National Use of Force Model

INTERPRETATION DOCUMENT

Centre de savoirs
disciplinaires
 National Use of Force Model
INTERPRETATION DOCUMENT

Centre de savoirs disciplinaires

 National Use of Force Model — INTERPRETATION DOCUMENT

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Note: The masculine gender is used in this document without bias and only to lighten the text.

French Version: January 28, 2013

English Version: August 23, 2013

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Table of Contents

INTRODUCTION ............................................................................................... 1

HISTORY........................................................................................................... 3

PRINCIPLES..................................................................................................... 5

DESCRIPTION OF THE MODEL ...................................................................... 7

The Assessment Process .................................................................................... 8

1. The Situation................................................................................................. 8
Environment ................................................................................................... 8
Number of Persons Involved ............................................................................ 8
Perception of the Subject’s Abilities ................................................................. 9
Prior Knowledge of the Subject ....................................................................... 9
Time and Distance (Urgency to Respond) ......................................................... 9
Signs of Possible Aggression (Threat Indicators) .............................................. 9

2. The Subject’s Behaviour ............................................................................... 10

Cooperative .................................................................................................... 10
Passive Resistant ............................................................................................ 10
Active Resistant .............................................................................................. 10
Assaultive ....................................................................................................... 10
Grievous Bodily Harm or Death ....................................................................... 10

3. Perception and Tactical Considerations ........................................................ 11

Perception ...................................................................................................... 11
Tactical Considerations ................................................................................... 12

Use of Force Options ......................................................................................... 12

Officer’s Presence ................................................................................................ 13
Communication ................................................................................................... 13
Physical Control .................................................................................................. 13
Intermediate Weapons ......................................................................................... 14
Lethal Force........................................................................................................ 14

CONCLUSION ................................................................................................... 15

ANNEX — NATIONAL USE OF FORCE MODEL (GRAPHIC)....................... 17

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Introduction

T
he National Use of Force Model is a graphic representation* of various ele-
ments that are the process with which an officer assess a situation, makes a
choice among reasonable options and responds to ensure their own safety
and that of the public. Its goal is to help officers and the public understand when
and how an officer may have to resort to the use of force.

As a training tool, the Model encourages critical analysis of a given situation and
helps officers understand and utilize the different use of force options available
to them to address any situation presenting a risk of violence.

The National Use of Force Model does not justify the use of force nor does it dictate
a specific response to any given situation. It serves as a framework tool to under-
stand and explain situations where officers resorted to the use of force.

* See graphic on page 17.

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History

T
he use of a graphic to illustrate the use of force utilized by officers first
appeared in the United States in the 1970`s. The earlier models illustrated a
linear and seemingly rigid progression that gave the impression that offi-
cers had to exhaust all possible options at one given level prior to being author-
ized to consider other options. A common complaint with the earlier models was
that they did not take into account the dynamic characteristics of a potentially
violent situation where officers must be continuously assessing all factors present
(officer, subject, use of force options available) throughout the encounter.

Use of Force Models first appeared in Canada in the 1980`s. One of the first being
Nova Scotia’s provincial model followed by Quebec’s model which appeared in
the early 1990`s. In 1994, with a view of general strategy regarding use of force,
Ontario created a provincial model which was also done by several other prov-
inces as well as the Royal Canadian Mounted Police.

In 1999 the Canadian Association of Chiefs of Police (CACP) approved an initia-

tive which proposed to create a National Use of Force Model. In April of the same
year Instructors and Experts in the field of use of force from across the country
met at the Ontario Police College in an effort to create such a Model. Designed by
the CACP and these stakeholders, the National Use of Force Model regroups the
best theory, research and practices regarding the use of force by officers. This
Model would be dynamic, would support the training of police officers, and
would assist use of force specialists as well as the general public to better under-
stand the notion of the use of force.

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Principles

T
he National Use of Force Model consists of 6 fundamental principles:

 A peace officer’s first responsibility consists of protecting and preserving life.

 The primary objective of any use of force is to ensure public safety.

 The officer’s safety is essential to public safety.

 The National Use of Force Model does not replace the law nor does it add any-
thing to it, the law is sufficient in and of itself.

 The National Use of Force Model was created in accordance with the law (fed-
eral) and existing caselaw.

 The National Use of Force Model does not seek to dictate a code of conduct to
any institution whatsoever.

