police Accident Report Form (MV104S) must be submitted for each qualifying vehicle involved in a qualifying vehicle
accident. The MV-104S is used to report information about certain trucks, tractortrailers and buses involved in accidents, as required by the U.S. Department of
Transportation, Federal Highway Administration and the NYS Vehicle & Traffic
Law. There are two (2) conditions that the officer must consider when determining
if form MV-104S is required, both of these conditions must be met.
An MV104S Must Be Prepared With a P.A.R. When An Accident:
Involves at least one (1) qualifying vehicle:
1.

A truck, tractor, truck-trailer or tractor-trailer having at least six tires
in contact with the road surface;

2.

Any vehicle displaying a hazardous material placard, regardless of
the number of tires in contact with the road surface; and or

3.

A bus with seating for 16 or more persons including the driver.
AND

Severity of Accident: The accident must result in at least one of the following
conditions for any person or any vehicle involved.
1.

At least one person killed;

2.

At least one person injured severely enough to require
transportation from the scene for immediate medical treatment;

3.

At least one vehicle required to be towed away form the scene due
to disabling damage (other than flat tire); or

4.

At least one vehicle required to be provided intervening assistance
due to an event that required that the vehicles be moved, uprighted,
or otherwise assisted by emergency equipment other than a flat
tire.

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If an accident involves both conditions (at least one qualifying vehicle
AND at least one of the qualifying severity criteria), an MV-104S must be
completed and submitted for each qualifying vehicle. You should staple all the
completed Supplemental Forms (MV-104S) to the associated Police Accident
Report.
Civilian Requirements for Accident Reports
V.T.L. Section 605 requires the preparation of an accident report by any
person operating a motor vehicle involved in an accident that results in:
•
•
•

Death; or
Any injury; or
At least $1,000 worth of property damage.

The report must be filed within ten days of the accident. Failure to report an
accident as required, or failure to give correct information in connection with such
report, is a misdemeanor. Additionally, failure to file such reports constitutes
grounds for suspension or revocation of the operator’s license or registration for
any vehicle.

LEAVING THE SCENE OF AN ACCIDENT
People who are at fault for accidents sometimes avoid responsibility for their
actions by fleeing the scene. Operators of motor vehicles who flee the scene of
an accident seriously hamper the ability of police to investigate the nature and
cause of the accident. The New York State Vehicle and Traffic Law describes
offenses that apply to individuals who leave the scene of an accident. Upon
response to a vehicle accident involving property damage, physical injury or a
fatality, police officers must be familiar with both the New York State Vehicle and
Traffic Law and the Patrol Guide as they relate to leaving the scene of an accident.
New York State Vehicle and Traffic Law Sections 600 & 601
Any person operating a motor vehicle knowing that property damage or
personal injury has been caused as a result of an incident involving the motor
vehicle, shall stop and identify him/herself to the party sustaining the damage. The
operator of the motor vehicle is required to stop to display his or her license and
proof of insurance. In cases where the party sustaining damage is not present at
the place where the damage occurred, then he/she shall report the same as soon
as physically able, to the nearest police station.
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The following VTL sections are applicable in the above situations:
•

Section 600-1(a) Leaving the Scene of an Accident (property
damage only) - Traffic Infraction

•

Section 600-2(a) Leaving the Scene of Personal Injury Accident Misdemeanor

Additionally, any person operating a motor vehicle that strikes and injures
any horse, dog, or cat shall stop and attempt to locate the owner or custodian of
such animal. The operator of such vehicle must also take any other reasonable or
appropriate action so that the animal may have necessary medical attention. The
following VTL section would be applicable under these circumstances:
•

Section 600-2(a) Leaving the Scene of Personal Injury Accident
(Death/S.P.I.) - Felony

In Cases Where A Motorist Has Left The Scene Prior To Police Arrival:
•
•

Transmit a description of the auto (if known) and
Prepare a Complaint Report for “leaving the scene of an accident.”

If The Perpetrator Is Caught While Fleeing The Scene:
•

Property damage only: a summons may be issued in lieu of a
complaint report;

•

Injury sustained - an arrest will be effected and a complaint report
prepared.

DEPARTMENT VEHICLE ACCIDENTS (P.G. 217-06)
In the event that a police department vehicle is involved in an accident, the
patrol supervisor will respond and conduct the investigation. The vehicle should
be moved only if its location is hazardous and likely to cause additional
accidents. It is important to understand the officer’s duties at a department vehicle
accident scene prior to the arrival of the patrol supervisor:

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1.

Request ambulance, if necessary;

2.

Request operator, occupants and witnesses to remain pending arrival
of patrol supervisor;

3.

Obtain name, address, home and business telephone numbers of
persons involved and witnesses;

4.

Request patrol supervisor, precinct of occurrence, to respond;

5.

Prepare Report of Motor Vehicle Accident (MV104), not a PAR, in
all cases;

6.

If incapacitated, the patrol supervisor will prepare the Report of
Motor Vehicle Accident, in addition to other forms.

The Police Department, the City Law Department, or their designee,
pursues claims against private entities that are at fault in Department vehicle
accidents. Details concerning the cause of the accident including the names of
witnesses favorable to the City will be carefully documented on all Department
forms. In cases that involve an accident with the city and there is no injury or
vehicle accident (Police breaking the door of a private home to gain entry in an
emergency), an ACCIDENT REPORT – CITY INVOLVED REPORT (P.G. 217-04)
will be prepared.
Line of Duty Injury
In the case of a department vehicle accident where a police officer
sustains an injury (or any case that involves a police officer sustaining an injury),
the police officer must remain at the scene (unless emergency), request the
patrol supervisor to respond, request any witnesses to await the supervisor
and notify the Desk Officer.

PROCEDURES RELATED TO TOWING (P.G. 209-28 & 209-29)
Tow Trucks
The NYC Department of Consumer Affairs must license tow trucks
conducting business within New York City. Unfortunately, many tow trucks are not
properly licensed and do not adhere to the applicable laws. You should be aware
of the procedures to follow when they encounter an unlicensed tow trucks.
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Tow Truck - Shall mean a vehicle that is equipped with a crane, winch, tow
bar, push plate or other device designed to pull, push or raise a vehicle from
the front or rear.
Towing - A tow truck being driven or operated on public streets whether or
not it is actually transporting another vehicle. Towing shall include the
offering to transport a vehicle by means of a tow truck.
Motor vehicle accidents often require the use of private tow trucks to
remove vehicles from the scene. There are several hundred tow companies in
NYC, all in direct competition with each other. Often the difference between getting
the tow (and possible collision work associated with the repair of the vehicle
involved) or not is a matter of seconds. With this goal in mind, many tow drivers
will race though our streets without regard to the traffic rules and subsequently
create a safety hazard for all of us.
In an effort to end these dangerous situations, the Department of Consumer
Affairs has implemented a Directed Accident Response Program (D.A.R.P.). The
intent of this program is to provide an orderly and efficient way of dispatching tow
trucks to the scene of accidents and reduce the potential for serious accidents
caused by tow trucks chasing accidents. Members of the service are required to
comply with these procedures as well as enforcing the pertinent laws and
procedures relating to the issuance of summonses and Reports of Violations to tow
operators who do not comply with the D.A.R.P. provisions.
Directed Accident Response Program – D.A.R.P. (P.G. 217-09)
This program authorizes private towing companies, on a strict rotation basis,
to remove vehicles involved in accidents, other than accidents occurring on
bridges, arterial Highways or in tunnels. (Only Franchise Tow can tow off
highways).
Twenty-six tow zones have been designated for this program. The Police
Department is responsible for maintaining a list of towing companies participating
in each zone and for notifying such companies in strict rotation order when towing
services are required at the scene of an accident.
Note: Tow trucks are not permitted to respond to accident
scenes unless called.

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When requesting a DARP tow truck via radio notify the dispatcher of the
color, body type and license plate number, (ex: BLUE / SEDAN / 123 Adam
Boy Charlie NEW YORK). DO NOT TRANSMIT the make, model or year of the
disabled vehicle involved in the accident.
Cases When a Tow Truck, Other Than DARP, May Remove A Vehicle
Involved In An Accident:
1.

Vehicle Gross Weight must be 15,000 lbs. or more;

2.

Arrest evidence vehicles (Police Department Tow);

3.

A vehicle held as investigatory evidence (Police Department Tow);

4.

Vehicles subject to Rotation - Tow for stolen/abandoned vehicles
(explained later);

5.

Government vehicles.

Any tow truck licensed by the Department of Consumer Affairs bears a
white metal plate medallion with dark orange lettering, 4 inches wide by 6¼ inches
high, affixed to the driver’s side of the vehicle. Each tow truck has been issued a
tow truck “Identification Card” which includes the VIN, DMV plate, and Department
of Consumer Affairs medallion assigned to the truck as well as an indication of
which program, if any, the truck is permitted to participate in. The original (not
photocopy) must be carried in the vehicle and presented upon request.
The medallion number must also be recorded on each side (driver and
passenger) of the tow truck in numbers at least 12 inches in height (six inches on a
flatbed). All other numbering and lettering must be at least 1.5inches in height.
This includes the address of the company, the rates, and the DCA telephone
number for complaints.
Tow truck operators are required to have a NYS Drivers License with a tow
truck endorsement. Section 501(d) (viii) of the VTL requires that a driver’s license
bear a “CT” endorsement in order for the holder to operate a tow truck. Operators
of tow trucks are also required to have, in their possession, Department of
Consumer Affairs tow truck driver’s license. Tow trucks to which an exemption
sticker has been issued do not require the driver to possess a DCA tow truck
driver’s license, but still require the driver to possess the NYS driver’s license with
a “CT” endorsement.

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Unsolicited Tow Trucks
If there is probable cause to believe that the tow operator responded
without being requested, issue a Personal Service Summons, (Administrative
Code Section 20-518 (b) (2) - Unsolicited Response) and prepare a Report of
Violation (LD6).
If there is probable cause to believe the tow operator solicited any of the
involved parties, issue an additional summons (Admin. Code Section 20 515
(b) soliciting for tow).
You may not prevent a tow company from towing any vehicle if the motorist
agrees, but the appropriate summons must be served and a Report of Violation
must be prepared.
Administrative Code Sections Concerning Towing In NYC
1.

Sec. 20-496 (a) Licensing Tow Cars (Unlicensed Tow Truck)
A tow truck permit issued by the Dept. of Consumer Affairs will be affixed in
a conspicuous location to a tow truck required to be licensed. ALL D.A.R.P.
tow trucks MUST be licensed.

2.

Sec. 20-496 (b) Licensing Operator (Unlicensed Tow truck)
All tow truck operators must be licensed by Dept. of Consumer Affairs and
must present their licenses upon request.

3.

Sec. 20-515 (b) Soliciting
Prohibits soliciting for towing at the scene of any vehicular accident.

4.

Sec. 20-515 (a) Radio
Prohibits maintaining anywhere (truck or base station) a radio receiving set
capable of receiving messages transmitted on police frequencies, except in
a tow truck for which there exists a current permit issued by the Police
Commissioner.

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Final Disposition for D.A.R.P.
If the assigned tow company is not on the scene within 30 minutes of
being assigned by the Communications Section, the uniformed member will
request the Communications Section to cancel the initially requested tow company
and assign the next tow company in the rotation. The uniformed member will
prepare a Report of Violation (PD672-151) for the tow company that was
cancelled and advise the dispatcher when resuming patrol.
Inform the motorist(s) involved of the name of Tow Company responding.
Supply the motorist(s) involved with the telephone number of the Directed Accident
Response Program operator and instruct the motorist(s) to call after 30 minutes if
the tow truck has not arrived. Instruct the motorist to be prepared to give the
Directed Accident Response Program operator both the vehicle plate number and
the location of the accident.
Note: Enter tow company information on Police Accident Report
(MV104AN) only when the vehicle is towed and the tow company is
known.
Uniformed members advising the radio dispatcher of a final disposition from
the scene of an accident must utilize one (1) of the following disposition codes as
it pertains to that particular accident situation:
•
•
•
•
•
•

10-99T4 Vehicle Accident (No tow required)
10-99T5 Vehicle Accident (D.A.R.P. tow service)
10-99T6 Vehicle Accident (Other tow service)
10-99T7 Vehicle Accident (D.A.R.P. and other tow service)
10-99T8 Vehicle Accident (Highway-authorized tow service)
10-99T9 Vehicle Accident (D.A.R.P. requested, waited thirty [30]
minutes, made second [2nd] request, resumed patrol)

Uniformed members of the service must refrain from using any other final
disposition code when a vehicle accident is involved except when, upon arrival,
the vehicle(s) is not at the scene and there is no information available concerning
how it was removed. In this instance, Code Signal 10-90Z [Gone on Arrival] will be
utilized.

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Franchise Tow (P.G. 214-31)
Certain tow companies, known as Franchise Tows or Authorized Tows,
are licensed by the Department of Consumer Affairs and hold contracts with the
City to cover various arterial highways, expressways, parkways, tunnels and
bridges to remove vehicles left on the side of the road. Only these companies
may respond to remove vehicles from various parts of the highways. Unless
disabled motorists hire their own private tows, they must allow franchise tow to
remove the automobile from high-speed highways. They cannot leave the vehicle
on the side of the highway, it must be removed.
Processing Vehicles in Police Custody
There are several other instances where a patrol officer will come in contact
with automobiles that require a tow truck to remove the vehicle from the scene.
Unlike DARP, where the vehicle is removed to a private location, most vehicles
removed by the police department must be secured by department personnel at
police facilities. This requires the vouchering of the automobile. Many of the same
vouchering procedures apply when vouchering an automobile. The main difference
is the preparation of a Property Clerk's Motor Vehicle/Boat Invoice in lieu of the
Property Clerk's Invoice (used to record all other types of property).
The location to which a vehicle is towed or driven and what type of tow
vehicle will be required depends on how the vehicle is categorized. In some
cases, the location where the vehicle was found must be considered when
deciding which type of tow is to be used. Four types of tow vehicles are affected
by the procedures contained in this chapter:
1.

Rotation Tow (RO-TOW);

2.

Police Department Tow;

3.

Department of Sanitation Tow;

4.

Franchise Tow.

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The procedures outlined have been established to afford the Department a
workable system to:
•

Remove and protect unoccupied recovered stolen and abandoned
vehicles from public thoroughfares before they are stripped or
seriously damaged;

•

Provide a means to dispose of unoccupied recovered stolen and
abandoned vehicles found in such a dilapidated condition as to be of
no apparent value (Derelict Vehicles);

•

Process vehicles which are evidence or have investigative value to
the Police;

•

Provide a system to take vehicles into custody for "Safekeeping"
when the operator is arrested or incapacitated due to illness or injury;

•

Take an unoccupied vehicle into custody when you are unable to
determine the vehicle's true ownership due to lack of proper vehicle
documentation and there is insufficient cause for an arrest.

Rotation Tow Program (P.G. 218-21)
The Rotation Tow (“RO –TOW”) Program enables you to remove certain
unoccupied vehicles from public streets utilizing privately operated tow
companies. These companies provide tow trucks and a safe location for vehicles
to be stored until they are returned to their owners or sold at a public auction.
Several participating tow companies are available to handle RO -TOW
qualified vehicles within the confines of each command. A list of the participating
companies covering a command is kept at the precinct desk. This list is normally
attached to the Rotation Tow Log that is maintained by the Desk Officer. Tow
companies are placed on this list in the order that they enter the program.
•

Companies provide towing & storage for vehicles until vehicle is
returned to owner or sold at auction;

•

Tow companies are on a rotating list maintained by each command;

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•

Franchise tow has exclusive rights to certain limited access highways
and may be Ro-Tow participants. If the services of a franchise tow
company are required, they will not lose their place on the Rotation
List;

•

When a Ro-Tow company refuses a job:
1.

If company states they have no storage space, next company
on list is called;

2.

If company refuses after knowing identification of vehicle,
prepare a “Report of Violation” (LD-6).

The following unoccupied vehicles qualify for rotation tow:
•
•
•
•
•
•

Vehicles with auto alarm ringing and unable to disconnect;
Recovered Stolen Vehicles;
Apparently Abandoned Vehicles;
Vehicle with missing or illegible VIN;
Vehicle with an expired NYS Registration over 60 days or Registration
Sticker missing;
Vehicle that is blocking a driveway.

The following autos do not qualify, and are not handled by, Ro -Tow
procedures:
•
•
•
•
•
•
•
•
•
•
•

Derelict autos -Department of Sanitation, unless required as evidence;
Owner on scene recovers vehicle prior to arrival of NYPD;
Large truck or limited use motorcycle - Special tow required, be guided by
desk officer;
Vehicle is held for an investigation -Department Tow;
Vehicle is held for forfeiture proceedings - Department Tow;
Vehicle was used in the commission of a crime - Department Tow;
Vehicle is on a highway (high speed), bridge, or tunnel - Franchise Tow;
Vehicle seized in an arrest - Department Tow;
Vehicle is held for safeguarding (48 hours) - Department Tow;
Vehicle is evidence - Department Tow;
Vehicle is held to determine true owner (occupied vehicle) - Department
Tow.

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If a vehicle’s VIN is missing; Illegible; or not on record, enter the
following statement in the Remarks section of the Property Clerk’s MV/Boat Invoice
the following statement: "deliver to property clerk's auto pound within 48
hours for confidential VIN check and return to owner.”
Abandoned Vehicle
A motor vehicle shall be deemed to be abandoned if it is left unattended:
•

With no license plates affixed, for more than six hours, on any
highway or other public place;

•

On a public street or area which is not otherwise restricted by posted
signs, including a residential area, in excess of seven consecutive
days;

•

For more than 96 hours on the property of another without the
permission of the owner.

Rotation Tow – Owner Notification
This sticker is affixed to Ro-Tow qualified vehicles, i.e., Recovered Stolen
and Apparently Abandoned. Notify the registered owner as soon as possible after
the vehicle is recovered.
1.

If telephone number of registered owner is available, make at least
one attempt at a phone notification. Enter in the command’s
Telephone Record:
•
•
•

2.

If final insurance settlement was received:
•

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Date & time of such an attempt; and
Invoice number that the recovered vehicle is listed on; and
Name of person contacted if notification attempt is successful.

Enter name of Insurance Co. on Invoice, in box captioned
“Lien Holder or True Owner,” and notify insurance company if
claim settled.

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3.

Advise the insurance carrier or registered owner (if claim not settled):
•

Recovered vehicle may be reclaimed at the tow operator’s
storage facility or the Property Clerk’s Auto Pound upon proof
of ownership and payment of authorized fees;

•

Address & telephone number of storage facility or Pound.

In all cases where the registered owner or insurance carrier did not recover
the vehicle, both must be notified in writing, utilizing the Rotation Tow-Owner
Notification (PD571-1210). This is required even if a telephone notification has
already been made.
Sanitation Tow (P.G. 2124-29)
The Department of Sanitation removes all automobiles deemed derelict by
police officers. A derelict vehicle is a motor vehicle that is so dilapidated, burned
out, stripped, or vandalized as to be of no apparent value other than scrap.
Derelict vehicles will be taken into custody by this department (NYPD) only
when required by evidence.
Police Department Tow (P.G. 219-09)
NYPD tow trucks are used in the following situations:
1.

Investigation or Required as Evidence

Vehicles must be seized and invoiced as investigatory evidence
when criminal investigation is required and no arrest has been made.
Certain vehicles may be seized and classified investigation when:
a.
Crime Scene Unit examination of the vehicle is requested;
b.

Highway Unit MUST conduct an investigation at the scene of a
highway accident/vehicle accident and someone was
seriously injured and likely to die or is dead;

c.

Investigation of a vehicle by any unit other than the
Property Clerk is required.

When you are involved in any of these situations, you must remain at
the scene to safeguard the auto until Department Tow is on the scene.

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Whenever possible, the above investigation will be conducted at the
command concerned.
2.

Safeguarding

When vehicles come into police custody and must be safeguarded
because the owner/operator is unable to remove it to a safe place; this
vehicle will be classified as safeguarding.

3.

a.

If the vehicle cannot be driven, the officer concerned will
prepare the Property Clerk’s Motor Vehicle Boat Invoice and
request a police tow truck to remove the vehicle to the
Property Clerk’s Auto Pound.

b.

If the vehicle can be driven, a member of the service will
remove it to the command, an Invoice will be prepared, and
the vehicle will be safeguarded at the precinct of arrest for
forty-eight (48) hours. The vehicle will be parked at a
designated location near the command and the rotor or coil
wire will be removed and attached to the Invoice.

Forfeiture Proceedings (P.G.208-26)

To retain custody of vehicles seized during the course of an arrest or
investigation as the proceeds of crime when the vehicle involved has been:
a.

Used as a means of furthering a crime;

b.

Used as a means of transporting or concealing illegal
Substances;
i.

Where the vehicle has been used in the unlawful
transportation of controlled substances/marijuana or
gambling devices and/or records; or

ii. Where the vehicle has been used as a means of
facilitating the sale or possession or controlled
substances/marijuana, furthering illegal gambling,
committing any other criminal activity.
c.

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Unlawfully obtained or stolen and the true owner cannot be
identified.
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In addition, Department tow may be utilized to tow a disabled Department
Vehicle, such as an RMP that has is stalled and cannot operate under its own
power. In such cases, you must remain at the scene to safeguard the RMP.
Department tow can be used to assist ESU to lift heavy articles such as a safe or a
boat. Department tow is also utilized to tow vehicles in path of parades, gatherings
or emergencies. The tow trucks are normally assigned to a parade route to remove
vehicles prior to the start of the parade. In the event of a demonstration or an
emergency where vehicles must be moved, Department Tow will be utilized.
Vehicle Seizure at Time of Arrest (P.G. 218-48)
Whenever a vehicle is taken into custody where the vehicle operator was
arrested for a crime, members of the service will:
1. Prepare a Property Clerk Motor Vehicle/Boat Invoice (comply with P.G.
218-19);
2. Prepare Vehicle Seizure Form (PD571-1218), including arrest number;
3. Insert precinct vehicle seizure number obtained from the Command
Vehicle Seizure Index (PD571-091) on the Vehicle Seizure Form in the
caption indicated;
4. Issue pink copy of Vehicle Seizure Form to the defendant;
5. Deliver to Desk Officer for signature;
6. Fax completed Property Clerk Motor Vehicle/Boat Invoice along with
Vehicle Seizure Form to Vehicle Seizure Unit, Legal Bureau;
7. Provide Assistant District Attorney with the green copy of completed
Vehicle Seizure Form;
8. Forward the following in the next day’s A.M. Department mail to the
Legal Bureau:
• Original (white) copy of Vehicle Seizure Form
• Copy of Property Clerk Motor Vehicle/Boat Invoice
• Copy of signed criminal court complaint
• Copy of Police Accident Report (MV104AN), if applicable
To summarize, therefore, you are likely to come into contact with five
different tow programs when you leave the Academy:
Police Department Tow
•

Used for evidence vehicles and seized vehicles

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Sanitation Tow
•

Used for derelict vehicles

Rotation Tow
•

Operated by private contractors that contract with the city for towing and
storage of certain vehicles. The lists of these contractors are kept in
precincts are called by the Desk Officer in list order.

Franchise Tow
•

Has the exclusive right to tow on limited access roads (such as parkways
and expressways) and on bridges and tunnels. These companies may
also be in the Rotation Tow program.

DARP Tow
•

Handles all accidents on public roads (other than high-speed roads,
bridges, and tunnels.

N.Y.S. Registration Plate Removal Program (P.G. 214-30)
.
This program enables officers to remove New York State license plates
from vehicles after they have been expired for more than 60 days and/or no
Registration Stickers displayed. Plates are given to the Desk Officer, who will
either return them to the owner or have them destroyed.
A N.Y.S. Registration Plate Removal Program Sticker is green in color
with black print and must be is affixed to the driver’s side window (if this window
is broken, it must be posted in another conspicuous location). This sticker is used
when the registration plates of a vehicle are removed by a Police Officer because
the registration sticker is missing.
A Registration Plate Removal Notice (Pd571-120) is mailed to the
registered owner of the vehicle to which plates have been removed and the
registered owner must comply with this notice within five days.
A Warning Notice - Vehicle in Police Custody Sticker is affixed to
vehicles in police custody where no other sticker is appropriate. The captions must
be completed and the “Reasons for Custody” category must be completed
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appropriately. If the Ro-Tow Program sticker is unavailable, this sticker may be
used as a replacement. Do not affix this sticker until processing for fingerprints
has been completed (if applicable).
HIDDEN COMPARTMENTS
As our anti-crime initiatives become more intense and sophisticated,
criminals respond by devising elaborate and complicated methods to disguise their
operations. Whether it is remote controlled panels in the floors and walls of stash
apartments, or hidden compartments in the vehicles, they use clever tricks to carry
out their trade. Recently, vehicles that have been impounded at the Property
Clerk’s Auto Pound have been found to be altered and have secret hidden
compartments, or traps. These traps have ranged from the crude and obvious to
the highly sophisticated and nearly undetectable. They have been found to contain
contraband ranging from the small – a few ounces of heroin, a ski mask, or a two
shot derringer – to the very large: kilos of cocaine, large amounts of cash, and
fully automatic rifles. These traps are installed in areas of the automobile that are
not normally accessible or are installed in such a way as to appear to be a normal
part of the car when in fact they are actually behind a false wall or floor. These
traps are usually discovered when an inventory search is done of a vehicle that is
vouchered as evidence.
Common Trap Locations
•

Trunk: the floor of the trunk and the area behind the rear seat are the
most common areas of concealment. Investigators should remove the
trunk rug and examine the area underneath it for evidence of alterations or
body work;

•

Dashboard: This type is very common, especially for gun traps;

•

Glove box: The glove compartment can easily be removed so that items
can be hidden behind it. Check for missing screws in the glove box
assembly;

•

Door panel: Many two-door, large-frame, vehicles have been found to
contain this type of trap;

•

Floor: This type of trap is most common in minivans. The average height
of the floor under the seats should only be three to four inches. Almost all
the “trapped” minivans encountered by the Department have had their traps
located in the floor;

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•

Armrest: Most common on the driver’s side, but includes front and rear
seat armrests, as well. These can be manual or electric. When
approaching a vehicle use caution and watch the occupants for unusual
movements, which might indicate the hiding of drugs or the hiding or
retrieval of a gun from such a trap;
Note: Keep in mind that the presence of one trap does not exclude
the possibility of multiple traps of different types in the same vehicle.
SUMMARY OF AUTO PROCEDURES

Recovered Stolen
•
•
•
•
•
•
•

Prepare Property Clerk’s Motor Vehicle/Boat Invoice Worksheet
Activity Log entry
Notify D.O. - D.O. notifies tow company
Affix RO-TOW sticker to glass facing street
Obtain information from NYSPIN, via FINEST
D.O. will notify owner via phone and US Mail and cancel any alarm
NEVER summons or remove plates

Recovered Stolen – Derelict
•
•
•
•
•
•

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Prepare Property Clerk’s Motor Vehicle/Boat Invoice Worksheet
Remove plates
Prepare Complaint Follow-Up (only if reported stolen within NYC)
Affix “Warning - Vehicle in Police Custody” sticker to window facing
street
Deliver plates and paperwork to D.O., who will notify Sanitation
Never summons - Plates must be removed

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Apparently Abandoned
•
•
•
•
•
•
•
•

Prepare Property Clerk’s Motor Vehicle/Boat Invoice Worksheet
Activity Log entry
Notify D.O. - D.O. will notify NYSPIN via FINEST to prevent
transmission of alarm
Prepare Complaint Report Worksheet if Stolen in NYC and not yet
reported
Prepare Ro-Tow I.D. sticker
Prepare Summons
D.O. notifies owner via phone/letter
Remove plates if:
Expired Registration Sticker over 60 days, or
Sticker Missing

Apparently Abandoned – Derelict
•
•
•
•

No Property Clerk’s Motor Vehicle/Boat Invoice Worksheet prepared
Activity Log entries
Desk Officer will request Sanitation to remove the vehicle
Remove plates and summons, if applicable

Basic Rules Regarding Tow
•
•
•
•
•
•
•
•
•

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Ro-Tow only applies to unoccupied vehicles
Derelict vehicles never qualify for Ro-Tow
ALL Ro-Tow & recovered stolen vehicles require a Property Clerk’s
Motor Vehicle/Boat Invoice
Stolen vehicles are never summonsed
Derelict vehicles go to Sanitation, but not with plates
NYPD makes final determination if vehicle is or is not derelict.
Issue no more than three summonses to any vehicle parked in
violation at the same location on the same day.
Do not issue additional summonses to a vehicle displaying three or
more summonses already issued at that location. Instead, investigate
status of vehicle registration (stolen, expired) and tow if applicable.
Summonses will not be issued to abandoned or derelict vehicles

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CONCLUSION
The automobile permeates every aspect of policing and will encompass
much of your patrol time. You will spend many tours handling vehicle accidents,
removing abandoned or derelict autos, and taking complaints for stolen vehicles
(while stopping a few cars in between for traffic infractions). Knowledge and
familiarity of auto related procedures come with years of experience. The
information outlined in this chapter provides the basic foundation of the information
needed to effectively do your job. With it, you will better develop into a seasoned
police officer and effectively help our communities in the reduction of crime and
raise the level of the quality of life in our city.

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MANDATORY PATROL GUIDE READING
The following are Patrol Guide procedures that must be added to this
chapter – Auto Related Crimes and Procedures. These procedures must be
read in conjunction with this chapter. Questions for the 3rd Trimester Exam may
come from these procedures:
207-11

Preliminary Investigations, Recording and Transmission of Alarms for
Stolen Vehicles

207-13

Lost/Stolen Vehicle Plates, Licenses and Other Department of Motor
Vehicle Documents

208-26

Forfeiture Proceedings for Seized Property

208-40

Intoxicated or Impaired Driver Arrest

208-41

Persons Under Twenty-One (21) Operating a Motor Vehicle After
Having Consumed Alcohol

208-53

Arrest Processing – Aggravated Unlicensed Operation of a Motor
Vehicle

209-28

Unlicensed Tow Truck Operators

209-29

Seizure Of Unlicensed Tow Truck

212-39

Vehicle Pursuits

214-29

Derelict Vehicles Bearing New York State Registration Plates

214-30

Removal of Expired New York State Registration Plates

214-31

Removal of Vehicles from Parkways, Highways and Expressways

217-01

Vehicle Accidents – General Procedure

217-04

Accidents – City Involved

217-06

Department Vehicle Accidents

217-09

Directed Accident Response Program

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218-21

Rotation Tow

218-48

Vehicle Seizure at Time of Arrest

219-09

Department Tow

REFERENCES
Alpert, Geoffrey P., “Questioning Police Pursuits in Urban Areas,” Journal of Police
Science and Administration 15 (1987) 298-306.
Alpert, Geoffrey P., and Patrick Anderson, “The Most Deadly Force: Police
Pursuits, Justice Quarterly 3 (1986) 1-13.
Alpert, Geoffrey P., and Lorie A. Fridell, Police Vehicles and Firearms: Instruments
of Deadly Force (Prospect Heights IL: Waveland Press, 1992).
California Highway Patrol, Pursuit Study, Sacramento: California Highway Patrol,
1983.
Fyfe, James J., “Controlling Police Pursuits,” pp. 114-123 in James J. Fyfe, ed.,
Police Practices in the '90s: Key Management Issues, (Washington DC:
International City Management Association, 1989).
International Association of Chiefs of Police, Model Policy -- Vehicular Pursuit
(Alexandria VA: International Association of Chiefs of Police, 1989).
State of New Jersey, Department of Law and Public Safety, Division of Criminal
Justice, New Jersey Police Vehicular Pursuit Policy, with attachments (Trenton NJ:
New Jersey Attorney General, 1993).

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Detecting and Deterring Fraud
PART 1: IDENTITY FRAUD: AN EVOLVING MENACE
WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW THE MATERIAL IN THIS CHAPTER?
Identity Theft and Identity Fraud are criminal acts that, until recently, went
virtually unreported and unnoticed. Experts estimate that the financial industry
loses billions of dollars nationally each year. Because New York City is the
financial capital of the world, it has become one of the most severely affected
cities in the nation. These crimes have become so prevalent that a high ranking
NYPD official referred to Identity Theft and Fraud as “an evolving menace.”
In the late 1990’s the corporate world began to recognize these crimes as
financially detrimental and government agencies compiled statistical data on the
still relatively under reported crimes. Computers and the internet created a
volatile mix that further facilitated stealing identities. Still, this was thought of as
just an “economic crime,” to be investigated by federal agencies and specialized
government divisions.
The terror attacks of September 11, 2001 added a new twist to the way we
think about Identity Theft and Fraud. The world realized that identity theft can
mean more than losing money; it was revealed that most of the 19 hijackers used
false or stolen documents at one time or another. These individuals used false
identification to commit mass homicide and terrorism; two hijackers actually
boarded the planes under false names.
In response to this incident, Identity Theft became a highly recognizable
crime. Insurance companies now insure individuals against it, most organizations
changed their identification procedures, and many states have enacted Identity
Theft laws. In 2002, New York State passed the Identity Theft Bill (chapter 619).
Prior to the enactment of this bill, New York State had no law pertaining
specifically to Identity Theft.
This chapter will cover the recently enacted laws, as well as other laws
pertaining to impersonation and fraud. It will also outline ways that a patrol officer
can identify, respond to, and deter these crimes.
Identity Theft Vs Identity Fraud
For the purpose of this chapter, it is important to understand the distinction
between Identity Theft and Identity Fraud. Identity Theft is the actual charge
pertaining to the Fraudulent and unauthorized use of another person’s
information to assume the identity of that person. Identity Fraud is not a charge
per se, under any New York State statute. Identity Fraud happens when a person

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creates an identity -either unjustifiably from a real person or fictitiously- and
assumes that identity. A person that commits Identity Theft also engages in
Identity Fraud. However, not every instance of Identity Fraud involves the crime
of Identity Theft.

OFFENSES INVOLVING THEFT OF IDENTITY
Definitions (NYS PL 190.77)
Personal identifying information: any name, number, code or information that
may be used alone or in conjunction with other such information to assume the
identity of another person. Aside from the common identifiers (name, address,
social security number), this includes computer passwords, personal
identification numbers, unique biometric data (fingerprint, voice print, retinal
image), copy of signature, and mother’s maiden name. (See Penal Law section
190.77 for a complete list).
Personal identification number: any number or code which may be used alone
or in conjunction with any other information to assume the identity of another
person or access financial resources or credit of another person.
Identity Theft – Misdemeanor (PL 190.78)
A person is guilty of identity theft (misdemeanor) when he or she
knowingly, and with intent to defraud, assumes the identity of another person by
presenting himself or herself as that other person, or by acting as that other
person or by using personal identifying information of that other person, and
thereby:
1. obtains goods, money, property or services or uses credit in the name
of such other person or causes financial loss to such person or to
another person or persons; or
2. commits a class A misdemeanor or higher level crime.
Identity Theft - Felony (NYS PL 190.79, PL 190.80)
A person is guilty of identity theft (felony) when he or she knowingly, and
with intent to defraud, assumes the identity of another person by presenting
himself or herself as that other person, or by acting as that other person or by
using personal identifying information of that other person, and thereby:

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1. obtains goods, money, property or services or uses credit in the name
of such other person in an aggregate amount that exceeds five
hundred dollars; or
2. causes financial loss to such person or to another person or persons in
an aggregate amount that exceeds five hundred dollars; or
3. commits or attempts to commit a felony or acts as an accessory to the
commission of a felony; or
4. commits the crime of identity theft in the third degree as defined in
section 190.78 of this article and has been previously convicted
within the last five years of certain identity theft and larceny crimes
(see PL 190.79 & 190.80 for complete list of crimes).
Unlawful Possession of Personal Identification Information - Misdemeanor
(NYS PL 190.81)
A person is guilty of Unlawful Possession of Personal Identification
Information (misdemeanor) when he or she knowingly possesses a person’s:
• financial services account number or code,
• checking/savings account number or code,
• brokerage account number or code,
• credit card account number or code,
• debit card number or code,
• automated teller machine number or code,
• personal identification number,
• mother’s maiden name,
• computer system password,
• electronic signature, or
• unique biometric data (fingerprint, voice print, retinal image),
knowing such information is intended to be used in furtherance of the
commission of a crime defined in the Identity Theft chapter of the Penal
Law.
Unlawful Possession of Personal Identification Information – Felony
(NYS PL 190.82)
A person is guilty of Unlawful Possession of Personal Identification
Information (felony) when he or she knowingly possesses two hundred fifty or
more of the above items knowing such information is intended to be used in
furtherance of the commission of a crime defined in the Identity Theft chapter of
the Penal Law.

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Note: Identity Theft laws are intended for persons who attempt to commit
financial crimes and terrorist acts, or other serious unlawful acts. They are
not intended to be enforced against underage persons who attempt to
purchase alcohol or cigarettes, or attempt to enter age restricted locations
(e.g., bars and clubs).
Receiving Complaints of Identity Theft
Complaints involving Identity Theft can be complex in nature, stemming
from a myriad of variables and permutations. The member of the service
encountering such a complaint must realize the possibility that this complaint
can potentially encompass numerous crimes. As a result, the Crime
Complaint Reporting System Reference Guide (Rev. 12/04) will be used to
classify Identity Theft related crimes. Significant clarifications and changes
have been made to the Crime Complaint Reporting System Reference
Guide to instruct the member of the service in the proper classification of
Identity Theft related crimes. It must be noted that the "Seven (7) Major Felony
Rule" P.G. 207-01, "Complaint Reporting System " will still be applicable.
When receiving a complaint of identity theft, the officer should remember
to be thorough but sensitive. In addition to following the normal procedure for
taking a complaint, the officer should ask specific questions, such as:
•
•
•
•
•
•

How was the crime first discovered?
Does the victim live inside or outside NYC?
What are the entire account numbers of all affected accounts (if
applicable)?
Where was the fraudulent application/identification presented (if known)?
Are there any unfamiliar addresses or unusual names on any of the
victim’s financial reports or applications?
Does the victim have any suspicions about who the perpetrator may be?
Note: In some Identity Theft cases, the perpetrator turned out to be a
relative, friend or coworker of the victim.

These specific questions will help the investigators in the primary stages
of the investigation. They may help the investigator establish a trend, as well as
help the investigator uncover fraudulent complaints. Some criminals will
overcharge a legitimately held credit card account and then claim that their
identity was stolen. Asking these specific questions may expose the fraudster
during the follow-up investigation.

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But for the legitimate victims, this is a devastating experience.
Investigating officers should be sensitive to the victim. Many victims of Identity
Theft (as with most crimes) feel scared and confused. But with Identity Theft the
victim may begin to feel isolated, they may lose trust in the system. Unlike getting
money or valuables taken from a victim once, Identity Theft victims feel as if
waves of crimes are being committed against them routinely. Every new bill
arriving in the mail is more stress; every phone call is a potential debt collector
seeking retribution. It may take months or even years for the devastating effects
of Identity Theft to dissipate. These victims also feel as if the police are
disinterested with this (non-sensational) crime and uncaring to their needs.
Furthermore, because of the many fraudulent claims, banks and creditors treat
the victim as if they were the criminal. Due to these presumptions, many victims
of Identity Theft are reluctant to even report this crime.
Complainants’ Report of lost or Stolen Property/Identity Theft
Once the preliminary information is obtained and it is determined, through
the use of the Crime Complaint Reporting System Reference Guide, that the
complainant is a victim of Identity Theft:
•

•
•

Instruct and assist the victim in preparing pages 1 and 2 of the
Complainants’ Report of lost or Stolen Property/Identity Theft;
o Ensure that complainant signs both waivers on page 1 and 2
o If necessary, assist complainant in contacting credit card issuers for
required information
Prepare a Complaint Report and classify the crime according to the
reference guide and the cover sheet of Complainants’ Report of lost or
Stolen Property/Identity Theft
Forward all paperwork to the Desk Officer for review

Note: Refusal to sign the waiver does not preclude an officer from preparing
a Complaint Report. Note refusal in the details of the Complaint Report
Suggestions to the Victim
Once the report is taken, the reporting officer should reinforce the fact that
this is a serious crime and that it will be investigated. Then the officer should tell
the victim that certain proactive steps should be taken to ensure that the
criminals do not further the commission of this crime.

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The officer should advise the victim to:
•

Call the toll-free fraud number of any one of the three major credit bureaus
to place a fraud alert on their credit report. Fraud alerts can help prevent
an identity thief from opening additional accounts in victims’ names. As
soon as the credit bureau confirms the fraud alert, the other two credit
bureaus will automatically be notified to place fraud alerts, and all three
credit reports will be sent to the victim free of charge.
Equifax
PO Box 74024
Atlanta, GA 30374
800.525.6285
www.equifax.com

•
•
•

Experian (TRW)
PO Box 9532
Allen, TX 75013
888.397.3742
www.experian.com

TransUnion Corp
PO Box 6790
Fullerton, CA 92834
800.680.7289
www.transunion.com

Close the accounts that victims know or believe have been tampered with
or opened fraudulently.
Gather as much information on the fraudulent accounts or identities and
present it to the detectives during the follow-up investigation.
File a complaint with the FTC at www.consumer.gov/idtheft or call 1877-IDTHEFT (1-877-438-4338). Consumer’s complaints help make the
FTC database a better resource for this Department and all other law
enforcement agencies.

