Police Administration

Structures, Processes, and Behaviors

Ninth Edition

Charles R. Swanson
University of Georgia

Leonard Territo
Saint Leo University

Robert W. Taylor
The University of Texas at Dallas

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Library of Congress Cataloging-in-Publication Data

Names: Swanson, Charles R., author. | Territo, Leonard, author. | Taylor, Robert W., author.
Title: Police administration: structures, processes, and behaviors / Charles R. Swanson, University of Georgia, Leonard Territo,
Saint Leo University, Robert W. Taylor, The University of Texas at Dallas.
Description: Ninth edition. | Boston : Pearson Education, [2017]
Identifiers: LCCN 2016025718| ISBN 9780133754056 | ISBN 0133754057
Subjects: LCSH: Police administration.
Classification: LCC HV7935.S95 2017 | DDC 363.2068—dc23
LC record available at https://lccn.loc.gov/2016025718

10 9 8 7 6 5 4 3 2 1

ISBN 10:     0-13-375405-7
ISBN 13: 978-0-13-375405-6

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 Dedication
For the exceptional women in my life: my wife Paige for her dedication to providing medical care in her
free clinic to those who would otherwise have none, my wonderful daughters Traci and Kellie for their
keen minds and love of family, precious granddaughters Keira and Olivia, who will help shape
America’s tomorrows, and Maggie, forever in our hearts.
—Mike Swanson

For my wife, Elena, the kindest and sweetest woman I have ever known, and our children, Lorraine,
Kseniya, and Illia, and our grandchildren, Matthew, Branden, and Alexander.
—Leonard Territo

For my wonderful and beautiful wife, Mary, and our children, Matt, Scott, Laura, and Shawna,
and our grandchildren, Madison, Olivia, Brody, Auggie, Axel, Kylie, and the many more to come.
—Bob Taylor

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 brief contents
PART 1 Foundations 2
Chapter 1 The Evolution of Police Administration 3
Chapter 2 Policing Today 40
Chapter 3 Intelligence, Terrorism, and Homeland Security 74
Chapter 4 Politics and Police Administration 112

PART 2 The Organization and the Leader 142

Chapter 5 Organizational Theory 144
Chapter 6 Organizational Design 176
Chapter 7 Leadership 212
Chapter 8 Planning and Decision Making 256
Chapter 9 Human Resource Management 290

PART 3 The Management of Police Organizations 344

Chapter 10 Organizational and Interpersonal Communication 346
Chapter 11 Labor Relations 376
Chapter 12 Financial Management 402

PART 4 Organizational Issues 434

Chapter 13 Stress and Police Personnel 436
Chapter 14 Legal Aspects of Police Administration 468
Chapter 15 Organizational Change 512

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 Contents
Preface xxiii
Acknowledgments xxix
About the Authors xxxi

PART 1 Foundations 2
Chapter 1 The Evolution of Police Administration 3
Introduction 4
The Urbanization of American Policing 4
Politics and Administration in the 19th Century: ILLs of the
Patronage System/Spoils System 8
The Reformation Period 10
Arousing the Public from Its Apathy: The Muckrakers 10
The Conceptual Cornerstone 11
Police Professionalization 12
Profession and Professional 12
The Pendleton Act of 1883 to the Military Model 14
Prohibition to the 1930s 14
The Roaring ’20s and Prohibition 14
The Lawless Years: Late 1920s to 1930s 16
The Ku Klux Klan: Formation to the 1930s 18
The 1940s and 1950s: War, Fear of Communism, and the Professional
Model Reasserted 19
The 1940s: World War II and Some Progress for Women in Policing 20
The 1950s: The Korean War, Fear of Communism, and the Professional
Model Reasserted 20
The Turbulent 1960s: Riots, Political Protests, Assassinations,
and the Isolation of the Rank and File 23
The 1970s: Research, Experimentation, and Rising Terrorism 25
1980s to The 9/11 Attacks: The Community-Oriented Policing Era 27
The New Operating Environment: Post-9/11 to 2016 27
Chapter Summary 32  Chapter Review Questions 33  
Critical Thinking Exercises 34  Key Terms 34  Endnotes 34