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DESCRIPTION of the MODEL

T
he National Use of Force Model was created to assist in the training of police
officers and to serve as a reference to make decisions and to explain the
use of force. The Model does not justify an officer’s actions.

The inner-most section of the Model called “SITUATION” is comprised of “as-

sess-plan-act”. These must be perceived as dynamic elements as the assessment
of any situation by officers is an endless process. This dynamic assessment proc-
ess also serves to explain how a behaviour (and response options) can move
from cooperative to assaultive (or from communication to lethal force) in a mat-
ter of a fraction of a second without necessarily going through other behaviours
or other options found in the Use of Force Model.

Around the “SITUATION” circle are found different types of behaviours that a
subject might adopt, namely; cooperation, resistance, assaulting, or that could
cause grievous bodily harm or death.

Perception and tactical considerations are interrelated and as such are found in
the same area of the Model. These factors are inherent to the officer and they in-
teract with the situational and behavioural factors in determining how he per-
ceives and analyzes the situation. In other words an officer’s perception of a
situation influences his assessment of it and from there his tactical considera-
tions.

The outer area of the Model presents the options available to the officer in re-
sponse to use of force situations. These options are from the mere presence of the
officer and their physical aspect up to lethal force, communication, physical con-
trol and intermediate weapons. Much as officer presence and communication are
not tools of physical force they are included in the Model to illustrate the full
range of factors that may influence a subject’s behaviour.

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THE ASSESSMENT PROCESS

The process to assess a situation is comprised of the analysis of factors linked to
the following three elements:
1. The situation
2. The subject’s behaviour
3. The perception and tactical considerations of the officer

A careful analysis of all factors stemming from these three elements helps officers
understand and respond to the situation at hand as well as to explain the way in
which the particular situation was perceived, evaluated and handled.*

1. THE SITUATION
When an officer is confronted with a situation, they must evaluate multiple as-
pects of it. Therefore, a situation can be characterized by at least six factors and
an officer must consider them all in their assessment.

It’s worth noting that some factors can be found in more than one component (be
it the situation, the subject’s behaviour or perception and tactical considerations).
The following lists are by no means exhaustive. They simply cite factors that offi-
cers will have to consider most often in making their decisions.

ENVIRONMENT
In some situations the environment can influence an officer’s assessment of a
situation:
 Weather: rain, snow, wind, heat, etc.
 Time of day: daylight, darkness
 Area: residential, rural or urban, inside or outside
 Place: rooftop, roadside, staircase, cellblock area
 Other factors: availability of cover or concealment

NUMBER OF PERSONS INVOLVED

The rate between the number of officers vs. the number of subjects will have an
influence on how the officer assesses the situation:
 One subject vs. one officer
 One subject vs. two or more officers
 Multiple subjects vs. one officer
 Multiple subjects vs. multiple officers

* The examples presented in this document are by no means exhaustive. They are presented as illustrations only.

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PERCEPTION OF SUBJECT’S ABILITIES

An officer’s perception of the subject’s condition and characteristics will influ-
ence his assessment of the situation:
 Under the influence of alcohol or drugs
 Degree of impairment: light to severe
 Physical characteristics: size, strength, abilities
 Emotional state
 Access to weapons

PRIOR KNOWLEDGE OF THE SUBJECT

An officer’s assessment of the situation could be influenced by what they know
about the subject. Officers may be aware of the subject’s prior criminal history,
reputation or have already dealt with them:
 Information collected
 Prior convictions, reputation
 Particular abilities

TIME AND DISTANCE (URGENCY TO RESPOND)

The notions of time and distance are closely associated with the considerations
determining if the officer must react immediately or wait. On the other hand, if
the situation is a threat to public safety it commands an immediate response
however, in different circumstances officers may wait to respond. For example,
the availability of cover, the imminent arrival of back up or simply the ability to
increase distance from the subject may allow the officer to momentarily reduce
the threat level and delay their intervention until such time as the conditions are
more favourable. The officer must then take into account the following factors
throughout their intervention “assess-plan-act”:
 Seriousness of the situation
 The need for immediate intervention
 The possibility of gaining time and distance
 Potential for escape

SIGNS OF POTENTIAL AGGRESSION (THREAT INDICATORS)

By his behaviour a subject may provide clues concerning his intentions. The fol-
lowing is a list of behaviours that serve as precursors of aggression:
 Ignore the officer’s presence
 Repetitive questioning
 Aggressive verbalizations
 Emotional outburst
 Refusal to comply
 Cease all movement