Investigating Identity Theft and Identity Fraud
Generally, investigations of Identity Theft will be handled by specialized
units within the Department. But, there are proactive measures a patrol officer
can take to identify perpetrators of Identity Theft. Furthermore, it is incumbent
that patrol officers be knowledgeable about Identity Fraud. As mentioned,
dangerous criminals (including terrorists) often conceal their identity to evade law
enforcement. It should be a patrol officer’s priority to properly identify individuals
who they take enforcement action against.
Personal Identifiers
There are three types of personal identifiers (ways to identify a person).
1. Tokens: A token is something physically carried that identifies the
individual (driver’s license, identification card, passkeys, etc.).
2. Knowledge-based: The person is identified through specific personal
knowledge (knowing mother’s maiden name, place of birth, social
security number, etc.).
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3. Biometrics: Biometric identifiers encompass all unique biological
indicators (fingerprints, retinal image, DNA, etc.).
Alone, each of these identifiers meets minimum standards for identification. For
rigorous identification standards, a compilation of these three identifiers would be
necessary.
For example, a patrol officer is only required to establish identity through
the display of a valid form of identification (token) to issue a summons. However,
officers should never assume that a person is who they say they are. If there is
any doubt about the identity of an individual who may be issued a summons, the
violator should be brought into the station house. While at the station house, the
officer should attempt to identify the individual through knowledge-based
identifiers (calling the violator’s relatives and asking specific knowledge-based
questions), or by obtaining further “tokens” (having a friend or relative bring other
forms of identification to the station house). If the identity of the individual is still
in doubt, then the violator should be processed as an arrest and fingerprinted
(biometrics).
Search and Debrief of Arrested Individuals
When searching any arrested individual (incident to a lawful arrest),
officers should be aware of certain signs of Identity Theft and Identity Fraud.
These signs include:
•
•
•
•
•
•
•
•
•

Multiple credit cards with different names;
Social security numbers written on paper;
Credit card numbers and expiration dates written on paper;
Person’s name, address, and date of birth written down;
Multiple identification cards with different names;
Identification cards of individuals other than the arrestee;
Blank checks in another person’s name;
Credit card skimmers (defined later);
Multiple blank cards with magnetic strips.

Note: A current scam involves criminals using reformatted hotel key cards to
store stolen credit card information. These hotel key cards are used at
locations that require no human interface (i.e., gas pumps, metrocard
dispensers, etc.). Officers should be alert to this type of activity.

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If an arresting officer comes upon this type of evidence, he or she should notify a
supervisor. The officer should not attempt to question the individual on the
evidence without conferring with a supervisor or a member of the Detective
Squad. Miranda warnings must always be read when interrogating a suspect in
custody.

CRIMINAL IMPERSONATION
Generally, the crime of criminal impersonation involves the act of
pretending or representing oneself to be another (with knowledge that such
representation is false) in order to obtain a benefit, or to injure or defraud
another. This crime is usually committed when attempting to commit other
crimes such as burglary, robbery, larceny, etc. In such cases, the other crime –
burglary, larceny, etc. – should also be charged. In the context of these offenses,
the word defraud means to cheat or deprive another of something by deception.
Criminal Impersonation was created before the Identity Theft bill was passed. As
such, some of the Criminal Impersonation charges may seem similar to Identity
Theft.
Criminal Impersonation - Misdemeanor (NYS P.L. 190.25)
There are three (3) ways in which Criminal Impersonation - misdemeanor
can be committed:
1.

Impersonating another person (other than a public servant)
A person may be charged with this offense when he or she impersonates
another (non public servant) and, while in the assumed character, commits an
act in such assumed character with intent to obtain a benefit, or to injure
(physically or monetarily), or to defraud another.
2.

Represents an organization
A person may be charged with this offense when he or she pretends to be
a representative of some person or organization and commits an act in this
pretended capacity with intent to obtain a benefit, or to injure (physically or
monetarily), or to defraud another.

Example: Pretending to be with the American Cancer Society, Pete
approaches Dan and asks for a donation. When Pete tells him the
donation is for cancer research, Dan gives him $100; Pete uses the
money to take his wife out to dinner.

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3.

Public Servant:
This offense may be committed in any of the following ways. The
individual:
• Pretends to be a Public Servant; or
• Wears or displays without authority any uniform or badge by which such
public servant is lawfully distinguished; or
• Falsely expresses by his or her own words or actions that he or she is a
public servant or is acting with approval or authority of a public agency or
department;
and
He or she does so with intent to induce another to submit to such
pretended official authority, to solicit funds, or otherwise cause another to
act in reliance upon that pretense.

It is important to note that a person pretending to be a public servant can
be charged with criminal impersonation only if he or she does so with intent to
induce another person to act in accordance with his or her pretense of official
authority.
Example: Alvin rents a police uniform from a costume company to wear to
a masquerade ball. Could he be charged with criminal impersonation? No,
he could not. Alvin is wearing the uniform only as a costume and not with
the intent to induce anyone to believe he really is a police officer.
Example: During a campus riot, some students put on police uniforms
and attempt to direct police reinforcements away from the scene of the
riot. Is this a case of criminal impersonation? Yes. The students dressed in
the uniforms with the intention of inducing legitimate police officers to
follow their direction.
Criminal Impersonation - Felony (NYS P.L. 190.26)
A person may be charged with this offense when he or she:
1.
Impersonates a Police Officer and such pretense is for the purpose
of committing or attempting to commit a felony: The Penal Law subdivision
defining this offense states that it occurs when a person pretends to be a police
officer or wears or displays without authority; any uniform, badge or other insignia
or facsimile thereof, by which such police officer is lawfully distinguished or
expresses by his or her words or actions that he or she is acting with the
approval or authority of any police department and acts with intent to induce
another to submit to such pretended official authority or otherwise to act in
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reliance upon said pretense and in the course of such pretense commits or
attempts to commit a felony.
Example: Joe finds a police officer's shield. He knocks on Mrs. Teller's
door, shows her the shield and tells her she must leave the house
immediately. After Mrs. Teller leaves, Joe enters and takes all of her
jewelry. Joe can be charged with Criminal Impersonation, felony, because
he pretended to be a police officer and Mrs. Teller submitted to that
authority by leaving the house where Joe then committed a felony
(burglary).
Remember that a police officer is considered a public servant, but a public
servant is not always a police officer. In order to charge the felony, Criminal
Impersonation, a person must imply that he is a police officer or working under
the authority of a police department.
2.
Impersonates a physician and orders a prescription: Pretending to be
a duly licensed physician or other person authorized to issue a prescription for
any drug or any instrument or device used in the taking or administering of drugs
for which a prescription is required by law, he communicates to a pharmacist an
oral prescription which is required to be reduced to writing pursuant to Public
Health Law Section 3332.
Note: If the person were to produce a prescription in writing the charge
would be forgery (this offense is discussed in greater detail below).
Investigation of Police Impersonation
The impersonation of law enforcement personnel is a very serious matter.
It is crucial that you understand the law and your obligation to properly gather
information and document these crimes for investigators and prosecutors.
Whenever you encounter information regarding a possible crime that involves
police impersonation, you must notify the Internal Affairs Bureau.
Patrol Guide section 207-14 states, in part: The Police Impersonation
Investigation Unit (PIIU) will investigate all robbery/police impersonation
complaints and other serious crimes involving police impersonation. The precinct
Detective Squad will be responsible for other criminal impersonation complaints.
In all cases of suspected police impersonation, a notification to Internal Affairs
Bureau Command Center is required and a log number will be assigned.

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False Personation - Misdemeanor (P.L. 190.23)
A person may be charged with false personation, a misdemeanor, when
after being informed of the consequences of such act, he or she knowingly
misrepresents his or her actual name, date of birth, or address to a police
officer or peace officer with the intention of preventing such police officer or
peace officer from ascertaining such information.
Example: John Ellis is stopped by P.O. Murray for disorderly conduct –
violation. P.O. Murray wants to issue him a summons for this offense and
asks for identification. Attempting to avoid the summons, John states that
his name is Roy White. P.O. Murray warns him that a misrepresentation of
his name will result in a misdemeanor charge of false personation. John
insists his name is Roy White. After attempting to verify this, Officer
Murray discovers that “Roy White” is really John Ellis and places him
under arrest for false personation.

FORGERY AND FORGED DOCUMENT IDENTIFICATION
Forgery – Misdemeanor (NYS PL 170.05)
•
•
•

A person commits Forgery, misdemeanor, when:
With the intent to defraud, deceive, or injure another person,
He or she falsely makes, completes, or alters,
A written instrument.

This section of law is a “catch all” for every act of Forgery not amounting
to the felony categories (Penal Law. 170.10, 170.15). The crime of Forgery is
complete when the written instrument is made or altered with fraudulent intent.
The actual use of the instrument such as a check, will, letter, deed, etc., is not
necessary.
It is not Forgery for a person to sign the name of another person to a
written instrument with permission, or in the honest, but mistaken, belief that he
or she had the authority to do so.
Note: It should be noted that forgery is still committed even if the forged
name is not a real one. When used with the intent to defraud or deceive,
a wholly fictitious name may still constitute the crime of forgery.

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Forgery – Felony (NYS PL 170.10, 170.15)
A person commits forgery, felony, when:
•
•
•

With intent to defraud, deceive, or injure another person,
He or she falsely makes, completes, or alters a written instrument (forgery,
misdemeanor) and
The written instrument is, or purports to be, any one of the following:
A)

B)
C)
D)

E)

A deed, will, contract, assignment, commercial instrument, credit
card, or other instrument that may affect a legal right, interest,
obligation, or status.
A public record or an instrument filed or required or authorized by
law to be filed in or with a public office or public servant.
A written instrument officially issued or created by a public office,
public servant, or governmental instrumentality.
Part of an issue of tokens, public transportation transfers,
certificates or other articles, manufactured and designed for use as
symbols of values usable in place of money of the purchase of
property or services.
(i.e., Metrocard)
A prescription of a duly licensed physician or other person
authorized to issue the same for any drug or instrument or device
used in the taking or administering of drugs for which a prescription
is required by law.

Example: A person steals a prescription pad from a doctor’s office and
forges a prescription for himself and fraudulently signs the doctor’s name.
Criminal Possession of a Forged Instrument – Felony (NYS PL 170.25,
170.30)
A person is charged with this offense when he or she possesses any of
the above forged instruments (A-E), including a forged credit card or debit card.
If he or she possesses two or more forged instruments, each of which purports to
be a credit card or debit card, he or she is presumed to possess them with the
knowledge that they are forged and with intent to defraud, deceive or injure
another.

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Investigating the Possession of Forged or Fraudulent Documents
If during the course of a routine investigation, or during the lawful search
of a prisoner, you come across an item that you believe to be forged or
fraudulent, notify your supervisor immediately. The following graphics and
examples will help you to better understand and identify fraudulent materials.
There are specific Department guidelines that must be followed when such items
are discovered. These guidelines will also be spelled out below.
Motor Vehicle Documents (Verifying Identification)
What to look for:
The photo:
• Glance back and forth from the identification card to the person’s face (for
at least 10 seconds). This allows you the opportunity to compare the
likeness. It also allows for a reaction by the person stopped.
• A person with a fake or altered identification will most likely show signs of
physical stress if they feel that the ID is being questioned.
The numbers:
• The numbers should be consistent. The typeset of the DOB should match
the typeset of other numbers.
• Check the expiration date of the identification. An expired card is not a
valid form of identification because it may be a duplicate of a valid ID.
• A duplicate identification indicates that another person may hold the same
license. When a person reports a license lost, many times the same exact
license is reissued (including the same ID number).
• The last number of the 8 digit code on the bottom right corner of a NYSDL
represents the amount of times a license was duplicated.
The card:
• Compare the identification with your own, checking consistency, texture,
lettering, etc.
• Check for signs of alterations, especially the rear of the license. Many
counterfeiters will focus on the front of the ID and poorly duplicate the
back.

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If the validity is questionable:
Ask questions:
•
•

Ask for a second piece of identification. Persons with fake identification
usually do not carry back-up ID.
Quiz the cardholder about basic information on the card, such as age,
middle initial, zip code, etc. Usually a person will attempt to memorize the
DOB but will not be able to compute the fictitious age.

Run a license check:
Have a computer car respond to your location if no other method is available.
Run the license using the state and ID number to check for validity. In some
cases an ID number check will not reveal NY suspensions or warrants. The
name and DOB of the person should be run under a NY check to uncover any
suspensions or warrants. When running a name check, enter variations of the
name and DOB (e.g., run the name with and without the middle initial, reverse
the first and last names, switch the month and day of birth, etc.). This information
may have been entered incorrectly into the system and will not appear when
searching for the original name.
New Jersey Driver’s License
Persons using fraudulent identification will, many times, use out-of-state
identification, hoping that the challenging officer is unfamiliar with that form of
identification. Unlike NYS licenses, New Jersey Driver’s Licenses are still
laminated and, in some instances, issued without a photo (making them a likely
candidate for forgery). If a computer is not available, use the attached memo
book insert (as one tool) to verify the license (see appendix).
International Driver’s License
In recent years several scams have been uncovered involving
“International” driver’s licenses. There is no such license. There is a document
known as an “International Driver’s Permit.” This document is used in
conjunction with a normal license (when driving outside of the driver’s native
country). It is basically a document that translates a driver’s license into several
other languages.
If a police officer confronts a driver that produces an “International” driver’s
license and cannot produce a valid license, the officer should thoroughly
investigate the status of the person’s driving privilege (i.e., suspended or revoked
license). If the investigation proves negative, the properly identified motorist may
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be issued a summons for driving without a license. If the motorist can not be
properly identified, he should be placed under arrest.
Arrests Involving Fraudulent DMV Documents
When arresting an individual for possession of forged or altered motor
vehicle documents, follow Patrol Guide procedure 208-54, which outlines the
specific charges and procedures as follows:
Possession of a forged/altered operator’s license
Criminal Possession of a Forged Instrument, 2nd Degree (felony), should be
charged only when:
•
•
•
•

The operator possesses more than one (1) false license; OR
The false license was used for a purpose other than driving (e.g., to pass a
bad check, etc.); OR
The operator possesses the false license(s) under circumstances showing
an intent to sell the license(s); OR
The operator possesses a false license and one (1) or more other false
forms of identification.

Also, recent investigations have determined that a large number of New
York State Driver Licenses and Identification Cards have been fraudulently
produced and distributed over the last several years. Investigation has further
revealed that many of these forged documents were obtained by individuals who
knowingly submitted false paperwork, credentials, etc. to the Department of
Motor Vehicles (DMV) and then bribed the DMV employees to accept them.
To assist in the prosecution of any motorist or individual arrested and
found to be using or carrying a fraudulent NYS Driver License/Identification Card,
the DMV’s Internal Affairs Office (DMV-IA) has established a telephone number
for queries: (518) 473-3342. Police officers should contact the DMV at this
number whenever a computer check of a NYS Driver License/Identification Card
reveals the designation “Fraud Document.” The arrested motorist or individual
may be charged with Criminal Possession of a Forged Instrument 2nd Degree
(felony).
If the arrested motorist or individual was operating a motor vehicle at the
time the License or Identification Card was presented, also charge violation of
Vehicle and Traffic Law Section 392 (unclassified misdemeanor). This
provision makes it a crime to operate a motor vehicle upon the public highway
while displaying or using any document that he or she knows has been obtained
by making a false statement in an application for, or making a material alteration
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on any document issued by the Commissioner of Motor Vehicles, or unlawfully
using a validating device on such a document.
To determine whether other charges may apply, confer with the DMV-IA
Unit. Personnel assigned to DMV-IA may be able to provide information as to
how the arrested motorist or individual obtained the fraudulent Driver License or
Identification Card.
Arresting officers should contact the Precinct Detective Squad for
assistance in the interrogation of the person in custody (after Miranda warnings
are given) in an effort to independently obtain information about the forged
document’s origin. Any such information should be conveyed to the Assistant
District Attorney assigned to the case.
If it is determined that the arrested motorist or individual gave or offered to
give a DMV employee, or “middleman,” money or another benefit, for the
purposes of obtaining the License or Identification Card, the following additional
charges may be appropriate: Bribery 3rd Degree (Penal Law 200.00), and Sale
or Purchase of a Stolen, False or Fraudulent License, Identification Card,
Certificate of Registration, or Number Plate (Vehicle and Traffic Law 392-a).
If it is determined that the that the arrested motorist or individual
completed and filed a License or Identification Card application with the DMV,
and the DMV office (where the application was filed) is located in the same
county where the arrest was made, the following additional charge may be
appropriate: Offering a False Instrument for Filing 1st Degree (Penal Law
175.35).
Possession of another’s license
If a person who is operating a vehicle offers someone else’s license as proof
of identity, charge Vehicle and Traffic Law, Section 509(1), Driving Without a
License; and Vehicle and Traffic Law, Section 509(6), Driving While Using
Another’s License. These offenses are traffic infractions for which “B” summonses
may be issued. Make the two (2) summonses returnable to the Traffic Violations
Bureau. An investigation should also be conducted to determine if the crime of
Identity Theft was also committed.
Possession of an altered “valid” license
If the driver offers as proof of identity a valid license issued to him/her but
which has been altered, (e.g., expiration date changed, etc.) charge Vehicle and
Traffic Law, Sections 392 and 509(1). Vehicle and Traffic Law, Section 392, is a
misdemeanor for which a “C” summons may be issued. Vehicle and Traffic Law,
Section 509(1) is a traffic infraction for which a “C” summons may be issued. Both

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summonses should be made returnable to the local Criminal Court.
Possession of a forged/altered registration
A suspect who presents a registration card with a forged or altered
registration (e.g., address known to be false, etc.) may be issued summonses for
Vehicle and Traffic Law, Sections 392 and 401(a), Unregistered Vehicle.
Vehicle and Traffic Law, Section 392, is a misdemeanor for which a “C”
summons may be issued. Vehicle and Traffic Law, Section 401(a), is a traffic
infraction for which a “C” summons may also be issued. Both summonses should
be made returnable to the local Criminal Court.
Possession of forged/altered inspection sticker
A person operating a vehicle with a forged or altered inspection sticker may be
charged with Vehicle and Traffic Law, Section 306(e), an unclassified
misdemeanor. A “C” summons may be issued and made returnable to the local
criminal court.
Possession of a forged/altered insurance card
An operator who produces an insurance card indicating that insurance is in
effect when such coverage does not exist is to be charged with Vehicle and Traffic
Law, Section 319(2), an unclassified misdemeanor. A “C” summons may be
issued and made returnable to the local criminal court.
Possession of a forged/altered New York state department of motor vehicles
in-transit vehicle permit number plate (paper license plate)
An operator who drives with a forged or altered In-Transit Permit may be
charged with Vehicle and Traffic Law, Sections 392 and 402(1). Vehicle and
Traffic Law, Section 402(1), is a traffic infraction for which a “C” summons may
be issued. Both summonses should be made returnable to the local Criminal
Court.
In all instances in which a fraudulent or altered motor vehicle bureau
document, such as a license or registration, is evidence of an offense, it should
be invoiced as evidence pursuant to Department procedures. Under no
circumstances will such a document be returned to the arrested motorist or
individual. Summonses should not be issued for the above offenses to defendants who are not properly identified or who otherwise fail to qualify. Police
officers should ensure that when issuing multiple summonses to an individual for
offenses occurring during a single incident and one of the summonses is returnable to Criminal Court, then all summonses should be made returnable to
Criminal Court.
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Fraudulent or Forged Credit Cards
When, during the course of a lawful search, a police officer comes upon a
credit card that appears to be fraudulent, he or she should notify the supervisor.
Depending on the circumstances, several of the above charges may apply (i.e.,
Identity Theft, Forgery). A thorough investigation should be conducted. The
special Fraud Squad and the Missing Persons desk maintain a list of 24 hour
authorization numbers for various credit card companies. The credit card
company involved will provide a representative to testify in court. The following
illustrations will assist in the identification of the most common credit cards.

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Credit Card Skimmers
Officers should be aware that a criminal does not have to actually
possess a person’s credit card to use it unlawfully. The card itself is worth
nothing. It is the information on the card that is useful. This information can be
“skimmed” off the card by way of a credit card skimmer. The information is then
encoded onto any card that contains a magnetic strip (hotel key cards, store
credit cards, school identification cards, etc.). Many times this information is
stolen during a legitimate transaction. The dishonest employee will “skim” the
card while he or she is processing the legitimate transaction. The illustration
below identifies the most common types of credit card skimmers.

).

ATM Skimmers
Recently, new devices have surfaced that utilize skimmers and video
cameras to steal the information encoded on an ATM card, while also stealing
the personal identification number (PIN) for that card. The device is attached to
an ATM machine; the skimmer is designed to look like a part of the actual
machine, and the video camera that records the PIN is disguised as a pamphlet
dispenser. This information is usually relayed to remote receiver. Officers should
be aware of persons (on foot or in vehicles) utilizing laptop computers or
electronic monitoring devices while loitering around ATMs or banks. The
following graphic illustrates the above scam in action:

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Check Fraud
If an officer comes across a person in possession of personal checks,
bank checks or certified checks, close attention should be paid to the details of
the check. Recent arrests have uncovered persons in possession of forged
checks with obvious misspelling. The below graphic will illustrate an example of
this type of forgery.

ADMINISTRATIVE CODE VIOLATIONS
In addition to the Penal Law offenses of Identity Theft, Criminal
Impersonation, and Forgery, impersonation offenses have been addressed in
other state and city laws. These include the New York City Administrative Code,
which is enforceable only in New York City. These Administrative Code
misdemeanors are enforceable by police officers. A personal service summons
may be issued to a violator, if appropriate. These offenses are:
Unlawful Use of Police Uniform or Emblem - Misdemeanor
(Section 14-107):
It is unlawful for any person, not a member of the police service, to
represent him/herself as such by use of any fraudulent design upon persons or
property. It is also unlawful for any person to have, use, wear or display, without
authority from the Police Commissioner, any uniform, shield, buttons, wreaths,
numbers or other insignia or emblem which resembles that worn by members of
the service.
This offense includes the wearing of police uniforms and symbols by
people who are not police officers, as well as the use of police insignia and
symbols on vehicles and other property.

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Note: Possession of miniature shields does not require police department
approval. The possession of a mini shield is lawful. To use it unlawfully is
an offense.
Unlawful Use or Possession of Official Police Cards - Misdemeanor
(Section 14-108)
Any person who has in his or her custody or possession any official police
department identification card, working press card, emergency repair service
card, press photographer's vehicle card, newsreel camera vehicle card,
emergency service card or any other official card used by the police department
or any copy or reproduction of the same, without permission of the Police
Commissioner, is guilty of this offense.This section also includes persons who,
with intent to make, reproduce or alter official police cards, have in their
possession any implements or material used for such purposes.
Note: The evidence in this offense may be such to warrant additional
charges of forgery, possession of a forged instrument, criminal
impersonation, etc.
Unauthorized Display of Badges, Plates, Cards, Etc.
Additionally, Patrol Guide Section 212-81 prescribes the proper police
action to take when you observe the unauthorized display of police badges,
parking plates, police cards, or insignias.
UNAUTHORIZED DISPLAY OF
BADGE, AND PERSON DISPLAYS
OR PURPORTS TO BE A PUBLIC
SERVANT WITH INTENT TO
HAVE PERSON SUBMIT TO
AUTHORITY.
PLATE, SIGN INSIGNIA OF
POLICE OR FIRE DEPARTMENT
DISPLAY ON A VEHICLE
OFFICIAL POLICE CARDS, E.G.,
PRESS, SPECIAL VEHICLE
IDENTIFICATION, ETC.
FORGED POLICE CARD.

JANUARY 2005

POLICE ACTION
*ARREST, SECTION 190.25-3, PENAL
LAW.
*SEIZE BADGE AS EVIDENCE.

*SUMMONS, SECTION 396, VTL.
*SEIZE ARTICLE AS EVIDENCE.
*CONFISCATE, ASCERTAIN HOW
OBTAINED, AND DELIVER ARTICLE
AND REPORT OF CIRCUMSTANCES
TO DESK OFFICER.
*ARREST, ADMINISTRATIVE CODE
SECTION 14-107
*SEIZE CARD AS EVIDENCE.

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You must remember that this procedure serves as a guide. A thorough
investigation should always be conducted as the possibility of other serious
offenses may be present. For example, does the vehicle that displays an
unauthorized parking plate belong to a police impersonator wanted for robberies?
Was the plate stolen from a police officer? Is the plate the work of a
counterfeiter? Do not take anything for granted, if you have doubts as to the
validity of items used to identify members of this and other law enforcement
departments, request the patrol supervisor to respond.

CONCLUSION
Many criminals steal identities for monetary gain, but others steal or mask
their identities in order to commit violent crimes like Robbery, drug trafficking and
terrorism (Eder, 2004). Understanding such a criminal’s motive not only supports
your ability to reduce crime, it creates a safer society for citizens and officers
alike. Never take any person on their word, always verify the subject’s claims
with personal identifiers. George Kelling, co-author of the “broken windows”
doctrine, recently stated that, just as the subway robber jumps the turnstile to
commit his crimes, “Terrorists have to commit minor crimes (including Identity
Theft, credit card theft and Forgery) to commit major acts of terrorism. This
makes them vulnerable to local law enforcement.” A chance encounter with one
of these criminals coupled with a thorough investigation could lead to a
significant arrest and possibly thwart another terrorist attack.

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Detecting and Deterring Fraud
PART 2: PREVENTING INSURANCE FRAUD AND FALSE REPORTING

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW THE MATERIAL IN THIS CHAPTER?
Fraudulent reports to the police are a common occurrence. From the
prank call to 911 to the elaborate schemes to defraud the government, patrol
officers frequently come across fraudulent claims. Unfortunately, the patrol officer
rarely enforces the laws that control these actions. The officer will, many times,
disregard these false reports or mistakenly take the report due to lack of training
in the area of identifying fraud. One of the biggest mistakes a patrol officer can
make while taking a report for a crime is to assume that the “victim” is telling the
truth. This is not to say that all victims of crimes intentionally mislead the police.
But officers must realize that, when reporting incidents related to insurance
claims (i.e., stolen or damaged property, injuries, etc.), statistics disclose that one
in three Americans feel it is acceptable to make fraudulent or exaggerated
claims to collect insurance money. By becoming familiar with current fraud
schemes, as well as the laws to combat them, officers can prevent fraud,
reducing the amount of fraud and false complaints. This, in turn, reduces
inaccurate crime statistics (which fosters citizens’ fears) and the daily workload
for the police, as well as the insurance rates that all New Yorkers must pay.
Interview and Investigation Techniques
The first step in thwarting these false claims is to properly interview all
victims and witnesses and to thoroughly investigate the incident on the scene.
Interview questions and proper investigation procedures will be specifically
covered in each section of this chapter. These sections include auto accident
investigation, auto theft investigation, property theft investigation, and personal
injury investigation, as they relate to insurance fraud.
What the patrol officer must realize is that, when interviewing victims, the
art of interviewing is closely related to the art of interrogation. In fact, “any
discussion of interviewing techniques almost always applies to interrogation
techniques.” The ultimate goal of both styles of questioning is the truth. If, during
the course of an interview, statements are made that seem contradictory or
untrue, the officer must clarify the situation and uncover the truth, not just “take
the report.” If, at some point during the interview, the victim becomes a suspect,
the officer must remember that a custodial interrogation cannot be conducted
without first advising the person of their Miranda rights.

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CRIMES RELATED TO INSURANCE FRAUD
Insurance Fraud- Definition of Terms (NYS PL 176.00-176.05)
"Insurance policy" has the meaning assigned to insurance contract by
subsection (a) of section one thousand one hundred one of the insurance law
except it shall include reinsurance contracts, purported insurance policies and
purported reinsurance contracts. "Statement" includes, but is not limited to, any
notice, proof of loss, bill of lading, invoice, account, estimate of property
damages, bill for services, diagnosis, prescription, hospital or doctor records, xray, test result, and other evidence of loss, injury or expense. "Personal
insurance" means a policy of insurance insuring a natural person against any of
the following contingencies:
•
•
•
•

loss of or damage to real property used predominantly for residential
purposes and which consists of not more than four dwelling units, other
than hotels, motels and rooming houses;
loss of or damage to personal property which is not used in the
conduct of a business;
losses or liabilities arising out of the ownership, operation, or use of
a motor vehicle, predominantly used for non-business purposes;
other liabilities for loss of, damage to, or injury to persons or
property, not arising from the conduct of a business;

"Commercial insurance" means insurance other than personal insurance, and
shall also include insurance providing disability benefits pursuant to article nine of
the workers' compensation law, insurance providing workers' compensation
benefits pursuant to the provisions of the workers' compensation law and any
program of self insurance providing similar benefits.
A “fraudulent insurance act” is committed by any person who, knowingly and
with intent to defraud presents…any written statement as part of…an application
for the issuance of…an insurance policy…which he knows to:
a) contain materially false information concerning any fact material thereto; or
b) conceal, for the purpose of misleading, information concerning any fact
material thereto.
Insurance Fraud- Misdemeanor (NYS PL 176.10)
A person is guilty of insurance fraud -misdemeanor when he commits a
fraudulent insurance act (looseleaf Law, 2004).

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Insurance Fraud- Felony (NYS PL 176.15 – 176.30)
A person is guilty of insurance fraud -felony when he commits a fraudulent
insurance act and thereby wrongfully takes, obtains or withholds, or attempts to
wrongfully take, obtain or withhold property with a value in excess of one
thousand dollars.
Note: The crime of Insurance Fraud is rarely charged by the patrol officer.
A person is usually charged with this crime after an extensive investigation
conducted by city and state investigation units and by private insurance
agencies. Patrol officers will most likely charge a fraudster with the crimes
outlined below.
Making a Punishable False Written Statement- Misdemeanor (NYS PL
210.45)
A person is guilty of making a punishable false written statement when he
knowingly makes a false statement, which he does not believe to be true, in a
written instrument bearing a legally authorized form notice to the effect that false
statements made therein are punishable.
A person can only be charged with this crime if they complete a written
instrument that warns of the consequences of making a false statement. The
following Department forms are applicable to this charge:
•
•
•

Vehicle Theft Preliminary Investigation Report
Vehicle Theft Supporting Deposition
Complainant’s Report of Lost or Stolen Property

This crime cannot be charged when a person falsely reports a crime or
occurrence for which only a Complaint Report, Police Accident Report, or
Aided Card was prepared. In these instances the crime of Falsely Reporting an
Incident will be charged.
Falsely Reporting an Incident- Misdemeanor (NYS PL 240.50)
A person is guilty of falsely reporting an incident- misdemeanor when, knowing
the information reported, conveyed or circulated to be false or baseless, he
gratuitously reports to a law enforcement officer or agency:

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a) the alleged occurrence of an offense or incident which did not in fact
occur; or
b) an allegedly impending occurrence of an offense or incident which in fact
is not about to occur; or
c) false information relating to an actual offense or incident or to the alleged
implication of some person therein.
Note: The crimes of Falsely Reporting an Incident and Making a
Punishable False Written Statement can be charged regardless of the fact
that the false report was not motivated by insurance fraud.

AUTO ACCIDENT FRAUD
Auto accident fraud requires one key element. It is not a car, or a driver, or
even an accident; it is a Police Accident Report, also known as a PAR. For a
“victim” to receive payment (for injury or damage) from an insurance company,
he or she needs this report. The patrol officer is the only person who prepares
this report. This means that, to complete this crime, the fraudster must trick the
officer into believing his story. Many times a legitimate accident will occur, and
the fraudster will be a, normally, law abiding citizen, who now sees an
opportunity to make some money. These people lie to the officer and exaggerate
claims of injury or damage. This is why proper interview and investigative
techniques must be adhered to. Following proper procedure will ensure that
unscrupulous motorists are not able to doctor the Police Accident Report.
Knowledge of common scams ensures that these individuals are identified at the
point of “impact” and their schemes frustrated before any reports are prepared.
Typical automobile accident insurance scams involve dishonest motorists
who stage motor vehicle accidents and submit false insurance claims. In one
scenario a vehicle with prior body damage is driven to a location. The occupants
of this vehicle call police to the location claiming that an accident has occurred
and that the other vehicle has left the scene (they also complain of injuries). In
fact, there never was an accident. A variation of this scenario involves occupants
who conspire to purposely crash their vehicle into another. Once again there is a
claim of injuries. Another favored ploy involves an unscrupulous motorist
obtaining a photocopy of the Police Accident Report and doctoring it in some
fashion. This altered version is then photocopied and submitted to the insurance
company.

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Detecting and Deterring Fraud
Investigation and Interview
In order to reduce staged motor vehicle accidents, reporting of false
injuries, and other automobile accident-related insurance frauds, officers should
survey the scene carefully and be alert for some of these more common
insurance fraud indicators:
•
•
•
•
•
•
•
•

Minor accident/low impact collision yet all vehicle occupants are
claiming injuries.
The injured passengers are not acquainted with the driver and/or each
other;
Older model vehicles involved in accident with multiple vehicle
occupants claiming injury;
No debris at the scene despite significant damage to the vehicle(s).
This is an indication that the accident and /damage took place
elsewhere;
The driver’s description of the accident does not coincide with the
damage to the vehicles;
Differing accounts of the accident are given by the driver and
passengers;
The vehicle driver is eager to assume blame for the accident;
The driver, injured occupants, and/or witnesses use a post office box
as an address.

Include such fraud indicator information in the “Accident Description -Officer’s
Notes” caption of the Police Accident Report. In addition, when fraud is
suspected, notify the Intelligence Division and provide all pertinent
information.
The suspicious accident an officer encounters is likely to be part of a large
conspiracy conducted by a criminal organization. The Intelligence Division
analyst will forward the information received to the Special Frauds Squad for
review. Special Frauds will transmit this information to the National Insurance
Crime Bureau (NICB) where it will be disseminated to the appropriate insurance
company investigators. If criminality is established, the case can then be
referred to the Special Frauds Squad or the Auto Crimes Division for
investigation.
Preparing the Police Accident Report
The omission of information on Police Accident Reports hinders
insurance investigations and criminal prosecution. With this in mind, you must
legibly complete all relevant captions on the Police Accident Report.

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Remember to obtain the Vehicle Identification Number (VIN) from the
dashboard and door of each vehicle involved in motor vehicle accidents and list it
in the “Accident Description/Officer’s Notes” caption of the Police Accident
Report.
Entries made in the “All Involved” section of the Police Accident Report,
boxes “A through G” must be complete and accurate, particularly as they pertain
to documenting the seating position, names, and injuries of all passengers in the
vehicle(s) at the time of the accident. It is imperative that all passengers riding in
the vehicle(s), regardless of their condition, be accounted for. After listing this
information, you must draw a straight line through every unused box of the
section and initial it. You will repeat the same process on the reverse side of
the Police Accident Report in the “Persons Killed or Injured in Accident”
section, boxes “A through G”. This will prevent unscrupulous motorists, who
obtain a photocopy of the Police Accident Report, from altering the original
information recorded.
Auto accident fraud may be the most prevalent type of fraud in the city.
The perpetrators of this crime range from common citizens to organized fraud
rings. Another type of auto fraud that shares the same motive and perpetrator
characteristics is auto theft fraud.

AUTO THEFT FRAUD
Auto theft fraud is committed by all types of individuals, from doctors and
lawyers to organized crime figures. The motives of these individuals are normally
financial, either to gain money through insurance fraud or alleviate the financial
burden that the automobile places on the individual. Other times, an individual
may report his or her car stolen to hide the fact that the auto was used in a crime.
These individuals will attempt to report the auto stolen soon after the crime.
Therefore, their scheme is not as well thought out as an owner who intentionally
“dumps” his or her car. In an owner dump, the individual will dispose of his or
her auto –by selling, destroying, abandoning, or hiding- and then report the auto
stolen. There are several variations to this scheme, but the intention is the same;
the fraudster will attempt to convince the police to take a report for the stolen
auto that has not actually been stolen.

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Investigation and Interview
Reports of stolen autos must be investigated at the scene. They cannot be
taken over the phone or at the station house. If a person arrives at the
stationhouse to report a stolen auto, they will be transported back to the scene
for investigation. When surveying the scene, be aware of common signs of fraud.
The following is a list of questions that patrol officers should be asking
themselves at the scene of a suspected stolen auto:
•
•
•

•
•

Are there signs of theft at the scene (broken glass or a discarded door
lock)?
Was the vehicle parked in its usual location when stolen?
Is there a vehicle parked in the spot where the car was last seen; if it was
a recent theft, is the new car’s hood still warm? (A cold hood could be a
sign that this auto has been parked in the spot for an extended period of
time).
When at a shopping mall, supermarket parking lot: does the person have
packages?
Is the person alone? Did he or she call someone for a ride before calling
the police?

When you are conducting an interview of a person who has reported a
stolen vehicle, emphasis should be put on details; remember, about 1 in 3
Americans believe it is acceptable to commit insurance fraud. When an
individual reports his or her vehicle stolen, the responding officer will give the
complainant a copy of a Vehicle Theft Preliminary Investigation Report and
Vehicle Theft Supporting Deposition to prepare and sign. The complainant
signs this report and, if the report is false, the individual can be charged with the
above defined crime of “Making a Punishable False Written Statement.”
Listed below are general guidelines to follow while interviewing a victim.
These questions will help to determine if a person may be committing insurance
fraud.
•
•
•
•
•
•

Is the person unusually calm, unconcerned or extremely nervous?
Is the person giving vague or inconsistent facts?
Is the auto leased and have excessive mileage?
Is the person able to relate exactly where the vehicle was parked?
Was the vehicle for sale prior to loss?
Is the person in possession of the keys? (Many fraudsters will give the
vehicle keys to the person who is disposing of their car or dump the
vehicle with the keys still in the ignition. If the person does not have the
keys in their possession, this is a strong indication of fraud).

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Preparing the Complaint Report
When preparing the Complaint Report, ensure that it contains a complete
and accurate description of the vehicle. The reporting person should be
identified and the specific time of the theft pinpointed as closely as possible. The
report should indicate if any ownership documents (especially registration
certificates) were in the vehicle at the time of the loss. The report must contain
the correct VIN. If you are suspicious of a report, make notes and notify the
Patrol Supervisor, Precinct Detective Squad, or Auto Crimes Unit.
Note: As stated earlier, some people will report their car stolen after it
was used in a crime (leaving the scene of an accident, hit and run,
robbery, etc.). Review all computer records to ensure that the auto was
not recently involved in a police incident.
Investigating a Recovered Stolen Auto
Although officers are trained to recognize fraud at the point of the initial
complaint, it is still difficult to uncover all fraudulent claims. Many times the signs
of fraud are more prevalent when the vehicle is subsequently discovered. When
an officer comes upon a recovered stolen auto, an investigation should be
conducted and fraud signs should be noted on the Complaint Follow-up (if
necessary), Motor Vehicle Invoice, and activity log. Common signs of an “owner
dumped” vehicle include:
•
•
•
•
•
•
•
•
•
•
•
•

Autos recovered by the owner or friend of the owner;
Autos recovered with keys still in the ignition;
Recovered auto is late model with high mileage;
Auto recovered with destroyed odometer (possibly to cover high mileage);
The steering lock mechanism is not broken;
The ignition system is not damaged;
Auto recovered with excessive vandalism (ensuring a total loss);
Vehicle is completely burned out with recent body damage;
Vehicle is recovered soon after report and has recent damage;
Vehicle is recovered soon after report at the scene of a crime;
License plate does not match vehicle;
The VIN is not riveted to the dash or does not match the registration.

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Preparing the Motor Vehicle Invoice
When preparing the Property Clerk’s Motor Vehicle Invoice for a
recovered auto, the officer must be specific and note all damage and any signs of
fraud. Noting all damage will preclude any corrupt auto body shops from
accentuating the damage on the recovered auto (the greater the damage the
higher the insurance settlement). Accurate invoices will hinder this “after-the-fact”
type of fraud. Noting any signs of fraud will assist any public or private
investigation into this incident. Specific notes should be made regarding:
•
•
•
•
•

The condition of the ignition;
The condition of the engine and transmission;
Missing parts that were carefully removed as opposed to parts that were
torn from wires or hoses;
Any receipts in the vehicle relating to auto repairs;
Any missing VIN plates or identification stickers.

A crime that is closely related to auto theft fraud is property theft fraud. In
both instances a person is falsely claiming that property was stolen. Once again,
the major underlying motivator is money.

PROPERTY THEFT FRAUD
Property theft fraud usually occurs after a legitimate theft has occurred.
The victim of the theft realizes an opportunity to exaggerate his or her losses and
collect a large sum of insurance money. Other scams may include false claims of
theft to avoid payment on lost or broken leased merchandise. This merchandise
includes, but is not limited to, cable converters, cellular phones, computers, and
computer peripherals. The problem lies in the fact that these objects are also
common targets for thieves. The patrol officer must then thoroughly investigate
the crime to determine if there was a legitimate theft or if fraud may be involved.
Investigation and Interview
When responding to a call of a past larceny or burglary, patrol officers
must be aware of the above motivating factors that may cause the victim to
exaggerate or falsely report a crime. When surveying the crime scene (along with
normal procedures) keep in mind the following questions as they relate to fraud:
•
•

Are there signs of forced entry or theft?
Is the victim claiming excessive loss, yet the home does not look
ransacked?

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•
•
•
•

Were the items ripped from the wall, TV, Phone line, etc., or were they
carefully removed?
Are remaining items placed back? (e.g., converter is stolen but TV is not
moved, computer is stolen but desk is not moved).
Is there missing dust where the items were supposedly stolen or is there
an even layer across the area?
Does the stolen property include large amount of cash?

When interviewing the victim, be direct but understanding. The patrol
officer’s duty is not only to uncover the truth, it is to restore calm and remove
fear. Yet, certain questions should be asked that will help identify signs of fraud.
The patrol officer should ask questions such as:
•
•
•
•

Were the stolen items leased or insured?
If cable converter, is cable account active?
Were the stolen items recently purchased?
Does the property owner have receipts for the items? (This question could
be asked under the guise of information gathering on identification
numbers for the items).