vii

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 viii Conte n t s

Chapter 2 Policing Today 40

Introduction 41
Community Policing 41
Evaluation Research on Community Policing 42
Community Policing and Compstat 43
Community Policing Models 46
Newport News, Virginia 46
Chicago, Illinois 47
Minneapolis, Minnesota 50
Policing Strategies Today 51
Evidence-Based Policing 51
Hot-Spots Policing 54
Directed and Saturation Patrols 55
Intelligence-Led Policing 55
Predictive Policing 56
Information Technologies in Policing 56
Crime Analysis 56
Geographic Information Systems (GIS) 58
The Internet 58
Social Media and Policing 59
The Impact of Information Technologies 61
A Changing Paradigm: from Warrior to Guardian 61
The Historical Drift Toward Militarization 62
Current Unrest with the Police 63
Improving Police-Community Relations 64
Chapter Summary 66  Chapter Review Questions 68  
Critical Thinking Exercises 68  Key Terms 69  Endnotes 69

Chapter 3 Intelligence, Terrorism, and Homeland

Security 74
Introduction 75
Intelligence and Terrorism 76
The Intelligence Process and Cycle 76
Fusion Centers 76
The National Fusion Center Association (NFCA) and the National
Counterterrorism Center (NCTC) 81
Policing Terrorism 81
Criticisms Aimed at Fusion Centers and Other Law Enforcement
Responses to Terrorism 82
Homeland Security 84

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 Cont ent s ix

Homeland Security and President Barack Obama 85

Political Violence and Terrorism 85
Defining Terrorism 85
Radical Islamic Terrorism 88
al-Qaeda (AQ) 88
The Islamic State (ISIS) 89
“Homegrown” Islamic Terrorists 91
Crude Devices and Non-Sophisticated Weapons aimed at Mass Casualty 96
Other International Threats 96
Boko Haram 97
The Mexican Cartels 97
Outlaw Motorcycle Gangs (OMGs) 98
Right-Wing Extremism 100
Hate Crimes 101
Digital Hate 102
Ecoterrorists and Animal Rights Groups 103
Chapter Summary 104  Chapter Review Questions 106  
Critical Thinking Exercises 106  Key Terms 107  Endnotes 108

Chapter 4 Politics and Police Administration 112

Introduction 113
Federal Influence in Law Enforcement 113
Supreme Court Decisions Affecting Law Enforcement: 1961 to 1966 113
The Roles of State and Local Governments in Law Enforcement 114
Local Political Forces 115
Strong Mayor 115
City Manager 116
City Councils 116
Politics and The Police Chief 118
Tenure and Contracts for Police Chiefs 118
Politics and The County Sheriff 119
Unique Legal Status of Sheriffs 119
State Prosecutor 121
The Judiciary 121
Citizen Oversight of The Police 122
Types of Citizen Oversight Systems 122
Advantages and Drawbacks of Citizen Oversight 122
Concerns Expressed by Law Enforcement and Unions 122
Public Interest Organizations 122
Chambers of Commerce and Service Clubs 124

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 x Conte n t s

Churches 124
News Media 124
Alleged Police Misconduct in Baltimore, Maryland and
the Political Fallout 125
Statement of the Charges 125
The Rioting Starts 126
The Decision to Prosecute 127
Charges Filed Against the Six Officers 127
The Political Divide 128
The Use of Police Body-Worn Cameras and Politics 128
The Catalyst for Accelerated Change 128
Body-Worn Cameras (BWCs) and Privacy Issues 129
Redaction Capabilities 129
Storage of Recordings 129
Costs 130
Racial and Ethnic Profiling 130
Media Accounts of Profiling on Local and National Politics 130
Other Recent Significant Deadly Encounters between the Police
and African-American Males 133
The Police Operational Backlash 135
Illegal Immigration: The Police and Local Politics 135
Chapter Summary 136  Chapter Review Questions 137  
Critical Thinking Exercises 138 Key Terms 138  Endnotes 138

PART 2 The Organization and the Leader 142

Chapter 5 Organizational Theory 144
Introduction 145
Formal Organizations 145
Traditional Organizational Theory 146
Taylor: Scientific Management 146
Weber: The Bureaucratic Model 149
The Reformatted Bureaucracy 150
The Police as Street-Level Bureaucrats 154
Administrative Theory 154
Critique of Traditional Theory 155
Human Relations School 156
Critique of the Human Relations School 157
Organizational Humanism 158
Maslow: The Needs Hierarchy 158
Argyris: Immaturity-Maturity Theory 159