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 Invasion of an officer’s personal space

 Adopt an aggressive stance
 Hiding

2. THE SUBJECT’S BEHAVIOUR

The subject’s behaviour is the central component of the “asses-plan-act” process.
Within the Model, there are five categories of subject behaviour found in the cir-
cle adjacent to the “SITUATION”. The change in tone around the subject behav-
iour circle illustrates the fact that there is an overlap within the categories. It is
often hard to differentiate them. The category attributed to the subject’s behav-
iour is often dependant on the officer’s perception. The following lists the five
categories of subject’s behaviour:

COOPERATIVE
The subject responds appropriately to the officer’s presence and instructions as
well as to the way the officer has taken control of the situation.

PASSIVE RESISTANT
The subject, with little or no overt physical actions, refuses to obey the officer’s
instructions. This behaviour can be exercised by verbal objection as well as by in-
tentional physical inertia.

ACTIVE RESISTANT
The subject physically resists or physically display their refusal to comply with the
officer’s order without being assaultive. For example, the subject may abruptly step
aside to avoid/escape from the officer taking control of him; he may overtly walk
toward the officer or on the contrary away from them. To run away is another ex-
ample of active resistance.

ASSAULTIVE
The subject attempts or threatens, by an act or gesture, to use force or uses force
against someone else, whether he actually has the ability or leads the officer on
reasonable grounds to believe that he has the ability to carry out his intentions.
For example, the subject may kick or punch or simply display threatening body
language showing the intention to do so.

GRIEVOUS BODILY HARM OR DEATH

The subject’s behaviour leads an officer to believe on reasonable grounds that he
has the intention to or is at imminent risk of causing grievous bodily harm or

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death to another person. For example, the subject may commit an assault with a
weapon such as a knife, a stick or a firearm, or may act in a manner likely to
cause serious injuries to an officer or another person.

3. PERCEPTION AND TACTICAL CONSIDERATIONS

Perception and tactical considerations are two distinct notions that may affect an
officer’s overall evaluation. However, since they are interrelated, they are found
in the same area of the Model. They form a group of conditions that create, on
one hand, an intermediary between the two internal areas and, on the other
hand, available intervention options.

The middle positioning of the area comprised of perception and tactical considera-
tions explains the reasons why two officers may react differently to the same
situation. The reason for this is that perception and tactical considerations vary
widely according to individual officers and even by organization. Therefore, two
different officers confronted with the same tactical considerations, may, as they
possess different personality traits, or because their organizations adopt different
policies and procedures, not evaluate or react the same way to a given situation.
The perception of each officer has a direct impact on their analysis of the situa-
tion and consequently on their tactical and use of force considerations.

PERCEPTION
The way an officer perceives a situation is in part related to their personal charac-
teristics. These characteristics influence their perception of their ability to face the
situation at hand. For several reasons an officer would have faith in his ability to
handle a situation and would assess it accordingly. In contrast, a different officer,
for other legitimate reasons, may judge the situation to be more threatening in
nature and that it requires a different response. The following factors, unique to
each officer, interact with the situational and behavioural factors and influence
the officer’s perception, and ultimately his assessment and reaction to the situa-
tion. By no means is this an exhaustive list:

 Strength and overall physical fitness level

 Personal experience
 Abilities, skills and training
 Fears
 Gender
 Tiredness
 Injuries
 Physical and emotional response to the stress induced by a critical incident

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 Cultural background
 Visual acuity

TACTICAL CONSIDERATIONS
The way in which an officer assesses a situation influences his choices regarding
tactical considerations. Likewise, these same factors can influence his overall as-
sessment:
 Tactical repositioning and its consequences*
 An officer’s appearance
 Uniform and equipment
 The number of officers
 Availability of back up
 Availability of cover
 Geographical considerations
 Practicality of containment, distance and communication
 The availability of special units and specialized equipment: dog team, tactical
units, crowd management unit, helicopter, etc.
 Ability to establish a command post
 Organization’s directives

USE OF FORCE OPTIONS

The process of “assess-plan-act” is conditioned by the situation, the subject’s be-
haviour, perception and the officer’s tactical considerations. Once they have as-
sessed the situation, the officer must formulate a plan and decide what he be-
lieves to be an appropriate response. This section looks at the different use of
force options available to the officer.