The officer should note if the owner of the property is being vague or not
forthcoming with information, or if the victim’s information is inconsistent with
prior statements or common facts.
Preparing the Complaint Report
When preparing a Complaint Report, ensure that all victim information is
inserted, including all phone numbers. Also, ensure that all lost/stolen property is
properly itemized in the report. Although it is not required, many precincts utilize
the Complainant’s Report of Lost or Stolen Property when preparing a report of
lost or stolen property. This report is prepared by the victim and lists all the items
that the victim claims were lost or stolen. The report itself warns of the
consequences of making a false statement. This not only possibly deters a
person from committing fraud, but it also allows the police to charge the fraudster
with “Making a Punishable False Written Statement” if fraud is uncovered.
Lost/Stolen Identification Scams
Recently, several scams have been uncovered where persons falsely
claim to have lost personal identification documents in order to use the police
report to acquire new or duplicate documents or to avoid prosecution for crimes
committed using that personal identification. Any claims of lost identification
should be cross referenced with names of wanted individuals. Although the

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person is claiming that their identification is lost, and that they have lost all valid
proof of their identity, the officer still must establish valid identification prior to
preparing the report.
Note: Recent scams have involved illegal aliens who claimed to have lost
their passport, alien registration card, or naturalization papers. This is
done in attempt to avoid deportation. Any claim of a lost or stolen
passport, alien registration card, or naturalization papers should be
referred to the detective squad prior to the preparation of a complaint
report.

PERSONAL INJURY FRAUD
Personal injury fraud, while not as prevalent, as auto insurance fraud, is
still a common practice among fraudsters. Personal injury fraud or bodily injury
fraud is perpetrated by persons who fake or exaggerate an injury to collect
insurance benefits or collect payment through a lawsuit filed against a business
or municipality.
Some of the most common types of injury scams include:
•

Slip and Fall - Slip and fall scams are among the most widely practiced
types of insurance fraud. This scam involves a “victim” who intentionally
slips and falls on a person’s or business’ property, then attempts to sue
the owner of the property for pain and suffering. A variation of this scam,
known as the “The Big Trip,” occurs when a person “trips” on a broken or
obstructed sidewalk or stairway.

•

The Fake Break – Scammers will use a recent injury to accentuate a
bogus claim.

•

The Chew and Sue - The scammer will claim that ill-prepared food
caused physical injury.

Investigation and Interview
When responding to a report of a person in need of medical attention, be
aware of the above scams. In addition to normal procedures, officers should note
any indicators of injury fraud. Some indicators include:

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•
•
•
•
•
•

Injured person is unusually knowledgeable about insurance terminology
and procedures;
Injured person refuses to be properly identified;
Injured person is transient;
An “independent” witness is quick to support the injured person’s claim;
The owner of the establishment claims that the victim is lying;
Independent witnesses contradict the victim’s allegations.

Workman’s Compensation Fraud
Workman’s Compensation is designed to help persons who were
legitimately injured during the course of their employment. Many programs pay
out up to 100 percent of the person’s pay. This makes workers compensation
insurance an “appealing target” for fraudsters.
When responding to a person injured on the job, patrol officers should be
aware of the following signs of fraud:
•
•
•
•
•

The accident occurred early in the morning on Monday or the first day of
work, indicating that the injury may have happened before the person
reported to work;
The accident occurred in a place that the employee does not normally
work;
The employee was recently hired;
The injured person refuses to make a statement;
There are no witnesses to the injury

Preparing an Aided Report
Due to the fact that New York City endures numerous lawsuits related to
personal injury, special procedures have been introduced to assist the City’s
attorneys in preparing a case when the City may be involved in a personal injury.
Therefore, when an officer prepares an Aided Report for an aided case where
the City may be involved the officer must:
•
•

Check the “City involved” caption of the Aided Report;
Enter the agency code, official diagnosis, and witness’ name, address
and telephone number (if available) in the “Details” section of the Aided
Report.

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CONCLUSION
The above fraud crimes are committed due to motive and opportunity. The
patrol officer’s job is to decrease the opportunity and un-motivate the criminal.
This is accomplished through a thorough investigation. The key to a thorough
investigation of an incident that may contain fraud is the proper completion of the
associated report and the proper interview of any and all witnesses and victims at
the scene. The patrol officer must also remember that the above fraud indicators
are not all inclusive, nor are they, alone, positive indications of fraud. If an officer
suspects fraud in at the scene of an incident, he or she should contact the Patrol
Supervisor or Precinct Detective Squad.

AGENCIES THAT INVESTIGATE FRAUD
New York City Police Department
•

Special Frauds Squad- 212-348-2497- Must be notified for incidents
related to credit cards and confidence games. A duplicate copy of the
Complaint Report for these crimes must also be sent to the Special
Fraud Squad.

•

Intelligence Division- 212-765-4300 – Should be notified if an officer
suspects fraud during the course of an auto accident investigation. The
information will eventually be disseminated to the National Insurance
Crime Bureau.

•

Auto Crime Division- 718-217-8515- Investigates incidents involving auto
insurance fraud, specifically auto theft fraud. Officers suspecting auto theft
fraud should notify the Precinct Detective Squad, who will confer with the
Auto Crime Division.

•

Fraudulent Accident Investigation Squad – Investigates insurance
fraud related to auto accidents. The squad is separated into two units.
One unit covers Brooklyn, Queens, and Staten Island – 718-875-6287.
The second unit covers The Bronx and Manhattan -718-822-5280.

•

The Police Impersonation Unit- Investigates all robbery police
impersonation complaints and other serious crimes involving police
impersonations. The precinct Detective Squad will be responsible for
other criminal impersonation complaints. In ALL cases of suspected
police impersonation, a notification to Internal Affairs Bureau Command
Center at-212-741-8401 is required and a log number will be assigned.

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New York City District Attorneys
All five District Attorneys maintain units that specifically investigate fraud.
To contact a specific fraud unit within the District Attorney’s office, contact the
D.A.’s main phone number within the borough of investigation.
State Agencies
•
•

New York State Insurance Department, Insurance Fraud BureauInvestigates insurance fraud throughout the state. The New York City
office can be reached at 212-480-6074.
New York State Attorney General, Auto Insurance Fraud UnitConducts long term investigations on organized auto insurance fraud
rings, including staged accident rings, medical mills, and corrupt law firms.

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APPENDIX

NEW JERSEY DRIVERS LICENSE NUMBER SYSTEM

SAMPLE LICENSE NUMBER

N2963 26763 09704

SAMPLE LICENSE NAME

FORFUN C NEWJERSEY

{N2963}

LAST NAME

FIRST LETTER OF LAST NAME

{26763}

MIDDLE INITIAL CODE FOR LAST TWO DIGITS

A

61

J

71

S

B

62

K

72

T

82
83

C

63

L

73

U

84

D

64

M

74

V

85

E

65

N

75

W

86

F

66

O

76

X

87

G

67

P

77

Y

88

H

68

Q

78

Z

89

I

69

R

79

NONE

00

{09704}

MONTH & YEAR OF BIRTH + EYE COLOR

Note:

Females will have 50 added to actual month (51 -62)

Example:

February will be 52 instead of 02

EYE COLOR CODES
1- BLACK

2- BROWN

3- GREY

4- BLUE

5- HAZEL

6- GREEN

7,8,9- SPECIAL CODES

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POLICE STUDENT’S GUIDE
Community Policing and Problem Solving

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT COMMUNITY POLICING?
During the 1970s, police departments throughout the United States began
a reassessment of their patrol styles. In an effort to restore public confidence and
to demonstrate interest and care while enforcing the law, police departments
experimented with community policing. Although critics claim that community
policing is nothing more than a rehashing of the beat patrol concept – in which the
local officer gets to know his or her beat well – it is more than that. Community
policing is the systematic blending of citizen concerns and police resources
dedicated to aggressive crime prevention and improvement of the community’s
quality of life. Community policing is a dynamic concept that involves the
community in helping the police solve problems, and that requires the individual
police officer to seek input from the community. It encompasses the philosophy of
power sharing. Former New York City Police Commissioner Lee P. Brown
defined community policing as:
"A partnership between the police and the law-abiding
citizens to prevent crime, to arrest those who choose
to violate the law, to solve recurring problems where
we tend to go back to the same places over and over
again, and to evaluate the results of our efforts. The
whole objective is to improve the quality of life in the
neighborhoods throughout the city.”
Your responsibilities will include forming and maintaining a relationship
with members of the community in an effort to address their needs and, in turn, to
gain the assistance and trust of the citizens you will work for and with.

PROBLEM SOLVING
The New York City Police Department has made a significant commitment
to community policing. Its structure is that of the community oriented patrol
program, and its principal mode of operation is one of problem solving. The
police officer, in cooperation with the community, is now able to identify problems
and to provide solutions for those problems.
In this role, we will expect that, instead of treating recurring problems on
your post or in your sector as unrelated and as occurring in a vacuum, you will
look for the connections among them, and will then try to identify and address
their causes. If, for example, you find yourself repeatedly responding to the same
complaints about the same noisy teenagers on a street corner, it might be a good

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idea to try to identify and work with some community institution – a church, a
school, a park – that might be able to make available a recreation center or other
place where the kids can congregate without disturbing the neighbors.
Despite the Department’s commitment to community policing, it is not
always easy to engage in the problem solving it involves. Because of other
demands, like responding to radio calls, it often is impossible to find the time
necessary to engage in problem solving. Still, it should be a priority to do so. No
other police department responds to the volume of calls for service that are
dispatched in New York City. Research has shown, however, that the number of
radio calls is reduced by the implementation of problem solving skills, making
community policing an important and effective tool. Therefore, it is important to
understand the process and skills necessary to become a problem solver. This is
explained below:
The SARA Model
As with any skill, some people seem to be better problem solvers than
others. The most successful of these seem to have a natural ability to get to the
root of the problem and work out an effective solution. But successful problem
solvers are not born with this skill. Instead, their experience and education
teaches them the techniques they use so effectively. If followed, the problem
solving process can assist anyone in formulating solutions to obstacles at hand.
Many of the scholars and experts who have written about problem solving
describe this method as the SARA Model. It uses the following steps:

Scanning:

Scanning the work environment in order to discover and identify
problems.

Analyzing:

Analyzing the problems that were identified during the scanning
step.

Responding:

Designing and implementing a response tailored to solve each
problem.

Assessing:

Assessing and evaluating the degree to which each problem has
been addressed by the response, and modifying the approach
where necessary.

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SCANNING: DISCOVERING AND IDENTIFYING PROBLEMS
Sometimes problems are obvious. However, there are times when an
investigation is required to identify the real problem you’re dealing with. In the
simplest terms, a problem is anything that can have a negative effect in the
community you are working in; it is something that causes harm to
members of the community, or a potential source of disorder. The problems
we encounter are generally a source of great concern to residents of the
community, and they are not likely to dissipate on their own. Almost always, they
require us to take some corrective action.
Looking for and Discovering Problems
Police officers can learn about community problems in a wide variety of
ways. These include:
•

Personal observation and interaction while on patrol. An important part of
community policing is talking with people. In some places, researchers
have found, police officers very rarely speak to citizens except when they
are on radio calls, issuing summonses, or investigating suspicious
behavior. When you demonstrate your interest in the people on your posts
or in your patrol car sectors by taking the time to talk with them, you will
learn about their concerns and how you might work to address them. This
process will later prove critical to your success in dealing with people
during crises and emergencies. If the people in such situations – like crime
and accident victims or witnesses with important information – have
already come to know you because you have reached out to them or their
neighbors, it will be much easier for you to accomplish your job.

•

Talking to other police officers and members of the precinct staff.

•

Reviewing department records, not just complaint reports, but also any
record that can help to identify or shed light on a problem.

•

Communications (citizen complaints) received, either directly at the
precinct or referred through channels, are a good source of information on
matters that were important enough for the community to bring to our
attention.

•

Reading the local press. Local newspapers are major sources of
information about problems in the community.

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Identifying Problems. Is it an incident or a problem? Every incident
that is reported to you, either through a complaint report or by a citizen calling it to
your attention, should be thoroughly reviewed. One of the first questions you
must ask is whether it is an incident or a symptom of a problem. It may be a onetime occurrence arising from circumstances not likely to reoccur. On the other
hand, the incident, like the tip of the iceberg, may be symptomatic of a larger
problem.
Verifying Problems. Stating the problem as you see it, to the various
community groups, will confirm or clarify your assessment.
Taking Interim Action. When an incident or a problem is brought to your
attention, you should take some immediate interim action if appropriate. This
could involve enforcement, issuing warnings, referrals or other short term
responses.

ANALYZING
Problem analysis is simply finding out what the problem is all about. This
is important because problems differ in important details and must be fully
understood if a workable solution is to be found. Analysis is aimed at identifying
and understanding the factors that give rise to the problem, contribute to its
persistence, or prevent its correction. Once identified, all of these factors become
potential targets for change as part of a strategy designed to correct the problem.
Factors to Consider
Problems generally arise from the interaction of people. For example,
someone does something that causes fear or actual harm to someone else.
Sometimes, the initial action causes a reaction from the person(s) affected by it.
To begin to understand a problem, we must begin looking at who the actors are,
what they do, how they react, and what the effects of these actions are.
Actors: Some problems may only involve a few people. Others may
involve entire communities. It is important to identify who is involved in a problem
(the actors) and in what way.
Offenders: While a problem may result from a physical condition (e.g.
garbage accumulation), there is generally an offender, the person or persons
whose actions cause the harm or fear. Who are they? What are their primary
characteristics? Why do they act as they do?

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Victims: Victims are the persons who are harmed by the actions of the
offender. Who are they? What are their characteristics? Do they belong to a
particular group that is being targeted? Have they been made aware of specific
dangers in certain areas?
Third Parties: In many situations, there are other people involved, also
known as third parties. Some of them may likely be witnesses, supporters of the
victims, or supporters of the offender. Who are they? How are they involved?
What are their interests? Are they actually helping to create - or aggravating problems between others in order to serve their own purposes?
Actions: Looking at what took place involves more than just focusing on
what each of the actors did. It involves looking at the whole physical and social
context of the incident(s).
Physical Settings: The physical setting of a problem is the location in
which it occurred or exists. Important questions to resolve on this point are:
•

What is the physical setting in which the incident(s) took place? Is it
indoors? Outdoors? Is it in a place in which some other agency or
institution – the Housing or Transit Authorities; the Social Service
Department – can be of help?

•

Are there environmental hazards that contribute to the problem (e.g.
absence of street lighting, obstacles obstructing pedestrian visibility,
abandoned buildings, etc)?

•

Is there something connected to the locations that contribute to the
incidents (e.g., environmental hazards, focal points of community activity
such as subway entrances, etc)?

Social Context: The social context of a problem involves the people who
cause or are affected by it. Special considerations here include:
•

To what groups (social, ethnic, religious, criminal, etc.) do the offenders
and victims belong? Is there a history or long-term misunderstanding
among them that may explain the current situation? Are they in conflict?

•

What interests motivate the offenders?

•

What actions by the victims contribute to their vulnerability?

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Sequence of Events: You should focus on the following:
•

What specific events create the problems?

•

What do the offenders do? To whom? With whom? How? When? Why?
Where?

•

What are the sequences of events that produce the problem?
Results of Events: Focus on:

•

What are the effects of the action?

•

How do they react?

•

Who else witnesses the action?

•

How do the witnesses react?

Responses or Reactions: How do persons or institutions react to the
actions or problems?
Institutions: This involves the public, private, and community
organizations affected by the problem, including those who might be called upon
to help solve it. Depending on the problem, these might include the NYPD and
other government agencies; churches, synagogues, temples, and religious
organizations; schools; local resident and merchant associations. Questions to
consider here include:
•

How do public and private agencies (including the police) view the
problem?

•

What have they done about it?

•

With what results?

•

What might they be interested in doing now?

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Communities: This includes residents, merchants, and those who do
business in an area. Consider:
•

How do the residents of the neighborhood view the problem?

•

What have they done about it?

•

With what results?

•

What might they be willing to do now?

Determining Problem Seriousness
This step should involve some collaboration, and some input from different
people. Often, what seems like a minor annoyance to some can be a cause of
great potential violence to others. A barking dog chained day after day in
somebody’s backyard, for example, may eventually cause a neighbor – who
works nights and is losing sleep – to act against the dog and/or its owner.
Whenever possible, you should get more than one point of view on community
problems.
Collaboration is important for another reason, as well. Many of the
problems you will encounter for the first time will be new to you, but they – or
other problems much like them –may not be new to others. Often, these
problems have surfaced in the past, either where you work or in other places,
and, sometimes, in slightly different form. Before you make any decisions about
how important a problem is and what to do about it, you are well-advised to
consult with others about it. These others might include senior officers,
supervisors, and other citizens with whom you have already built relationships.
In determining problem seriousness, you should consider the following:
•

Is this a serious problem requiring a response? If not, why not?

•

If it is a serious problem, how can the community and relevant institutions
become aware of its seriousness?

•

If it is not a serious problem, what should be done about it?

•

Is anyone aware of the total cost of the problem to society?

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Concern and cooperation can sometimes be gained if people are made
aware of the impact of the problem on their well being as individuals or as a
community. The negative effect of the condition can be physical, psychological,
economic, or societal.

RESPONDING
In designing a response to a community problem, several objectives must
be kept in mind:
•

The strategy chosen must go beyond the incident and address the
underlying problem. Interim actions address incidents; solutions
address problems. In the example given at the beginning of this chapter,
responding to the noisy kids on the corner is an interim action; locating a
recreation center that the kids can use is a solution.

•

The strategy should be aimed at providing a long-term solution to the
problem.

•

The solution should provide a substantial improvement for the residents of
the community, reducing both harm and fear of future harm. The strategy
should also be aimed at reducing police workload by eliminating the
problem.

Types of Solutions
Eliminating the problem by using the best solution may not always be
possible. Instead, we sometimes must be satisfied with:
•

Reducing the frequency of incidents arising from the problem, and/or;

•

Reducing the harm to the public from such incidents, and/or;

•

Improving the public’s perception of the way the police handle the problem.
This is not an invitation to do a public relations job. Be honest with the
people and let them know what the Department is trying to do about the
problem. In doing this, remember that, if you don’t know the answer, don’t
make one up.

•

Clarifying responsibility for the problem and advising the public.

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Developing a Strategy
In the sections on identifying and analyzing problems, you were told to
gather information on a number of factors – identity of actors, physical settings,
social context, etc. – as possible intervention points in designing a solution to the
problem. Each should now be considered in developing a strategy to deal with
the problem:
•

Altering the behavior of the actors: offenders, victims and third parties.

•

Changing other dimensions of the problem: physical setting, social context,
sequence of events, and results of events.

What Types of Solutions Can Be Employed?
There is no one certain solution that will be effective every time when trying
to formulate a plan of action. However, some of the types of solutions that have
been successfully used in the past are listed below. This is not all-inclusive or
detailed, and is provided only to acquaint you with some possible approaches to
think about when trying to solve a problem. In using them, don’t limit your
approach to any single tactic. Instead, try to see how a number of different
approaches can be combined to have a long lasting effect on the problem.
•

Identifying high-risk offenders, locations or victims, and targeting them for
special attention.

•

Supporting existing relationships of social control – parents, churches,
schools, community organizations, as a means of influencing and
controlling behavior of persons responsible for creating problems.

•

Organizing and assisting the community to get directly involved in solving
their problems.

•

Addressing social and economic conditions that may be contributing to
problem behavior.

•

Coordinating the police response with the responses of other governmental
agencies. Is there something the Fire Department, the Buildings
Department, the Education Department, or the Sanitation Department can
do to help?

•

Communicating with the public.

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•

Enforcing relevant laws intensively to address a particular problem.

•

Increasing police presence and intervention.

•

Changing the physical environment to reduce the likelihood that problems
will occur.

Get Help in Developing a Solution
Problem solving is not a one person undertaking. Seek and get all the help
you can. Among those who can be helpful are:
•

Other Police Personnel: Other members of the command and
specialized units can contribute both to the understanding of a problem and
to its solution. Among these are RMP crews, Community Affairs Officers,
Crime Prevention Officers and Anti Crime personnel.

•

Public and Private Agencies: Persons working in other public or private
agencies can contribute to the development of a strategy to deal with a
problem.

•

Community Organizations: Members of community organizations, civic
organizations, block associations, tenant organizations, merchant groups,
etc. can all be of assistance in both developing and contributing to the
solution of a problem.

•

Individual Citizens: Discuss the problem with local residents, both those
directly concerned and those who may be helpful in developing a solution.

Identify the Obstacles That Must Be Overcome
What are the barriers to affecting a solution to the problem? Who will be
against it? How do we get their cooperation? Are there legal barriers or policy
considerations that must be overcome? What is the cost of correcting the
problem? Can the necessary resources be obtained?
Develop a Plan of Action
This step involves several components:

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•

Establish Goals and Define Objectives: Determine what changes you
want to ultimately accomplish - the goal, as well as the changes in behavior
of the citizens, the police and/or other interested agencies which must be
brought about in order to achieve the goal or the objectives. Objectives
should be as specific as possible. They should set a standard, or set of
standards, by which success can be measured.

•

Specify the Steps to Accomplish the Goals: Determine what must be
done, by whom, and when to make the plan work.

•

Identify the Resources Needed to Make the Plan Work: Get all the help
you can. There are a number of resources that an officer should consider
in developing a problem solving strategy. Sometimes all of the resources
will not be available, but they should always be considered.
1. The most available resource is, of course the officer. What is
your role in implementing the strategy?
2. Precinct resources: How can other precinct personnel, RMP
units, Anti-Crime, etc., assist in implementing the strategy?
3. Other Department resources: What other Department units can
be of help in dealing with the problem? Can their help be
obtained? Who will coordinate?
4. Other city or private agencies;
5. Community organizations;
6. Individual citizens.

•

Develop a Timetable: Determine how the plan is to be carried out, the
order in which the activities need to be performed, and establish a
timetable for its implementation.

Consider Alternative Plans
Consider different ways of approaching the problem. Review each of these
tentative plans in terms of its benefits and liabilities. Sometimes the best plan
cannot be implemented, either because it is not possible to get the resources
necessary to carry it out, or for some other reason. Consider each, and then
select the best option available to you.

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Don’t be limited by traditional police responses. There is nothing wrong
with enforcement as a tactic, but it has limitations, and with some problems it just
doesn’t work. Be creative and go at the problem from several different directions.
Don’t limit your response to one tactic. Think in the long term. If the initial
strategy is successful in eliminating or reducing the problem, what else is
necessary to keep from losing the benefits you have obtained? How do you keep
it from reoccurring?
Implementing the Response
If all the steps leading up to implementation have been successfully
completed, the plan should be implemented as scheduled. In doing this, several
things should be kept in mind.
•

You should stick as closely as possible to the strategies that were agreed
upon in designing the plan and gaining concurrence for it.

•

Be flexible. If the initial strategies do not seem to be working, or if
conditions change, don’t be afraid to modify your response accordingly.
However, if others are involved, keep them abreast of changes in direction.

•

Provide for as much feedback as you can during the plan’s implementation.

•

Keep records as you go along. Make entries in your activity log; keep a file
of the complaint reports arising from the problem.

ASSESSING
Assessing the effectiveness of the response is an essential part of the
problem solving process. Without evaluation, we can never be sure if the strategy
we have implemented is having the desired effect, or indeed any effect on the
problem.
Evaluation begins on the day that the strategy is implemented. Evaluation
deals with more than just results. Information gathered for evaluation purposes
can tell us many things such as:
•

Is the solution being implemented? Has the plan been implemented as
designed? Are other people doing their part?

•

Do the initial results indicate a need to modify the plan of action?

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•

Do the initial results indicate the need to look for an entirely new solution?

•

Does the plan appear to be working?

Developing Evaluation Measures
To determine if the plan of action is having an effect in dealing with the
problem, we must develop measures which show if the strategy is working or not.
These measures should be designed to show the effect of the strategy on the
goals of the plan:
•

Has the strategy eliminated the problem?

•

Has the frequency of incidents been reduced?

•

Has the harm from the incidents been reduced?

•

Has the police handling of the problem been improved, and does the public
perceive this?

•

What were the effects of the strategy on the actors and other dimensions of
the problem?

•

What was the effect of the strategy on the institutions and organizations
involved or concerned?

•

Was the plan sufficient to deal with the problem?

•

What type of feedback has been received from those affected or involved?

•

What are the appropriate measures for determining the effectiveness of the
plan?

There are a number of techniques that may be used to evaluate the
effectiveness of the plan. All are designed to determine if the plan was effective in
accomplishing its goals. Whichever method of evaluation is chosen, its underlying
goal is to determine if anything has changed as a result of the implementation of
the plan. At this point, you should gather and evaluate the same kinds of
information that led to their identification of the plan in the first place.

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•

Your personal observations while on patrol. Has anything changed? Does
the strategy seem to have alleviated or eliminated the problem?

•

Talk to other police officers working in the area and members of the
precinct staff. Do they have any information on the problem? Do they
observe any change in its magnitude?

•

Review police department records. Are there any changes in the number of
incidents, their severity, their frequency, etc.?

•

Conduct crime analysis. Has the crime pattern changed (i.e., hours of
occurrence, location, etc.)?

•

Talk to representatives of other governmental agencies. Do they have new
information on the problem? Has their perception of the problem changed?

•

Talk to representatives of local civic organizations (e.g. block associations,
merchants associations, etc). Do they have new information on the
problem? Has their perception of the problem changed?

•

Talk to the people who live and work in the area. What can they contribute
to your understanding of the success or failure of the strategy?
Keep in mind that the basic purpose of gathering this information is:

•

To determine the levels of success or failure of the plan.

•

To determine the reason for the success or failure of the strategy.

Draw Conclusions from the Data You Have Gathered
Did the plan succeed? If so:
•

Make sure that the plan was implemented as designed. If it was, chances
are that the solution worked and you should continue monitoring the
situation to prevent recurrence.

•

If the problem was solved but you discover that the plan was not really
implemented as designed, try to find out what really affected the problem
so that you can use that information in the future for similar problems.

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If the Plan Failed to Affect the Problem, Determine:
•

Whether the plan was actually implemented as designed? If it did not
generate an answer, you should go back to the problem analysis to
determine a new approach.

•

If the plan was not implemented as designed, try to find out why. Can it be
implemented? If not, go back to problem analysis and work on developing
a new solution.

Begin Again If Necessary
Not every strategy designed to solve a problem will be successful. When
evaluation discloses that the designed response was not totally successful in
addressing the problem, the problem solving process should begin anew.
•

Focus on what you have learned through experience and evaluation.
Review what you have done and what results those actions produced.

•

Is the original description of the problem valid? Did you identify the real
problem or problems? Would you still define the problem in the same
terms, given what you have learned through attempting to deal with it? If
not, how should the problem be redefined?
Go through problem analysis again. See if anything you learned changes
the way you analyze the problem.

•
•

Design a new response. Review what you learned from the evaluation of
your first plan and make necessary changes. If necessary, change your
focus. If you can’t make the problem go away entirely, what can you do to
reduce it?

The foregoing steps can be adapted for use in solving all types of
problems. Begin to use them to solve problems that you encounter on patrol if
time permits. Use some of these techniques to make yourself a more efficient
police officer, better able to serve the community.

COMMUNITY POLICING AND SMALL BUSINESS
Community policing has proven to be the most efficient way of policing in
such a culturally diverse city as ours. A major part of the community we serve
consists of small businesses, owned and operated by virtually every group found
in the city. The small business owner/operator is a vital link in the problem solving
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approach to community policing. A small business owner/operator can often be
the primary provider of information pertaining to a community problem. The
owner/operator may also be able to identify the actors, (victims, offenders and
witnesses) or provide feedback regarding the solutions. Therefore, it is essential
that we understand the issues/problems facing small business today.
Many small business owners may feel they are overregulated by the city,
state, and federal government, and are not consulted regarding the legislation,
operation, growth, and expansion of small businesses. Proposed legislation is
often not analyzed for its impact on the small business community prior to
passage and enactment (e.g. taxes, new zoning regulations, parking
regulations/restrictions). They are subject to code violations from the Department
of Buildings, the Fire Department, the Sanitation Department, and the Department
of Health, etc. Therefore it is imperative that you, a representative of government,
establish a relationship that works towards their goals. Remember, they have a
vested interest in the community; it is up to you to seek their opinions and
concerns about how to improve the overall quality of life.
One such concern is the presence of illegitimate competition. The
proliferation of unlicensed peddlers and illegal activities of licensed/unlicensed
vendors/peddlers citywide has created unfair competition and a multitude of
problems for small business, property owners, and local merchant/business
groups. Incidents such as burglaries, larcenies, and undesirable customers make
it difficult for the small business owner to operate profitably.
Small business owners are truly the backbone of the community. They can
be a valuable resource and a source of information that may make your problem
solving endeavors easier. A community’s vitality can be measured by the
success and failure of the small business owner.

CONCLUSION
Community policing has become the modern day style of policing in today’s
society. The New York City Police Department has adapted this approach of
policing, utilizing it in its patrol force. The department has bridged the gap
between the police and the community resulting in a positive and effective form of
policing.

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CASE STUDY #1
There is a park on your beat. Instead of being used for its intended
purpose (children playing, etc.), it is exclusively being used by drug dealers to
carry on a flourishing illegal business. Despite increased summonses and arrests
by beat cops, the problem continues. What might be a better approach to solving
the problem?
CASE STUDY #2
There is a large apartment building on your post in which, a representative
of the tenant association informs you, ten apartments are being used as drug
dealing locations. What would you do to solve the problem?
CASE STUDY #3
The local grammar school is surrounded by abandoned buildings and
empty lots. The buildings and lots are being used by local drug addicts as
shooting galleries and for other drug activity. During school recess, many of the
students spend their time picking up used needles, showing them to each other
and the teachers. What can you do to solve the problem?
CASE STUDY #4
An abandoned lot on your beat is being used as a garbage dump. Piles of
trash, refuse and debris make the lot an eyesore to residents of the community.
What can you do to solve the problem?
CASE STUDY #5
An intersection on your post has become an accident-prone location.
There has been a recent increase in vehicular and pedestrian accidents. What
can you do to solve the problem?

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PROBLEM SOLVING/COMMUNITY POLICING WORKSHOP
PROBLEM 1:
You have a beat where residents and storeowners complain about their
property being defaced by graffiti. Each time they paint over the walls and gates
that were spray painted, the kids come back and do it again. What offenses, if
any, does this involve? What would be a traditional police approach to this?
What would be a non-traditional, community policing, approach to it?
A.

What offenses, if any, have taken place?

B.

Traditional Approach:

C.

Non-Traditional Approach:

D.

What Patrol Guide procedure(s), if any, applies to this case?

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PROBLEM SOLVING/COMMUNITY POLICING WORKSHOP
PROBLEM 2:
There are a number of restaurants and nightclubs on your beat. On any
Thursday, Friday, or Saturday evening, vehicles are often double and tripled
parked, causing traffic jams and other parking difficulties. The Community Board
has notified the Commanding Officer of the Precinct on numerous occasions
about this situation. There have also been numerous verbal and physical assaults
resulting from this parking condition.
A.

What offenses, if any, have taken place?

B.

Traditional Approach:

C.

Non-Traditional Approach:

D.

What Patrol Guide procedure(s), if any, applies to this case?

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PROBLEM SOLVING/COMMUNITY POLICING WORKSHOP
PROBLEM 3:
At a local playground adjoined by two elementary schools, groups of
people congregate between 1200 and 1500 hours, drinking alcohol from brown
paper bags. They pass around what appears to be little pills and other forms of
medication. For the past five months, the Community Board has brought this
situation to the attention of the Precinct Commanding Officer.

A.

What, offenses if any, have taken place?

B.

Traditional Approach:

C.

Non-Traditional Approach:

D.

What Patrol Guide procedure(s), if any, applies to this case?

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PROBLEM SOLVING/COMMUNITY POLICING WORKSHOP
PROBLEM 4:
There is a softball field on your beat across from a residential complex.
Every Sunday, league games begin at 10 A.M. and continue until 5 P.M.
Numerous people gather to watch the games and barbecue on the sidewalk.
There are never reports of crimes, yet the residents argue that vehicles are
double, and sometimes, triple parked, and their driveways are blocked. They also
complain of the noise and the long hours of the games played. The league
officials state that they have proper permits for the use of the field, and although
parking is limited, no other violations of laws are committed. The league has
been in operation for several years. Both sides (league officials and residents)
complain to you about the other.
A.

What crimes, if any, have taken place?

B.

Traditional Approach:

C.

Non-Traditional Approach:

D.

What Patrol Guide procedure(s), if any, applies to this case?

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MANDATORY PATROL GUIDE READING
The following are Patrol Guide procedures that must be added to this
chapter – Community Policing and Problem Solving. These procedures must
be read in conjunction with this chapter. Questions for the 3rd Trimester Exam
may come from these procedures:
P.G. 212-62
P.G. 212-63

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Quality of Life Policing

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT QUALITY OF LIFE POLICING?
Most people, including the police, long thought of police work strictly in terms of
law enforcement. Certainly, it is critical that we enforce laws when they are violated,
but it is at least equally important for us to do everything possible to see that they are
not violated in the first place. Large numbers of arrests occur only when we have not
succeeded in preventing crime and the victimization it involves. Indeed, every arrest
can be viewed as evidence of a failure to prevent a crime.
When we prevent crimes against people and property, we protect life and
people’s investments, which represent the fruits of their hard work. When we prevent
crimes against public order, we make the City more civil, peaceful, friendly, and less
threatening. This encourages people to come to and stay in the City because the
quality of life is high.
For us, quality of life means making sure that people enjoy their neighborhoods
and other areas of the City without fear that they will be victimized or exposed to the
kinds of threatening or offensive conditions that scare people off. It typically involves
working with the community to identify and eliminate minor incivilities, to preserve the
peace, reduce fear, and maintain order. Often, this requires us to address offensive
conditions rather than major individual crimes. It has taken us a long time to come to
grips with this because, for generations, we and the prosecutors had been oriented
almost exclusively to spectacular and high profile cases, and paid little attention to the
thousands of little offenses – noisy street corner groups, loitering prostitutes, drunks,
drug abusers, abandoned cars, graffiti, and the like – that make a neighborhood a place
to be avoided, and that can eventually cause it to be abandoned. Our recent history
shows that we have been more effective than any other police agency in solving big
cases. At the same time, we have also created and implemented new strategies that
have greatly improved the City’s quality of life and brought new vitality to areas that
were in great decline. This is a different and far more vital city than it was a generation
ago, and this Department’s efforts have had much to do with that positive change.
Many of these efforts have focused on preventing and taking enforcement action
against the minor offenses that, when committed by the hundreds, have a terrible
impact on the City’s quality of life. You need to know a bit of this history and, more
important, you need to know how to do your part to see that the positive changes
continue.

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ORIGINS OF QUALITY OF LIFE POLICING
In 1975, New York City suffered a major fiscal crisis that forced the layoffs of this
Department’s 3,000 junior police officers. Over the next few years, all of these officers
were offered the opportunity to return to the Department, and most did. While this was
occurring, the top executives of the City and the Department rethought the mission of all
the City’s agencies. This process led to recognition that one of the reasons the City
was suffering was that many of its people had become afraid to use its streets and other
public places. Even in areas where crime rates were low, people had come to believe
that the graffiti-ridden streets and subways were dangerous. Consequently, they
abandoned them to street thugs, who did, in fact, drive crime rates upward. To deal
with this, the Department created Neighborhood Stabilization Units, teams of newly
rehired (laid-off) officers. These NSUs performed highly visible foot patrols and were
received very favorably by citizens. Although the NSU officers only infrequently made
arrests or took major enforcement actions, it was clear that they had begun to restore
order to the City’s streets, and to reestablish citizens’ confidence that the City was a
safe place to live and do business. The NSUs demonstrated the great value of highly
visible uniformed patrol in improving the City’s quality of life and the public’s confidence
that the streets and other public places were desirable and safe places to be.
Broken Windows
This thinking was clarified in a very influential article published in the Atlantic
Monthly magazine in 1982. In this piece, political scientist James Q. Wilson and
criminologist George L. Kelling introduced the Broken Windows theory. They argued
that, when low level quality of life offenses were tolerated in a community, more serious
crime would follow. Broken windows, abandoned buildings, public drinking, litter, and
loitering caused law abiding people to believe that their neighborhoods were dangerous
and out of control. When this happened, people stayed in their houses or moved out of
the neighborhood entirely, leaving criminals free to roam.
The major reasons for this, Wilson and Kelling argued, was the traditional police
view described above. Historically, police had targeted crimes that frightened most
people, such as sudden violent attacks by strangers, or were reactive in addressing
crime. Another source of fear that threatened most people, but was not aggressively
pursued were panhandlers, drunks, addicts, rowdy teenagers, prostitutes, window
washers (squeegee-men), and the mentally ill.
This made sense, the prospect of a confrontation with an unruly teenager or a
drunken panhandler can be as fear inducing for a defenseless person as the prospect of
meeting an actual robber. To a defenseless person, the two confrontations have a lot
more in common than policy makers had previously recognized. When people in a
housing development were asked where the most dangerous spot was, they mentioned

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a spot where youths gathered to drink and listen to music, despite the fact that not a
single crime had occurred there. In response to this type of fear, many people avoided
one another and urban decay resulted. The Broken Windows theory encouraged
police to aggressively pursue violators of lower level crimes with aspirations of catching
potential violators of more serious crimes before they actually occurred, thereby
reducing the crime rate and restoring confidence in decent citizens. This was a
significant clarification of ideas that, as the NSU experience suggested, the NYPD had
been contemplating for some years.
Environmental Psychology
In addition to the NSUs and Broken Windows, this Department’s Quality of life
policing efforts have another foundation in environmental psychology, a field that
examines the interrelationship between environments and human behavior. The field
defines the term environment very broadly, to include all that is natural on the planet, as
well as social settings, built environments, learning environments and informational
environments. It is very useful because it helps us to study human nature in ways that
make it possible to assure that environmental conditions help people to be decent and
creative. The field of environmental psychology recognizes the need to be problemoriented, using, as needed, the theories and methods of related disciplines (e.g.,
psychology, sociology, anthropology, biology, ecology).
Several themes help to define this relatively new field:
•

Attention: Understanding human behavior starts with understanding how
people notice the environment. Some of this process is involuntary, as
when people’s senses are alerted because they are in neighborhoods they
regard as dangerous. Other forms of attention are voluntarily, as when
people go to particular places (parks, downtowns) specifically because
they want to see and be stimulated by them. Thus, involuntary attention
often involves negative feelings that the police should try to change (e.g.,
“I live on this street and, without even thinking about it, have to be alert
because it is dangerous around here”) while voluntary attention involves
positive feelings that police should try to make available to people (e.g., “I
love to come home because my neighborhood is such a pleasant, friendly,
and safe place”). This, obviously, is something the police should attempt
to influence.

•

Preferred environments: People tend to seek out places where they feel
competent and confident, places where they can make sense of the
environment while also being engaged with it. When police work improves
public environments, it directly addresses this concern.

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•

Environmental stress and coping: Some characteristics of the
environment cause a great deal of stress. These include noise,
temperature extremes, prolonged uncertainty, and lack of predictability.
These may cause physical illness, helplessness, fatigue, and an absence
of caring for others. Coping with this may involve a number of options.
Humans can attempt to move to more supportive environments (like
leaving the city for the country); or simply by enduring the stress and
escaping it from time to time (unwinding in restorative settings like parks,
natural areas, or simple privacy). They can also seek to interpret or make
sense of a situation in ways that reduce its stressful effects by, for
example, making jokes about it. To the extent that police work improves
public environments, it reduces the need for citizens to be constantly in
high stages of alert.

•

Participation: Environmental psychology is committed to enhancing
citizen involvement in environmental design, management, and restoration
efforts. This requires the police to reach out to communities, to engage
them in building and maintaining their own environments.

All of this requires resources and, in the early 1990s, the City began efforts to
increase the size of the NYPD so that it could work to achieve these purposes. Even
before the merger of the Transit and Housing police into the NYPD, the City allocated
funds to expand the Department by 6,000 officers, so that it could provide the high
visibility presence that was required to improve the City’s quality of life.
Police Strategy #5:
Reclaiming the Public Spaces of New York
Police Strategy # 5, Reclaiming the Public Spaces of New York, was issued by
the New York City Police Department in 1994. The strategy stated that this policy would
emerge as the primary focus of efforts now being undertaken by the NYPD to reduce
crime and fear in the city. By working systematically and assertively to reduce the level
of disorder in the city, the Department proposed to act to undermine the premise on
which more serious crimes seem possible and even permissible.
The primary objective of Police Strategy # 5 was to move New York City toward a
“decent society,” a society of civility where people are free to pursue education,
entertainment, enterprise, and contribute to an atmosphere of mutual respect for their
fellow citizens. The secondary objective of this strategy was to improve the quality of
life for city residents and to reduce disorder. This strategy draws a direct connection
between levels of disorder and “real crime.” By aggressively enforcing the quality of life
offenses we can ultimately reduce more violent crimes.

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Police Strategy # 5 empowered precinct commanders to respond to disorderly
and persistent quality of life conditions. This strategy is successful because:

•

It provides attorneys to work as quality of life counsel with precinct
commanders and aids commanders in addressing vexing, difficult, and
persistent quality of life conditions;

•

It develops precinct-level expertise in decoy operations and conducts
sustained operations against those who would patronize street prostitutes;

•

It gives borough commands and precincts the equipment and resources to
conduct sustained operations to reduce unnecessary noise created by
motorcycles;

•

It authorizes precinct commanders to convene meetings with all bar and
club owners in neighborhoods affected by the sale of liquor to minors, and
explains the laws regarding underage sale of liquor;

•

It authorizes deployment of uniformed supervisors to inspect
establishments that sell liquor and conduct undercover operations against
premises selling alcohol to minors;

•

It emphasizes enforcement of existing laws against harassment, assault,
menacing, disorderly conduct and damage to property that apply to
panhandlers as well as other people;

•

It focused on enforcement efforts against unlicensed vendors and required
licensed vendors to operate within legal constraints;

•

It sought to enforce existing anti-graffiti laws that seek sentences of
community service, requiring violators to engage in clean-up efforts and
expand penalties;

•

It steps up enforcement efforts (summonses and arrests) for repeat
violators who urinate in public, throw empty bottles on the street, or
otherwise litter or are involved in even relatively minor damage to
property; and

•

It institutionalizes the successful approaches against squeegee cleaners
so that precinct commanders can take sustained actions against this
behavior.