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 Cont ent s xi

McGregor: Theory X–Theory Y 159

Herzberg: Motivation-Hygiene Theory 159
Critique of Organizational Humanism 161
Behavioral Systems Theory 161
Critique of Behavioral Systems Theory 162
Organizations as Open Systems 162
Critique of Open Systems Theory 164
Other Paradigms of Administration 165
Environmental Theories 165
Networked and Virtual Organizations 165
Sense Making 166
Chaos Theory 167
Critique of Other Paradigms of Administration 167
Chapter Summary 168  Chapter Review Questions 171  
Critical Thinking Exercises 171  Key Terms 171  Endnotes 171

Chapter 6 Organizational Design 176

Introduction 177
Organizing: An Overview 177
Specialization in Police Agencies 177
The Principle of Hierarchy 179
Span of Control vs. Span of Management 179
Organizational Structure and Design 180
Top-Down vs. Bottom-Up Approaches 183
Basic Types of Police Organizational Design 186
Line Structure 186
Line and Staff Structure 186
Functional Structure 188
Matrix Structure 190
Organizational Structure Today 191
Traditional Design vs. Structural Change 192
Intelligence-Led Policing (ILP) and Organizational Structure 194
Organizational Design and the Investigative Function 194
Crime Factors Impacting Investigation 197
Some Unique Organizational Features of
Sheriff’s Offices 199
Line and Staff Relationships in Police Agencies 200
The Line Point of View 201
The Staff Point of View 202
Solutions 202

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 xii Cont e n ts

The Informal Organization 204

Chapter Summary 205  Chapter Review Questions 208  
Critical Thinking Exercises 209  Key Terms 209  Endnotes 209

Chapter 7 Leadership 212

Introduction 213
Police Leadership 213
Leader and Manager 213
The Fall of Police Leaders 217
Leadership, Authority, and Power 220
The Power Motivation of Police Leaders 221
The Leadership Skill Mix 222
Human Relations Skills 222
Conceptual Skills 223
Technical Skills 223
Theories of Leadership 223
Traditional Leadership Theory 223
Behavior and Leadership Style Theories 227
Contingency and Situational Leadership Theories 230
Transactional and Transformational Leaders 239
Comparison of Charismatic and Transformational Leadership 242
The “New Leadership” Theories: Servant, Spiritual, Authentic, and Ethical 243
Conclusion 247
Chapter Summary 247  Chapter Review Questions 250  
Critical Thinking Exercises 250  Key Terms 250  Endnotes 250

Chapter 8 Planning and Decision Making 256

Introduction 257
Planning 257
Planning as a Process 258
The SITAR Approaches to Planning 258
Planning and Time Orientations 259
Synoptic Planning 259
Steps in Synoptic Planning 259
Implement Decision, Monitor, and Adjust the Plan as Needed 262
Other Categories of Plans 263
Administrative or Management Plans 263
Procedural Plans 263
Operational Plans 263
Tactical Plans 263
Strategic Plans 266

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 Cont ent s xiii

Blending Five Types of Plans 266

Decision Making 269
Rational Comprehensive and Sequencing Models 269
Simon: Bounded Rationality 270
Lindblom: Muddling Through/Disjointed Incrementalism 270
Allison: Political and Organizational Models 271
Gore: The Gut Level Approach 271
Recognition-Primed Decision Making (RPD) 272
Thin-Slicing Theory 272
The Use of Computers in the Decision Making Process 272
The Use of a Decision Tree 273
Alternative Decision-Making Models 274
Decision Making During Crisis Events 275
The Branch Davidians, Waco, Texas (1993) 275
The Weaver Family, Ruby Ridge, Idaho (1992) 276
Analysis of Decisions Made During Protracted Crisis Events 276
Handling Crisis Events in the Future 277
Group Decision Making 278
Group Assets in Decision Making 278
Group Liabilities in Decision Making 279
Factors That Can Serve as Assets or Liabilities in Group Decision Making 280
Ethics and Decision Making 281
Common Errors in Decision Making 282
Cognitive Nearsightedness 282
Assumption That the Future Will Repeat Itself 282
Oversimplification 282
Overreliance on One’s Own Experience 282
Preconceived Notions/Confirmation Bias 282
Unwillingness to Experiment 282
Reluctance to Decide/Procrastination 283
Improving Decision Making 283
Chapter Summary 283  Chapter Review Questions 284  
Critical Thinking Exercises 285  Key Terms 285  Endnotes 286