There are five use of force options found in the outer ring of the Model. These
range from the mere presence of an officer to lethal force. Graphically, the use of
force options, are organized differently from those of the subjects behaviour in
that they overlap each other. Consequently, the area that corresponds with the
“communication” option overlaps what corresponds with “physical control”, to
“intermediate weapons” and “lethal force”. This serves to underline the notion
that an officer has at his disposal, for a single behaviour on the part of the sub-
ject, several use of force options.

* The first and foremost task of an officer is to protect life and preserve peace. However, when a situation worsens dangerously or when continuing to intervene
presents an increased danger to any person, tactical retreat must be considered as a viable option. It is also recognized that because of time or distance con-
straint or because of the nature of the situation, tactical retreat may not be an option. If the officer deems it tactically appropriate, they may consider a tactical
retreat in order to contain and re-assess the situation, and to consider other solutions like a barricade, to stand by for back up, to call in a specialized re-
sponse team, etc.

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On the Model, there is a certain relation between the ways that a subject’s behav-
iours are represented and those of the use of force options available to an officer.
Because each officer possesses personal characterisations that influence their as-
sessment, and that every situation calls on different tactical considerations, the
relation between a subject’s behaviour and the intervention options chosen by an
officer is not precisely determined. It’s only after analyzing the complex relation
between the situation, the subject’s behaviour, the officer’s perception and tacti-
cal considerations that we may judge the reasonableness of the use of force op-
tion applied.

The degree of force used, or more precisely the area on a person and the intensity
of pressure or force of the blow applied, is one important component of the char-
acter of the option used.

The use of force options presented below may be used alone or combined with
the goal of allowing an officer to take control of a situation. The premise of the
Model rests on the fact that the officer’s perception and tactical considerations
are inherent to the situation. The dynamic nature of every situation requires con-
stant assessment; therefore the choice of use of force option is subject to change
at all times.

The following paragraphs provide a brief description of all five use of force op-
tions available to officers:

OFFICER’S PRESENCE
Much as it is not representative of a use of force option, the mere presence of an
officer can have an effect on or influence the subject and the situation at hand.
Visible signs of authority such as: an officer in uniform or a marked police vehi-
cle can have an influence on or cause a subject to modify his behaviour.

COMMUNICATION
An officer can use both verbal and non-verbal communication to take control of a
situation.

PHYSICAL CONTROL
The Model defines two levels of physical control: the first being soft, the second
being hard. It is generally understood that physical control refers to all tech-
niques used to control a subject without having to resort to a weapon.

Soft techniques are used to contain subject behaviours and are less likely to cause
injury. They include immobilisation techniques, escort techniques, articulation
control, pressure points, or the use of handcuffs without resistance.

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Hard techniques are used with the intention of preventing the continuation of a
behaviour, to allow the application of a control technique and they present a
higher risk of injury. These can include bare hand techniques such as punches or
kicks, choke hold technique or grounding.

INTERMEDIATE WEAPONS
This use of force option entails the use of all weapons available to an officer, that
are not designed nor of a nature to cause grievous bodily harm or death to the
subject. This category specifically includes impact weapons, aerosols, and con-
ductive energy weapons.

LETHAL FORCE
This use of force option includes the use of all weapons and techniques designed
or of a nature to inflict grievous bodily harm or death.

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Conclusion

T
he National Use of Force Model is a graphic representation of the process an
officer uses to assess, plan, and act when confronted with a situation that is
a threat to public safety and his own safety. The process of assessment
begins in the middle of the Model with the “SITUATION” that the officer is con-
fronted with. From there the process of assessment moves outward taking into
account the subject’s behaviour, perceptions and tactical considerations. On the
basis of his assessment of the conditions located in the inner circle of the Model
the officer chooses amongst the use of force options located in the outer zones of
the Model. Once an officer has chosen an intervention option, they must again
follow the process of “assess-plan-act” to determine whether the action taken is
appropriate and effective or if a new strategy should be considered. The entire
process must be considered as dynamic and ever evolving until the “SITUA-
TION” is under control.

The use of force authority granted to those responsible for enforcing the law dis-
tinguishes them from all other members of the society, and the choice amongst
reasonable use of force options is at the heart of their duties. It is with this per-
spective that the National Use of Force Model provides a framework to guide them
regarding use of force.

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Annex

EditionOfficielle\2 Autre Service\CentreSavoirsDisciplinaires\ModeleNational\ModeleNationalEmploiForce_ANG.docx

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