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QUALITY OF LIFE OFFENSES
Quality of life offenses include, but are not limited to, prostitution, drug use,
alcohol, noise, graffiti, traffic violations, and panhandling. The Patrol Guide outlines the
procedures and methods used by the Department to target quality of life violations:
•

PG 214-01: The “Padlock Law” Program authorizes the Department to
commence a hearing against a business establishment when two or more
separate arrest incidents (related to the establishment) result in one criminal
conviction of a public nuisance offense.

•

PG 214-02: The Narcotics Eviction Program is a cooperative effort between
the Department and the respective District Attorney’s Office with a goal of
evicting drug dealers from dwellings and commercial locations through the
initiation of proceedings in civil court. When a member of service, (other than a
member assigned to the Narcotics Division), affects an arrest for any narcotics
related offense, or finds narcotics/drug paraphernalia within a building, that
member of service is required to prepare a COMPLAINT REPORT
WORKSHEET, in addition to any other required reports.

•

PG 214-03: The Graffiti Reward Program authorizes the Mayor to pay a reward
of up to $500 to private citizens who give information through a hotline number
that leads to the apprehension, prosecution, or conviction of any person who
violates the Administrative Code provisions regarding graffiti vandalism. When
members of the service respond to a report of graffiti vandalism, they should
arrest the violators if they are still present. In the event an arrest is made, normal
arrest processing procedures should be followed.

•

PG 214-08: The Chronic Abuser Alarm Procedure is geared toward
eliminating police response to locations when three or more alarms, within a
three month period, were determined to be unnecessary or unfounded. Upon
response to an alarm condition (signal 10-11), and when the investigation
discloses transmission of the alarm is unnecessary or unfounded, prepare a
Notice Of Unnecessary Alarm to a person qualified to accept service or place
original in mailbox or under door. Report the disposition (10-90N) to the
Communications Section, and deliver the remaining copies of NOTICE OF
UNNECESSARY ALARM to desk officer.

•

PG 214-10: Unlawful Posting of Signs prevents the unlawful posting of signs
on public streets. Upon observing an unauthorized sign posted on a gutter,
lamppost, telephone pole or tree within the boundaries of a public street or
highway, serve a summons for Administrative Code Section 10-119 to any
person observed posting a sign and remove the sign. Place the sign in the trash.

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•

PG 214-11: Enforcement Activities Regarding Obscenity (Penal Law Article
235) And Public Display of Offensive Material (Penal Law Article 245.11)
establishes guidelines relating to the enforcement of laws regarding the public
display of sexually explicit or offensive material. Whenever a uniformed member
of service observes or receives a complaint regarding the public display of
sexually explicit or offensive material, an immediate notification to the patrol
supervisor should be made. No enforcement action should be taken without the
specific direction of the Legal Bureau.

•

PG 214-12: Unlawful Evictions protects the rights of persons who are being
evicted or who have been unlawfully evicted from their dwelling unit.
Additionally, this includes interruption or discontinuance of essential services
(heat, electricity, water). When a uniformed member of service has probable
cause to believe that a person has been unlawfully evicted from his or her
dwelling unit, the officer should prepare a summons, for each offense, in cases
where the violator is properly identified and the occupant is permitted to re-enter
the dwelling; or effect an arrest where the violator cannot be properly identified or
refuses to permit the occupant to re-enter the dwelling.

•

PG 214-13: Evictions, Repossessions and Civil Process outlines the
procedures necessary to preserve the peace when involved in the enforcement
of eviction warrants or other civil processes. The only assistance that the police
may render to a marshal is the general mandate of the New York City Charter to
preserve the peace and protect life and property.

•

PG 214-14: The Driveway Tow Program allows vehicles to be towed when
blocking a driveway. Upon being directed to respond to a blocked driveway
assignment, the member of service assigned should ascertain if the unoccupied
vehicle is reported stolen and comply with appropriate procedures, determine if
the registered owner of vehicle is also owner/lessee of premises involved, issue
a summons for the violation of Obstructed Driveway (Traffic Regulations 4-07 [c]
[1]) if the vehicle is not reported stolen and the owner/lessee is not involved. The
owner/lessee of premises involved has the option of removing a vehicle by a
licensed tow operator of his choice after a summons has been issued. If the
owner does not exercise an option, PG 218-21 Rotation Tow, should be followed
and a PROPERTY CLERK’S MOTOR VEHICLE/BOAT INVOICE WORKSHEET
must be prepared.

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•

PG 214-22: Weekly Street Conditions Survey & Daily Observations of
Highway Conditions Requiring Corrective Action outlines the guidelines to
notify agencies concerned of Highway/Community conditions under their
jurisdiction that require corrective action. Upon making an observation or
receiving information regarding highway/community conditions requiring
corrective action, a uniformed member of service should take corrective action (if
possible), make an ACTIVITY LOG entry of condition and location, notify the
telephone switchboard operator for entry of the condition, identity of complainant,
and the identity of the reporting officer on the HIGHWAY CONDITION RECORD
(PD 311-151).

•

PG 214-23: Unnecessary Noise Violations sets forth the guidelines to enforce
provisions of the New York City Administrative Code prohibiting unreasonable
noise:

Unreasonable Noise, Not Involving Sound Reproduction Device
When a uniformed member of service hears, observes, or receives a complaint
of unreasonable noise not involving a sound reproduction device, he should interview
complainants/violators about the noise complaint and determine if the noise would be
unreasonable to the ordinary person. If the violation cannot be corrected by warning the
violator, an Environmental Control Board Notice of Violation should be served, if the
violator is eligible, for Administrative Code § 24-218, and the facts should be reported to
the desk officer.
Unreasonable Noise, Involving Sound Reproduction Device
When a uniformed member of service hears, observes, or receives a complaint
of unreasonable noise involving a sound reproduction device, he should interview
complainants/violators about the noise complaint and determine if the noise would be
unreasonable to the ordinary person. If the violation cannot be corrected by warning the
violator and the violator is sixteen (16) years of age or older and otherwise eligible,
serve a summons for violation of Administrative Code § 24-220(a) returnable to Criminal
Court and enter in the information section of the summons, “Respondent did operate
sound reproduction device at a level unreasonable under the circumstances thereby
causing annoyance to persons in the vicinity,” and seize the device and process as
evidence. If the violator is at least seven (7) and less than sixteen (16) years of age, a
JUVENILE REPORT (PD 377-151) shall be prepared instead of a summons and the
sound reproduction device will not be seized.
•

PG 214-24 and PG 214-25: VEHICLE ALARMS outlines the enforcement action
when a vehicle alarm is activated and does not cease to sound within three (3)
minutes or when an audible status indicator is operated on a vehicle.

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When uniformed members of service is notified or becomes aware that a motor
vehicle alarm has been activated and the owner is not present, they should make an
ACTIVITY LOG entry of the time when the audible alarm was first observed. They
should then attempt to locate the owner of the vehicle. The owner of a vehicle with an
anti-theft alarm installed is required to prominently display the telephone number of his
local precinct inside the vehicle when parked on a public street, highway, or in a parking
lot open to the public. In addition, each patrol precinct maintains a Motor Vehicle Alarm
File that lists the name, address, telephone number, and license plate number of
residents who have had anti-theft vehicle alarms installed and notified the precinct. The
member of service should contact the desk officer of precinct concerned and request
that owner be notified to disconnect the alarm. If the owner is not located and access to
the engine or passenger compartment is possible, the member of the service should
attempt to disconnect the alarm wire from the battery cables. If either compartment is
not accessible, the Emergency Service Unit should be requested. An ACTIVITY LOG
entry will be made of efforts to deactivate the alarm and any damage to the vehicle that
resulted from such efforts. A hand-written notification to the owner of the vehicle should
be placed under the windshield wiper explaining action taken, if personal notification is
not made. This procedure only applies to vehicle alarms. A member of service should
not attempt to deactivate building alarms, however a summons may be issued if the
building alarm does not deactivate within fifteen (15) minutes.
If the alarm is still audible after three minutes and all reasonable steps have been
taken to disconnect the alarm, the member of service concerned may prepare an
Environmental Control Board NOTICE OF VIOLATION AND HEARING for violation of
Administrative Code § 24-221 (d) (alarm), or § 24-221 (e) (audible status indicator) in
the box captioned violation code, enter “N-I 2.”
In the box captioned Mailable Penalty Schedule, enter “$175.00.” In the box
captioned maximum penalty for violation, enter “$700.00.” The following statement
should be entered verbatim in the box captioned details of violation: “At time and place
of occurrence, deponent observed the audible alarm of the above described vehicle
operate for a continuous period of time in excess of three minutes” or “At time and place
of occurrence, deponent observed an audible status indicator in operation on the above
described vehicle.” If the member of service concerned is unable to disconnect the
alarm or audible status indicator, the vehicle should be placed in the Rotation Tow
Program (PG 218-21) and the fact that the vehicle was towed as a result of a ringing
alarm or audible status indicator operation will be placed on the PROPERTY CLERK’S
MOTOR VEHICLE/BOAT INVOICE WORKSHEET.

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REPORTING NON-EMERGENCIES: THE 311 SYSTEM
The public has had a growing dependence on the 911 system. According to U.S.
News and World Report, more than 50 percent of all incoming calls to 911 were not
emergencies. Civilians used the 911 system as a means to correct problems ranging
from barking dogs to garbage removal. Responding to these non-emergency calls
strained the 911 system, resulting in backlogs, frustrated callers, and deadly
consequences due to the delay in responding to emergency calls.
The U.S. Department of Justice’s Office of Community-Oriented Policing
Services (COPS) recognized the need for a non-emergency system. In response to a
request by COPS, the Federal Communications Commission designated 311 as a
national non-emergency number in 1997. The 311 system was implemented in 1996 in
Baltimore, Maryland. The city received a grant from COPS to establish a NonEmergency Telecommunication Pilot Project. The Baltimore 311 system had a dramatic
impact on the city’s 911 service. In a report to COPS in the year 2000, the city’s police
department noted several improvements: the average response time for 911 calls was
reduced by 50%, the average time between incoming 911 calls increased from 70 to
143 seconds, and the percentage of time operators were busy on calls, was reduced
from 59 percent to 41 percent.
In 1999, Houston, Texas followed Baltimore’s lead. In conjunction with a private
company, the city of Houston designed and installed a computer system to automate
management of incoming requests via telephone, e-mail and surface mail. The system
dispatched the work orders to the appropriate departments and tracked the order
through completion. Many cities throughout the country adopted the 311 program.
In his 2002 State of the City address, Mayor Bloomberg announced the 311
initiative in New York City. He emphasized the Administration’s commitment to bringing
government to the people and that the new 311 system would vastly improve the way
that New York City government functions. On March 9, 2003 the 311 system became
operational. Through the 311 Citizen Service Center, a caller can gain information,
report non-emergencies requiring correction, and make suggestions to the mayor. The
following are some examples:
•
•
•
•
•
•
•

Report loud noise;
Report a pothole or street light that needs to be fixed;
Inquire whether alternate side of the street parking is in effect;
Make inquiries regarding operating hours of public buildings;
Information about employment within the city;
Inquire about garbage collection;
Rotation Tow and blocked driveways.

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The New York City 311 Citizen Service Center is open 24 hours a day, seven
days a week, and is staffed by a live operator. Tracking numbers are provided so that
callers can follow-up on the status of their requests. Callers can be assisted in 170
languages. The system can be accessed outside of New York City by dialing (212)
NEW YORK. Telephone Device for the Deaf (TDD) Services are available by calling
(212) 504-4115.
How a Quality of Life Job is Dispatched
After a call is made to a 311 phone operator, the operator will determine whether
the call is a quality of life issue. The call will then be entered into the system and
forwarded to the appropriate agency. If the call is one of an emergency nature, the
caller will be connected with a 911 operator for appropriate service. In every precinct,
transit district, and police service area, there is a computer capable of receiving 311
calls, located at the precinct desk. The desk officer is responsible to monitor the
computer. In the event a 311 job is sent to the precinct, transit district, or police service
area, the desk officer will have the telephone switchboard operator dispatch the job to
the appropriate sector, foot post, or specialized precinct unit (i.e. CPU, SNEU, Anticrime, etc.). The police officer’s duties and responsibilities regarding 311 is explained in
the Police Communications Section.

TOOLS FOR ENFORCEMENT
Criminal Court Summons
The Criminal Court Summons is a useful aid to police officers in the struggle to
create a better society for the citizens of New York City. Public consumption of alcohol,
urinating in public, and many other quality of life offenses can be addressed through the
issuance of a criminal court summons. A warrant check must be conducted prior to
issuing a Criminal Court (“C”) Summons. In the event that the defendant has an
outstanding warrant, a criminal court summons will not be issued and an on-line arrest
will be made.
Intelligence Reporting (P.G. 212-12)
Upon suspecting or receiving information about the involvement of a person or
any other entity in ongoing criminal activity, and when unable to effect a summary
arrest, a police officer should obtain as much information as possible, including names,
vehicle descriptions, times of the day, descriptions of persons, etc. Notify the
Intelligence Division at 1-877-4INTELL or 718-834-4301 of all pertinent information.
The Intelligence Division Log number and the identity of the Intelligence Division
member notified should be recorded in the police officer’s Activity Log.

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If gang activity is observed, in addition to the above procedure, PG 212-13
mandates that the patrol supervisor is notified, a notification to the Intelligence Division
is to be made immediately, and a Complaint Report and/or an On Line Booking System
Arrest Worksheet is prepared as appropriate.
Traffic Intelligence Report (P.G. 212-14)
When a traffic condition is observed and is not immediately correctable by
available resources, a Traffic Intelligence Report should be prepared. The report should
include the specific type of condition, times, place(s) of occurrence, and any corrective
measures taken or recommended. The reverse side of the Traffic Intelligence Report
should contain a detailed description and a diagram if applicable. Traffic reports are
also prepared for construction sites. The completed Traffic Intelligence Report must be
submitted to the traffic safety officer, command of occurrence, before the end of tour or
to the Highway Unit concerned if the condition was observed on a limited access
highway.
Traffic Enforcement
Traffic enforcement has great potential to save lives in New York City. There are
certain consequences associated with New York’s fast paced life style such as gridlock
and vehicle accidents. On a per capita basis among large cities, New York City has one
of the lowest rates of traffic fatalities in the country. In 2001, 186 people were killed in
traffic accidents, this in addition to the many pedestrian fatalities. In 2001, 206 people
were killed in pedestrian accidents, resulting in the Department’s enforcement
philosophy to focus on aggressive driving.
The current speed limit on our city streets is 30 miles per hour unless a different
speed is posted. Studies show that when there is an accident involving a car and a
pedestrian, a decrease in vehicle speed from 40 to 30 miles an hour increases the
likelihood that the pedestrian would survive from 40 to 70 percent. In 2001, 544,080
traffic summons were issued to violators of the New York State Vehicle and Traffic Law
along with 4,134 arrests made for DWI offenses (driving while under the influence of
alcohol and/or controlled substances). A city with fewer cars speeding and driving
chaotically will be a city with an improved quality of life for all citizens.
As part of our overall strategy on enhancing traffic enforcement on the city’s
interior roads, the Department also concentrates on a wide range of other traffic
violations that endanger the safety of pedestrians and of other drivers. Far too many
vehicles in New York City disregard traffic signals. By expanding the Red Light
Violation Monitoring Program, the Department escalates enforcement so that when
someone decides to disobey a red light, he or she will be issued a summons. In
addition, red light cameras have been installed at intersections with high levels of traffic

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incidents, which will assist enforcement personnel in the ongoing task of maintaining
public safety. These cameras photograph the license plate of a car as it passes the red
signal and a summons will subsequently be mailed to the registered owner of the
vehicle. Although this is not a Personal Service Summons (issued to the owner of the
vehicle, who may or may not be the driver) it still alerts the motorist to the fact that such
behavior will not be tolerated. Every breakdown in the rules of the road contributes to a
climate of disorder, a climate in which drivers, pedestrians, and bicyclists begin to fear
each other rather than one of mutual respect that makes our streets safe for everyone.
When pedestrians see drivers disregard red lights or make illegal turns, they are
much more likely to disobey the rules themselves (refer to the broken windows theory in
this lesson). And when pedestrians disobey the rules, they contribute to an atmosphere
that tells drivers not to pay attention to the rules. As part of the final component in traffic
enforcement, this Department aggressively pursues enforcement by increasing the
number of checkpoints and reminders, making this issue a top priority.
Environmental Control Board
The Environmental Control Board (ECB) is New York City’s most broad-ranging
administrative tribunal adjudicating violations of the City’s laws and rules as brought
before it by various city agencies empowered to monitor the city for compliance with the
law. The Environmental Control Board’s jurisdiction encompasses sanitation and
vendor violations, important environmental issues such as air, water, and noise pollution
among other very serious health and safety concerns.
The Environmental Control Board will conduct hearings and levy fines against
violators of the various statutes that exist in the code. The Police Department is
empowered to issue this agency’s form of a summons known as a NOTICE OF
VIOLATION & HEARING. The Environmental Control Board is governed by a 13member board comprised of seven members including the Commissioner of
Department of Environmental Protection, the Commissioners of Sanitation, Buildings,
Fire, Consumer Affairs, Police and Health Departments. The Board also includes six
citizen members, required by the City Charter to have expertise in the following areas:
real estate, small business, air pollution, noise pollution, and water pollution. The
citizen members are appointed by the Mayor and are confirmed by the City Council.
The Hearing Division of ECB employs hearing officers to determine whether the
enforcement agent’s allegations of code violations are supported. When issuing an
Environmental Control Board summons, a police officer must properly cite the section of
law or rule violated, the date and time of the offense, and the location of occurrence.
The officer must also properly identify the respondent and must give details of what he
or she observed to support his or her allegation that a violation of the Code has been
committed.

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Nuisance Abatement
The Civil Enforcement Unit incorporates attorneys into the Department’s crime
fighting effort. These attorneys expand the Department’s range of responses to crimes
and quality of life offenses by litigating civil actions such as nuisance abatement and
forfeiture cases against criminals and removing the economic incentive to engage in
these offenses. Examples of the unit’s work include forfeiting the expensive tools of
chop shop operators, closing gambling locations and houses of prostitution, and putting
stores used for selling drugs out of business. Another initiative, “Operation Losing
Proposition,” results in the seizure and forfeiture of johns’ cars, thereby deterring street
prostitution. Other subjects of this effective program include vehicles with loud radios,
noisy motorcycles, and drag racing on public streets, stores selling drug paraphernalia
and non-firearm weapons, and vehicles of individuals who drive into New York City to
purchase narcotics and sale of alcohol to minors.
The Civil Enforcement Unit Initiative most effectively addresses the problem of
drug sales in commercial buildings. The Unit uses local nuisance abatement laws to
combat crime in buildings infested with narcotics activity and other crimes that have a
destabilizing effect on a neighborhood. Working with precinct commanders, the Civil
Enforcement Unit obtains closing orders for commercial properties that are operated by
drug dealers. In order to reopen, the landlord must select new tenants who are
approved by the Department.
In 1970, Congress enacted the Organized Crime Control Act. This Act enabled
the US government to seize the assets of organized criminals under the RICO
(Racketeer Influenced Corrupt Organization) statute. Asset and civil forfeiture
procedures were put into the law that enables the Department to destroy the ability of
those criminals who profit from their enterprises.
New York City also has a policy of forfeiting the vehicles driven by persons
arrested for drunk driving. This policy came under heavy criticism by the American Civil
Liberties Union and other groups. In a suit brought by a person who was arrested, the
New York State Supreme Court unanimously upheld the constitutionality of the
program. The same asset and civil forfeiture procedures now were extended to acts of
reckless driving and excessive speeding.

LAWS/CODES
The following are Quality of Life issues that many officers witness on a daily
basis. An explanation of the legal definition is included to aid in an understanding of the
terms used in the New York State Penal Law and the New York City Administrative
Code.

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Consumption of Alcohol in Public
Consumption of alcohol in public is a common violation in New York City that
affects our quality of life. When a person acts under the influence of alcohol they lack
the capacity to make rational decisions and at times commit offenses of a serious
nature. A Criminal Court Summons or an arrest can be effected against an individual
committing a violation of this statute. The following is the appropriate statute for
enforcing a violation of the Administrative code:
Administrative Code § 10-125 Consumption of alcohol on streets
prohibited
A.

Definitions. Whenever used in this section, the following
terms are defined as follows:
1.

Alcoholic beverage - Any liquid intended for human
consumption containing more than one-half of one
percent (.05) of alcohol by volume.

2.

Public Place - A place to which the public or a
substantial group of persons has access. This
includes, but is not limited to, any street, highway,
parking lot, plaza, transportation facility, school, place
of amusement, park, playground, hallway, lobby and
other portion of an apartment house or hotel not
constituting a room or apartment designed for actual
residence.

B.

No person shall drink or consume alcohol or an alcoholic
beverage in any public place except at a block party, feast or
similar function for which a permit has been obtained.

C.

Possession of an open container containing an alcoholic
beverage by any person with intent to consume the contents
thereof in violation of this section.

D.

Nothing in this section shall be deemed to prohibit the
consumption of an alcoholic beverage in any duly licensed
establishment whose certificate of occupancy extends upon
a street.

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E.

Any person who shall be found to have violated any of the
provisions of this section shall be punished by a fine of not
more than twenty-five dollars or imprisonment of up to five
days. If the violator is less than sixteen (16) years of age
he/she will not be issued a summons and a Juvenile Report
should be prepared.

Noise Pollution
Other quality of life problems may not deal directly with matters of life and death,
but they are of great concern to the people of the City. Noise pollution, for instance, is a
major problem. Even in a city as exciting as New York, people should be able to sleep
without being disturbed by car alarms, blaring music from a nightclub, or other similar
annoyances. Noise pollution violations happen to be harder to enforce than other
quality of life problems. In an ongoing effort to improve noise levels, the Department of
Environmental Protection is working with the NYPD to conduct intensive noise sweeps
in communities across the city that experience chronic noise problems. To have a
successful quality of life campaign it is necessary to embrace all aspects of policing
from daily patrol to investigative specialties. Department wide training emphasizes a
comprehensive quality of life approach for all police personnel, with officer safety and
community service in mind. The quality of life strategy involves target identification,
research of applicable laws, resource availability and inclusion of different city and state
agencies, actual implementation of customized enforcement efforts, community
involvement, as well as reporting and follow-up procedures. Precinct commanders are
provided with statistical data that compare and contrast major crime with quality of life
concerns to identify overlapping areas of concern. Patrol officers identify quality of life
issues on a continuous basis through vigilant enforcement and personal observation.
The important issue in dealing with noise complaints is whether the noise is
unreasonable. If the noise is unreasonable, there are many tools available to handle
the situation.
The source of the noise determines the appropriate response. Common sources
of unreasonable noise are loud portable radios and motor vehicles with excessively loud
sound systems, car alarms, motorcycles, parties, clubs, and noise from intoxicated
individuals, many of whom are minors that roam residential neighborhoods. Since
cigarette smoking is prohibited inside of licensed premises, patrons now congregate
outside in front of these establishments to smoke, creating noise during the early
morning hours when people are trying to sleep.

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The Police Department’s authority to deal with the problem of loud radios was
refocused in 1993. During this year, the Administrative Code Section was amended to
ban “unreasonable” noise. Accordingly, the Department issued guidelines authorizing
the seizure of these devices and the issuance of a summons if the device is played at
an unreasonably loud level. A person who plays a radio unreasonably loud should first
be warned and admonished.
If the condition is not corrected after the warning is given, a universal summons
returnable to New York City Criminal Court should be issued citing Administrative Code,
Section 24- 220 (a). Additionally, the sound production device should be confiscated
and invoiced as evidence.
The Police Department’s response to the problem of vehicles with loud radios
requires the commitment of equipment, expertise and personnel. Section 375-47 (a) of
the Vehicle and Traffic Law makes it unlawful to play amplified sound from a vehicle at a
level in excess of seventy (70) decibels measured from 25 feet away. Vehicles
producing noise exceeding the lawful decibel limit are stopped, the operator is issued a
traffic summons, and the car is invoiced as evidence. The vehicle is returned to the
owner after the summons is adjudicated.
Loud motorcycles, specifically those with exhaust systems that produce
unreasonable noise in violation of the Vehicle and Traffic Law (V.T.L.) are another
problem in New York City. A person who operates a motorcycle with an excessively
loud exhaust system is violating V.T.L., Section 375-31, and should be issued a traffic
summons, if qualified, returnable to the Traffic Violations Bureau as per P.G. 209-10.
Another common source of unreasonable noise in New York City is car alarms.
Many cars are equipped with alarms that malfunction or sound for no apparent reason.
State law requires car alarm manufacturers to produce alarms that shut off
automatically within three (3) minutes. Administrative Code 24-221 (d) authorizes the
police to call a towing company to tow the car away if the alarm does not shut off.
Patrol Guide 214-14 outlines the necessary steps to disconnect alarms, prepare
Environmental Control Board Notices of Violation, notify the car owner, and tow the
vehicle. The issuance of an Environmental Control Board Notice of Violation is not
mandatory when a motor vehicle alarm is activated. A notice of violation should be
based on the number of complaints from civilians, the type of area in which the vehicle
is located and whether the vehicle alarm is a chronic problem. Additionally, a police
officer should take reasonable steps to disconnect the vehicle alarm without damaging
the vehicle. A reasonable step to deactivate the alarm would include an attempt to
contact the owner. The license plate of the vehicle may be checked to obtain the name
of the registered owner. If the alarm cannot be deactivated, the vehicle may be towed
utilizing the rotation tow program (See P.G. 214-25).

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Loud private parties are another common source of unreasonable noise. Loud
parties pose a difficult problem for communities as well as for the Police Department.
Absent consent or exigent circumstances a police officer may not enter a private
residence based solely on a noise complaint. An officer should request that the resident
lower the volume of the sound device or keep the volume of the party down. If
unsuccessful, the patrol supervisor should be requested to respond to the location. In
the presence of a supervisor, an attempt should be made to obtain consent to enter. If
consent to enter is obtained, a criminal court summons for Administrative Code, Section
24-220 (a) should be issued to the resident and the sound device seized and invoiced
(See P.G. 214-23). If the patrol supervisor is unable to obtain consent to enter, the
supervisor should consult with the N.Y.P.D. Legal Bureau.
Enforcing noise regulations against loud nightclubs may also pose a challenge
to the police officer. Enforcing noise regulations against clubs is a complex process.
Under Administrative Code, Section 24-241.1, the noise from a commercial club must
exceed .45 decibels measured from inside a residence to charge the violator. Violations
of this law are adjudicated at the Environmental Control Board. This avenue of
enforcement may be difficult because the Department of Environmental Protection has
few inspectors assigned to work the late evening hours when club noise complaints are
most common. License suspension and revocation procedures of the State Liquor
Authority, the agency that issues liquor licenses, is time consuming. Addressing other
quality of life problems in the area of the club may lead to a reduction in incidents of
unreasonable noise complaints. Coordination between the Police Department and
Department of Transportation can be effective in combating traffic problems in
residential areas where these conditions occur. Among the options available is the
issuance of summonses for various violations under the New York City Traffic Rules
and Regulations. Common violations observed outside many commercial clubs
include the following:
•
•
•
•
•

Double parking:
Parking in front of fire hydrant:
Parking on sidewalk:
Parking in bus stop:
Parking in crosswalk:

TR § 4-08, sub. (F)(1);
TR § 4-08, sub. (E)(2);
TR § 4-08, sub. (E)(3);
TR § 4-08, sub. (C)(3);
TR § 4-08, sub. (E)(5).

Regulations regarding the sale and consumption of alcohol by minors, open
containers of alcohol in public, and public urination are also effective tools in
addressing quality of life concerns in these neighborhoods.

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It should be noted that uniformed members of the service, unless assigned
to the Public Morals Division, are prohibited from taking summary action for
violation of the alcohol beverage control law occurring inside a licensed premise,
unless the UMOS is issuing a summons for disorderly premise. However, there
are no Department policies restricting the enforcement of the alcohol beverage control
law or any other applicable law in public places.
Taxi Safety Standards
Under current Vehicle and Traffic Law, to become a taxi driver in New York, an
applicant must have a chauffeur’s (class E) license issued by New York State, An
applicant must obtain a TLC license, pass an English proficiency test, submit
fingerprints for a background check; graduate from taxi school (for either 40 or 80 hours
depending on the demonstrated degree of English proficiency); and pass a final exam.
The Taxi & Limousine Commission has done away with providing temporary or trainee
licenses to applicants before they complete the entire process.
Many hard working New York City residents become taxi drivers to make a better
life for themselves and their families, and they do it with dedication and commitment.
Unfortunately, some people act irresponsibly, creating a bad reputation for others. This
Department will make every effort to have taxi companies and taxi drivers put safety
first.
Reckless Operation of a Bicycle
Bicycle riding and roller-blading in New York City are activities that have
grown drastically in popularity. Along with this popularity comes an increase in
accidents. Law abiding citizens are not the only ones to utilize bicycles for business
and recreational activity. At times criminals resort to the use of bicycles to conduct their
illegal activity. There are instances when an officer has stopped an individual for a
seemingly simple quality of life violation such as riding a bicycle on the sidewalk, and
subsequent investigations have netted larger results revealing a secreted firearm,
narcotics, or an active warrant on the violator. Drug dealers use bicyclists as lookouts
to warn them of arriving police officers.
When discussing city streets and quality of life issues, the role of bicycles and
roller blades cannot be ignored. The enforcement of cycling violations comes largely in
response to a public outcry over bike messengers and delivery people who behave like
high speed menaces, threatening pedestrians with risky rides through streets and on
sidewalks. There have been instances of delivery bicycles colliding with pedestrians
resulting in the deaths of pedestrians. The law already prohibits the use of bicycles on
sidewalks. The NYPD encourages full enforcement of existing ordinances and
penalties for anyone riding on the sidewalk.

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Although registration and licensing provisions do not apply to bicycles, all
persons riding bicycles upon public streets are subject to the same traffic regulations as
operators of motor vehicles. In addition, Administrative Code Section 10-157, entitled,
Bicycles Used for Commercial Purposes, requires the identification of those bicycles
used for COMMERCIAL purposes and applies to any person or firm, which engages in
delivery by bicycles. The law does NOT APPLY to a person UNDER the age of sixteen
(16) who uses a bicycle to deliver newspapers or circulars.
The regulations require that each person or firm of bicycle operator engaging in
the course of its business either on behalf of itself or others, in delivering packages,
parcels, papers or articles of any type, by bicycle shall issue to every bicycle operator a
numbered photo I.D. card. The I.D. card shall contain the bicycle operator’s photo,
name & residence address, and the name, address and telephone number of the
employer of the cyclist. Temporary cards without photos may be issued. Bicycle riding,
like driving an automobile, is subject to regulation to ensure the safety of motorists and
pedestrians. Bicycle operators, such as delivery people, messengers, and recreational
riders who refuse to obey the rules of the road are a serious risk to the safety of
pedestrians, automobile drivers and everyone else.
Most Common Summonsable Offenses for Cyclists
•
•
•
•
•

Disobeying a red light;
Stopping in a crosswalk;
Riding on a sidewalk;
Going down a One-Way street the wrong way;
Failing to yield to pedestrians.

Everyone has a right to use our streets, but if we do not share, respect and
accommodate one another, the result is very simple: Civil order starts to break down,
streets become chaotic, and people get hurt. We, as police officers, should encourage
cyclists to respect pedestrians and other road users. Several ways to accomplish this is
to remind cyclists of several simple rules:
•
•
•

Keep off of the sidewalk
Ride with traffic, not against it.
Always yield to pedestrians.

Administrative Code Section 19-176 addresses Bicycle Riding Prohibited on
Sidewalks. Under this legislation any person 14 years of age or older operating a
bicycle upon a sidewalk shall be issued an Environmental Control Board (ECB) Notice
of Violation, and if such person is operating the bicycle on the sidewalk under
circumstances which place someone other than the operator at serious risk of physical
injury, the bicycle will be seized and the ECB Notice issued.

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Scooter Helmet Law
All persons under the age of 14 are required to wear a helmet when operating a
foot-propelled scooter on public streets, parks, and sidewalks within New York City.
Administrative Code section 19-171 prohibits persons under the age of fourteen (14)
from riding a scooter unless they are wearing an approved helmet. The law also states
that a person who violates this law will NOT be summonsed. Instead, a summons may
be issued to a parent or guardian if the parent or guardian is eighteen (18) or older and
if the violation occurs in their presence. A child without a helmet will be issued a
warning for the first offense, then a fine of up to $50 for each following offense. The
infractions are returnable to the Traffic Violations Bureau. Judges will be able to waive
fines in cases where economic hardship exists, or if an offender is able to show that a
helmet has been purchased in the time between the offense and the court date. The
NYPD and the Department of Parks and Recreation are authorized to enforce the
provisions of this law.
It is imperative that parents make sure that their children are wearing this
potential life saving device. The law is intended to reduce the number of injuries to
children caused when taking a fall off a two-wheel scooter. The law is an extension of
the New York State’s existing standards, which require a helmet to be worn for those
under 14 while riding a bicycle, tricycle, skateboard and in-line skates. Statistics from
the U.S. Consumer Product Safety Commission says that 9,400 accidents involving
scooters occurred in the U.S. last year, with roughly one third resulting in injuries to the
head or face. The American National Institute, the Snell Memorial Foundation’s
Standards for Protective Headgear for use in bicycling and the American Society of
Testing and Materials have set safety standards that the helmets must meet. The
safety of children is one of this Department’s priorities. By enforcing the wearing of a
bicycle helmet while riding scooters and bicycles, future accidents will be prevented.
Panhandling in an Aggressive Manner
This offense is defined as:
1.
Approaching or speaking to a person, or following a
person before, during or after soliciting, asking or begging, if
that conduct is intended or is likely to cause a reasonable
person to:
a.
Fear bodily harm to oneself or to another or
damage to or loss of property, or the commission of
any offense as defined in section ten (10) of the Penal
Law upon oneself or another; or

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b.
Otherwise be intimidated into giving money or
other things of value; or

c.
Suffer unreasonable inconvenience,
annoyance or alarm; or
2.
Intentionally touch or cause physical contact with
another person or an occupied vehicle without that person’s
consent in the course of soliciting, asking or begging; or
3.
Intentionally block or interfere with the safe or free
passage of a pedestrian or vehicle by any means, including
unreasonably causing a pedestrian or vehicle operator to
take evasive action to avoid physical contact; or
4.
Using violent or threatening gestures toward a person
solicited.
Example: A panhandler is inside a supermarket waiting near the exit
asking shoppers for spare change as they leave. After a request to leave
is personally communicated to the panhandler by someone who is
authorized to do so (i.e., store manager), refusal may result in the
panhandler being arrested for trespass under P.L. Section 140.05. The
panhandler is not arrested for begging. He is being arrested for remaining
on private property after being instructed to leave.
A common situation police officers encounter involves panhandlers outside a
location. If the panhandler is solely begging, it is constitutionally protected conduct.
However, aggressive panhandling can be curtailed by enforcing the following law:
Administrative Code Offenses Relating to Panhandling
The major purpose of this law is to prohibit three types of unlawful “solicitation,
asking or begging.” Violation of any of the following subdivisions is punishable as an
“unclassified misdemeanor.” Police officers need not personally observe or be present
at the time of the offense in order to take enforcement action; however, they must
establish probable cause that the offense was committed.

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Prohibition Against Certain Forms of Aggressive Solicitation Misdemeanor (Section 10-136):
Sub. 1: Aggressive Manner Panhandling - No person shall
solicit, ask or beg in an aggressive manner in any public
place.
Example: A person is waiting for a bus inside a bus shelter. A
panhandler who requests money in a non-threatening manner
approaches the person. The person gives an unequivocal negative
response to the request. Thereafter, the panhandler begins
berating the person for not giving money. The panhandler acts with
such persistence, duration or hostility so as to cause the person
unreasonable inconvenience, annoyance, or alarm. (i.e., the person
might leave the bus shelter, or might be caused undue fear or
discomfort.)
Note: The test as applied under this law is whether a complainant’s
fear, intimidation, or suffering of unreasonable inconvenience,
annoyance, or alarm was reasonable. Enforcement action is
inappropriate if the complaint is based on a complainant’s bias or
undue sensitivity. A person who merely asks for money or
passively holds a cup will generally not be charged with this
section, unless some other aggravating factor is present.
Sub. 2: Non-Aggressive, but illegal panhandling at a bank, check cashing
business and ATM - No person shall solicit, ask or beg within ten (10) feet
of any entrance or exit of any bank or check cashing business during its
business hours or within ten (10) feet of any automated teller machine
facility, such distance shall be measured from the entrance or exit of the
automated teller machine facility. Provided further that no person shall
solicit, ask or beg within an automated teller machine facility where a
reasonable person would or should know that he or she does not have the
permission to do so from the owner or other person lawfully in possession
of such facility. Nothing in this paragraph shall be construed to prohibit
the lawful vending of goods or services within such area. (Administrative
Code Section 10-136 Subd. 2)
Example: A panhandler is inside a building that contains an
automated teller machine open only to bank customers with
automated teller machine cards. (Administrative Code Section 10136 Subd. 2)

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This subdivision does not require that the solicitation be “aggressive” because
the law presumes that begging at a banking facility is inherently coercive and thus
deems it unlawful.
This section does not apply to unenclosed automated teller machines located in
non-banking spaces such as supermarkets, airports and school buildings, provided that
such automated teller machines are available for use only during regular hours of
operation of the building, structure or space in which such machine is located.
Sub. 3: Panhandling From Occupants of Motor Vehicles on
Streets - No person shall approach an operator or other
occupant of a motor vehicle while such vehicle is located on
any street, for the purpose either of performing or offering to
perform a service in connection with such vehicle or
otherwise soliciting the sale of goods or services in an
aggressive manner. This shall not apply to services
rendered in connection with emergency repairs requested by
the operator or passenger of such vehicle.
Example: A windshield washer approaches an occupied car, while
stopped at a traffic light and smears the car’s windshield with soapy
water without consent of the owner.
(Administrative Code Section 10-136 Subd. 3) (NYC T/R Section 404 Sub E3 possibly 240.20 Subd. 5 — Block Vehicle Traffic)
Prohibition against certain forms of aggressive solicitation is considered an
“unspecified” misdemeanor in the New York City Administrative Code. This offense
may be rectified by the issuance of a Criminal Court summons provided the offender is
properly identified (See P.G. 209-01).
This section prevents persons from soliciting the sale of goods or services from
motor vehicle occupants in an aggressive manner while located on streets. Conduct
must be done in an aggressive manner for it to be considered unlawful, and includes
windshield washer/squeegee-type activity, offering to secure parking spaces for
motorists, sale of goods to motorists, etc. Police officers will note that intentional
touching of an occupied vehicle without consent while begging constitutes aggressive
panhandling.

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NON-AGGRESSIVE SQUEEGEE CLEANERS:
ILLEGAL WINDOW WASHERS
A squeegee cleaner is an individual who stakes out entrances to tunnels and
highways, occasionally intimidating drivers into accepting cleaning “services” in
exchange for payments. Squeegee cleaners vary in their levels of aggressiveness and
intimidation. Non-aggressive squeegee cleaners can still be arrested for traffic offenses.
During a 1994 pilot project, half of those arrested for these offenses had previous
arrests for serious felonies such as robbery, assault, burglary, larceny, and weapons
possession. Additionally, almost half had arrests for drug related offenses. New York
City Traffic Rules and Regulations, Section 4-04, sub. E (3) specifically prohibits illegal
window washing of occupied vehicles on city streets. In addition to other traffic rules,
squeegee cleaners may violate certain sections of the penal law. Disorderly conduct,
P.L. 240.20, sub. 5, is applicable if the squeegee cleaner blocks vehicular traffic by his
presence in the roadway or by detaining vehicles while cleaning them. Also, any
conduct by a squeegee cleaner that threatens a motorist may be in violation of
harassment 2nd degree -violation, P.L. 240.26.
Whatever the violation of law, if a summons is appropriate, the violator must be
properly identified and the summons made returnable to the local borough criminal
court. A separate summons should be issued for each violation observed. If an arrest
is appropriate and there is more than one offense, all offenses should be listed on the
on-line booking sheet (O.L.B.S.) beginning with the most serious charge.

GRAFFITI
Graffiti is a crime, not a form of artistic expression. It is punishable under law.
The Administrative Code and the Penal Law can be used to combat graffiti. A police
officer can issue a C-Summons or make an arrest based on a class A-Misdemeanor.
Section 10-117(a) addresses unlawful defacement of property by graffiti. An
Environmental Control Board Notice of Violation may be issued if this subdivision is
violated and all of the following conditions are met:
1.

The criminal conduct did not come to the attention of police via the graffiti
reward program (a Department program instituted to reward citizens who
report graffiti vandals); and

2.

Precinct and borough policy permit its issuance; and

3.

There are no other factors which make its issuance inappropriate (i.e.,
additional criminal charges, amount of damage, etc.); and

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4.

The person can be properly identified. If the person does not qualify for an
E.C.B. notice of violation, an arrest should be made.

Possession of a Graffiti Instrument
New York State Penal Law Section 145.65 prohibits the possession of a graffiti
instrument, defined as any tool, instrument, article, substance, solution or other
compound commonly used to etch, paint, cover, draw upon or otherwise mark a piece
of property. Police officers must demonstrate a person’s intent to use the graffiti
instrument.
Making Graffiti
Penal Law Section 145.60, making graffiti, occurs when the damage resulting
from graffiti vandalism is $250.00 or less which is an A-misdemeanor violation, and the
violator is not eligible for an E.C.B. notice of violation. Penal Law, Section 145.05,
criminal mischief 3rd degree, is when the graffiti vandalism is valued at over $250.00
which is an E-Felony. Any person charged with making graffiti or criminal mischief 3rd
degree is not eligible for a desk appearance ticket. Whenever an arrest is made for any
of these graffiti related offenses, the appropriate Administrative Code section should
also be charged. Aerosol spray-paint cans, markers and a picture of the graffiti
damage, if applicable, should be invoiced as arrest evidence.
Unlawful Possession of Aerosol/Indelible Marker
Administrative Code, Section 10-117b states:
No person shall carry an aerosol spray paint can or broad tipped
marker into any public building or other public facility with the intent
to... commit graffiti.
Mere possession of these instruments does not violate the statute. A police
officer must be able to demonstrate intent to violate subdivision (a) of this section.
Intent may be established through the actual commission of graffiti vandalism or through
admissions made by a suspect. Again, if the person does not qualify for an E.C.B.
Notice of Violation, an arrest should be made.
Administrative Code, Section 10-117(c), prohibits the sale of aerosol spray paint
cans or an indelible marker to anyone under the age of eighteen. Section 10-117(d)
prohibits the display of these items and allows only facsimiles to be displayed. Both
these subdivisions are aimed at commercial establishments. Both subdivisions are civil
offenses, which mean that an E.C.B. notice of violation may be issued to a properly
identified violator but arrest is not an option if identity cannot be established.