Chapter 9 Human Resource Management  290

Introduction 291
Functions of a Police Human Resources Unit 291
Key Federal Laws Prohibiting Job Discrimination 292
Job Discrimination Laws Administered by the Equal Employment Opportunity
Commission 292
Job Discrimination Laws Administered by the Department of Labor 301

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 xiv Conte n t s

The Police Personnel Selection Process 305

Applicants and Recruiting 305
The Entrance Examination 308
The Physical Assessment Test 309
The Lie Detection/Truth Verification Examination and Background/Character
­Investigation 311
The Oral Board 312
Conditional Job Offer 313
The Medical Examination, Drug Test, and Psychological Screening 313
The Formal Offer of Employment 314
The Recruit Academy 314
Probationary to Career Status 315
Work Generations and the New Recruiting 316
The Silent Generation 316
The Baby Boomers 316
Generation X 316
Generation Y: The Millenniums 317
Generations Z and Alpha 318
The New Recruiting 318
Military Call-Ups and Reinstatement 318
Early Intervention Systems 320
Discipline 321
Standards of Conduct and Progressive Discipline 321
Administration of Discipline 322
The Discipline Matrix 323
Legal Aspects of Discipline 324
Performance Appraisal 324
Promotions 326
Written Promotional Tests 327
Oral Boards and Assessment Centers 328
Selection from the Promotional Roster 332
Retirement Counseling 333
Chapter Summary 334  Chapter Review Questions 337  
Critical Thinking Exercises 337  Key Terms 337  Endnotes 338

PART 3 The Management of Police Organizations 344

Chapter 10 Organizational and Interpersonal
Communication 346
Introduction 346
The Communication Process 347
Steps in the Communication Process 347

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 C ont ent s xv

Communication Barriers 348

Organizational Systems of Communication 348
Multi-Level and Multi-Agency Communication 349
Downward Communication 349
Most Effective to Least Effective Downward Communication 350
Upward Communication 350
Barriers Involving Police Organizations 350
Barriers Involving Superiors 350
Barriers Involving Subordinates 350
Horizontal Communication 351
The Grapevine 351
Organizational Electronic Communication 352
Tips for Successful E-Mail Use 352
The Use of Technology in Police Administration 353
The Use of Teleconferencing and Cell Phones 353
Social Media and Law Enforcement Communication 353
Social Media Management 353
Selecting the Right Personnel 353
The Importance of Voice and Tone 354
The Use of Social Media with the Public 354
Sacramento, California Police Department (SPD) 354
Los Angeles County, California Sheriff’s Department (LASD) 354
Boston, Massachusetts Police Department (BPD) 356
Issues Regarding Officers’ Personal Postings on Social Media Sites 356
Albuquerque, New Mexico Police Department (APD) 356
Arlington, Texas Police Department (APD) 356
Specific Elements of Internet Sites/Web Page/Social Network Police Policy 356
The Evolution of Police–Media Communication in the Digital Age 357
Today’s Media Technology and the Public Information Officer 357
Interpersonal Communication 359
Speaking and Writing 359
Be Credible 359
Gear the Message to the Listener 359
Persuade Group Members on the Benefits of Change 359
Use Heavy-Impact and Emotion-Provoking Words 360
Back Up Conclusions with Data 360
Minimize Vocalized Pauses and Parasitic Words/Junk Words 360
Write Crisp, Clear Memos and Reports, Including a Front-Loaded Message 360
Use a Power-Oriented Linguistic Style 360
Nonverbal Communication 361
Group vs. Interpersonal Communication 362
Size of the Group 362

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 xvi Conte n t s

Group Interaction 362

Cross-Gender Communication 362
Communication With Other Cultures 363
Other Multicultural Issues 364
Developing a Culturally Aware Workforce 366
Communicating Across Generations 367
Some Generalizations 367
Generation X 367
Generation Y/Millennials 368
Generational Differences in Formal and Informal Styles of Communication 369
Communicating With People With Disabilities 370
Individuals Who Are Blind or Visually Impaired 370
Individuals Who Are Deaf or Hard of Hearing 370
Individuals with Mobility Impairments 370
Individuals with Speech Impairments 371
Individuals with Cognitive Disabilities 371
Chapter Summary 371  Chapter Review Questions 372  
Critical Thinking Exercises 372  Key Terms 373  Endnotes 373