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An appropriate course of action for a police officer would be a notification to the
New York City Department of Consumer Affairs at 42 Broadway, NY 10004, (212) 4874444. This agency may commence civil action against the violator.

PEDDLERS
It is every police officer’s responsibility to enforce the law regarding street
peddling. Illegal street peddler activity should not be tolerated. Many peddler violations
may be addressed by the issuance of an Environmental Control Board (E.C.B.) Notice
of Violation in accordance with P.G. 209-12 and 209-13. Some violations require the
removal of the peddler’s goods and display materials. The vendor’s goods and display
material will be removed to the stationhouse and invoiced as per P.G. 218-39, 218-41,
and 218-43. The laws regarding vendors are very complex and there are exceptions to
certain provisions. Precinct policies and patrol borough directives vary according to
constantly changing community needs.
An inexperienced officer should seek assistance from a more experienced officer
or patrol supervisor before enforcement is initiated. It is important to remember that the
location of the vendor must be a public place before enforcement measures are
appropriate. If the location is a street, the Administrative Code provisions targeting
vendors are to be enforced. However, if the vendor is in a public park an officer has
additional tools such as the New York City Parks Rules and Regulations. Additionally,
all peddlers must possess a certificate of authority, and tax identification number which
indicates that they are in compliance with the New York State Tax Code. If the peddler
doesn’t possess a certificate of authority he or she may be subject to a criminal court
summons, Section 181 7D 1, of the New York State Tax Code.

PARKS
The New York City Parks Rules and Regulations were created to regulate the
use and enjoyment of public parks throughout the city. A list of pertinent parks rules
and regulations is included at the end of this chapter. Violations of any of the parks
rules and regulations are a misdemeanor for which a criminal court summons may be
issued to a properly identified individual as per P.G. 209-06 and 209-11.

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Discarded Refrigerators, Freezers and Other Self-Locking Containers
To prevent children from locking themselves in and suffocating, procedures have
been established in cases where you find a refrigerator or other self-locking container
with the locking mechanism intact:
•

Direct the person responsible, if known, to remove the door, door latch, or latch
stop. If owner is known and refuses to comply, make arrest for Creating a
Hazard – P.L. 270.10 (class “B” misdemeanor).

•

Remove the door, door latch, or latch stop if tools are available and owner is
unknown.

•

Request Emergency Service Unit (ESU) via the communication section if unable
to make the device safe.

•

Make an activity log entry of facts including names of responding ESU members.

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RETAIN THESE CODES:
I.

PANHANDLING

NYS PL 240.20 (sub5)
NYS PL 240.26 (sub 1)
NYS PL 140.05
NYS PL 140.10

II.

Disorderly Conduct
Harassment 2
Trespass
Criminal Trespass

GRAFFITI

NYS Administrative Code
10-117a
Unlawful Defacement Of Property By Graffiti.
10-117b
Unlawful Possession Of Aerosol Spray Paint Can/Indelible Marker.
10-117c
Offer/Sale Of Aerosol Spray Can/Indelible Marker To Minor.*
10-117d
Unlawful Display Of Aerosol Spray Paint Can/Indelible Marker.*
*

Subdivisions (c) and (d) are civil offenses. (Summons only.)

Penal Law
NYS PL 145.60
NYS PL 145.65
NYS PL 145.00
NYS PL 145.05
NYS PL 145.10

III.

Making Graffiti
Possession of Graffiti Instruments
Criminal Mischief 4 (damage is $250 or less)
Criminal Mischief 3 (damage exceeds $ 250)
Criminal Mischief 2 (damage exceeds $1500)

SQUEEGEE CLEANERS

NYC Traffic Rules 4-04(e3)
Penal Law
NYS PL 240.20 (sub 5)
NYS PL 240.26 (sub 3)

IV.

Washing Vehicles

Disorderly Conduct
Harassment 2

PEDDLING

NYC Environmental Control Board
1 7-315 (1) Peddling Where Parking Prohibited
1 7-315 (i) Peddling on Dept. of Parks Property W/O Authorization
1817-Di
No Certificate of Authority, Tax Identification

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V.

NOISE

NYC Administrative Code
24-220 (a) Excessive Noise (boom box radio)
24-221 (d) Excessive Noise (vehicle alarm)
24-241.1
Excessive Noise (commercial club)
NYS Vehicle and Traffic Law
375-30
Excessive Noise from Vehicle Exhaust.
375-47 (a) Amplified Sound from a Vehicle.

VI.

ALCOHOL CONSUMPTION

NYC Administrative Code
10-125 (b) Consumption of Alcohol on Streets Prohibited.

VI.

VENDORS

NYC Administrative Code, General Vendors
20-453
License Required
20-461
Display of License Food Vendors
17-307
Licenses, Permits Required, Restrictions
17-311
Display of License or Plate

VII.

PARKS

NYC Parks Rules and Regulations
104-l
Disorderly Behavior
104-m
Loitering
104-r
Solicitation
104-s
Panhandling
105-b
Vendors
105-f
Alcoholic Beverages; Controlled Substances
105-n
Motor Vehicles

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MANDATORY PATROL GUIDE READING
The following are Patrol Guide procedures that must be added to this chapter –
Quality of Life. These procedures must be read in conjunction with this chapter.
Questions for the 3rd Trimester Exam may come from these procedures:

P.G.
P.G.
P.G.
P.G.
P.G.
P.G.
P.G.
P.G.
P.G.

212-12
212-13
212-14
214-01
214-02
214-03
214-08
214-10
214-11

P.G.
P.G.
P.G.
P.G.

214-12
214-13
214-14
214-22

P.G. 214-23
P.G. 214-24
P.G. 214-25

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Citywide Intelligence Reporting System
Reporting Gang-Related Activity
Traffic Intelligence Report
Padlock Law” Program
Narcotics Eviction Program
Graffiti Reward Program
Chronic Abuser Alarm Procedure
Unlawful Posting of Signs
Enforcement Activities Regarding Obscenity and Public Display of
Offensive Material
Unlawful Evictions
Evictions, Repossessions and Other Civil Process
Driveway Tow Program
Weekly Street Conditions Survey and Daily Observations of
Highway Conditions Requiring Corrective Action
Unnecessary Noise Violations-General Prohibitions
Service of Environmental Control Board (E.C.B.) Notice of Violation
and Hearing for Vehicle Alarms
Deactivation of Motor Vehicle Alarms

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WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW THE MATERIAL IN THIS CHAPTER?
As a police officer, you will regularly encounter situations that require you
to use knowledge and expertise not expressly related to enforcing criminal laws.
You may be requested to answer questions relating to civil matters or to
intervene in civil disputes. Although most civil disputes require referral of the
parties to the appropriate civil court, the handling of large-scale acts of civil
disobedience is more complicated.
The role of the Police Department includes protecting the right of
protesters to peaceably express their views, and protecting the right of nonprotesters to go about their daily life unaffected by public disorder. Most protests
and demonstrations are conducted in a peaceful manner. However, acts of civil
disobedience may sometimes evolve into disruptive and/or violent conduct
requiring immediate police action.
In this chapter, we will discuss two areas: (1) civil law and how to properly
handle civil court orders, and (2) police response to demonstrations and riots.

CIVIL LAW
The discussion that follows will acquaint you with the New York City
Marshal, the New York City Sheriff, the civil judgments they enforce, and other
civil law situations you may encounter as a police officer.
New York City Marshals
Marshals operate in a civil capacity, enforcing monetary judgments
rendered by the N.Y.S. Family Court or N.Y.S. Supreme Court. The mayor
appoints them to a term of five years. They possess a badge and an identification
card issued by the Bureau of Marshals. Marshals may be designated peace
officers under Criminal Procedure Law (C.P.L.) § 2.10 (33). The marshal has
authority within the five boroughs of the City of New York.
New York City Sheriff
The New York City Sheriff also operates in a civil capacity. In addition to
enforcing civil court judgments, Sheriffs enforce N.Y.S. Supreme Court and
N.Y.S. Family Court judgments. Sheriffs also posses a badge and identification
card. Pursuant to C.P.L. § 2.10 (27), they are peace officers and may possess
firearms; they are not required to obtain pistol permits.
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Resisting the process of a marshal or sheriff constitutes Obstructing
Governmental Administration 2nd degree, a class A misdemeanor under Penal
Law (P.L.) § 190.05. Impersonating a marshal or sheriff constitutes Criminal
Impersonation 2nd degree, a class A misdemeanor under P.L. § 190.25.
Note: A City marshal may legitimately work with an expired
identification card. This in itself is no indication of any impropriety.
New York City agencies, including the New York City Police
Department, are occasionally unable to issue all their employees
new identification cards immediately upon expiration of the old I.D.
card.
A New York City Marshal or Sheriff cannot act unless he or she
possesses an execution or other order of the court. They must execute court
orders within 60 days from the date they are signed or at least renew them
within that time. Examples of such orders are Warrants of Eviction, Orders to
Seize Property and Warrants of Attachment.
Warrants of Eviction
Warrants of Eviction allow the marshal or sheriff to evict persons and
property from a premise after judgment by a court. Prior to its execution, the
tenant must receive a 72 hour notice of the eviction. The 72 hour period begins
the day after service of the notice and does not include Saturdays, Sundays, or
holidays. When responding to a call involving an order of eviction, you should
know that:
•

Warrants of Eviction may only be executed between 8:00 A.M. and 5:00
P.M., Monday through Friday.

•

The landlord or his representative must be present during the eviction.

•

If the tenant is not home, or will not admit the marshal or sheriff, the
marshal or sheriff has the authority to break into the premise.
Note: Under no circumstances will you assist the marshal or
sheriff in breaking into or forcibly entering a location.

•

The role of a uniformed member of the service when called to the scene of
an eviction or other civil process situation is to preserve the peace and
prevent the commission of a crime. Police officers are not permitted to
help the marshal or sheriff remove property.

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•

The marshal or sheriff, and police must remain on the scene until all
belongings are removed from the premises. The property removed cannot
be left on the sidewalk. It is the marshal’s or sheriff’s responsibility to hire
a bonded licensed moving van to remove the property to a Department of
Sanitation warehouse or a bonded warehouse chosen by the landlord or
tenant.

•

If the subject of an eviction or other civil process refuses to allow entry, or
refuses to leave voluntarily, the uniformed member of the service will
notify the desk officer and request the response of a patrol supervisor
before any further action is taken.

•

The uniformed member of the service who is present at the scene will
make the following entries in their Activity Log:
Name and shield/badge number of city marshal/sheriff;
Time of entry into tenant’s premises;
Location of tenant’s premises in building;
Name of tenant;
Note if tenant is present or not;
Whether city marshal/sheriff or landlord/representative will be
responsible for the tenant’s property.
o The uniformed member of the service who is present at the scene
will notify the desk officer when the eviction is completed.
o
o
o
o
o
o

Unlawful Evictions
•
•
•

Patrol Guide 214-12
N.Y.C. Administrative Code 26-521 (class A misdemeanor)
L.B.B. Vol. 23 #1

In order to protect the rights of persons who are being or have been
unlawfully evicted from their dwelling unit, the following information and
guidelines should help you determine whether an unlawful eviction has taken
place and what steps to follow in the event it does.
Unlawful Eviction - There are three elements necessary for an unlawful
eviction to occur:
•

The tenant must be in lawful occupancy of the premises; and

•

The lawful occupancy is within a dwelling unit that is residential
property; and

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•

The person has been evicted or an attempt has been made to evict the
tenant either actually or constructively without a legitimate court or
government order.

Lawful Occupancy - A tenant is considered a lawful occupant of a
premise for the purpose of the unlawful eviction statute provided one of the
following conditions are present:
•

The tenant lawfully occupied a dwelling for 30 or more consecutive days;
or

•

The tenant lawfully occupied a dwelling unit pursuant to a lease for any
amount of time; or

•

The tenant lawfully occupied a dwelling unit subject to the hotel rent
stabilization law for any amount of time and has requested a lease
pursuant to the rent stabilization law.
Note: Occupancy is lawful for purposes of this section so long as
the occupancy was not criminal, such as a trespass.

Residential Dwelling Unit - A Residential Dwelling Unit is defined as any
unit in a one or two family home or in a multiple dwelling. It applies to roommates
or family members sharing a home or apartment. The following are not
considered multiple dwellings and therefore are not covered by this statute:
hospitals, convents, monasteries, asylums and public institutions. Government
owned housing is also exempt (e.g., N.Y.C.H.A. apartment).
An Unlawful Eviction or an Attempt to Evict
An unlawful eviction or an attempt to evict may be committed by actual or
constructive means. An actual eviction is one that physically displaces the
tenant. This is usually accomplished by using force, or changing the locks while
the tenant is away. A constructive eviction is one where the landlord creates
an uninhabitable environment for the tenant by denying essential services or
creating serious building and health code violations for the purpose of forcing the
residents to leave on their own. Some examples of unlawful evictions include the
following:

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•

Locking the occupant out of the dwelling unit;

•

Using or threatening to use force to remove an occupant;

•

Denying essential services such as heat, electricity or water;

•

Removing the entrance door;

•

Removing the occupant’s possessions;

•

Allowing serious Building or Health Code violations to exist (e.g., vermin,
infestation).
Note: The actions above only constitute an unlawful eviction if they
are committed for the purpose of evicting. For instance, if a
landlord shuts off the heat because he does not want to pay the oil
bill, that failure to provide heat does not constitute an unlawful
eviction.
Note: An individual may not be charged with unlawful eviction if
the eviction was pursuant to a court or government order, such as:
o Warrant of Eviction
o Government agency vacate order

The New York City Departments of Fire, Buildings, Health, and Housing
Preservation and Development may, under emergency circumstances, order that
the occupants of a building vacate the premises. Government owned housing is
exempt. Therefore the removal of an occupant by a government agency is not an
unlawful eviction.
Family or Criminal Court Order of Protection
Some orders of protection direct that an occupant of a dwelling unit stay
away from that dwelling unit. In these cases, it may constitute an unlawful eviction
if the petitioner, or remaining occupant, attempts to enforce the provisions of the
order. Instead the petitioner should call for police assistance. If the respondent is
in violation of the order the police will effect an arrest, as appropriate.

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Upon Receiving an Unlawful Eviction Complaint
As with any other crime, to make an arrest for an unlawful eviction, the
investigating officer must have probable cause that each element of the crime has
been satisfied. In the event that an unlawful eviction is committed during a family
dispute, a conflict may arise between enforcing the provisions of this section and
prudent police action. To compel the violator to allow the family member/
complainant to return to the dwelling unit may place the parties in danger of a
violent confrontation. Therefore, members of the service may exercise discretion
by not enforcing the unlawful eviction statute between family members when there
are safety considerations. Applicable Department procedures (P.G. 214-12) must
be complied with.
An unlawful eviction is a class A misdemeanor, but is not a fingerprintable
offense (P.G. 208-08). Ordinarily, if the violator qualifies (i.e., properly identified
and no outstanding warrants or additional charges), he should be issued a
personal service summons returnable to criminal court for each offense
committed in accordance with P.G. 209-09 and 214-12. If the offense was
committed in the presence of the officer, the officer will sign the Information
(summons). When not committed in the officer’s presence, the officer must
ascertain that a crime was committed and request the complainant to sign the
Information (summons). If the complainant refuses, the officer may sign, “based
on information and belief,” provided all details as related to the officer by the
complainant are included in the Information (summons).
While a summons is the normal process, an online arrest will be made and
no D.A.T. issued when the violator refuses to permit the occupant to re-enter.
Refer evicted persons who are unable to secure temporary housing to the
Department of Social Services, Emergency Assistance Unit. Police officers are
reminded that, should an arrest be necessary, force may not be used to enter a
premise to arrest an owner or owner’s agent without an arrest warrant unless
there are exigent circumstances.
It is Department policy not to physically assist an occupant in gaining entry
to the dwelling unit. Accordingly, police officers should not attempt to break into
the dwelling unit in order to allow the occupant to re-enter. Of course, in an
emergency (e.g., medicine vital to life is required), police officers should assist in
gaining entry for the purpose of addressing the emergency.
Note: The Corporation Counsel’s office is the principal prosecutor
in unlawful eviction cases.

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Orders to Seize Property
Orders to seize property are formal documents signed by a court ordering
the seizure of property after the court has awarded a judgment. It is required for
the seizure of a sum of money or an equal amount in personal property.
•

Orders of seizure may only be executed between 8:00 A.M. and 5:00
P.M., Monday through Friday.

•

The marshal or sheriff may seize any personal property to satisfy the
money judgment including, but not limited to, the article which is the
subject of the judgment.

•

Breaking and entering into a premise is permitted only if the court provides
such authority in the order; otherwise, the marshal or sheriff may gain
entry only if voluntarily admitted. You will not assist in any break or entry.

•

The marshal or sheriff is responsible for any damage caused and even if a
break is allowed, he is still responsible for any resulting damage.

•

After taking possession of the property, the marshal or sheriff must give
the person in charge of the premises a receipt or, if the person is not
present, leave the receipt in a conspicuous place; for example, on the
front door of the location. This receipt is known as a Notice of Levy.
Note: A lien is a claim or charge on property for payment of debt,
obligation or duty.

Summary of Civil Procedures – Police Officer’s Responsibilities
Patrol Guide 214-13
Your role as a police officer in civil matters concerning the marshal or
sheriff can be summarized in the following steps:
•

The role of a uniformed member of the service when called to the scene of
an eviction or other civil process situation is to preserve the peace and
prevent the commission of a crime. Usually, the police are called to the
scene only when there is a crime committed, confrontation, or potential for
violence.

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•

If you are assigned, you should require the marshal or sheriff to identify
himself or herself to ensure that a criminal impersonation of a marshal or
sheriff is not being committed.

•

Review the court papers and determine their legal effect. Consider the
points listed above under warrants of eviction. In addition, if a valid order
against the eviction or seizure has been obtained, advise the marshal or
sheriff to stop the eviction or property seizure. (If there is any doubt as to
the legality of the order, request the patrol supervisor to respond, he or
she will contact the Legal Bureau, if necessary.)

•

Accompany the marshal or sheriff into the premise, if necessary; explain
the marshal’s or sheriff’s function and his or her duties and responsibilities
to the tenant/defendant.

•

Advise the debtor, tenant, etc., that he or she should not resist the action
(levy) of the marshal or sheriff because doing so would constitute the
crime of Obstructing Governmental Administration, a misdemeanor. Also
advise the debtor or tenant not to re-enter a premise without permission
from the owner or representative because doing so would constitute
Criminal Trespass.

•

If a person attempts to physically interfere with, or prevent the execution
of, the court order, or refuses to leave, you should notify the desk officer
and request the response of the patrol supervisor before taking further
action.

•

You should refer all complaints of excessive levies by marshals to the
Department of Investigation, Bureau of Marshals, and all complaints of
excessive levies by sheriffs should be referred to the Inspector General
of the Sheriff’s Department.

•

When property is seized, you should make a complete record, including
description of the property, and other pertinent information. This listing of
property should include the serial numbers, if any. It should also include
the disposition of each item seized.

•

Remain on scene until the process is completed.

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•

In eviction cases, if the apartment is occupied by, a person with a disability
(e.g., blind, deaf, handicapped, mentally ill or elderly person) ascertain
whether a notification to an appropriate Social Service Agency has been
made. If the notification has not been made or has been made but the
Social Service agency has not made contact with the occupant, advise the
marshal to immediately contact the Bureau of Marshals at the Department
of Investigation for direction, and stop the eviction until appropriate
arrangements have been made for the occupant.

Prohibited Conduct by Police Officers
•

Do not assist in breaking and entering. The marshal or sheriff will gain
access in the least disruptive manner possible. They will not receive
police assistance in this task.

•

Do not assist in seizing the property or removing it from the
apartment. The landlord, complainant, or a moving company will assist
the marshal or sheriff. For a further explanation concerning the duties of
the marshal and sheriff, see Legal Bureau Bulletin Vol. 14 #8, and P.G.
214-13.

Other Civil Matters
It is your obligation to be able to recognize when a matter is civil in nature.
Once this is realized, the matter should be referred to the appropriate civil court
for further legal action. The monetary limitations of the various civil courts are as
follows:
•

New York City Civil Court, Small Claims Part - any amount in dispute up to
$3,000.00;

•

New York City Civil Court - any amount in dispute up to $25,000.00;

•

New York State Supreme Court, Civil Part - any amount in dispute, but
usually exceeding $25,000.00.

This information should be part of your general knowledge. You will be
called upon to refer people to the appropriate civil courts on a regular basis.
Certain incidents, although civil in nature, will result in calls for police service
beyond the mere giving of advice. Thus, you should know the location of the
various courts in the borough where you are assigned.

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Civilian Repossessor
There are cases where the purchase of personal property is conditioned
upon the purchaser making payments on a regular schedule. If the purchaser
does not make agreed payments, the seller may retake or repossess the
merchandise (e.g., automobiles, televisions, etc). This is so because the seller
parts with possession of the merchandise but not title to it. The Personal
Property Law provides that the contract of sale, or other agreement, provides that
the seller of the merchandise (one where the purchaser does not pay for the
goods in full) may retake the merchandise pursuant to a valid lien; he may do so
as long as there is no breach of the peace or violation of the law. Thus, if the
repossession by a civilian, hired by the seller, can take place without a breach of
the peace, it is lawful and no police action should be taken.
Example: Joe buys an automobile on credit and, after making a
few payments, decides he does not have the money for more
payments. He likes his new car, so he keeps driving it. After a few
months, he receives a notice from the finance company that loaned
him the money for the car; he comes out of his house one morning
on his way to work and discovers that his car is missing. He goes
over to the Friendly Finance Company and sees his car in their
garage. He calls the police. When you arrive, a representative of
the finance company tells you the story. In this instance the finance
company exercised their legal rights to repossess the car because
of the debtor’s missed payments.
Scofflaw Vehicles
Legally parked vehicles may be seized for non-payment of past due
parking summonses. After the Parking Violations Bureau (P.V.B.) designates a
vehicle as a scofflaw it may be seized to secure payment of any outstanding
summonses and court fees. In New York City, one of the functions the sheriff
performs is seizing these vehicles. Typically, the sheriff drives down the street
with a hand held computer checking license plates. If a vehicle is discovered to
be a scofflaw, it is towed.

PATROL CONDITIONS
The following section will examine patrol conditions that generally do not
involve enforcement action on the part of the police officer.

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Taxi Disputes
Taxi disputes are a common occurrence in New York City. They usually
involve differences of opinion over fares, routes of travel and destinations.
Drivers of taxicabs must abide by the rules and regulations of the New York City
Taxi and Limousine Commission. When a dispute over a fare cannot be resolved
on the street, the parties will be brought to the stationhouse where the Desk
Officer will make a final decision. If a TLC operator is found to be in violation of
any laws or regulations, the appropriate summons will be issued.
Following are some extracts of TLC regulations that will aid an officer when it is
necessary to take proper enforcement action as required by Patrol Guide 209-23.
Taxi & Limousine Commission Documents
Trip Record - A document carried by a taxicab driver, also known as a trip
sheet, which is basically a log of the day’s passengers and activities (such as
time on lunch). Although the forms may vary, they will contain the locations and
times of pickup and discharge, the number of passengers and the amount of
fare. When the driver has finished his or her tour, or is carrying the last
passenger of the day, he or she will indicate “off-duty” on the next open line.
Rate Card - This card, along with the vehicle operator’s license, is displayed in
the front of the taxicab next to the taximeter. The cab # corresponds to the
number on the medallion. The reverse side of the rate card contains information
on the vehicle identification number, registration plate number, make and year of
the taxicab, which should match the vehicle’s registration.
Vehicle Operators License - This license, also known as a Chauffeur’s
License or Hack License, permits operation of taxis, limousines and para-transit
vehicles (such as ambulettes). The colors used change annually. Information on
the license may be computer printed or typewritten. The license is laminated by
the Taxi and Limousine Commission. All drivers must also be in possession of a
New York State Class “E” operator’s license. A driver shall not operate a taxicab
in the City of New York while his or her driver’s license is revoked, suspended or
expired.
Drivers must operate taxicabs at all times in full compliance with all New
York State and New York City Traffic Rules and Regulations and all regulations
and procedures of the Port Authority of New York and New Jersey, the TriBorough Bridge & Tunnel Authority, and any regulatory body or governmental
agency having jurisdiction over motor vehicles.

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Police-Media Relations
As police officers in a free society, we must cooperate with, and assist,
media representatives and personnel in their news-gathering capacity. A free
press (and televised media) is one of the main tenets of a democratic society and
is guaranteed by the constitution. Yet, we must also be vigilant not to
compromise confidential information, the rights of the accused, and the safety of
others, as well as ourselves. In essence, officers in a modern society must
balance the right of our citizens to be informed, with the rights of judicial and
personal protections.
Release of Information to the Media
Information, assistance, or access to properly identified members of the
media should be rendered to whatever extent possible, when it does not:
•

Pose an undue risk to the personal safety of officers, media reps, or
others;

•

Interfere with police operations;

•

Adversely affect the rights of the accused, or the investigation or
prosecution of a crime.

Upon receiving a request for information from representatives of the media
concerning an arrest:
•

Release the following information after an arrest is made:
o Name, age, residence, and similar background information of the
arrested person(s).
o Substance or text of the charge(s).
o Identity of the investigating and arresting agency.
o Circumstances immediately surrounding the arrest, including the
time and place of arrest, resistance, pursuit, possession and use of
weapons and a general description of items seized at the time of
arrest.

•

Information concerning statements, witnesses, evidence, etc. should
be referred to Chief of Detectives and be given by the Deputy
Commissioner-Public Information.

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•

An officer WILL NOT RELEASE information regarding:
o The identity of a child under 16 taken into custody, unless child is a
juvenile offender;
o The identity of a complainant under 16;
o The identity of a neglected or abused child;
o The identity of a victim of a sex crime;
o Information which indicates that a person is a confidential informant
or witness.

•

DO NOT RELEASE the home address and/or telephone number of:
o Police Officers;
o Complainants;
o Witnesses to a crime.

•

Information concerning a prisoner’s or a victim’s affliction with a
communicable disease must be kept confidential. This information
generally should not be released to the public, the media, the
person’s family and friends, or to other prisoners. There may be
unusual circumstances under which this information is warranted.
Any such release, however, may only be made with the written
consent of the Deputy Commissioner – Legal Matters.

•

Request for information concerning official business:
o Routine requests for statistics, surveys, etc., should be referred to
the Office of Management Analysis and Planning (O.M.A.P.)
o Routine inquiries can be answered, provided they do not
compromise any of the three precautions listed on page 11.
Note: Police Officers who require assistance regarding cooperation
with the news media or have questions about what they can or
cannot release may call the Public Information Division at
646-610-6700, 24 hours a day, 7 days a week for assistance.

The Media at the Scene of a Demonstration
Police officers will not interfere with the videotaping or the photographing
of incidents in public places. Intentional interference such as blocking or
obstructing cameras or harassing the photographer constitutes censorship.

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In order to cooperate more fully with members of the news media and
provide them access to cover demonstrations that occur on private property or
spill over onto private property, the following guidelines will be adhered to by
police officers at those incidents:
•

To the extent it is feasible to do so; the Department will not impede the
media’s access to demonstrations on private property.

•

Members of the media will not be arrested for criminal trespass, unless an
owner or representative expressly indicates that the press is not to be
permitted.

•

The ranking officer retains discretion to exclude the press if he or she
reasonably believes that their presence causes safety concerns and
access must be restricted.

•

Properly credentialed members of the press assigned to such
demonstrations should identify themselves to the C.O. at the scene.

•

Working press will not be allowed access to interior crime scenes.

•

Working press will not be allowed into frozen areas. Working press cards
clearly state, the bearer is entitled to cross police and fire lines. This
right will be honored and access will not be denied.
Note: However, this does not include access to interior crime
scenes or areas frozen for security reasons.

DEMONSTRATIONS
It is important in our democratic society that the rights of assembly and the
freedom to peaceably protest be protected. At the same time, these rights
cannot be used as an excuse for violence nor may the exercise of those rights
unnecessarily interfere with other important rights, such as those of nondemonstrators.
Regardless of your personal feelings towards the demonstrators or the
object their protest, you must remain neutral. A lack of professionalism or the
use of unnecessary force against civilians damages the relationship between the
Department and the community, as well as the Department’s image. An officer
who engages in such conduct subjects himself to administrative, civil, and
possibly criminal sanctions.
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First Amendment Rights
The First Amendment to the United States Constitution states, in part, that:
Congress shall make no law ...abridging the freedom
of speech, or the press, or the right of the people to
peaceably assemble, and to petition the government
for a redress of grievances.
Thus, all people in America are free to assemble and discuss issues or
events they think are important, or to support a particular course of action or
belief. It does not matter whether the ideas of the speaker are right or wrong.
What is important is that the speaker has the right to express them.
The courts have broadly interpreted the rights that are protected under the
First Amendment. Some examples of the acts or expressions protected are:
•

The right to conduct a protest meeting in City Hall Park;

•

The right to peaceably engage in picketing to demonstrate or protest
toward a particular group, business or firm;

•

The right to print and distribute handbills supporting a point of view;

•

The right to display a flag, decal or button with any mark, symbol or design
superimposed on it; and

•

The right to burn or destroy the American flag (General Business Law
Section 136, relating to desecrating the American flag, is no longer
enforceable in New York State).

While destruction of a flag is a constitutionally protected form of
expression, if someone sets fire to an American flag, the person or persons
setting such fire may be issued a summons for the New York City
Administrative Code violation for Open Fires (Section 24-149). This offense
reads as follows:
No person shall cause or permit the kindling, maintenance or
use of any open fire so as to cause the emission of an air
contaminant into the open air, unless allowed by law,
barbecue, training purposes, commercial use, or television,
motion picture or theatrical purposes.

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Regulations and Permits
All attempts to regulate activities that are classified as pure speech have
failed constitutional muster. However, the fact that conduct may be permitted
under the First Amendment does not mean that the government cannot regulate
that conduct in some way if the overwhelming needs of the rest of society require
it. When the activity is more than pure speech and there is a real likelihood that
it will affect the public in general, the police can apply reasonable regulations to
the conduct of the demonstration.
Regulations have been upheld where the public need was great. For
example, a crowd, even an orderly crowd, must be policed to prevent traffic
congestion, pedestrian congestion and inconvenience to others; therefore certain
demonstrations require permits.
Organizers are required to apply for and obtain a permit before they hold
a street parade. A permit issued by the Police Department is also required when
a sound amplification device is to be used. Reasonable regulations affecting the
time, place and manner of the demonstration may be imposed.
We will assume for the remainder of this chapter that the organizers of a
demonstration obtained the proper permits, as required by the New York City
Administrative Code. The term demonstration will include organized groups
comprised of many persons as well as the individual or small groups of
individuals who utilize free speech and assembly to further their cause.

GUIDELINES FOR DEMONSTRATIONS
You should be guided by the following general rules dealing with demonstrations:
•

To the extent possible, the job of the police is to protect both the
demonstrators’ right of assembly and the right of non-demonstrators to
peaceful and unobstructed passage. To do this, police barricades are
most helpful. Properly utilized barricades permit a section of the sidewalk
to be used for the demonstrators and another area for passage without
obstruction. If it becomes necessary to arrest the demonstrators for
impeding pedestrian traffic, they should first be warned that while they
have a right to express their belief, the present location is improper and
they should move to another designated area located nearby where the
passage of pedestrian and vehicular traffic would not be obstructed.

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•

The group should be permitted to demonstrate as near to the target of
their protest as is consistent with safety and reasonable requirements of
unobstructed passage. This is referred to as the “sight and sound”
requirement. However, in the interests of public safety, where it is clear
that violence or even a riot will occur if the demonstration is located in a
particular place, the police must designate a safer area, as close to the
main point of the demonstration as possible. This has been held not to
violate the rights of the demonstrators.

•

The obstruction of a street, sidewalk or building entrance may be either
intentional or merely incidental to a group assembling together to
communicate their views. There is always some incidental blocking of the
street or sidewalk whenever one or more persons use public areas to
communicate their views. Even a lone individual handing out political or
religious leaflets, something that is clearly legal, may be blocking the
passage of others. This is not what the law means when it talks in terms
of obstruction. Incidental obstruction is not illegal if it is less than a
serious annoyance or only mere inconveniencing of pedestrians. The
statute dealing with obstruction is Penal Law § 240.20 (5) (Disorderly
Conduct), which prohibits obstructing vehicular or pedestrian traffic with
intent to cause public inconvenience, annoyance or alarm. Certain
activity such as handing out leaflets (on its own) is never an obstruction.

If the incidental blockage of a sidewalk or street is dangerous as well as
inconvenient (e.g., blocks entrance to a theatre, church, school or building of
large pedestrian flow, department store, etc.), the demonstrators should be
alerted to the problem and told that they must move to another area where there
is no danger. The demonstrators should be told why there is a safety problem.
Often, it will be possible to point out that they could continue to demonstrate by
moving only a few feet, occupying the street half of the sidewalk, for example, so
that the building side of the sidewalk is free for passage in and out of the
building. Most demonstrators will act reasonably and comply with a police
officer’s direction if the officer is courteous and explains the reason for the
request.
If the police objective in requesting the demonstrators to move is
necessary as well as reasonable, but the demonstrators refuse to comply by
moving to another designated location where the danger does not exist, then
arrests may be made, or summonses issued.

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There is no set number that determines how many demonstrators are
legally permitted to demonstrate. Clearly, considerations of space and safety
mean that the greater the numbers present, the greater the problems. New York
City is host to the greatest number of demonstrations on a daily basis of any city
in the United States.
The decision as to where demonstrators shall march or picket, where
barriers are to be placed, the number of demonstrators permitted, etc., will be
made by the ranking police supervisor at the scene.
Demonstrations at Business, Commercial or Governmental Areas
Most effective demonstrations are located in the business, commercial, or
governmental sections of the city because:
•

That is where the largest groups can usually be reached with the message
of the demonstrators, and

•

That is where the target or focus of the demonstration (those who are
being asked to do something or whose official actions are being criticized)
performs their functions.

Residential Areas
Occasionally demonstrations are scheduled in residential areas.
Residential areas are generally picked for demonstrations because they are the
focus of the demonstration (e.g., discriminatory housing).
The police must remember that there is no law in New York that
specifically limits the right to demonstrate in residential areas. Arrests may be
made if the circumstances are such that unreasonable noise intended to cause
public inconvenience, annoyance or alarm (PL Section 240.20[2] Disorderly
Conduct) is a direct result thereof. Remember, it may be that the continued loud
and boisterous shouting of slogans in a residential area during the usual sleeping
hours would be a violation of the law, while the same activity would not cause
any concern in other areas of the city.
Demonstrations Held Inside Buildings
Generally speaking, areas inside buildings are not permissible places for
demonstrations. The danger of congestion and resulting panic is greater than it is
outdoors. Of course, if the building is privately owned and the owner does not
object, then no police problem exists, and the police should take no action
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without the prior authorization of the owner of the building (unless public safety is
endangered). However, there are certain indoor spaces that are, in a way, indoor
streets, with all the movement, and hustle and bustle of a street. Because the
Port Authority Bus Terminal has such a character, it is unconstitutional to prohibit
persons from setting up card tables in the terminal in order to distribute leaflets.
An illegal demonstration indoors may be considered a trespass as well as
a violation of Penal Law § 240.20 (4) (Disorderly Conduct), which prohibits
disturbing any lawful assembly without lawful authority and with intent to cause
public inconvenience or alarm.
Private Property
As a general rule, uninvited persons do not have any right to enter private
property for the purpose of demonstrating. The Supreme Court has held that
there is no constitutional guarantee to First Amendment rights on privately owned
property.
The course of action in cases involving shopping centers or malls will
depend on whether the picketing, etc., is labor-related or not. The following is
the recommended course of action:
•

Where the individuals picketing are employees of the store concerned or
are involved in a labor dispute in the particular store, and are not in any
manner blocking pedestrian or vehicular traffic or causing a disturbance,
they should not be arrested for trespass even if the employer wishes to be
the complainant. The owner should be referred to court for an injunction if
he wishes to prevent the picketing, or to the National Labor Relations
Board.

•

If the pickets are in any manner causing a disturbance, such as blocking
traffic or harassing customers, and the owner wishes to be the
complainant in a trespass situation, an arrest should be made if the
pickets refuse to leave the property. Any additional charge, such as
disorderly conduct, should be made where applicable.

•

Where the picketing is not related to a particular store involved, such as
anti-war leafleting, and the owner will be the complainant, the picketers
should be arrested for trespass if they refuse to leave, when requested to
do so.

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Arrests for trespass should only be made when the owner or person in
charge of the property has told the police officer that the group is trespassing.
The demonstrators should be warned that they are trespassing and that they will
be arrested unless they leave immediately. The warning is required because:
•

Without a warning, the trespass sections of the Penal Law, Section 140.05
through 140.17, do not apply to persons whose original entry was lawful.

•

The general policy of the New York City Police Department is to warn nonviolent demonstrators before making arrests. Otherwise, an immediate
arrest will be viewed as an attempt to interfere with the rights of the
protesters.

Labor-Management Disputes
The Police Department’s role at a strike or other labor dispute is similar to
its role at a lawful eviction: preservation of peace and the protection of life and
property. The actual legality of a strike or picket line is generally assumed
unless, of course, overt illegal acts occur.
Without exception, peaceful picketing for the purpose of persuading others
to strike, or to protest business practices, or discourage customers is legal. The
officer assigned to any demonstration is responsible for maintaining an impartial
posture and assuring the safety of the demonstrators while they lawfully exercise
the right of free speech.

THE ACTIONS OF DEMONSTRATORS
Generally, you cannot arrest any person because of what he or she is
saying. There are, however, certain circumstances when arrests can be made
for the content of a speech; those cases are discussed later in this chapter.
Critics of government, clergymen, racists, conservatives, radicals and liberals all
have the same right to put forward their ideas. Your job is to protect all those
speakers even if you disagree with their views.
Verbal Harassment of Officers
Police officers are often the target of criticism at demonstrations. The
police are no more immune from criticism than any other agency of government.
But what if the criticism from the demonstrators takes the form of chanted curse
words and personal insults? Such conduct is of no value and hurts the
demonstrators’ cause–unless the police lose control and overreact to the verbal
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abuse. Remember that some demonstrators want you to overreact. Any display
of overreacting by the police will appear on the front page of the newspapers and
in news telecasts. It is important for police officers to keep their objectivity and
exercise self-restraint to prevent such demonstrators from achieving their
objective.
Note: The violation of Harassment, P.L. 240.25, does not apply to
the mere verbal abuse of a police officer.
To support a charge of harassment in cases in which mere words are
spoken against a police officer, it must be clearly shown that the abusive or
otherwise offensive words were not said spontaneously or merely to express
anger, or as a protest against the acts of the officer. Instead, it must be shown
that the words were part of a scheme to harass or annoy. However, if the
officers were subjected to an accompanying physical contact, however slight, the
arrest would be valid. The courts have uniformly upheld a police officer’s charge
of harassment when the abusive or offensive words are supported by any
physical contact.
The following are examples of language the courts have held not to
constitute harassment when the target was a police officer:
•
•
•
•
•

The use of the term jackass with reference to a police officer;
Racial slurs against a police officer overheard by such officer;
Statement to police officer issuing a summons, “Go f--k yourself!”
Statement, “I’ll get you for this,” made to an arresting officer;
Statement to an officer on patrol, “All you f---ing New York policemen are
no good.”

Violent Conduct
The fact that demonstrators are assembled for some political or social
cause does not give them any license to act violently against others. Neither
demonstrators, nor those who oppose the demonstrators, can express their
opinions by physically attacking other people or by damaging property. This
brings us to a sensitive topic that affects police officers as well as all citizens; the
use of force and enforcement of the law at demonstrations. When a
demonstrator uses physical violence upon another person or property, an arrest
should be made promptly. The only exceptions are those rare circumstances
where the supervising officer in charge decides that making the arrest would tie
up limited manpower or be unnecessarily risky, and therefore reduce the ability of
the police to perform their duties more effectively. If this is the case, the police
officer can make the arrest for a crime at a later time.
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Remaining neutral and attempting to act objectively is a sign of a
professional, effective law enforcement officer. Once police officers lose this
objectivity, or even appear to do so, their very presence may increase tensions,
and their work and the work of fellow officers becomes more difficult.
Non-Violent Conduct
Arrests will occasionally have to be made because of demonstrators’ nonviolent, but nonetheless illegal, conduct (e.g., intentional obstruction of the
streets or of a building entrance). However, before any such arrests are made,
the demonstrators should be warned that they must move or face arrest. If there
is an adjacent location where their presence would not, under the circumstances,
constitute an illegal obstruction, they should be told that they may legally carry on
their demonstration at that other place. The most desirable method of handling
demonstrations is with reasonableness rather than confrontation.
In certain situations, arrests may be needed to restore order or ensure
public safety at a demonstration. If you encounter citizens who are observing
your actions (onlookers), be aware that these people have a right to observe your
actions as long as they do not interfere with appropriate police action. In these
situations, the following conduct alone will not give rise to the charges of
Harassment or Obstructing Government Administration:
•
•
•
•

Speech alone (even crude and vulgar).
Making notes of officers’ names and shield numbers.
Taking photographs/video tapes of your actions.
Remaining in the vicinity as long as they do not cross established police
lines.

Use of Force
Force should be used only when necessary. Whenever force is required,
the minimum amount of force necessary will be used. Force can be used by
police officers only when necessary to prevent crime, to arrest, or for their
protection or for the protection of others. Force may never be used by police
officers to punish.

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CIVIL DISORDER AND RIOTS
Civil disorder and rioting are terms used to describe a series of events
where the civilian population engages in a mass action of lawlessness. Civil
disorders can be the most challenging and dangerous situations for a police
officer to confront. A small incident can rise to a full-scale riot and encompass an
isolated officer almost instantaneously.
Rapid mobilization is the key to quelling disorder. The sooner personnel
are mobilized and deployed to handle disorderly groups at potential problem
locations; the better the chance of avoiding a full scale riot.
To understand how to react to a riotous situation, a police officer must be
able to understand and identify the common problem locations, types of
disorderly groups and the characteristics of a disorderly group.
Problem Locations
Problem locations can be broken down into three general areas, but may
not be all-inclusive to all disorder situations:
•
•
•

Critical Locations- include hospitals, police stations, utility sites,
subways, etc.
Sensitive Locations- include houses of worship, diplomatic locations,
gun shops, etc.
Vulnerable Locations- include shopping malls, banks, liquor stores, etc.

Disorderly Groups
The types of disorderly groups can be understood by examining specific
crowd conditions. These crowds can range from casual to aggressive, from
motivated to chaotic. The five general types are:
•

Casual - (not usually disorderly) temporary crowd, with no common
interest (e.g., crowded shopping malls, Times Square).

•

Expressive - disorderly group expressing fervor or revelry (e.g., religious
activities, sporting events).

•

Acquisitive - disorderly group motivated by a desire to acquire something
(e.g., looters).

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•

Escape - disorderly group in a state of fright, attempting to secure safety
by flight (e.g., panic caused by fire or disaster).

•

Aggressive - disorderly group that riots and terrorizes.

Characteristics of a Disorderly Group
The members of a disorderly group can be broken down into two
categories:
•

Category 1 - Consists of participants that are hostile, predisposed to
engage in disorder, and have deep frustrations and anger. These are the
persons (usually few in number) who start riots.

•

Category 2 - Consists of participants that are usually non-violent in nature
but, given an opportunity (a riot situation accompanied by little fear of
being caught), they will engage in civil disorder. Most rioters are
considered category 2.

History has shown that the lack of response to a category 1 group disorder
has lead to a full-scale riot by category 1 and 2 members. Conversely, a quick
response to category 1 group disorders has quelled possible riotous situations.
Understanding the Cause of Civil Disorder
There are many triggering events that lead to civil disorder. The Rodney
King riots in Los Angeles were triggered by a court verdict. The Crown Heights
riot in NYC was triggered by a car accident. The triggering events are not the
causes of civil disorder. The cause of civil disorder is usually a deep seeded,
underlying, societal disparity, coupled with a lack of response by proper law
enforcement and other government agencies.
Understanding the causes of civil disorder helped the NYPD create plans
and strategies designed to deter it. Improved relations and communications
between the police and members of the public helped to patch societal
differences that, in the past, would have led to disorder.
One of the most significant changes was the creation of the Disorder
Control Unit in 1994. Since these plans were implemented New York City has
not been the victim of any large-scale civil disorder. In fact, there were several
events that, historically, have led to civil disorder, in which the NYPD was
instrumental in maintaining order. These events include:

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•

The shooting of several unarmed African-Americans and the torture
of an African-American prisoner, all at the hands of white police
officers - Many riots have been triggered by race related police incidents,
including the Rodney King assault case, the Washington Heights riots,
and the 1935,1943 and 1964 Harlem riots.
Note: It must be noted that the triggering event of the Washington
Heights riot was the justified shooting of an armed drug dealer.
There was such a division between the city and its people that even
the rumor of unjustified actions by the police sparked civil unrest.

•

The World Economic Forum - Many cities and countries that have
hosted this controversial convention have fallen prey to large-scale
disorder and rioting, including Seattle, Canada and Italy. The NYPD, in
anticipation of the protests that surround these meetings, utilized an
ingenious tactic of arresting any demonstrator that appeared in public with
a mask. The Department utilized an old, rarely used law that prohibits
anyone to appear in public masked with others. Since many of these
protestors intended to cause a riot, they appeared masked (to hide their
identity and prevent their prosecution). The public warning campaign and
swift arrests by the police prevented any such riot.

•

The Yankees World Series Victories - There has recently been a rash of
riots related to sporting team victories and defeats. Riots have occurred in
Los Angeles, Detroit, Chicago, Boston, and Canada; all as a result of
sporting events. New York City, since 1994, has been the home of four
Yankee World Series victories, six Yankees Pennant victories, one Mets
Pennant victory, and a Subway World Series. These have been followed
by no major incidents.

•

Terrorist Attack - On September 11, 2001 terrorists destroyed the World
Trade Center Buildings, killing thousands of people. Hundreds of
thousands of people were safely evacuated from Lower Manhattan and
the City was secured by the NYPD, with no wide-scale panic and no
serious injuries related to the evacuation itself.

•

Anti-War Protests - The wars in Iraq and Afghanistan have sparked
several protests in NYC (home of the United Nations). Many cities have
historically responded to Anti-War protests with force and many innocent
victims have been injured and killed due to these actions. Anti-War
protests in NYC in 2002, 2003, and 2004 have resulted in no major
incidents of unrest.

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•

The Blackout of 2003 - In 1977, NYC experienced a major power outage
that cast the city into darkness. The result was wide scale rioting and
looting. In 2003, the City was once again cast into darkness; in fact, it was
the worst blackout in American history. As many other cities experienced
unrest, rapid mobilization units, including the members of the Police
Academy recruit class, quelled any attempt at disorder in New York City.
The City made it through the night in peace.

THE POLICE OFFICER’S ROLE IN A CIVIL DISORDER
In preparation of upcoming events, student police officers will be
specifically trained in disorder control. This chapter will outline some of the basic
procedures and safety precautions that should be utilized by a police officer at
the scene of a civil disturbance. The main premise of these procedures could be
spelled out in three words:
“NO INDEPENDENT ACTION”
Response
As stated earlier, a rapid, controlled response is necessary to prevent a
small disturbance from becoming a large riot. When responding to a civil
disorder, a police officer should have all possible protective equipment (helmet,
baton, bullet resistant vest, escape hood, etc.) and several pairs of double-cuffs
or flexi-cuffs, if available. The officers should listen to and write down all
directions given by supervisors en route to the scene. Officers should also study
maps of the disorder area, if time allows.
If assigned as an operator of a Department vehicle, insure that the vehicle
is parked in the proper location and not blocking any other vehicles or emergency
routes. Do not drive through the scene of a disorder to get to the mobilization
point. All officers will assemble in formation at a location out of view of the
disorderly group. Supervisors at the mobilization point will hand down
assignments. The objective of the Department at the initial stages of a civil
disorder is to isolate and contain the disorderly group, secure problem locations
and eventually disperse and demoralize the disorderly group.

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Team Assignments
Police officers could be assigned to several tasks. Usually, there are eight
police officers under the command of one sergeant. The police officer’s role is
never to punish; the objective is the calming of the disorder. Firearm discipline
must be maintained at all times. Team assignments mean that no officer acts
independent from another- work as a team. These team assignments include:
•

Crowd Dispersal - In line or wedge formations, police officers will follow
the Sergeant’s orders and disperse a disorderly crowd in a disciplined and
controlled manner. Police officers must not break from formation. The
minimum force necessary will be used to accomplish this goal. The idea
is to disperse the crowd; a slow moving formation with an open retreat
route should be utilized to accomplish this goal.
Note: If mass passive resistance is encountered, where large
groups of people sit or lie down, the line should stop to allow
support squads to arrest the resistors.

•

Mobile Response - In van or RMP, police officers must respond to
assignments as directed by the radio dispatcher or supervisor. Radio
discipline must be maintained and the radio is to be used minimally to
ensure proper response to critical situations.

•

Arrest Duty - Police officers are responsible for arresting violators during
crowd dispersal operations or during general patrol. Do not stray from
police lines. Straying from lines opens up the police officers to being
surrounded and overcome. Arresting officers are responsible for
observing and recording the statements and actions of those arrested.
Clearly distinguish between those to be arrested, innocent bystanders and
onlookers.

•

General Patrol - Police officers are responsible for patrolling posts as
teams, creating a sense of presence in the disorder area. Foot patrol
officers should stay close to the building line and always look up to avoid
falling debris from rooftops. Do not enter rooftops or alleys alone or in
plain clothes, unless directed by a supervisor.

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•

Protecting Problem Locations - Police officers are responsible for the
security of selected locations and for protecting them from attack. Police
officers must not abandon their post unless authorized by supervisors. Do
not get baited by looters and engage in unauthorized pursuits. This is a
tactic used to get the police officer away from the location in order to
attack that location.

•

Escort Duty - Police officers will be responsible to provide protection and
security to other City agencies or utilities in the disorder area, by providing
them with escorts to and from their assignments. Members assigned to
this duty will be directed to a staging area located outside the disorder
area.

SAFETY AT THE SCENE OF A CIVIL DISORDER
At the scene of a civil disorder, crowd or mob members may commit
violence with crude, homemade weapons or they may employ sophisticated
small arms and explosives. If unplanned violence occurs, a crowd will
sometimes use rocks, bottles, bricks or whatever else is at hand. Police officers
who respond to civil disturbances may also be fired upon by snipers or attacked
by homemade incendiary devices. Officers must be prepared to act
professionally, without panic and according to a general plan of action.
Sniper Attack
The normal reaction of a police officer when coming under attack by
sniper fire may be to respond with the use of a firearm. In a civil disorder, this
tactic endangers innocent people and is not effective in stopping the sniper
attack. Additionally, officers should be aware that persons in the disorderly
crowd will sometimes use firecrackers or loud noises to disrupt the police
formation. When officers encounter possible sniper fire they should:
•

Take cover immediately and locate the sniper position, if possible. Cover
could include buildings, engine blocks of automobiles, fire hydrants or light
poles. Relocate, if necessary and able to.

•

Do not gather up and make a larger target for the sniper. Spread out and
take cover.

•

Notify bystanders to clear the area and seek cover. Instruct persons
unable or unwilling to disperse to stay where they are and stay away from
exposed areas.

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•

Verify that it is, in fact, sniper fire that has been encountered.

•

Report verified sniper fire and request assistance (ESU, Task Force).

•

Only uniformed ESU personnel should enter a building or area where the
sniper is located.

Incendiary Device Attack
Incendiary devices are devices designed to ignite on impact. When an
officer becomes the target of an incendiary device or flammable liquid that
causes clothing to ignite, the officer should:
•

Cover his or her face - covering of the face helps to protect the airway
from inhalation of super-heated gases and provides a physical barrier to
the effects of the flames.

•

Stop - DO NOT RUN: running will accelerate the intensity of the flames

•

Drop

•

Roll - rolling on the ground helps to smother the flames by excluding the
oxygen needed for combustion.
Note: shields, if available, can be used to deflect incendiary
devices, as well as other thrown objects.

If an officer observes another officer whose clothing has caught on fire,
the officer should:
•

Assist the member to Stop, Drop and Roll;

•

Attempt to smother the flames using additional material including, but not
limited to, blankets, jackets, towels, etc.;

•

Remove the officer to safety as soon as possible;

•

Request EMS response;

•

Once the flames are extinguished, cool burn area with large amounts of
cool water to alleviate heat buildup in the burn area;

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•

Do not attempt to remove the clothing from the officer. Clothing may
adhere to the burn sites and removing the clothing will cause further
damage;

•

Remain with the officer and monitor respiratory condition.

Do not use water extinguisher or CO2 extinguisher to extinguish fires
involving officer’s clothing; water, when combined with a flammable liquid,
intensifies and spreads the flames. CO2 extinguishers may not extinguish the
flames and may cause further damage.
Overview of Civil Disorder
The key to quelling a civil disturbance without a need for force is the
extreme threat of force, coupled with tight discipline and control. A well
disciplined, well armed unit creates the impression of a powerful, competent
police force. Usually, a large, overpowering police presence will stop rioters in
their tracks. If force must be used, remember to use only the minimum
amount necessary to control the situation.

LAWS RELATING TO CIVIL DISORDER
There are several laws that deal with the unlawful conduct of individuals at
the scene of demonstrations or civil disturbances. These laws pertain to
individuals as well as groups, and actions as well as anticipated actions of
criminals.
Disorderly Conduct – Generally
Although we have rights that are protected by the First Amendment, there
are situations when the quality of life is adversely affected. No individual’s rights
can supercede public safety or the quality of life within a community. Disorderly
conduct involves acts which disrupt public order. As police officers, we must
have knowledge in handling these situations in order to protect the public
welfare.

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A person commits Disorderly Conduct when he or she: Intentionally or
recklessly creates a risk of public inconvenience, annoyance or alarm by
one of the following seven methods:
1. Fighting or violent or threatening behavior
2. Unreasonable noise
3. Obscene language or gesture
4. Disrupts a lawful assembly
5. Obstruct pedestrian or vehicular traffic
6. Refusal to comply with a lawful order to disperse
7. Hazardous or physically offensive condition
Note: Refusal to comply with a lawful order to disperse, obstructing
pedestrian or vehicular traffic and obscene language or gesture must
be committed in a public place. There is an exception regarding
domestic related offenses in which the public place requirement is not
necessary.
Definition of Public Place (P.L. 240.00 [sub. 1])
Public place means a place to which the public or substantial
group of persons has access, and includes, but is not limited
to highways, transportation facilities, schools, places of
amusement, parks playgrounds, and hallways, lobbies and
other portions of apartment houses and hotels not
constituting rooms or apartments designed for actual
residence.
Definition of Transportation Facility (P.L. 240.00 [sub. 2])
Any conveyance, premises or place used for or in
connection with public passenger transportation, whether by
air, railroad, motor vehicle or any other method. It includes
aircraft, watercraft, railroad cars, buses, and air, boat,
railroad and bus terminals and stations and all
appurtenances thereto.

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Disorderly Conduct - Violation (P.L. 240.20) A person is guilty of Disorderly
Conduct when, with intent to cause public inconvenience, annoyance, or alarm,
or recklessly creates a risk thereof:
1. A person engages in fighting or in violent, tumultuous or
threatening behavior.
Example: A man and his wife are having an argument and disturb
people in the street near them. The husband apologizes to the
people who gathered, but in a few minutes he and his wife are
fighting again. If their conduct amounted to violent, tumultuous or
threatening behavior and they are recklessly annoying others, they
could be charged with Disorderly Conduct; or
2. A person makes unreasonable noise.
Example: A group of demonstrators are protesting at a shopping
center. The protestors, in automobiles, use horns and other
noisemaking devices with the intent of causing the customers to
stop shopping there. If their noise caused public inconvenience,
annoyance or alarm, or recklessly created a risk thereof, they could
be charged with Disorderly Conduct; or
3. In a public place, a person uses abusive or obscene language, or
makes an obscene gesture.
Example: A person walking down the street and shouting profane
words or phrases not directed at anyone in particular or holding his
private parts in an obscene manner, could be charged with
Disorderly Conduct; or
4. Without lawful authority, a person disturbs any lawful assembly or
meeting of persons.
Example: A person who intentionally disrupts a closed meeting of
the Board of Education to demand decentralization of school
districts would be charged with Disorderly Conduct under this
subdivision; or

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5. A person obstructs vehicular or pedestrian traffic.
Example: A group of people who are demonstrating for social
reform stop traffic by stationing themselves across a public
highway. This group could be charged with Disorderly Conduct; or

6. A person congregates with at least two other persons in a public
place and refuses to comply with a lawful order of the police to
disperse.
Example: A group of people gather outside City Hall to protest tax
increases. They have no intention of causing public inconvenience,
annoyance, or alarm. However, because of their reckless actions,
pedestrians are inconvenienced and annoyed. If they refused to
move after being directed by a police officer, they would be charged
with Disorderly Conduct. If their actions caused interference with
vehicular or pedestrian traffic, then they could also be charged with
subdivision 5 as well as subdivision 6.
Note: For this subdivision to apply there must be a minimum of
three people present. However, only the person who refuses to
comply violates the statute; or
7. A person creates a hazardous or physically offensive condition by an
act which serves no legitimate purpose.
Note: Subdivision 7 is a provision used to cover other acts of
annoyance or alarm.
You should remember that there must be intent to cause public
inconvenience, annoyance or alarm, or he/she must recklessly create a risk
thereof in order to arrest a person for violating one of the seven subdivisions of
this law. Several of the ways to commit Disorderly Conduct are similar to those
required for harassment. However, Harassment is directed at a particular person
and Disorderly Conduct is considered an offense against society as whole.
Unlawful Assembly - Misdemeanor (P.L. 240.10)
The crime of Unlawfully Assembly, misdemeanor has as its main purpose,
the protection of the public peace. This offense can be considered a type of
action that generally comes before a riot-misdemeanor situation.
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There are two ways in which a person can commit this crime:
•
•
•

He or she assembles with four or more people;
For the purpose of engaging or preparing to engage with them;
In tumultuous (loud, agitated behavior) and violent conduct likely to cause
public alarm;
or

•
•
•

Being present at an assembly with 4 or more other people;
Which either has or develops the purpose of engaging in or preparing to
engage in tumultuous and violent conduct;
He or she remains there with the intent to advance that purpose.
Example: Five individuals meet on the street in front of their local
bar and decide that it is a good time to seek revenge against a
group of men who had assaulted a friend of theirs. They look for
clubs and other weapons to carry out their plan.

All five persons are ready to engage in tumultuous and violent conduct
likely to cause public alarm and each could be charged with the crime of unlawful
assembly. If the five individuals had innocently wandered into an area where a
gang-fight or other tumultuous or violent conduct was taking place, remained
there and encouraged the persons to continue in their illegal activity, they could
be charged with unlawful assembly.
Inciting To Riot – Misdemeanor (P.L. 240.08)
Inciting to Riot- misdemeanor occurs when a person:
•

Urges ten or more persons;

•

To engage in tumultuous and violent conduct likely to create public alarm.

This crime covers conduct that may not amount to either riot or unlawful
assembly. For this offense, only the person who urges the others is guilty of this
crime. If at least four of the people being urged agree to the requested conduct,
unlawful assembly would be the proper charge for all participants. In the
absence of this agreement, inciting to riot is the proper charge—but only for the
person doing the urging.

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Example: Pete, who is upset because his sister, Pam, has been
arrested, encourages 15 people to march to the stationhouse and
break the windows. He also urges the crowd to use sticks or rocks
against anyone attempting to stop them.
Riot - Generally
There are two degrees of riot, misdemeanor and felony. Both offenses
involve a certain type of conduct; the felony situation additionally requires a
particular result.
Riot - Misdemeanor (P.L. 240.05)
Riot- misdemeanor occurs when a person:
•
•
•

Simultaneously (at the same time) with four or more other persons
Engages in tumultuous and violent conduct, and
Intentionally or recklessly causes or creates a grave risk of causing public
alarm.
Example: Five radical students enter Grand Central Station
carrying protest signs attached to heavy wooden sticks. As they
march through the station, they begin to shout obscenities and
wave their signs in a menacing manner, thereby causing the
commuters to flee the area.

Riot - Felony (P.L. 240-06)
Riot-felony occurs when a person:
•

Simultaneously with ten or more persons;

•

Engages in tumultuous and violent conduct; and

•

Intentionally or recklessly causes or creates a grave risk of causing public
alarm;
and

•

A person other than a participant suffers a physical injury;
or

•

Substantial property damage occurs.

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Example: A group of eleven people are demonstrating in front of a
courthouse inside which a controversial criminal case is being tried.
As the defendant appears, the group begins to scream obscenities
and throw debris. During this activity, a non-participant is struck by
a rock and injured, numerous windows are broken and other
property is damaged. Riot - felony would be the proper charge
based on the actions of the group.
Overview of Riot Offenses
•

The felony requires eleven (includes the defendant) or more persons
while the misdemeanor requires five (includes the defendant) or more
persons.

•

In addition, the felony requires a physical injury to a non-participant or
substantial property damage. This is not required for the misdemeanor.

•

For both charges, the person must engage in tumultuous and violent
conduct, thereby creating a grave risk of causing public alarm.

CONCLUSION
When you leave the Academy and work in the field, there will be times
when you will be called upon to police large crowds. Such occasions include
demonstrations, public events, civil disorder and strikes. As part of the N.Y.P.D.
values, we pledge to protect the lives and property of our fellow citizens and
impartially enforce the law. It is imperative that we maintain a balance between
citizen’s constitutional rights and our responsibility to protect persons and
property. As part of effective policing, you must be able to effectively utilize good
communication and judgment skills in order to ensure that order is maintained.

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MANDATORY PATROL GUIDE READING
The following are Patrol Guide procedures, and a Legal Bureau Bulletin,
that must be added to this chapter – Maintaining Public Order. These
procedures must be read in conjunction with this chapter. Questions for the 3rd
Trimester Exam may come from these procedures:
P.G. 208-08

Fingerprintable Offenses

P.G. 209-09

Personal Service of Summonses Returnable to Traffic
Violations Bureau or Criminal Court

P.G. 209-23

Taxi and Limousine Commission Notifications Re: Violations
and Enforcement Action

P.G. 212-49

Incidents Involving Media Representatives

P.G. 212-77

Release of Information to News Media

P.G. 214-12

Unlawful Evictions

P.G. 214-13

Evictions, Repossessions and Other Civil Process

Legal Bureau Bulletin Volume 14 #8

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Domestic Preparedness

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT TERRORISM?
Terrorism has shown itself to be a global threat from which
no community is free. It transcends all geographic and demographic boundaries.
All jurisdictions—suburban, urban, and rural—are at risk. Terrorists have
demonstrated the capability to strike anywhere in the world.
But New York City has been a special case. New York is the most
important and most visible city in the world: every major event occurring here is
reported around the globe. To much of the world, New York is the very symbol of
the United States and of western democracy, civilization, and achievement. For
these reasons, our city has been the scene of more terrorist attacks than any
other U.S. jurisdiction. As Appendix A shows, even in recent history, these long
predated the atrocities at the World Trade Center, and have been inflicted on us
by a variety of domestic and foreign groups and individuals.
New York City Police Officers are first responders in terrorist
actions. They also play a major role in the investigation of possible future attacks.
It is therefore essential that you, as a New York Police Officer, prepare yourself
so you can maximize your safety and effectiveness if an attack occurs.
Preparation involves learning about:
1.

The history, ideologies, capabilities and methods of domestic and
international terrorist groups so you can predict possible targets and the
kinds of weapons and tactics particular groups are likely to use.

2.

The variety and effects of weapons of mass destruction (“WMD”).

3.

How people are likely to react in the event WMD is used in the city.

4.

Appropriate responder actions in the event of the deployment of a WMD.

5.

Appropriate safety procedures in the event of an attack.

6.

How to prepare yourselves psychologically to handle a terrorist incident.

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DEFINITIONS
Terrorism
Title 22 USC, Section 2656f(d) - defines terrorism as premeditated,
politically motivated violence perpetrated against noncombatant targets by subnational groups or clandestine agents, usually intended to influence an audience.
The Federal Bureau of Investigation defines terrorism as the unlawful
use of force or violence against persons or property to intimidate or coerce a
government, the civilian population, or any segment thereof, in furtherance of
political or social objectives.

Destructive Device

Title 18 USC, Section 921 states that the term ''destructive device''
means any explosive, incendiary, or poison gas bomb, grenade, rocket having a
propellant charge of more than four ounces, missile having an explosive or
incendiary charge of more than one-quarter ounce, mine, or device similar to any
of the devices described in the preceding clauses; any type of weapon (other
than a shotgun or a shotgun shell which the Secretary finds is generally
recognized as particularly suitable for sporting purposes) by whatever name
known which will, or which may be readily converted to, expel a projectile by the
action of an explosive or other propellant, and which has any barrel with a bore of
more than one-half inch in diameter; and any combination of parts either
designed or intended for use in converting any device into any destructive
device… and from which a destructive device may be readily assembled.
Weapons of Mass Destruction

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Title 18 USC, Section 2332a states that the term ''weapon of mass
destruction'' means any destructive device as defined in section 921 of this title;
any weapon that is designed or intended to cause death or serious bodily injury
through the release, dissemination, or impact of toxic or poisonous chemicals, or
their precursors; any weapon involving a disease organism; or any weapon that
is designed to release radiation or radioactivity at a level dangerous to human
life.

Explosive Device
The Patrol Guide Section 212-40 defines an “explosive device” as
any article, detonated by mechanical or electrical means, which may
possibly contain a chemical, gas, liquid or other substance capable of causing a
fire, explosion, burn, or other chemical reaction intended to cause injury to a
person or result in damage and/or destruction of property.

Bomb Threat
The Patrol Guide Section 21240 defines a bomb threat as any communication, including written
correspondences or telephone calls received by the public or a member of the
service, indicating that an explosive device, has been, or will be, placed at a
particular location(s).

TERRORIST IDEOLOGIES AND METHODS
Terrorists are motivated to engage in violent activity by a variety of factors
such as religious beliefs, ethnic, nationalist or political ideologies, regional or
global interests, class conflict, or warfare, along with social or economic
upheaval. Beginning in the 1960s, terrorists turned from targeting prominent
individuals towards a wider range of targets, including those historically
considered immune, such as emergency response –

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fire, police, and emergency medical service personnel. This shift in focus has
resulted in a change in methods. Increasingly, individuals are involved in the
commission of random acts of violence with no apparent aim beyond causing
pain and suffering to a government they feel has wronged them. Some terrorist
groups are evolving into new organizational structures that are harder to detect,
track and infiltrate. Such terrorist groups consist of a collection of factions with
common interests. Accordingly, the groups form, change, and regroup in
response to specific agendas or planned actions.
The International Terrorist Threat
International terrorists continue to pose a threat to the interests of the
United States. Libya, North Korea, Syria, Iran, Sudan, Iraq, and Algeria are
among the countries that have histories as state sponsors of terrorism. While
terrorist acts by governments are declining, terrorist activity by individuals and
independent groups is increasing. International terrorist organizations that pose
potential threats against American targets include:
1.

HAMAS (Islamic Resistance Movement). Formed in 1987, this group’s
strength is concentrated in the Gaza Strip and the West Bank. It operates
primarily in Israel, Jordan, and the territories occupied by Israel. Hamas
elements have used both political and violent means, including terrorism,
to pursue their goal of establishing an Islamic Palestinian state in place of
Israel.

2.

Hezbollah (Party of God). Formed in Lebanon, this group is dedicated to
creation of an Iranian-style Islamic republic in Lebanon. The group is
strongly anti-West and anti-Israeli. Reportedly controlled, at least in part,
by the government of Iran; it has been linked to multiple anti-U.S. terrorist
attacks—including the 1983 suicide truck bombing of the U.S Marine
barracks in Beirut and the 1984 bombing of the U.S. Embassy in Beirut.

3.

Al-Qaida (The Base). Established by Osama bin Laden around 1990, this
organization has been linked to many incidents worldwide, including the
1998 bombings of the U.S. embassies in Nairobi, Kenya and Dar es
Salaam, Tanzania. It claims to have shot down U.S. helicopters and killed
U.S. service members in Somalia in 1993 and to have conducted three
bombings targeted against the U.S. presence in Yemen in 1992. Osama

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bin Laden has been given the title, by many, as the World’s Most
Dangerous Terrorist.
The Domestic Threat
According to the Federal Bureau of Investigation (FBI), domestic groups or
individuals are more likely to be the source of a WMD incident than are
international organizations. In recent years, right wing groups, anti-abortion
extremists and white supremacist organizations have been particularly vicious.
Hate Groups
Domestic entities presently pose the greatest threat of WMD employment.
The Southern Poverty Law Center (SPLC) in Montgomery, Alabama, monitors
left-and right-wing groups in the U.S. In its 2000 reports, SPLC identified 457
active U.S. hate groups, down from 537 the year before. The drop in the number
of hate groups occurred because smaller groups have merged, forming larger
hate conglomerates. Hate groups include Ku Klux Klan, Neo-Nazis, Skinheads,
Christian Identity and other extremist religious groups, Black Separatists, and
others. The number of Neo-Nazi and Ku Klux Klan groups has dropped since
1999, as did membership in the Identity movement.
Nevertheless, hate groups appear to be growing more violent. Their
crimes have also skyrocketed since 1995. Plans to bomb at least three IRS
buildings, two federal buildings, several banks, a natural gas-refinery, family
planning clinics, and other targets have been made. Extremists have amassed
explosives, machine guns, missiles, and other weapons.

Hate groups are organized around different philosophies. The Christian
Identity movement is anti−Semitic (anti−Jewish), opposes abortion, and
advocates a race war. Patriot militias tend to be right−wing, racist and
anti−federalist and adhere to conspiracy theories. Militias expect their members
to possess firearms and encourage paramilitary training. Common-Law groups
distrust governmental systems at local, state, and federal levels.
Cult Groups
Broadly defined, cult groups are composed of people who demonstrate
great devotion to a person, idea, object or movement. Cult members believe
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they can achieve special status in the spiritual family. This special status
provides access to wisdom unavailable to other people. Members may believe
that extreme actions – including mass suicide or homicide – are warranted to
satisfy their beliefs. Members may move in and out of fringe religious groups or
radical political, technological, and militia movements.
Typical is the group Aum Shinrikyo (Supreme Truth) whose members
believed that an apocalyptic nuclear war, occurring between 1997 and 2001,
would lead to the end of current civilization. Members of Aum Shinrikyo were
responsible for the 1995 Tokyo Subway attack in which a nerve agent, sarin,
caused more than 5,000 casualties and twelve deaths. More than 160
emergency responders were among those requiring treatment.
Single Issue Groups
Members of these groups are organized around a single cause. In the
past, these have included organizations that purported to fight for such causes as
an end to the Vietnam War, black nationalism or Puerto Rican independence.
More recently, extremist advocates of animal rights or the abolition of abortion
have taken part in violence. Multiple injuries and deaths and millions of dollars in
damages have resulted from arson attacks, bombings, and shootings involving
violent anti-abortion groups.
Animal-rights groups, such as PETA (People for the Ethical Treatment of
Animals), are suspected in a multitude of destructive attacks against animalresearch laboratories and manufacturing sites that use animal byproducts in their
businesses. Many of these attacks have involved the use of incendiary devices.
Eco-Terrorism is now a concern to authorities because organizations,
such as Earth First!, reportedly have become involved with the destruction of
facilities involved in practices conflicting with their organizational beliefs.
Members of these groups allegedly have destroyed homes and commercial
buildings under construction, and are considered to be violently antidevelopment.
Lone Individuals
According to FBI sources, lone individuals present the greatest and most
credible domestic WMD threats. These individuals operate independently even
though they may be loosely affiliated with any of the groups mentioned above.
Typical is Eric Robert Rudolf, one of the FBI’s ten most wanted until he was
apprehended by federal agents in June 2003. Rudolf is a prime suspect in the
January 1998 bombing of a women’s clinic in Birmingham, Alabama. Timothy
McVeigh is another. He took generally anti-government positions, and eventually
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was executed for the April, 1995 bombing of the Murrah Federal Building in
Oklahoma City, which killed 168 people.
Weapons of Mass Destruction (WMD)
It is critical for police officers to understand that it is now possible for any
individual or group to obtain and use WMD. Any individual or organization
desiring information has only to turn to the Internet as a source. Though many
WMD are difficult to produce and use, others - including readily available
industrial chemicals - can and have been used as WMD.
Terrorists may use WMD because they are inexpensive and effective,
causing mass casualties while assuring instant media coverage, fame, and
recognition for the group and its cause. They are designed to cause fear as well
as injury, resulting in panic, paralysis and widespread insecurity. Chemical and
biological agents are excellent weapons for covert dissemination because they
can be spread over large areas by the wind. These agents are also often difficult
to detect without specialized devices and training. Many of the effects are
delayed, allowing the perpetrator to be far from the incident scene before the act
is detected.
Explosives give terrorists the maximum effect with minimum resources.
They are particularly easy to procure, assemble, and deliver. Approximately 80
percent of all terrorist acts within the United States involve incendiary and
improvised explosive devices.
Potential Terrorist Targets
•

Outdoors
Biological and chemical weapons are usually deployed outdoors
however the wind rapidly dissipates vapors until they are too thinly
concentrated to have
noticeable effects on individuals. Sunlight
will also neutralize and kill most biological agents
within two hours.
The weapons will be most effective if released into large crowds to ensure
more casualties,
panic, and media attention.

•

Government Facilities
Important government facilities such as the Murrah Federal Building
in Oklahoma
City or City Hall here in New York City.

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•

Symbolic Entities
Almost any facility of interest to the terrorist’s cause can become the
target of a
WMD attack, especially buildings associated with controversial issues like
family planning. Particular buildings - such as city halls, office buildings
like Internal Revenue Service (IRS) and FBI offices, and military
installations - are considered
likely targets as well. Monuments that
stand in recognition or in celebration of the
American people, heroic
figures, battles, and so forth are often seen as potential
targets by
terrorists holding conflicting societal views.

•

Vehicles
At particular risk are the vehicles used to transport toxic industrial
materials. The
placarded trains
and trucks that move regularly through populated areas in most
cities
make ideal targets.

•

Critical Infrastructures
Critical infrastructures, such as power-generating substations, water
filtration plants,
and so forth, are likely targets of terrorism. Industries
that produce or use poisonous
chemicals usually store large quantities
of chemicals nearby, thus providing another
source of potential targets.
Security is often low at industrial facilities, and the sites
are usually
accessible from main thoroughfares. Of particular concern are the
following:
1.

Telecommunications - The networks and systems that support the
transmission and
exchange of
electronic communications among and between end-users (such as
networked computers).

2.

Electrical Power Facilities - The generation stations and
transmission and distribution networks that create and supply
electricity to end-users so that end-users achieve and maintain
nominal functionality, including the transportation and storage of
fuel essential to that system.

3.

Gas and Oil Production, Storage, and Delivery -The holding
facilities for natural gas; crude; refined petroleum; petroleumderived fuels; the refining and processing facilities for these fuels;
and the pipelines, ships, trucks, and rail systems that transport

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these commodities from their source to systems that are dependent
upon gas and oil in one of their useful forms.
4.

Banking and Finance - The retail and commercial organizations;
investment institutions; exchange boards; trading houses; reserve
systems; and associated operational organizations, government
operations, and support entities that are involved in all manner of
monetary transactions — including its storage for saving purposes,
its investment for income purposes, its exchange for payment
purposes, and its disbursement in the form of loans and other
financial instruments.

Responder Actions
In the event terrorists use a weapon of mass destruction (WMD) device,
police officers will be on their own for the initial and critical phase of the
response. Because of this, police action may determine whether the terrorist is
successful in causing panic and casualties. The considerations at all levels of
operations are similar – to ensure personal safety and the safety of other
responders, and to initiate defensive control techniques. To do this effectively,
standard operating procedures and protocols must be followed, including those
regarding crime scene preservation and evidence collection. Police responders
should:
•
•
•
•
•
•
•
•
•

Preserve as much evidence as possible.
Report the presence and location of all potential evidence as soon as
possible.
Avoid moving or handling evidence unless absolutely necessary.
Recognize the potential for secondary devices.
Recognize the effects of secondary devices.
Be mindful of personal safety.
Exercise initiative, making on the spot decisions where safety and security
are concerned.
Maintain crowd and traffic control.
Keep crowds away from the incident.

The 3C’s - Communication, Coordination, and Cooperation
The keys to success in any emergency are communication,
coordination, and cooperation. Without communication, coordination, and
cooperation, the scene and adjacent areas may deteriorate into chaos, resulting
in a crisis that cannot be contained. Police officers should try to communicate
and coordinate their actions with each other as well as with additional first
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responders. It is important to be concise and understandable when
communicating to fellow responders as well as the public. Coordination and
cooperation between all response elements is essential to ensure effective use of
resources, safety and security.

Police Action at the Scene
Specific actions officers should take at the scene of a terrorist act vary
depending on the situation, scope of damage, type of weapons involved, and the
nature of the target. The following are general recommendations for action that
apply to most situations:
•
•
•
•
•
•
•
•

Gather all victims into groups.
Using an amplified, authoritative voice, direct walking victims to an
assembly area for medical attention.
Try to keep families together.
The elderly and small children are likely to require special attention
because they are more susceptible to the toxic effects of chemical agents.
Be aware that the perpetrators who committed the act may be the first
victims.
If the appropriate Personal Protective Equipment (PPE) is available,
officers trained in its use may execute emergency decontamination of
victims that have evacuated the immediate area of the incident.
If the proper PPE is present, officers who are trained in PPE use may
operate a decontamination corridor for ambulatory victims.
Do not decontaminate equipment; leave it in the hot zone to be addressed
later.

Keys to Self Protection
Police and emergency responders must isolate and secure the scene after
evacuating the people from the area. This will limit additional exposure and aid
in the investigation process. The three primary means of eliminating or reducing
exposures involve the considerations of time, distance and shielding. These
factors are embodied in the tactical and procedural measures employed by law
enforcement responders.
•

Time - Minimize the time spent in the affected area. Since the amount of
exposure occurs as a function of duration of exposure, less time means
less exposure.

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•

Distance - Maximize the distance from the contaminated materials.
Exposure is inversely proportional to distance; therefore, greater distance
means less exposure.

•

Shielding - Use shielding wherever it is necessary to reduce or eliminate
exposure. By placing an appropriate shield between the contaminant
source and responding police officers, some contamination is reduced in
severity, and exposure may be completely eliminated or reduced to an
acceptable level. The type of shielding needed to achieve a safe working
level varies with the type and quantity of agent or material used.

•

Secondary devices always present a threat. Police Officers should
always be mindful that a secondary device might be present, and should
maintain a minimum 1000-foot perimeter as per Patrol Guide 212-40.

Police Officers can minimize their exposure in responding to a WMD
incident if they remember this simple acronym, RAIN.
•

Recognize characteristics of agents and dissemination devices used in
WMD events.

•

Avoid, by protection, the hazards of WMD materials and dissemination
devices.

•

Isolate the hazards by establishing control zones and performing
decontamination.

•

Notify the appropriate resources and authorities of a WMD incident.

Harmful Characteristics
The realistic threat of a terrorist-initiated WMD incident places the safety
of the public as well as the emergency response community at risk. Therefore,
protection considerations for law enforcement responders during a WMD incident
focus on self-protection and public safety. Defensive, protective measures are
taken to limit or reduce exposure to the following characteristics of a WMD:
These dangers can be recalled with the acronym TRACEM.
•

Thermal - Thermal harm is the result of exposure to the extremes of heat
and cold.

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•

Radiation - Radiation harm refers to the three types of nuclear radiation:
alpha,
beta, and gamma (not radiation as a type of heat transfer).

•

Asphyxiation - Asphyxiation harm refers to the interference with oxygen
flow
during normal breathing. There are two types of asphyxiates:
simple and
chemical.

•

Chemical - Chemical harm refers to the effects from two broad types of
chemical agents: toxic and corrosive materials.

•

Etiological - Etiological harm involves exposure to a living microorganism
or its
toxins, which causes, or may cause, human disease. Biological
agents are the most obvious examples of etiological agents.

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Patrol Operations

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT PATROL OPERATIONS?
Patrol encompasses the fundamentals of police work; walking the beat,
responding to calls for service, and interacting with the public. When you graduate
from the New York City Police Academy, you will be assigned to a Precinct, Police
Service Area (PSA), Transit District, or Impact Zone. Your primary duty will be to
patrol your sector, post, or beat and respond to the needs of the community. You
will most likely begin with a foot post and, with time, graduate to a radio motor
patrol car (RMP).
Many of the patrol command operations, such as preparation of reports,
police communications, street investigations, etc., were discussed in previous
chapters in greater detail. This chapter will cover the basic duties of a patrol officer
in a precinct, Housing P.S.A. or Transit district.
Roll Call (P.G. 212-01)
Whether you are assigned to a precinct, PSA, or district, your workday will
begin at roll call. A supervisor, usually the Patrol Supervisor, will muster – or
gather – everyone in a designated area or room of the building, usually the “muster
room,” and read out the daily assignments - as he or she accounts for the squad.
The platoon will then be briefed on current precinct conditions, inspected for
uniforms and equipment, instructed, and posted. Command-level training sessions
are also conducted; remember, your training and education does not end upon
leaving the academy.
The daily assignments given at roll call vary and could include; a foot post,
sector car, stationhouse assignment, fixed post, prisoner transport, or an out-ofcommand detail.
Interrupted Patrol (P.G. 212-10)
When uniformed members of the service, performing duty with the platoon,
enter any precinct stationhouse, police service area or transit district command for
any reason during the tour, they must first report to and inform the desk officer of
the reason for their presence in the command. Such members must also report to
the desk officer prior to leaving the command to resume patrol or assignment.

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Expiration of Tour (P.G. 212-03)
Upon completing a tour of duty, patrol officers must proceed directly to the
stationhouse, or notify the desk officer if an assignment requires them to perform
work past their scheduled end of tour. Officers who are assigned to posts that
require relief must notify the desk officer one hour prior to the expiration of their
tour. Upon returning to the stationhouse, officers must complete, sign, and submit
reports as required. They must also safeguard or return department property or
equipment as required by department directives. Lastly, officers are required to
sign the return roll call in uniform.