Chapter 11 LABOR RELATIONS  376

Introduction 377
Unionization of the Police: A Historical Perspective 377
The Needs of Labor Organizations to Expand Their Membership 377
The Reduction of Legal Barriers 377
Police Frustration with the Perceived Lack of Support for Their War on Crime 378
Perceived Public Hostility 378
The Impact of the Due Process Revolution 378
Personnel Practices in Police Agencies 378
Salaries and Benefits 379
Violence Directed at the Police 379
The Success of Other Groups 379
The Impact of Police Unions on the Community 379
Impact on Discipline and Accountability 380
Impact on the Police Subculture 380
The Relationship Between Police Unions and the Police Subculture 380
Impact on City or County Finances 381
Impact on Local Politics 381
The General Structure of Laws Governing Collective Bargaining for Law
­Enforcement Officers 381
Binding Arbitration Model 381
Meet and Confer Model 382

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 Cont ent s xvii

Bargaining Not Required Model 382

Unfair Labor Practices 382
Categories of Collective Bargaining Topics 382
Establishing the Bargaining Relationship 383
The Process 383
The Opportunity for Conflict 384
Negotiations 385
Selection of the Management and Union Teams 385
Personality Types to Be Avoided 385
Preparing for Negotiations 386
The Negotiating Sessions 386
Grievances 387
Why Grievances Are Inevitable 387
The Definition of a Grievance 388
The Grievance Procedure 388
Arbitration Issues and Decision Making 388
Job Actions 389
The Vote of Confidence 389
Work Slowdowns 389
Work Speedups 389
Work Stoppages 390
Police Unions: The Political Context 390
Administrative Reaction to Job Actions 391
During the Job Action 391
Labor-Management Relations in the Face of Funding Cutbacks 392
Setting New Priorities 393
A New Reality Regarding Budgets 393
Specific Recommendations on How Best to Deal With
Budget Reductions 393
Los Angeles, CA Assistant Chief Michel Moore: 394
Columbus, OH Deputy Chief Tim Becker: 394
Philadelphia, PA Commissioner Chuck Ramsey: 395
Camden, NJ Deputy Chief Mike Lynch: 395
Darryl Clodt, Sergeant at Arms, Las Vegas, NV Police
Protective Association: 395
Chapter Summary 395  Chapter Review Questions 397  
Critical Thinking Exercises 397  Key Terms 397  Endnotes 398

Chapter 12 Financial Management  402

Introduction 403
The Economy and Police Budgets 403

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 xviii Conte n t s

Stockton: Bankrupt and Only Responding to Crimes in Progress

Many Hours of the Day 403
Law Enforcement Agencies and Fiscal Stress 406
Politics and Financial Management 407
State and Local Influences on Financial Management 408
Key Budget Terms 408
The Budget Cycle 409
Step One: Budget Preparation in the Police Department 410
Step Two: Budget Review and Approval 412
Step Three: Budget Execution 415
Budget Adjustments 415
Step Four: The Audit and Evaluation 418
Budget Formats 419
The Line Item Budget 419
The Program Budget 420
The Performance Budget/Performance Based Budget (PB/PBB) 421
The Planning, Programming Budgeting System (PPBS),
and Zero-Based Budgeting (ZBB) 423
The Hybrid Budget 424
Asset Forfeiture, Grants, Police Foundations and Donation Programs,
and the Wide Use of Volunteers 424
Asset Forfeiture 424
Grants 425
Police Foundations and Donations 426
Wide Use of Volunteers 426
Chapter Summary 427  Chapter Review Questions 429  
Critical Thinking Exercises 429  Key Terms 429  Endnotes 430

Part 4 Organizational Issues 434

Chapter 13 Stress and Police Personnel 436
Introduction 437
What is Stress? 437
Biological Stress and the General Adaptation Syndrome 438
Diseases of Adaptation and Recent Medical Findings 438
The Role of Stress in Heart Disease 439
Major Stressful Life Events 439
Stress and Personality Type 439
Type A Personality 439
Type B Personality 440
Type C Personality 440
Type D Personality 440