PATROL PRECINCT
The majority of police officers are assigned to precinct patrol and deliver the
bulk of police services. Patrol serves three functions: (1) to deter crime, (2) to
enhance feelings of public safety, and (3) to make officers available for service.
Patrol within a precinct is generally performed in two traditional manners: by foot or
in a vehicle.
Foot Post
As a probationary police officer, the majority of your initial patrol experience
will likely be spent on a foot post, fixed post, or beat. This should not be viewed as
an undesirable assignment or punishment. Instead, it is an opportunity to become
better acquainted with your role as an officer, as well as your new surroundings.
The patrol officer on foot is not shielded by glass and steel, or isolated from
the community. He or she is the cop on the corner, offering direction to the lost,
comfort to the worried and a constant presence of justice to the criminal. When
citizens see a patrol officer standing on the sidewalk, they feel a sense of security.
Officers on foot become the public relations officers for the N.Y.P.D. and are
nearby to offer their services.
As an officer on foot patrol, you will be constantly interacting with the public;
answering questions, giving advice or just talking to local merchants and citizens.
You will also detect crime and enforce the law. Therefore, you must be aware of,
and inspect your post for conditions requiring police attention. You should familiarize
yourself with the everyday routine of people residing, doing business or frequenting
your post. You must investigate any suspicious activity and pay particular attention
to areas that may be prone to crime (back alleys, rooftops, parks, etc.). You must
also be constantly aware of radio transmissions of crimes in progress and calls for

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service on your post and promptly respond when directed. A good foot patrol
officer will always respond to calls for service on his or her post whether directed to
or not.
Police Officer - Duties and Responsibilities (P.G. 202-21)
In addition to other duties, a patrol officer assigned to a foot post must also:
•

Report immediately to the patrol supervisor and the platoon commander any
unusual crime, occurrence or condition;

•

Report conditions not requiring immediate attention to the command clerk;

•

Signal or ring (e.g., telephone) the command each hour, if not equipped with
a portable radio;
o All uniformed members performing first platoon duty will ring between
0200 and 0700 hours direct to the desk officer.
o When assigned to school or church crossing, signal before and after
the crossing period.
o Do not signal when assigned to a traffic post.

•

Not leave post/sector until meal actually commences and be back on post
when meal is over. Travel time to and from meal locations is not
authorized. The officer must notify the telephone switchboard operator:
o At the beginning of meal and upon return to post.
o Of the location where meal is to be taken.

•

Make an activity log entry prior to leaving post including meal location
address, and again upon returning to post;

•

Keep the telephone switchboard operator informed of police services
rendered when dispatched to an assignment by the station house.

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Radio Motor Patrol (RMP) - Generally
In time, a probationary police officer will be assigned to a sector car. The
operator and recorder in a sector car work as partners and are responsible for a
geographical area or sector within the precinct boundaries. The operator and
recorder’s duties are interchangeable and it is required that the two patrol officers
switch these duties at the fourth hour of the tour.
Radio Motor Patrol (RMP) Operator (P.G. 202-22)
The operator in a sector team is the driver of the vehicle. He or she is
responsible for the thorough inspection of the RMP before leaving the stationhouse
for patrol. This inspection includes, but is not limited to; interior and exterior
physical inspection for damage, inspection of computer equipment, ensuring all
paperwork is up to date, ensuring that all lights and equipment are operable,
ensuring that the proper amount of fluids are in the auto (i.e., gas, oil, water) and
ensuring that all seatbelts are in proper working order. The operator must then
make an activity log entry of findings, odometer reading, and amount of gasoline in
the tank as registered by the indicator.
When you are assigned to a vehicle, that auto is under your care and
control; this includes making minor repairs, when possible. Necessary major
repairs and preventive maintenance schedules should be reported to the Desk
Officer. Most importantly, when relinquishing the RMP to the relieving sector team,
the auto must be clean and free from debris.
Note: All compartments of the vehicle will be searched for weapons,
personal property, or contraband at the beginning and end of tour, and
before and after any passenger (citizen or criminal) enters the auto.
Radio Motor Patrol (RMP) Recorder (P.G. 202-23)
The RMP recorder is responsible for maintaining all radio communication
with the Communications Division – or “Central” – and other units, and landline
communication with the stationhouse. The recorder is also responsible for
preparing all required reports while assigned to recorder duties (both the operator
and recorder are required to make detailed activity log entries of any assignments
received).
The recorder must ride in the front seat of the radio motor patrol car, except
when transporting a prisoner, emotionally disturbed person, etc., in a radio motor
patrol car that is not equipped with a fiberglass partition. In this case, the recorder
will sit in the back seat behind the operator, with the passenger secured to the right
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of the recorder. The recorder will notify the radio dispatcher of the presence in
their vehicles of any prisoners, emotionally disturbed persons, etc., the time
entering the RMP, their gender and the beginning mileage. The recorder will notify
the radio dispatcher of the time the persons exited the RMP and ending mileage,
upon arrival at destination.
The Sector Team
A sector team is assigned to a designated sector and should not leave the
assigned area unless directed by a competent authority or in an emergency
situation. Always respond to messages of serious police emergency within five
blocks of your location, even if messages are directed to another unit, regardless
of sector, precinct and borough boundaries. When leaving the auto (especially in
emergency situations) remember to remove the keys and lock the doors. Never
leave the portable radio in the car!
At roll call, the sector team is assigned a one-hour meal period. When
commencing meal period, they are responsible to notify the radio dispatcher of the
location where meal is to be taken. Members of the service are responsible to
know the locations within the precinct that are designated off-limits. These
locations may include eating facilities. A list of off-limits locations is provided in
each police facility.

PATROLLING A POLICE SERVICE AREA
A Housing Officer’s job is to provide police services within these locations.
The majority of Housing patrol officers are assigned foot posts that cover one or
several complexes. If you are assigned to a housing location, your duties will
include frequent inspection and patrol of all New York City Housing Authority
(NYCHA) facilities and “vertical patrol” of all residential buildings in the complex to
which you are assigned.
Vertical Patrol (P.G. 212-59/60)
Vertical patrol consists of a top to bottom walk through of any apartment
building (not just NYCHA), in search of criminal activity or any other activity or
dangerous condition that may require the assistance of the police or another city
agency (i.e. Fire Dept, stuck elevator, burglaries). Vertical patrols could be
directed (i.e., a search for a suspected criminal) or random (routine patrol). In
random vertical patrols, a thorough inspection of the entire building is conducted.
This includes an inspection of the lobby, roof, basement, hallways, stairwells and
elevators.
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Before entering the building you must notify communications of the location
that you are about to inspect along with the radio code 10-75V. This will ensure
that any responding officers know your location (in case of an emergency) and it
will also ensure that you know the address of the location you are about to enter.
There have been many times when police officers have attempted to call for
assistance only to realize that they do not know where they are!
Vertical patrol should start from the top of the building (beginning on the
roof), descending down. Patrol officers must be alert to any persons or loose dogs
on the roof; utilize your flashlight when patrolling at night. You should be equally
cautious when patrolling the stairwells and hallways. Lower the volume on your
radio and secure any loose keys or anything that could identify you, by sound, as a
police officer when descending the stairwell. Criminals, alerted to your presence
through sound, would have time to escape or devise a plan, as you unknowingly
walk down the stairs, for a possible ambush. When confronting a suspect in a
building, be sure to move the suspect to a safe location before conducting an
investigation. Although verticals should be conducted with at least two police
officers, if you are a solo post, you should immediately call for assistance and
detain the suspect until other units arrive.
Disabled Elevators – Generally
Vertical patrol, as mentioned, is utilized not only to detect crime, but also to
inspect for any condition that requires attention, including safety conditions.
Frequently, the elevators in buildings fail to operate. When an occupied elevator is
disabled or the door to the elevators is stuck open (exposing the elevator shaft)
there is a cause for concern. The Department’s procedures on unoccupied and
occupied disabled elevators vary for this reason.
Unoccupied Stuck Elevator (P.G. 212-60)
If, during vertical patrol, you come across an unoccupied disabled elevator,
your obligation would be to notify Housing Authority maintenance personnel. You
must also inspect elevator doors on each floor and notify Housing Authority
Emergency Service or NYPD Emergency Service Unit personnel immediately if:
•

The elevator door glass is missing, or if the outer elevator door opens when
elevator is not present;

•

There are any other dangerous conditions concerning elevators.
Note: The officer must remain at the scene of an unsafe or occupied
elevator until the condition is corrected or the officer is relieved.

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Occupied Stuck Elevator (P.G. 212-28)
If, during vertical patrol, you come across an occupied disabled elevator,
your obligation would be to notify the radio dispatcher and request the response of
Housing Authority Emergency Service personnel. Also notify the N.Y.P.D.
Emergency Service Unit and ambulance, if the situation requires the immediate removal of
passengers in cases involving, but not limited to:
•
•

Cardiac condition, or;
Seriously ill passenger, etc.
Note: If a delay in the response of Housing Authority Emergency Service
personnel is expected, a request for N.Y.P.D. Emergency Service
Unit personnel will be made even in situations deemed to be of a
non-emergency nature.
Note: Members of the service shall NOT attempt to remove passengers from
a disabled elevator car without the assistance of Housing Authority
and/or N.Y.P.D. Emergency Service Unit personnel who are trained in
the removal of passengers from disabled elevators.

The officer must prepare a Field Report and Aided Report Worksheet, if
necessary, upon completion of assignment. Include names and addresses of
passengers and names and shield numbers of responding Emergency Service
personnel.
Field Report (P.G. 207-29)
When a patrol officer takes corrective action for non-criminal conditions
occurring on N.Y.C. Housing Authority locations the officer records this occurrence
on a Field Report. A Field Report will be used to record the following non-criminal
conditions occurring on N.Y.C. Housing Authority locations:
•
•
•
•
•
•
•
•
•

Disabled elevators;
Noise complaints;
Other breaches of Housing Authority Rules and Regulations;
Follow-up dispositions;
Damage, accidental, non-criminal, or cause unknown;
Abandoned and derelict vehicles;
Resident disputes;
Fire, non-suspicious;
Other conditions as specified by appropriate Patrol Guide procedures.

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NYCHA TRESPASS NOTICE PROGRAM
In an effort to reduce crime in NYC Housing Authority Developments, the
Department has created the NYCHA Trespass Program. Under this program, any
individual who is arrested for felony sale of controlled substance or marijuana on a
Queens NYCHA development is permanently excluded from entering all NYCHA
property. To ensure the effectiveness of this program, the following procedures
must be adhered to.
Arrest of an individual for Criminal Sale of Controlled Substance (Felony) or
Criminal Sale of Marijuana (Felony) on a Queens NYCHA Development
NYCHA “On-Development” (defined)
•
•
•
•
•
•

All NYCHA buildings, apartments, offices, maintenance areas, etc.
All walkways, streets, grounds, and parking areas located within NYCHA
Developments.
All stores, laundries, community centers, childcare centers, senior centers,
health stations, etc. within NYCHA Developments.
From the center line of the street inward towards NYCHA buildings.
All NYC parks and all NYC school playgrounds within or immediately
adjacent to NYCHA grounds.
Piers or bulkheads immediately adjacent to NYCHA Grounds.

(See map below for visual example of “on-development” boundaries)
When effecting the arrest of an individual “on-development” for felony sale of
controlled substance or marijuana, in addition to normal arrest procedures:
•
•
•
•

Prepare a NYCHA Trespass Notice
o Enter the Notice log number, obtained by calling the Housing Bureau
wheel
Have the defendant sign and date the notice
o if defendant refuses, so state on signature line and initial and date
Make four copies of the Notice
o Personally serve the defendant with one copy of the notice
o The remaining three copies are for the Desk Officer
Fax a copy of the notice to the Housing Bureau Wheel and call to confirm
receipt

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•

•

Prepare a “Trespass Notice Package” containing:
o Original signed Trespass Notice
o Computer copy of OLBS and Complaint Report
o Copy of PCI and Request for Laboratory Analysis (if prepared)
o Copy of Search Warrant when applicable
Deliver the package and 3 copies of Notice to the Desk Officer

Note: If the defendant claims that he or she is a NYCHA resident, confirm that
the address given by the defendant is a NYCHA location by contacting any
PSA or Housing Bureau Wheel. A NYCHA resident will still be served with the
Notice and will not be allowed in any NYCHA area other than their resident
building and common areas of that development.
Note: Common areas include most areas within the resident’s development. It
does not include apartments other than their own or areas where residents are
not normally allowed (e.g., rooftops).

This section intentionally left blank.

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ON DEVELOPMENT BOUNDARIES FOR FELONY DRUG SALE ARREST

PRIVATE
NYC
SCHOOL

NYC SCHOOL
PLAYGROUND

PRIVATE

PRIVATE

NYCHA

NYCHA
PRIVATE

NYCHA

NYCHA
PRIVATE

NYC PARK

PIER

PRIVATE PIER

Enforcement actions against individuals on NYCHA property
NYCHA Property (defined)
•
•
•

All NYCHA buildings, apartments, offices, maintenance areas, etc.
All walkways, streets, grounds, and parking areas located within NYCHA
Developments.
All stores, laundries, community centers, childcare centers, senior centers,
health stations, etc. within NYCHA Developments.

(See map below for visual example of NYCHA property)

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When taking enforcement action against an individual on NYCHA property,
in addition to normal procedures:
•

Call the precinct or PSA and request a check of the NYCHA Trespass
Database for the individual stopped.
o If the individual is in violation of the Trespass Notice (non resident on
NYCHA property or resident outside of specified boundaries) arrest
the individual for trespass.

When effecting the arrest of an individual for violation of the Trespass Notice:
•
•

•

•
•

Process as an on-line arrest (no summons or Desk Appearance
Ticket will be issued) regardless of the level of the Trespass charge
Charge the defendant with the following offense:
o Trespass - violation (140.05 PL) if the individual was found to
be on NYCHA property (not in a building)
o Trespass – B Misdemeanor (140.10 PL) if the individual was
found to be inside a non-residential NYCHA building
o Trespass – A Misdemeanor (140.15 PL) if the individual was
found to be inside a residential NYCHA building
Prepare a package of the following documents:
o Trespass Notice Report, generated from NYCHA Trespass
Database
o Copy of Trespass Notice, if available
Notify Housing Bureau Wheel of arrest
Deliver all paperwork to the Desk Officer

Note: This Trespass program should not be enforced if the individual was
found passing through the development enroute to or leaving from police
facilities, parole offices, medical facilities, or stores and it can be determined
that they were using a direct route between the location and the nearest city
street.

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NYCHA PROPERTY BOUNDARIES FOR TRESPASS ARREST

PRIVATE
NYC
SCHOOL

NYC SCHOOL
PLAYGROUND

PRIVATE

PRIVATE

NYCHA

NYCHA
PRIVATE

NYCHA

NYCHA
PRIVATE

NYC PARK

PIER

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TRANSIT PATROL
Transit patrol is foot patrol within the NYC Transit system. This includes
subways, elevated stations, trains and buses. The Transit officer provides security
for the six million NYC Transit riders who use the system daily. A Transit patrol
officer must take extra caution while performing his or her duties. There are certain
physical dangers this officer must be aware of while performing patrol in subways;
there are dark tunnels, fast moving trains, and deadly electrical currents. In addition,
NYPD precinct radios do not transmit in most transit locations so that a special
transit radio must be used. Besides the extra caution, routine patrol consists of the
same types of procedures as any foot patrol. As a Transit patrol officer, you must:
•

Inspect concessions, toilets, stairways, mezzanines, platforms and all token
booths whether open or closed, for conditions requiring police attention;

•

Confer with railroad clerk, at each station, as to conditions requiring police
attention;

•

Visit each station on post at least once, and as often as practical, unless
otherwise directed;

•

Make activity log entries concerning conditions reported by railroad clerk and
results of inspections;

•

Know hours of operation for concessions in the station;

•

Investigate suspicious conditions in the station;

•

Prevent persons that are unable to care for themselves from entering the
system and ensure that necessary assistance is provided to such persons.

Removal of Power in the Subway (P.G. 212-24)
There may come a time, in an extreme emergency, when it may be necessary to
have the power removed from a specific area in the subway system. Removal of power
in the subway can be extremely hazardous, dangerous and disruptive to police
personnel, passengers and New York City Transit employees; this request should only
be made in extreme emergencies involving life-threatening situations. Before
requesting the removal of power, consider the wide-scale ramifications of this
action. Some of the factors to be considered, but not limited to, are:

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•

The time of day (rush hour/non-rush hour);

•

Weather conditions (extreme heat);

•

Type of station (elevated or below ground);

•

Location of trains;

•

Extent of injuries in aided cases;

•

Risk to the riding public, if a crime is involved.

When It Becomes Necessary to Request the Removal of Power In the
Subway: Notify the radio dispatcher in the usual manner and provide complete
details of the situation. Then request the response of the Patrol Services Bureau
and Transit Bureau patrol supervisors, and additional units necessary to secure the
platform area and points of entry to the tunnel. DO NOT ENTER THE TRACK
AREA, EXCEPT IN EXTREME EMERGENCIES!
When It Is Necessary to Immediately Remove Power from Track Area Due to
Imminent Danger: Open the emergency alarm box (located in subway tunnels,
spaced about 400 to 600 feet apart, beneath the blue light) and pull lever down as
far as it will go and release the lever. Power on all tracks in the vicinity will be
immediately turned off. Use the telephone (located at the alarm box), immediately
after removing power, to notify the Rapid Transit Operations Command Center
Desk Superintendent of the situation. Notify the radio dispatcher via radio, if
telephone notification cannot be made, and request that immediate notification be
made to the Desk Superintendent concerned.
Note: New York City Transit will automatically restore the power if
notification is not made immediately.
Ejection from New York City Transit Property (P.G. 212-20)
Any person who violates any portion of the New York Codes, Rules and
Regulations Part 1050, regardless of whether or not that person has also been
issued a Transit Adjudication Bureau/Notice of Violation (TAB summons) or a
Criminal Court Summons for that violation, is subject to ejection from New York
City Transit facilities. Issuance of a Notice of Violation does not preclude a
uniformed member of the service from ejecting a passenger.

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When Necessary to Eject a Passenger:
•

Advise passenger of ejection and reason;

•

Permit passenger, who voluntarily leaves the property or shows a willingness
to do so, to leave without interference;

•

Use no more force than is necessary to effect the ejection, if passenger
refuses to leave. Generally, grasping the upper arm and forearm to escort
the person off the system is considered using reasonable force necessary to
effect the ejection;
Note: If the passenger’s conduct is such that it requires more force than is
ordinarily needed to assist and guide the passenger out of the transit
system, an arrest may be appropriate.

•

Make activity log entries and prepare a Transit System Ejection Report
each time an ejection is effected;

•

Submit the completed Transit System Ejection Report to the district desk
officer prior to completion of tour.

Revenue Escorts (P.G. 212-25)
There may be times when your transit post includes a scheduled New York
City Transit revenue escort. This means that you will act as an armed guard for the
railroad clerk as he/she moves the revenue outside the token booth. If you are
assigned a transit revenue escort, upon arrival at station:
•

Ascertain from the railroad clerk the exact time of the scheduled escort;

•

Report to the booth five minutes prior to the time of the escort;

•

Walk approximately five feet behind the railroad clerk and to the side where
the clerk is carrying the revenue;

•

Keep hand on firearm with glove off (remain alert at all times);

•

Do not carry New York City Transit revenue or any other articles that could
impede the safety of the escort, under any circumstances.

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SUPPLEMENTARY PROCEDURES FOR PATROL OPERATIONS
Fire Scenes (P.G. 212-58)
The patrol officer’s job at the scene of a fire is to protect life and property, as
well as to assist the Fire Department. Upon discovery, or after arriving at the
scene of a fire, the patrol officer must remember to send an alarm or ensure that
one has been sent before taking any other action. If arriving at the scene by RMP,
make sure that it is not parked in the way of responding Fire Department vehicles.
If you must assist the occupants in evacuating the building, be sure to have a
responsible person wait outside to direct the responding emergency vehicles to the
scene. This is especially important when the fire is not visible from the street.
When establishing police lines at a fire scene, set up beyond the fire
apparatus and hydrants in use. Patrol officers will permit only the following
persons or vehicles to enter fire lines:
•

The Mayor;

•

Members of governmental agencies in performance of duty;

•

Employees of public service corporations in the performance of
emergency duties;

•

Persons holding unexpired working Press cards or Fire Line cards
signed by the Fire Commissioner;

•

The Mayor’s car;

•

Police and Fire Department vehicles;

•

Ambulances;

•

Public service corporation vehicles for duty in connection with the fire;

•

City agency vehicles for duty in connection with the fire;

•

U.S. Mail vehicles;

•

Prison vans transporting prisoners.

Note: You must prepare a Complaint Report if the fire is suspicious.
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Vacate Orders (P.G. 212-43)
A large fire, or other unusual occurrence, may cause structural damage to a
building. After inspection of the building, a Department of Buildings, Housing
Department, or Fire Department Representative may deem the premise
hazardous. In this situation (or any situation involving a hazardous building), a
vacate order will be issued. The Police Department’s job in these situations is to
prevent injuries due to hazardous building conditions and preserve the peace
during the enforcement of a residential building vacate order. Upon being
assigned to assist in the service of a residential building vacate order:
•

Verify credentials and authority of agency representative;

•

Obtain facts concerning condition which caused vacate order to be issued;

•

Assist in evacuation of building when there is actual immediate danger that
the structure will collapse, or when an existing dangerous condition
constituting a threat to human life requires that occupants vacate
immediately. If these emergency conditions exist, notify the Operations
Unit;

•

Request the patrol supervisor to respond, if persons are actually being
evacuated, or premises are to be sealed, or for any other appropriate
reason;

•

Accompany agency representative until completion of service or execution
of order, if requested;

•

Ascertain from agency representative any provisions made to safeguard
vacated premises and property of persons evacuated. Relocations are the
responsibility of the issuing agency.

•

Make activity log entry including: facts concerning premises security
provisions; identify of representative of agency issuing vacate order and
identity of representative of any other city agencies present;

•

Report facts to the desk officer upon completion of assignment.

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Personnel from the agency issuing the vacate order are responsible for
service of the vacate order and for attempting to persuade occupants who fail to
comply with the vacate order that they should leave the premises. The agency
issuing the vacate order is also responsible for obtaining access to the building(s)
or portions of the building(s) to which entry is not available. If, however, the senior
representative of the agency issuing the vacate order believes that the safety of
agency personnel or the public is at risk, he or she may request the assistance of a
police supervisor or commander for entry to be made by police personnel.
Additionally, the police supervisor/commander may direct that police personnel
make entry if it is determined that the safety of the public or agency personnel is at
risk.
Confrontation Situations (P.G. 212-33)
The type and circumstances of encounters between members of the service
– whether in uniform or civilian clothes, both on and off-duty – are so varied they
defy all-encompassing guidelines. In such encounters, the actions of the members
in the first few seconds are of vital importance. In any confrontation, THE BURDEN
OF PROVING IDENTITY RESTS ON THE CONFRONTED OFFICER WHETHER
ON OR OFF DUTY. The challenging officer, however, also has a responsibility to
use sound tactics and judgment in approaching the situation.
Challenging Officer – the uniformed member of the service who comes upon the
scene where an unidentified armed person is observed.
Confronted Officer – the uniformed member of the service (usually civilianclothed) either on or off duty, who may be armed and taking police action and
whose identity and objectives are not immediately apparent to the challenging
officer.
When on duty personnel, whether uniformed or civilian-clothed, respond to
a scene and challenge an unidentified armed person who may be an on duty or off
duty uniformed member of the service or an enforcement officer from an outside
criminal justice agency:
Challenging Officer
•

Immediately take cover to the rear, not the side, of the person being
challenged, if possible;

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Note:

•

A challenge from the rear allows more time for the challenging
officer to evaluate the subject’s reactions and to gain a tactical
advantage. A challenge from the side reduces
response/reaction time. The challenging officer should utilize
any available cover (car, garbage can, lamppost, mailbox,
etc.). Any object is a form of protection, even though its value
might be only of a concealment nature.

Identify yourself in a loud, clear voice, stating “Police! Don’t Move”;
Note: Members of the service will avoid using contradictory directives
such as, “Don’t move and raise your hands.” Members will refrain
from using slang terms, such as “freeze” and will also avoid using
stereotypes which are based on a person’s race, color, ethnicity,
hairstyle, clothing or physical appearance.

•

Request person to give exact location of identification and to produce
identification slowly, in a controlled manner, if person states he or she is
a police officer;

•

Examine credentials to ensure that photo identification matches the
individual stopped and that credentials are valid;

•

Remain alert until completely satisfied as to person’s identity;

•

Return credentials, if satisfied with identification;

•

Make activity log entry;

•

Request patrol supervisor, precinct of occurrence and supervisory officer
of confronted officer to respond.

Confronted Officer
•

Remain motionless - even if it means a fleeing suspect may escape;

•

Do not turn body, especially if holding a firearm;

•

Obey all directions from the officer making the challenge;

•

Inform the challenging officer of the exact location of identification before
moving;

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•

Produce identification slowly, in a controlled manner, without
unnecessary movement;

•

Members of the service performing duty in civilian clothes should ensure
that they are aware of the “color of the day” and that it is displayed in a
conspicuous manner.

Upon the arrival of a supervisor, all members involved will report to the
stationhouse of the precinct of occurrence. The Commanding Officer of the
precinct of occurrence - along with the Commanding Officers of both the
challenging and confronted members of the service - will conduct a joint
investigation.
Any incident involving an off duty officer or member of another law
enforcement agency should be treated in a comparable manner to other incidents
or confrontations routinely encountered with other members of the public. These
individuals should not receive preferential treatment based on their former or
present status. Utilization of standardized procedures avoids unnecessary risks to
responding officers, individuals directly involved in the confrontation and the
general public at the scene.

STATIONHOUSE OPERATIONS
There will also be times when you will be assigned duties inside the precinct
stationhouse, PSA, or Transit District. Many of these duties are routine functions,
such as answering the telephone, data entry and interviewing complainants.
Police Attendant (P.G. 202-40)
If your precinct lodges prisoners, you may be assigned as the Police/Cell
Attendant When assigned to the duties of police attendant (or cell attendant), your
primary duties will be to maintain the cell areas and tend to any prisoners therein.
This includes, cleaning and stocking cell areas with prisoner necessities, ensuring
that cells are secured and alarms are working properly and supplying meals for the
prisoners. When no prisoners are lodged at the precinct, the cell attendant will be
utilized for custodial, command operations or clerical tasks (or any other duties as
directed by the desk officer). When precinct cells are activated, the cell attendant
will discontinue his interim assignment and begin to lodge prisoners. When
lodging prisoners, the cell attendant must:

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•

Remove and safeguard firearms prior to entering the detention cell area;

•

Assume control of, search and inspect prisoners;

•

Ensure that property that is dangerous to life, may facilitate escape or may
damage or deface other property is removed from prisoner;

•

Document inspection of prisoners on the Prisoner Roster, and notify desk
officer of inspection results immediately after reporting for duty;
Remain inside cell block at all times while prisoners are confined therein,
and be alert to conditions and needs of such prisoners;

•
•

Document results of inspection of prisoners on Prisoner Roster every thirty
(30) minutes;

•

Report to desk officer any physical condition or unusual need of prisoner in
custody or in the detention area and report necessary command/detention
area repairs to the Commanding Officer.
Note: A male Cell Attendant will only enter female detention cells after
approval from a supervisory officer and only when accompanied by a
female police officer (unless emergency or daily cleaning of empty
cells).

Threats Against Members of the Service (P.G. 212-31)
There may be times when you are assigned to the stationhouse as
telephone switchboard operator, command clerk, cell attendant, or stationhouse
security, and you receive a threat to yourself or another member of the service.
This threat may come in the form of a phone call (at the switchboard), written
communication (by mail or fax) or in person (while guarding a prisoner or taking a
report). To ensure that threats against uniformed members of the service are
documented and investigated properly, the Department has outlined procedures to
follow in these situations.
If Threat Is Received By Telephone:
1.

Attempt to keep the caller on the line as long as possible and record:
a.

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Telephone number of the telephone on which the threat has been received;
Exact time the call commenced and terminated.

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2.

Attempt to obtain from caller as much information as possible, including:
a.
b.
c.
d.
e.
f.

3.

Inquire if threatened uniformed member has arrested the caller and/or if
caller has been previously arrested.
a.

4.

Name of threatened uniformed member of the service;
All information regarding the member concerned known by the caller;
Motive or reason for threat;
Manner in which the threat is to be carried out;
Identity of caller (including any nickname or street name);
Location from which the call is being made.

Attempt to ascertain date and place of previous arrest or any incident
of contact between the caller contact and threatened member, if
applicable.

Be alert for any identifiable background noises that may pinpoint the
location of the call, while engaged in conversation with the caller.

Recording devices should be utilized to record threats received by
telephone, if they are available, and time permits such use of them. In addition, in
all cases of threats received by telephone, available features such as “*57” and
“*69” should be utilized immediately after contact is broken. The “*57” feature
instructs the telephone company computer to “trap” and make a record of the
originating telephone number of the immediately preceding call. The number can
then be retrieved by an investigator through contact with the NYNEX Security
Office. The “*69” feature automatically dials the originating telephone number of
the immediately preceding call. This feature allows re-establishment of the
connection in the event of a hang-up, thereby providing another opportunity to
gather further information from the caller. These features do not operate on
telephones that require an access code to obtain an outside line (e.g., dialing “9”).
If Threat Is Made In Person:
1.

Ascertain all available information from the individual making the threat including:
a.
b.
c.

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Identity of uniformed member of the service threatened;
Motivation of the threat;
Full pedigree of person making threats.

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If Threat Is Received In Writing or By Fax, Refer to P.G. 212-31
Note: In all cases, notify a supervisor immediately, whenever a threat is received.

CONCLUSION
Whether you are in a precinct, or in Housing or Transit patrol, the basic
premise is the same: to provide safety and security to citizens, residents and
riders. For many citizens, security is knowing the cop on the beat. The objective is
to establish ties and relations with the public. We should feel, and be perceived
as, part of the community that we serve. The citizens concerns should be our
concerns. Our job is to protect life and property, and to actively pursue violators of
the law. We cannot accomplish this task without the support of the citizens of this
city; it is through daily vigilant patrol that we gain that support.

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MANDATORY PATROL GUIDE READING
The following are Patrol Guide procedures that must be added to this
Chapter – Patrol Operations. These procedures must be read in conjunction with
this chapter. Questions for the 3rd Trimester Exam may come from these
procedures:
202-21

Police Officer – Duties and Responsibilities

202-22

Radio Motor Patrol Operator – Duties and Responsibilities

202-23

Radio Motor Patrol Recorder – Duties and Responsibilities

202-40

Police Attendant – Duties and Responsibilities

207-29

Field Reports

212-01

Roll Call Formations

212-02

Expiration of Tour

212-10

Interrupted Patrol

212-20

Ejection from New York City Transit Property

212-24

Removal of Power in the Subway

212-25

Revenue Escorts

212-28

Disabled Housing Authority Elevator Car With Passengers

212-31

Threats Against Members of the Service

212-43

Vacate Orders for Residential Buildings

212-58

Fire

212-59

Vertical Patrol

212-60

Interior Vertical Patrol of Housing Authority Buildings

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Bureau Functions

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT BUREAU FUNCTIONS?
The New York City Police Department is the largest police department in
the United States, and polices one of the most densely populated cities in the
world. There are more police officers in one recruit class than there are in most
police departments in America. In fact, many NYPD units, bureaus and precincts
are police departments within themselves. Where a small police department
would have one officer in charge of legal matters, the NYPD has an entire legal
system at its disposal; including the Criminal Justice Bureau, the Legal Bureau,
the Deputy Commissioner of Legal Matters, the Deputy Commissioner of Trials,
and the Department Advocate.
What an average citizen knows about the Department is basically what he
or she sees on the street or on TV. The fact is that there are many bureaus that
function behind the scenes. These bureaus exist to support the mission of the
patrol bureau in general, and in many cases can be utilized to assist the
individual street cop in his or her everyday duties.
This chapter will give you an overview of the many bureaus within the
Department. It will be broken down into four types of bureaus; patrol type
bureaus, investigative bureaus, administrative bureaus, and bureaus that deal
with legal issues.

PATROL ORIENTED BUREAUS
Patrol oriented bureaus consists of the units that a student officer may be
most familiar with. These are the units to which the patrol officer, the traffic cop,
the school safety officer, harbor patrol, housing and transit police, are assigned.
These bureaus are broken down into three types: Patrol, Housing, and
Transportation.
Patrol Services Bureau
The Patrol Services Bureau falls under the Chief of Patrol and is
comprised of the following:
Patrol Boroughs: The NYPD is divided into eight borough commands:
Manhattan South, Manhattan North, The Bronx, Brooklyn South, Brooklyn North
(known as S.A.T.COM. and falls directly under the Chief of Department), Queens
South, Queens North, and Staten Island. Each Patrol Borough Command is
responsible for coordinating, deploying and directing Department strategies
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within their respective patrol precincts. These precincts deploy resources to
effectively combat crime, respond to emergencies and address other public
safety needs of the community.
Special Operations Division: The Special Operations Division is
comprised of specialized units such as Harbor, Emergency Service Unit (ESU),
Homeless Outreach, Aviation, and the Anti Graffiti/Vandalism Unit.
•

The Harbor Unit responds to waterborne incidents. The Scuba
Team (in conjunction with Aviation) provides the only 24-hour airsea rescue operation in the tri-state area.

•

E.S.U. is staffed by highly trained officers and equipped with stateof the-art life saving and emergency equipment.

•

The Homeless Outreach Unit assists the homeless population in
obtaining essential services and assistance.

•

The Aviation Unit provides fast, life saving airborne response and
aerial observation.

•

The Anti-Graffiti/Vandalism Unit has and continues to make great
strides to rid New York City of the destruction and vandalism of
public and private property.

School Safety Division: The School Safety Division provides public
schools with a safe environment, conducive to learning, where students and
faculty can be free from hostility and disruption that would otherwise negatively
impact on the education process. It is comprised of school safety agents who
work in conjunction with police officers to achieve this common goal.
Auxiliary Police Section: The Auxiliary Police Section provides a trained
reserve, which can be rapidly mobilized during emergencies. The section also
affords citizens an opportunity to participate in operations of the Department on a
voluntary basis. The Auxiliary Police Reserve can also be utilized as
undercovers for quality of life enforcement (e.g., alcohol beverage control law;
sale of box cutters, spray paint cans, and broad tip markers).

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The Housing Bureau
The Housing Bureau, commanded by the Chief of Housing, provides the
residents of the New York City Housing Authority (NYCHA) with a safe and
secure environment while forging a positive relationship with its residents. Police
officers assigned to Police Service Areas (PSA’s) provide security through
vertical patrol, scooter patrol, bicycle patrol, and rapid response through Radio
Motor Patrol. The Housing Bureau also maintains its own Emergency Service
Unit.
In 1997, the NYPD, in conjunction with the NYCHA, began installation of
Closed Circuit Television (CCTV) monitoring systems in public housing
developments.
The Transportation Bureau
The Transportation Bureau, commanded by the Chief of Transportation,
consists of the Transit Bureau and the Traffic Control Division. These units
provide safe passage throughout the city for all cars, buses, taxis and trains.
They accomplish this through strict enforcement of the Vehicle and Traffic Laws,
Traffic Rules, as well as random patrol and direct response to traffic situations.
The Transit Bureau: The Transit Bureau consists of 12 district
commands, which maintain primary patrol responsibility for policing the transit
system. Districts function in much the same way as a precinct or Housing
Bureau PSA. The Districts provide uniform and plainclothes assignments in
accordance with crime strategies established by the Department. Like the patrol
boroughs, the Transit Districts also contain a Special Operations Division (SOD).
Transit SOD consists of:
•
•
•
•
•
•

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The Vandals Unit;
The Homeless Outreach Unit;
The Citywide Anti-Gang Enforcement;
MetroCard Fraud Task Force;
Peddler/Panhandler Task Force;
Citywide Task Force.

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The Traffic Control Division: The Traffic Control Division provides safe
and swift passage for drivers throughout New York City. This division consists
of:
•

Manhattan Traffic Task Force (MTTF): MTTF members are
posted at intersections, tunnel entrances and along main traffic
routes in Manhattan to provide traffic control. MTTF members are
also posted at critical intersections and along main avenues for
planned parades, demonstrations and dignitary visits, and for
unplanned emergencies such as fires, explosions, blackouts and
gas or water main breaks.

•

Taxi Unit: The Taxi Unit enforces Taxi and Limousine Commission
regulations and deters unsafe driving through the issuance of traffic
summonses and the arrest of taxi drivers with suspended licenses.

•

Bus Unit: Police officers assigned to the Bus Unit ensure the
safety of passengers that ride NYC Transit buses.

•

Highway District: The Highway District has five patrol service
units. These units conduct regular patrol on local streets and
highways, responding to accidents and other emergencies, aiding
stranded motorists and maintaining a safe traffic flow. The
Highway District is also responsible for:
•
•
•
•
•

The Accident Investigation Squad (AIS);
Intoxicated Driver Testing Unit (IDTU);
Motor Carrier Safety Unit/Scale Unit;
Escort Coordination;
Speed Enforcement.

•

Mounted Unit: The Mounted Unit supports patrol personnel in
crime reduction, traffic control, and tactical crowd control at
demonstrations and large gatherings.

•

Parking Enforcement District (PED): Traffic Enforcement Agents
and Traffic Control Agents enforce all parking regulations as well as
ensure steady traffic flow through towing and directed response to
traffic situations (e.g., construction, accidents, power outage,
parades).

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The Traffic Management Center: The Traffic Management Center is
located in Queens and is a state-of-the-art facility. The Traffic Management
Center:
•
•
•
•
•

Disseminates traffic information to motorists through Variable
Message Signs;
Suggests traffic signal timing adjustments;
Communicates directly with media outlets to ensure accurate and
timely traffic information;
Coordinates the response of NYPD, NYCDOT, Port Authority and
MTA resources;
Coordinates and disseminates the Amber Alert system, when
activated by the NYS Police.

INVESTIGATIVE BUREAUS
The investigative bureaus are comprised of the Detective Bureau,
Organized Crime Control Bureau (OCCB), Intelligence Division, the Deputy
Commissioner of Counter-Terrorism (DCCT), Internal Affairs Bureau (IAB), and
the Office of Equal Employment Opportunity (OEEO).
The Detective Bureau
The Detective Bureau, commanded by the Chief of Detectives, is
responsible for conducting investigations, identifying and apprehending criminals,
locating missing persons, and recovering lost or stolen property. The Bureau’s
Precinct Detective Squad (PDS) and Burglary/Robbery Apprehension Modules
(BAM, RAM) along with the Detective Divisions and various specialized units
combine traditional investigative methods with the expanded technological
arsenal needed to bring criminals to justice. Some of the specialized units in the
Detective Bureau include:
Hate Crimes Task Force: This unit investigates and monitors unlawful
acts committed against a person, group or place because of race, religion,
ethnicity, gender, age, disability, or sexual preference.
Forensic Investigation Division: This unit manages and supervises the
investigative operations of the Police Lab, Ballistics Unit, Crime Scene Unit and
Bomb Squad.
Fugitive Enforcement Division: The primary focus of this unit is to
apprehend those who seek to evade justice and avoid prosecution.
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Special Investigations Division: This unit investigates crimes of a
complex nature that cannot be effectively investigated at the Precinct Detective
Squad level.
Special Victims Division: This unit is responsible for investigating sexual
assault cases and allegations of child abuse. Special Victims maintains a 24hour sex offense hotline and provides training and lectures to members of the
service as well as the general public.
The Organized Crime Control Bureau (OCCB)
The OCCB, under the command of the Chief of OCCB, investigates
complaints of vice, narcotics and organized crime related offenses. The OCCB
consists of the Vice Enforcement Division, Narcotics Division, Auto Crime
Division, and the Organized Crime Investigation Division. These divisions are
responsible for undercover and plainclothes operations investigating narcotics,
prostitution, gambling, auto crime, firearms violations and money laundering.
The OCCB is also responsible for maintaining the Asset Forfeiture Unit.
This unit goes after a criminal’s assets by seizing any money, vehicles, etc. from
the criminal after they have been arrested. They also enhance patrol
investigations by seizing any amount of money over $1,000 that is in possession
of a prisoner and believed to be the proceeds of a crime.
The Intelligence Division
The Intelligence Division, commanded by the Deputy Commissioner of
Intelligence, consists of three major sections; Criminal Intelligence Section,
Municipal Security Section, and Public Security Section.
Criminal Intelligence Section: Consists of several sub-units, some of
which are listed below:
•

Borough Intelligence Teams are assigned within each Patrol
Borough. Their functions include, but are not limited to,
investigating terrorism leads, responding to major incidents and
serious crimes, identifying crime trends and patterns within the city
and conducting investigations.

•

Field Intelligence Officers in the rank of Sergeant are assigned to
all field commands and act as liaisons between their commands
and the Intelligence Division.

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Bureau Functions

•

Regional Intelligence Support Center is an intelligence center for
all investigators. Its 24 hour, 7 days a week operation conducts
local, state and federal checks on public, private and commercial
databases.

•

Gang Intelligence Unit conducts investigations and gathers
intelligence on gang related activity.

•

Field Intelligence Investigation Unit gathers intelligence and
conducts investigations related to terrorism.

•

Cyber Intelligence Unit gathers intelligence via Internet websites
and chat rooms both here and abroad.

Municipal Security Section: Consists of two units:
•

Executive Protection Unit provides security for high-profile
officials.

•

Uniform Operations Unit provides 24-hour security for designated
locations, such as City Hall and Gracie Mansion.

Public Security Section: Consists of several sub-units:
•

Threat Assessment Unit conducts investigations involving threats
made against police officers, dignitaries and certain sensitive
locations.

•

Terrorist Incident Prevention Squad provides a law enforcement
contact to the private sector for the reporting of suspicious
circumstances.

•

Intelligence Liaison Unit provides liaisons for other law
enforcement agencies (Customs, I.N.S., D.E.P., etc.) in the fight
against terrorism.

•

Operations Desk is a “24/7” central hub for gathering information
on all ongoing police incidents. This is the central location for all
terrorist leads in the city.

•

Special Projects Unit coordinates and provides security for special
events within NYC.

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Deputy Commissioner Counter Terrorism (DCCT)
The DCCT is comprised of two primary sub-divisions; the Joint Terrorist
Task Force (JTTF) and the Counter Terrorism Division (CTD).
Joint Terrorist Task Force (JTTF): investigates domestic/foreign terrorist
groups or individuals for the purpose of detecting, preventing, and prosecuting
criminal activity.
Counter Terrorism Division (CTD): supports the Department’s antiterrorism initiatives and enhances the level of security by providing risk
assessments of potential targets, training members of the service as well as the
community, developing timely (terrorist related) intelligence, enhancing technical
capabilities, and providing a Counter Terrorism Hotline ([888] NYC-SAFE).
Internal Affairs Bureau (IAB)
The Internal Affairs Bureau, under the command of the Chief of Internal
Affairs and under the direction of the Police Commissioner, provides for effective
corruption control through analyzing corruption allegations and trends, and
conducting comprehensive investigations designed to insure the highest
standards of integrity.
IAB serves as the recipient of all allegations of misconduct involving
members of the service (uniform and civilian). The Bureau then conducts
investigations of criminal activity and allegations of serious misconduct by
members of the service.
All allegations of lesser misconduct or violations are referred to the
Borough Investigations Unit. IAB also performs confidential investigations as
directed by the Police Commissioner.
Office of Equal Employment Opportunity (OEEO)
The Office of Equal Employment Opportunity, Commanded by the Deputy
Commissioner for Equal Employment Opportunity, investigates complaints of
employment discrimination made by employees and applicants. OEEO also
trains members on anti-discrimination laws and discrimination prevention, which
includes the production of videotapes and brochures.

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BUREAUS DEALING WITH LEGAL ISSUES
The bureaus listed in this section cover a wide range of legal issues, such
as; internal Department trials, labor disputes, interpreting laws, civil enforcement
procedures, and arrest processing activities as they relate to the criminal justice
system. The bureaus covered in this section are: the Criminal Justice Bureau,
the Legal Bureau, the Deputy Commissioner of Trials, and the Office of Labor
Relations.
The Legal Bureau
The Legal Bureau, under the command of the Deputy Commissioner of
Legal Matters, consists of four subdivisions: the Civil Enforcement Unit, the
Criminal Section, the Civil Section and the Legislative Affairs Unit. These units
work together to:
•

Support the Department by assisting members in interpreting and
enforcing federal, state and local laws;

•

Ensure that the policies and practices of the Department are lawful,
and fairly applied;

•

Develop and propose legislation in accordance with the needs of
the Department and public safety concerns;

•

Further the quality of life in NYC through the focused and
aggressive use of civil enforcement remedies (e.g., closing down
unlawful locations, and seizing property used or obtained by
criminal means using civil laws).

Deputy Commissioner Trials (DCT)
The DCT is the independent adjudicative arm of the Department’s internal
disciplinary system. It presides over a due process hearing of Departmental
disciplinary cases and renders written findings of fact and recommendations to
the Police Commissioner.
The DCT is empowered by the NYC Administrative Code, which mandates
that the Police Commissioner “or one of his deputies” hear disciplinary trials.
Currently, the Deputy Commissioner and four (4) Assistant Deputy
Commissioners serve as the Department’s administrative law judges. They
report their findings to the Police Commissioner for his final determination.
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These trials can range from simple violations of rules and procedures to
more serious allegations of misconduct and can include corruption and police
brutality. In these trials, the Department Advocate’s attorneys serve as
prosecutors, and accused personnel typically are represented by attorneys
provided by their labor or line organizations.
Office of Labor Relations
The Office of Labor Relations, commanded by the Deputy Commissioner
for Labor Relations, provides centralized direction for the labor functions of the
Department. The office represents the Department in contract negotiations and
advises managers regarding contract administration for uniform and civilian
members.
The office also administers the Department’s grievance program for
uniformed and civilian members of the service, and responds to inquiries from
members concerning labor matters.
Criminal Justice Bureau
The Criminal Justice Bureau is the liaison between this Department and
the executive and judicial levels of the various municipal and state agencies that
are involved in the criminal justice process. The Bureau is comprised of a
Research and Planning Unit, Investigations Unit, Quality Assurance Unit,
Personnel Unit, Administration Unit, and four borough court sections.
The Criminal Justice Bureau has been instrumental in streamlining the
arrest processing system, which has resulted in reductions in arrest-toarraignment times, reductions in writs of habeas corpus, and the more
expeditious return of arresting officers to enforcement duties.
The Criminal Justice Bureau was extensively involved in the development
of community-based courts. The goal of these courts is to have the offender
make restitution and subsequently return to his or her community as a more
productive member. To further the accomplishment of this goal, the Criminal
Justice Bureau has staff assigned to process arrests in the Midtown Community
Court in Manhattan and in the Red Hook Community Justice Center in Brooklyn.

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ADMINISTRATIVE BUREAUS
The administrative bureaus consist of bureaus dealing with personnel,
planning, budget, technology, public information, community affairs and training.
Personnel Bureau
The Personnel Bureau is comprised of the Chief of Personnel’s Office, the
Staff Service Section, The Employee Management Division, the Personnel
Orders Section, the Medical Division, the Applicant Processing Division, and the
City Resident Recruitment and Retention Unit.
Staff Service Section: oversees the Occupational Safety and Health Unit
(OSHA), which is responsible for investigating all OSHA-related complaints.
They also oversee the publication of Spring 3100 Magazine, as well as the
Employee Suggestion Program.
Personnel Orders Section: is responsible for publishing Personnel
Orders, overseeing the Personnel Data Unit, Career Program Unit, and the
Military and Extended Leave Desk.
Employee Management Division: oversees the Paid Detail Unit,
Employee Benefit Unit, Performance Analysis Section, Early Intervention Unit,
Educational Tracking Unit, Shield/Identification Card Unit, and Testing and
Research Unit.
Medical Division: oversees all Department Surgeons, monitors all
members for sick time abuse through the Absence Control Unit, oversees the
Firearm Removal and Restoration Desk, and supervises the Drug Screening
Unit.
Applicant Processing Division: Conducts investigations of all police
officer candidates.
City Resident Recruitment and Retention Unit: is responsible for all
recruiting efforts regarding police officer candidates.

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The Deputy Commissioner of Management and Budget
The Deputy Commissioner of Management and Budget (DCMB) is the
chief fiscal officer of the New York City Police Department. The Deputy
Commissioner coordinates and oversees financial planning, management of the
expense and capital budgets, procurement of goods and services, capital
construction, maintenance of facilities, payment of bills, payroll processing,
pension management and the processing of contracts.
Financial Management Division: is responsible for the financial analysis
and planning function of the Department's expense and capital budgets.
•

The Management and Budget Analysis Section analyzes
programs, policies, deployment and expenditures as they relate to
the Department's Expense Budget and prepares and administers
the Capital Budget.

•

The Budget Unit prepares and administers the Department's
expense budget and monitors monthly expenditure plans.

•

The Contract Administration Unit coordinates and prepares
contract forms and supporting documentation for submission of
contracts to relevant city offices.

Pension Section: This section is responsible for the administration,
monitoring and coordination of the Article II Pension program for all active and
retired uniformed members of the Department. Additionally, the Section
manages retirement processing and pension loan activities.
Fiscal Affairs Division: includes several units:
•

The Audit and Accounts Section is responsible for the timely
processing and payment of all expenses incurred by the
Department.

•

The Payroll Section administers the computerized Payroll
Management System for all uniformed and civilian employees.

•

The Quality Control Section serves as the internal auditing unit
for the Deputy Commissioner of Management and Budget,
reviewing expenditures and payments to insure compliance with
guidelines and directives.

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Bureau Functions

•

The Health Insurance Unit maintains insurance information on
employees and provides information on insurance plans.

Administrative Services Division: The Administrative Services Division
coordinates all Police Department capital construction projects and is responsible
for the maintenance, cleanliness, repair, and renovation of the Headquarters
facility at One Police Plaza. Its sub-units include the following:
•

The Quartermaster Section is the storehouse and distribution
center for most of the Department's equipment, furniture and
supplies.

•

The Building Maintenance Section maintains, repairs and
renovates all facilities.

•

The Equipment Section sells clothing and equipment items to
police personnel.

•

The Mail and Distribution Unit processes and distributes mail.

•

The Pension Auditing Team conducts a complete audit of Payroll
Management System (P.M.S.) records of all members before they
retire.

•

The Field Audit Team conducts visits to units throughout the
Department to review and correct payroll records. Onsite training is
provided to improve the accuracy of payroll records.

•

The Leave Integrity Management Section uses the Automated
Computer Entry System (A.C.E.S.), which is a paperless
computerized payroll entry system that is used throughout Staten
Island, Application Processing Division, 62nd Precinct, and The
Police Academy Recruit Training Section.

Deputy Commissioner Strategic Initiatives (DCSI)
The DCSI supervises the Office of Management Analysis and Planning
(OMAP) and the Quality Assurance Division.

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Office of Management Analysis and Planning (OMAP): proposes
policies, strategies, programs, organizational structures and staffing to maintain
maximum effectiveness. OMAP monitors the Department’s crime reporting
system and ensures its integrity while disseminating crime statistics. OMAP is
also responsible for maintaining the Department Manual.
Quality Assurance Division: Secures and promotes fidelity to
Department orders and policies through a comprehensive evaluation process.
Quality Assurance also provides guidance, training and support to field
commands.
Office of Technology and System Development (OTSD)
This unit supports the Department operationally in its overall effort to
employ technology to further reduce crime, disorder, and fear. OTSD provides
the patrol officer with access to the necessary tools to accomplish this goal.
OTSD is comprised of the Enhancement Unit, Management Information System
Division (MISD), and the Communication Division.
OTSD Enhancement Unit: manages the enhanced 911 (E-911) system,
and the new Computer Aided Dispatch (CAD), which is expected to be online in
2006. It also oversees installation of new Mobile Data Client systems (MDCs) in
Department vehicles.
Management Information System Division (MISD): employs staff
members in various professional, technical, administrative, and support titles.
MISD personnel supply technical expertise to design, develop, deploy, and
maintain mission-critical networks and software applications throughout the
NYPD.
Communications Division: provides and supports a telephone and radio
communications system for the delivery of emergency services to the people of
New York City. The Communications Division consists of three major sections:
the Communications Section, the Electronics Section, and the Technical Support
Section.
•

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Communications Section consists of the 911 operator (who
receives the call from the complainant) and the radio dispatcher
(who receives the job from the SPRINT computer system and
relays it to the patrol officer).

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Bureau Functions

•

Electronics Section maintains the Department’s communication
system (radios), Closed Circuit T.V. systems, public address
systems, Mobile Data Terminals, electronic security, and pagers.

•

Technical Support Section: oversees the Telecommunications
network (a liaison between the various telephone companies and
the Department), the Tape and Record Unit (records 911 and radio
transmissions), and the Inter-City Correspondence Unit (a liaison
between our Department and other law enforcement agencies).

Support Services Bureau
The Support Services Bureau provides logistical and technical support to
all units of the New York City Police Department and the public through the
operations of the Property Clerk Division, the Fleet Services Division, the Central
Records Division, and the Printing Section.
Property Clerk Division: The Property Clerk Division accepts, catalogs,
safeguards, stores, produces as required for court, returns to legal owner, or
otherwise legally disposes of all property coming into the custody of the New
York City Police Department. Property not included is that which is actually
owned by the Police Department. Approximately two-thirds of all property taken
in consists of evidence required for criminal cases. Other categories of property
accepted include the safekeeping of found property, decedent's property,
prisoner's property, property no longer needed as evidence or for further
investigation, contraband, seized peddler property pending release, serological
evidence, and property confiscated for forfeiture proceedings.
Property received by this Division includes cash, jewelry, rifles and guns,
various weapons, vehicles, general property of every description, evidence
related to homicides, and other crimes (except serological evidence retained by
the NYPD Forensic Investigation Division).
All property coming into and leaving the Property Clerk Division is subject
to strict legal constraints. Evidence property is regularly signed out for
presentation at Criminal Court. Property that can be legally returned to its rightful
owner is done so in a timely manner. Contraband is destroyed when it is no
longer needed for a criminal case. Unclaimed general property and vehicles are
disposed through public auctions held by the Property Clerk Division on a regular
basis.

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Fleet Services Division: Fleet Services Division (FSD) is responsible for
all aspects of fleet management including procurement, accounting,
maintenance, repair, and relinquishment of the Department's diverse 7,500+
vehicle fleet. FSD provides tow trucks and motor vehicle operators to all major
events when requested. In addition, FSD conducts research and development on
the latest equipment and personal safety devices, develops vehicle
specifications, fabricates special use equipment/tools, and administers the
automated fueling system.
•

The Fleet Services Division provides the following services: fleet
maintenance and repair (including accident repairs and roadside
repairs), towing, materials management, vehicle procurement,
vehicle allocation, fuel control, data tracking and fleet analysis. The
Fleet Services Division maintains all Department vehicles. This is
accomplished through a mix of in-house personnel and resources
and an out-sourcing program utilizing the private sector.

Central Records Division: receives, collates and files criminal and other
informational records required by the New York City Police Department.
Additionally, the Central Records Division disseminates information to members
of the NYPD, authorized agencies and the public as authorized and required by
rule or law. The Central Records Division is comprised of the following units:
•

Identification Section provides criminal history background
information that is released only to authorized law enforcement
officers on official business.

•

Stolen Property Inquiry Section maintains records of property
reported stolen to the NYPD. Released only to authorized Law
Enforcement Officers on Official Business.

•

Criminal Records Section is the central repository of all Complaint
(Crime) Reports and Aided Reports for the NYPD. This section is
not open to the general public. Requests for a copy of the report
verifying a crime or listing lost property must be submitted on the
NYPD form VERIFICATION OF CRIME / LOST PROPERTY.

•

Public Inquiry & Request Section processes applications for
Good Conduct Certificates (NYC Criminal History Searches) and
processes non-criminal fingerprints requests.

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The Printing Section: The Printing Section provides the Department with
the printing services required to meet its everyday needs. This includes the
printing of:
•
•
•
•
•
•
•
•
•
•
•

Daily Orders;
Legal Bulletins;
Communications from the Police Commissioner;
Departmental Posters;
Pamphlets;
Flyers;
Forms;
Snapout Forms;
Training Manuals;
Memo Books (Police Officer Activity Logs);
Department Reports.

Deputy Commissioner Public Information (DCPI)
DCPI is responsible for the retrieval and dissemination of accurate police
related information in conformity with the law, and critical investigative needs of
the Department. DCPI receives police related information from the Operations
Unit, other commands, outside government agencies, the media and public and
disseminates that information in a timely manner. DCPI staff responds to
incidents in the field that prompt a large media presence (e.g., parades,
disasters, disorders, press conferences and debriefings). DCPI also issues
approximately 8,000 press credentials annually.
Deputy Commissioner Community Affairs (DCCA)
DCCA provides a community affairs officer for each precinct and fosters
positive and productive police-community relations by:
•

Providing programs, training, events and publications to community
members;

•

Conducting outreach programs (encouraging communication
between the police and community);

•

Implementing awareness, prevention, and deterrence programs for
youths;

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•

Providing community affairs assistance to all bureaus, divisions,
and units (during parades, unrest, demonstrations, etc.);

•

Providing training for all community affairs officers, new recruits,
newly appointed supervisors, and police executive staff.

•

Establishing partnerships with other government agencies, as well
as civic, religious, and community-based organizations.

Training Bureau
The Training Bureau is commanded by the Deputy Commissioner of
Training, and is the parent command of the Police Academy, the Police Cadet
Corps, the Video Production Unit, and the Training Support Section. The
Training Bureau is responsible for overseeing and coordinating all Department
training, the Police Academy, and Department scholarships.
The Training Bureau continually conducts research to ensure that its
programs are contemporary and pertinent. The Bureau utilizes certified
instructors to provide training for all new police officers and civilian employees.
Training is designed to focus on continuing in-service education, to prepare those
assuming supervisory, managerial, or executive responsibilities, and for those
members assigned to specialized duties. The Training Bureau also assists other
Departmental units in developing and providing training.

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The Compstat Process

WHY IS IT IMPORTANT FOR POLICE OFFICERS
TO KNOW ABOUT COMPSTAT
As you will learn, Compstat is an important part of the NYPD, and a
central element in our crime reduction initiatives. Every member of the service is
part of this process and is relied upon to carry out critical duties in every crime
reduction strategy. Whether you are preparing a criminal complaint, responding
to a call of domestic violence, or processing an arrest, you will be counted on to
perform your duties as part of a large and complex crime fighting apparatus. You
are the front line in the battle against crime and your actions on patrol will often
determine the success or failure of our efforts. Read these pages carefully and
develop an understanding of this process. This is essential because you will play
an important role in the crime reduction strategies of your commands, and your
actions will have an impact on the safety of citizens and the rate of crime in New
York City.

ABOUT COMPSTAT
Compstat, short for “computerized statistics,” is a process employed
by the NYPD to strategically direct our efforts to reduce crime, reduce the fear of
crime, improve the quality of life, and better manage the Department. The
Compstat process has received national and international recognition for its
success, and is seen as an innovative approach to crime reduction and police
administration.
A Brief History of Compstat
Compstat began in 1994, and was part of a continuing series of
innovations designed to fight crime. Because Compstat accurately and quickly
captured crime statistics, it was a great improvement over the method previously
in place, which operated at a three to six month lag between the commission of a
crime and any meaningful analysis. Even the best-intended commander could
do little with such old information. Thus, the foundation of a system emphasizing
timely crime complaint reporting was created.
In his book, NYPD Battles Crime, Eli Silverman describes the genesis of
Compstat. Compstat was originally a document, referred to as the Compstat
book, which included current year-to-date statistics for criminal complaints,
arrests for major felony categories, and gun violations that were compiled on a
citywide, patrol borough and precinct basis. The initial versions of the Compstat
book, which improved steadily over time with regard to the overall sophistication
and degree of detail, was developed from a computer file called “Computerized
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Statistics,” hence the name Compstat. The Compstat book is a report that is now
published on a weekly basis. Every Monday, each Precinct in the City is required
to report to their respective Borough Command a tally of crime complaints for
major crimes, summons activity, and other key crime indicators, such as
Domestic Incident Reports, that occurred during the previous week. The
reporting period is Monday to Sunday and captures the following crimes:
•
•
•
•
•
•
•

Murder (all non-negligent homicides)
Rape
Robbery
Felony Assault
Burglary
Grand Larceny
Grand Larceny Auto

These offenses are also known as Index Crimes from the FBI Uniform
Crime Report. Note that there are many other offenses in the New York State
Penal Law, but the NYPD focuses on these crimes for the purposes of Compstat
and the measurement of overall serious crime in a particular precinct or area.
Accumulating Data
The precinct tallies data on a weekly basis. Each week’s information is
added to the previous weeks and a comparison report is generated. Four weeks
worth of data are grouped together to create a 28-day period, known as the
“Compstat Period.” Finally a running tally is kept for the year to capture yearto-date crime information. All of this information is collated and a report is
created tabulating crime, arrest, and summons activity for the week-to-date, 28day, and year-to-date periods, as compared to the same periods from the prior
year. The 28-day period is used most commonly as the relevant time frame to
judge a precinct’s crime and enforcement activity. A precinct’s performance is
generally evaluated over each of these three time periods. The report also
includes comparison information about crime and enforcement from the period 2
years prior and from the year when the Compstat report began (in 2003 the
comparison is 10 years prior). Samples of Compstat period reports are attached
at the end of the chapter.
Once a precinct reports its weekly tally to the borough, the borough
consolidates this information and reports it to the Chief of Department’s
Compstat Unit. The Compstat Unit uploads arrest information from the On Line
Booking System (OLBS) and by mid-day on Monday, the Compstat report is
complete and the Police Commissioner, as well as the entire executive staff of
the NYPD, have a statistical measure of the crime situation in New York City.
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The Compstat Process

The “Process” of Compstat
Compstat is more than just a weekly book of statistics. As stated earlier,
Compstat is a process. Webster’s Dictionary describes a process as “a series of
steps or operations toward a desired result.” In the case of the NYPD the
desired result is reduced crime and improved quality of life. The series of steps
and operations entail an elaborate system to focus the entire Department’s
energy on achieving these results. Essentially, the Department employed a fourstep method towards crime reduction, and combined this approach with new
authority and accountability placed in the Precinct Commander. The following
discussion will elaborate on these points in greater detail, and explain how you,
as the uniformed member of the service in closest contact to the public, are an
integral part of this process.
The Four Steps to Crime Reduction
The four steps to crime reduction are an effective way to describe and
channel the operations of all members of the service, they are:
•
•
•
•

Accurate and Timely Intelligence
Rapid Deployment
Effective Tactics
Relentless Follow-up and Assessment

ACCURATE AND TIMELY INTELLIGENCE
In order to reduce crime and improve the quality of life in New York City,
the NYPD must know about crime. Specifically, the Department needs to know:
-

What type of crime is occurring (Robbery, Burglary, etc.);
When crime is happening (times and days of occurrence);
Where the crime is happening (specific locations);
Who is committing the crime (relationships, career criminals, etc.);
Why crime is happening (drug related shootings, Domestic Violence,
etc.).

The basic tool for collecting this information is the Omni-Form. The
proper preparation of the Omni-Form by the recording MOS is critical to the
success of the Department’s crime fighting efforts. Remember:
You are not a report taker. You are the police!

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At the scene of a crime your obligation is not to simply fill out a report.
You are conducting a preliminary investigation. The accurate details of this
preliminary investigation will enable crime analysts and Precinct commanders to
make sound decisions about enforcement operations as they respond to crime
trends. Be sure to prepare the Omni-Form completely. Ensure that all captions
are filled in correctly and that times, dates, and descriptions of perpetrators and
property are as accurate as possible. The information that you record may not
seem important as you write it; it may even seem trivial or routine. This
information, however, becomes invaluable down the line as it is used to analyze
patterns, crime conditions, and deployment of police resources. You should write
down everything as it relates to the complaint: we cannot know in advance what
bit of information may help solve a crime and prevent future ones.
Crime complaints are just one source of information. As you do your job
day-to-day you will perform dozens of tasks and prepare scores of reports that
contribute to crime reduction efforts in the command. One of the most important
tasks is making arrests and processing these arrests at the stationhouse. After
you make an arrest you will be confronted with a series of reports to prepare and
steps to take to process the prisoner through the arrest processing system. One
of the most important steps in this process is prisoner debriefing. Prisoners
are- first and foremost- members of the community and often have detailed
information about events that have occurred in the area. Because of this fact,
the Department has a policy that all persons arrested by any member of the
NYPD must be debriefed, or asked detailed questions about their knowledge of
criminal activity in the area. Debriefing all arrested persons is an important way
to obtain information.
Prisoners often know what is going on in the street, and have a motivation
to give this information to officers. Naturally, prisoners will be asked about the
specific crimes for which they have been arrested, but they must also be asked
about other crimes, specifically and generally. The following questions will be
asked to all arrested persons, regardless of the reason for their arrest.
•
•
•

Do you know anyone who buys stolen property?
Do you know anyone who sells guns?
Do you know anything about any recent shootings or pattern crimes?
Remember: “Ask A Question – Solve A Crime”

There will be times when you suspect criminal activity and are unable to
effect a summary arrest. In these situations, you are required to relay this
information to the Intelligence Division for further processing. This information is
extremely valuable and will be used as part of the precinct’s crime strategies and
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possibly to direct enforcement operations. By working on the street, you gain
valuable insight into the everyday affairs of the neighborhood. You will see
things that indicate criminal activity; this information must be reported. The
information may be routine, but it may also lead to uncovering and putting an end
to serious criminal activity. The following is an excellent example of how
intelligence information is critical to crime reduction:
Two officers on routine patrol notice a high volume of
people entering and leaving a residential apartment
building. The officers did not believe they were selling
drugs but “heard” that you could buy all sorts of stolen
merchandise. Further investigation of the location
revealed that the residents of the apartment were
selling merchandise that was stolen from cargo ships
and freight deliveries from JFK and La Guardia
airports. Brand names like Gucci, Yves St. Laurent,
Polo, and Nike were being sold out of this ground
floor apartment. Representatives of the companies
were contacted, agreed to prosecute, and an
undercover officer was sent in to buy a sample of the
stolen goods. After several purchases were made, a
search warrant was obtained, and the operation was
shut down, ultimately resulting in 30 arrests and the
return of more than 2 million dollars in stolen
merchandise. All of this occurred because the
officers were willing to act on seemingly benign
information received from a member of the
community.
What happens to all of this information? After you prepare an Omni-Form,
OLBS Worksheet, etc. the Command’s Crime Analysis staff, and ultimately the
Commanding Officer, will analyze it and select times, dates, trends, patterns, and
unusual occurrences. This information will be disseminated to patrol, the
precinct detective squad, OCCB, and other units working in the area so they can
patrol smarter, investigate, and apprehend suspects more effectively. You will
most likely get this information in several ways:
•

The Precinct Crime Information Center features up-to-date maps of
crimes, patterns, wanted suspects, etc. You should make it a habit to
study this information daily, and be well informed about the neighborhood
you patrol. Not only could it help you catch a serious criminal, it may
save your life.

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•

Messages and announcements will be made at roll call everyday. They
will be made by the Patrol Supervisor, Platoon Commander, Detective
Squad Commander, Precinct Commander, etc. Pay attention to these
messages. This is the command staff’s way of personally informing you
of the most important crime conditions that are being addressed by the
command.

•

The information will also be the basis for specific operational plans that
are designed to address crime and quality of life conditions. These may
come in the form of Robbery plans, Burglary plans, tactical response
plans, etc. You are an important part of the development of these plans.
The information that you obtain during the preliminary investigation at
crime scenes aids in the creation of these plans. Also, your actions on
patrol should be consistent with the tactics contained in these plans.
Smart decisions based on proper planning are good police work. You
could be the difference between a person being apprehended or
escaping, or the difference between life and death.

RAPID DEPLOYMENT
The next step in the crime reduction process is the rapid deployment of
resources to impact on crime conditions. These resources include Anti-Crime,
Conditions, SNEU, CPU, or other specialized units in the command. They also
include the Detective Squad, Narcotics, Vice, Gang Squad, and many other units
not assigned to the patrol command. But most importantly, the rapid deployment
of resources includes you, the uniformed member of the service. Properly
informed about crime condition via accurate and timely intelligence, combined
with an intimate knowledge of the neighborhood, you are the first line of defense
against crime. Knowing when, where, how, and who, are committing what
crimes, and then placing yourself in a position to disrupt or apprehend the
criminals as they act can have an enormous impact on crime.
As an informed and alert police officer, you can be a powerful weapon in
the fight against crime. But you cannot do it alone. Teamwork is critical to
success. You will become a part of a very large team, which includes hundreds
of other police officers working in your area. The Department is a very large
team, but the Commanding Officer is the quarterback. He or she calls the plays
by coordinating the efforts of precinct and non-precinct personnel. Often the
Commanding Officer will set up task forces with personnel from other commands
to address a specific condition. Other times, specialized units from within the
precinct will be assigned to specific operations designed to resolve an ongoing
problem. Almost every time, patrol officers will be an integral part of the plan.
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Be Informed – Be Aware – Be Part of The Team
Precinct Commanders also work with outside agencies to solve specific
problems. This may include working with the District Attorneys, U.S. Attorney,
Corporation Counsel, federal law enforcement agencies (ATF, FBI, etc.), State
and local law enforcement (PAPD, NYSPD, Dept. of Probation, Parole,
Correction, etc.), and other social service agencies.
Precinct Commanders also work closely with the community. The
community is a critical source of information about crime conditions, and is
keenly interested in reducing crime. By providing information, feedback, and
support, local communities become empowered to act for their own security, and
are more aware of the conditions in their neighborhoods.

EFFECTIVE TACTICS
“Failure to plan is planning to fail.” The Commanding Officer must be
closely attuned to crime conditions in order to develop and implement tactical
plans to respond to crime conditions. These tactics will be flexible and change
with changing conditions. The deployment of uniformed officers and their
specific actions are integral parts of every tactical plan. The key to tactics is
focusing specific resources on specific problems. You should never ride in an
RMP, walk a foot post, or staff a fixed post without having an in-depth knowledge
of the crime conditions in the area. But not only do you need to know the
conditions, you must also know exactly what is expected of you in responding to
these crime conditions. The following list details commonly used tactics:
•
•

•
•
•
•
•
•
•
•

Saturating an area with uniformed members of the service;
Canvassing the immediate vicinity of a crime. This entails knocking
on doors and speaking to as many people as possible in the area of
a reported crime to find witnesses and uncover intelligence
information;
Debriefing all arrested persons;
Distributing wanted photos to members on patrol;
Establishing and safeguarding crime scenes;
Setting up checkpoints;
Conducting vertical, or directed patrols in crime hot spots;
Zero-tolerance enforcement for quality of life offenses;
Conducting warrant checks on all persons stopped, issued a
summons, or arrested;
Sting operations;

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•
•
•
•
•
•
•
•
•
•

Using the nuisance abatement laws (i.e., Civil Enforcement) to
close illegal businesses;
Controlled tactical response to crimes in progress;
Proper and frequent use of Mobile Digital Terminals;
Closing or monitoring the entrances to highways to capture vehicles
fleeing crime scenes;
Thorough preparation of all paperwork, especially the Omni-Form,
Summonses, and Stop/Question & Frisk Report;
Proper safeguarding of evidence and crime scenes;
Distributing crime prevention information in the vicinity of crime
scenes to alert residents that a serious crime occurred in the area
and to offer the services of the Crime Prevention Officer;
Calling the Patrol Supervisor to the scene of serious crimes to gain
his or her assistance in the tactical response;
Looking for broken glass at the scene of a reported GLA, or asking
for the victim’s keys to the stolen vehicle. (The true victim of a GLA
should have their keys readily available);
Investigating fraudulent crime reports.

The above tactics are just a few of those most commonly employed by
patrol personnel. Undoubtedly, you will also be involved in intricate tactical
response plans related to serious crime, and are an important part of the
command’s crime reduction initiatives. The tactical plans will also incorporate the
activities of specialized units, both precinct and non-precinct based. You should
familiarize yourself with their role in tactical plans so that you can complement
their activities and provide key information in support of those efforts.

RELENTLESS FOLLOW-UP AND ASSESSMENT
Having accurate and timely intelligence, rapid deployment, and effective
tactics are not enough. Without relentless follow-up and assessment, the
success of our efforts cannot be evaluated, and our operations cannot adapt to
meet changing crime conditions in New York City communities. This follow-up
and assessment is conducted at many different levels. The Precinct Commander
personally monitors crime patterns, trends and statistics on a daily basis. Also,
at the command-level, crime reduction strategy meetings are held with the key
operational units in the area (OCCB, Detectives, Precinct-Specialized, etc.). The
Borough Command hosts crime reduction meetings, known as “Borough
Compstat,” at least two times each month. And perhaps the most well known of
all follow-up and assessment techniques is the executive Compstat meeting held
in the Command and Control Room at 1 Police Plaza.
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“Is anyone doing anything about this problem?”
demanded Chief of Department Joseph Esposito from
the far end of a horseshoe shaped configuration of
tables. At the other end of the Command and Control
Center were the Precinct Commander and her key
staff, and other operational commanders assigned to
the area. The Chief was probing a burglary condition
in a Queens neighborhood.
“We are getting on top of it Chief,” responded the
Precinct Commander.
“Break it down for me. When is it happening? What
is the method of entry? What kind of property was
taken? What is going on out there?” the Chief shot
back.
Deputy Commissioner of Operations Garry F.
McCarthy jumped in, “We’ve taken a look at your
recidivist list, and are not particularly impressed with
what we found. What is the plan here?”
The Precinct Commander was being peppered with questions about a
spike (unusual increase) in burglaries in her precinct. The Compstat process in
action culminates with an executive level presentation by the Precinct
Commander on crime conditions. This presentation occurs in the Command and
Control Center on the 8th floor of 1 Police Plaza. Every week, after a thorough
review of the latest crime statistics, one Borough is selected to present their
crime reduction initiatives to the Executive Staff. The meetings are now held
every Thursday at 0800 hours and are moderated by the Chief of Department
and the Deputy Commissioner of Operations.
Typically, three precinct commands from the selected patrol borough are
asked to present each morning. They are joined by all the Commanding Officers
of units that are responsible for enforcement operations in the general area. The
Precinct Commander is accompanied at the podium by the Housing PSA
Commander, Transit District Commander, Detective Squad Commander,
Narcotics Module supervisor, Robbery Apprehension Module supervisor, Gang
Squad Commander, Field Intelligence Officer, and other key staff members. On
the panel, assisting the Chief and Deputy Commissioner moderating the meeting
are all of the Bureau Chiefs and Deputy Commissioners. Also in the audience
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Borough command as well as crime analysts from other Patrol Boroughs not
selected to present on that particular morning. The atmosphere at times can be
tense.
The Precinct Commander begins, “I am experiencing
an increase in burglaries. Over the last 28-day
Compstat period the precinct logged 38 burglaries
compared to 25 for the same period from last year,
representing a 52 percent increase.”
The Chief interjects, “You are leading the Borough in
burglaries, and you have the highest increase in
burglary citywide for the 28-day period. Where are
we with your plan? Apparently something isn’t
working!”
The Commander continues, “The spike is on the
4x12s, early on the 4x12s, residential burglaries, I
have seven that fit this general pattern.”
“Well, what are you doing about it? Does Narcotics
have this information, the Squad, what is Anti-Crime
doing for you?” the Chief responded.
“Everyone is on board, Chief. The Borough PIMS
Unit put out a pattern sheet last week, which was
circulated throughout the borough. It was the main
topic for discussion at my weekly crime strategy
meeting, and narcotics ran with it. I will let the
Narcotics Lieutenant give you an update,” the
Commander replied.
“Chief, Commissioner, I am Lt. Jones from Narcotics.
The Captain gave us the PIMS Pattern Sheet a few
weeks ago and we noticed that the burglaries were
happening in the vicinity of a few narcotics ‘sets.’ We
did some buy and bust in the area and came up with
some information on a prisoner debriefing. The perp
gave some information about a crew of kids breaking
into houses after school. We got a name from one of
the perps and gave it to the squad,” the Lieutenant
revealed.

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At this time the Detective Squad Commander jumped
in, “Yes Chief, we got a name from Narcotics and it
matched a person we have on our Recidivist Burglar
List. I know the list needs a little updating, but in this
instance we got a hit on one of the local kids; a real
bad kid, hanging around after school doing his dirty
work. We went to talk to him, and when we get to his
house he bolts. We put the description over the radio
and patrol picked him up a few blocks away. He gave
up the whole thing. We even recovered some
property from his room on a consent search,” the
Squad Commander proudly described to the
audience.
“Now that’s what I’m talking about!” the Chief
proclaimed. “That is the way it’s all supposed to
come together… teamwork!” “Now, let’s get back to
the school angle. How are we going to follow-up on
this? I am sure he was not acting alone. There’s
work left to be done,” the Chief continued.
This is a typical exchange at Compstat. While not all exchanges feature
success stories like this one, they all have common elements. The Compstat
meetings demand that all enforcement/operational units in a specific area work
together to address crime problems. The above account demonstrates that it is
the Precinct Commander shouldering the responsibility for the crime problem, but
the Narcotics Module, Detective Squad, and other units worked as a team to
solve the problem.

THE EFFECT OF COMPSTAT
In the above anecdote, the commander made mention of her weekly crime
strategies meeting. While the Executive and Borough Compstat meetings are
formal venues to discuss crime conditions, the real planning and strategizing is
done at the precinct level. Every day across the City, Precinct Commanders and
their counterparts in Transit and Housing coordinate, plan, discuss, meet, and
strategize, etc., with each other to tackle crime. The product of these strategy
sessions is the plan, of which you as the uniformed member on patrol are an
integral part.

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The plan develops into the streets where targeted enforcement is
conducted. The above exchange illustrates that the Narcotics Module performs
enforcement in an area where they have received previous complaints with the
understanding they might uncover intelligence information about the current rash
of burglaries. A successful debriefing leads to intelligence that is passed along to
the detective squad to develop further. The information eventually culminates in
an arrest, a consent search, and more intelligence on the remaining participants
in the crimes.
Prior to Compstat, cooperation between the different operational
commands existed, but not to the extent described above. In this sense, the
Compstat process enabled a blurring of organizational boundaries. Where
different bureaus concentrated on their specific missions, Compstat forced a
unified approach to crime, held the Precinct Commander accountable, and
demanded that all other units work in cooperation to achieve shared crime
reduction goals. The meetings, described by some scholars as almost
ceremonial in nature, forced units to work together because they were eventually
going to be called upon to account for their efforts in a public arena. This
scrutiny demanded cooperation and teamwork in the overriding goal to reduce
crime.
Format of Compstat Meetings
The Compstat meetings permit the NYPD to evaluate its crime reduction
efforts. The format of the meetings generally follow a predetermined sequence
of precinct commands to present, but the specific details of the questioning often
evolve as the meeting unfolds. This unpredictable nature of Compstat adds to
the atmosphere of the Command and Control Center as the meetings are
conducted. While it is impossible to list the exact items reviewed at each
meeting, below is a list of frequently discussed meeting topics:
•
•
•
•

A review of the crime statistics of each precinct attending;
Questioning commanders about current cases of interest, crime
patterns, or situations requiring attention;
Requesting that precincts forward detailed and specific reports to
their overhead command, showing what actions were taken to
address crime conditions;
Asking follow-up questions about cases, crime patterns, or
situations mentioned at previous meetings. Minutes of meetings
are taken and reviewed so that proper follow-up to cases and
conditions can be discussed;

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•
•
•

•

Commanders are not only expected to know about crime conditions
in their areas of responsibility, but more importantly, they are
expected to do something about it;
Compstat meetings highlight solutions as well as problems.
Innovative plans, and new ideas are shared and discussed;
Compstat meetings are also an opportunity for the Executive staff
to introduce new policy initiatives. They are also opportunities to
identify middle managers that exhibit the leadership qualities
necessary to improve the Department;
Representatives from other patrol boroughs attend each meeting to
take notes and report back to their commanders about new issues,
trends and ideas.

The Value of Teamwork
Operational commands are required to work together; sharing information
is critical. Police officers across the City can no longer operate in a vacuum.
Teamwork, cooperation and information sharing are essential to effective
operations. Lack of coordination becomes very clear during the Compstat
meetings. Commanders who are able to work together and channel their efforts
are the most successful, and they rely on every member of their command to
help in this effort. Your individual contribution is important and central to
the overall mission of the NYPD.
Commanding Officers must react quickly to changing crime conditions.
This often means hearing information while at Compstat, reading the minutes
from another Patrol Borough’s Compstat, or sharing information with a colleague
from another precinct. This results in the development of new tactical plans for
the precinct. Inevitably, you, as the uniformed member of the service on patrol,
will be part of that plan. It is your obligation to stay informed about crime
conditions and digest crime reduction plans as they are developed and
implemented. Most times you will be asked to perform new tasks - or old tasks in such a way as to address specific areas, in addition to responding to calls for
service. Be mindful of your responsibility to the community and to the
Department in this regard. The Commanding Officer has the overall picture in
sight and is balancing the demands of the community, the needs of the
command, and the policies of the department, to manage resources and reduce
crime. Your active participation is vital to the success of the command and the
Department as a whole.

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Precinct Management
Compstat is not simply about crime. As time passed, the Compstat
process quickly became a valuable mechanism in not only addressing crime
problems, but an important tool in managing the day-to-day operations of
precinct commands. A “Precinct Commander’s Profile” is prepared each month
and used by the executive corps of the NYPD to get a snapshot of command
operations. The profile contains a wealth of information:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•

Detailed information about the Precinct Commander (appointment
date, assignment date, years on the job, years in rank, education
and training, resident precinct, etc.);
Overtime, both operational and new arrest;
Total radio runs;
Response times to crimes in progress;
10-84 compliance;
Bribery arrests;
CCRB complaints;
Personnel strength;
Domestic violence radio runs;
DIR preparation compliance rate;
Truants returned;
UF-250’s;
Ride-Along program;
House of Worship visits;
Participation in training.

Most of the information listed above is captured for a month-to-month and
year-to-year comparison, and the difference, or percentage of change, is
provided. This information can be used to evaluate a particular precinct from
month to month, or year to year, and compare precincts and boroughs to one
another.
This profile is an important tool in evaluating the performance of precinct
commands. There is an expression that “what gets measured, gets done,” and
in the context of the profile, the NYPD tabulates and records dozens of important
precinct performance measurements. This information gives Precinct
Commanders an idea about what is important and what they should focus their
efforts on. It also gives the Patrol Borough and the executive corps of the NYPD
an opportunity to gauge the performance of Precinct Commanders at a quick
glance, and provides a vehicle to include areas that are considered important to
manage.
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Accountability
One of the most important features of Compstat is accountability. It is one
thing to say that operational commands are following the four steps toward crime
reduction. It is another thing to hold people accountable for their actions. Also,
one of the most fundamental elements of accountability is that you have to give
people the power to make decisions and give them the authority to manage their
resources before you can make them accountable. Compstat does both of these
things, simultaneously giving Commanding Officers authority to manage their
commands, and holding them accountable for the success, or failure, of their
decisions.
For you personally, Compstat is important because it is the major method
used by the Department to evaluate the performance of people who will
command and supervise you. Consequently, they are certain to look carefully at
how well you help them to achieve this goal.

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References

Henry, Vincent E. (2002), The Compstat Paradigm: Management Accountability
in Policing, Business, and the Public Sector, Looseleaf Law Publications,
Inc., Flushing, NY.
Heskett, James L. (1996), “NYPD New,” Harvard Business School Case Studies
Program (N9-396-293), Harvard Business School Publishing, Boston, MA.
Kelling, George L. & William H. Sousa Jr. (2001), “Do the Police Really Matter?
An Analysis of the Impact of New York City’s Policing Reforms,” Civic
Report No. 22, Center for Civic Innovation, New York, NY.
New York City Police Department (2001), Compstat: Leadership in Action,
NYPD, New York, NY.
New York City Police Department (2002), The Compstat Process, (Prepared for
Executive Development Commanders’ College), NYPD, New York, NY.
Silverman, Eli B. (1999), NYPD Battles Crime: Innovative Strategies in Policing,
Northeastern University Press, Boston, MA.

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