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 Cont ent s xix

Workaholic Personality 440

The Pitfalls of Being a Workaholic—Police Work Addiction 440
Stress in Law Enforcement 441
The Highest Police Stressors 441
Perceptual, Cognitive, and Behavioral Disturbances Resulting
from the Use of Deadly Force 442
Five Basic Phases of the Post-Shooting Reaction 443
Post-shooting Interview 444
Posttraumatic Stress Disorder (PTSD) 444
The Clinical Classification 444
Symptoms of Posttraumatic Stress Disorder 444
Cumulative Career Traumatic Stress (CCTS) 445
Alcohol, Drugs, and Steroid Use by Police Officers 446
Alcoholism and Police Officers 446
The Impact of the Police Culture and Character Traits
on the Development of Alcoholism 446
Drug Use by Police Officers 446
Anabolic Steroids 447
Controlled Substances 447
Illicit “Benefits” of AASs 447
Adverse Physical Effects of AAS 447
Adverse Psychological Effects of AAS 448
Symptoms Associated with Withdrawal of AAS: 448
Typical Issues Addressed in Police Steroid Testing Policies 448
Police Suicide 449
Need for a Cultural Change in Law Enforcement 449
Stressors That May Contribute to Suicide or Mental Illness 450
Indicators of Police Officers Who May be Contemplating Suicide 451
Intervention Protocols 451
Police Domestic Violence 451
Early Warning and Intervention 452
Pre-Employment Screening and Investigation 452
Post-Conditional Offer of Employment 452
Zero Tolerance Policy 452
Department Responsibilities 452
Supervisory Responsibilities 452
Police Officer Responsibilities 453
Incident Response Protocols 453
Domestic Violence Lethality Assessment for first Responders 454
Police Officer Homicides and Suicides 456
Case 1 456
Case 2 456

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 xx Conte n t s

Case 3 456
The Stress of Small Town Policing 456
The Impact of Shift Length on Performance, Health, Quality of Life, Sleep,
Fatigue, and Extra-Duty Employment 457
Sleep Deprivation as a Stress Inducer 457
Sleep Deprivation Is Comparable to Excessive Drinking 458
Sleep Deprivation Can Cause Work-Related Accidents 458
Stress Reduction Management Techniques 458
The Police Psychologist’s Role in a Psychological Health
Wellness Initiative 458
Employee Assistance Programs 459
Chapter Summary 462  Chapter Review Questions 463  Critical Thinking
Exercises 463  Key Terms 464  Endnotes 464

Chapter 14 Legal Aspects of Police Administration 468

Introduction 469
Liability for Police Conduct 469
Basic Types of Police Tort Actions 469
Title 42, U.S. Code, Section 1983 470
Bivens Action 471
Who Can Be Sued? 471
Negligent Hiring 471
Negligent Assignment, Retention, and Entrustment 471
Negligent Direction and Supervision 471
Negligent Training 472
Scope of Liability 474
Trends in Tort Liability for Police Supervisors and Administrators 475
Misuse of Firearms and Deadly Force 476
Tennessee v. Garner (1985) 476
Graham v. Connor (1989) 477
Evaluation of Written Directives 478
Familiarization with the Department’s Policy 479
Police Use of Force and Less-Lethal Weapons 480
®
Tasers 480
Liability and Less-Lethal Weapons 481
Police Liability and High-Speed Pursuit 482
Duty Owed 482
Proximate Cause 483
Federal Civil Rights Act 483
Factors Determining Liability 484
Departmental Responsibility for Liability Reduction 485

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 Cont ent s xxi

Liability and Emotionally Disturbed Persons 487

Federal Consent Decrees 489
Administrative Discipline: Due Process for Police Officers 491
Liberty and Property Rights of Police Officers 491
Procedural Due Process 492
Substantive Due Process 493
Damages and Remedies 493
Constitutional Rights of Police Officers 493
Free Speech 494
Other First Amendment Rights 494
Searches and Seizures and the Right to Privacy 495
Right Against Self-Incrimination 496
Other Grounds for Disciplinary Action 497
Conduct Unbecoming an Officer 497
Brady Violations 498
Social Network Sites 499
Sexual Conduct and Sexual Orientation 499
Residency Requirements 500
Moonlighting 500
Alcohol and Drug Testing 500
Chapter Summary 502  Chapter Review Questions 503  Critical Thinking
Exercises 503  Key Terms 503  Endnotes 504

Chapter 15 Organizational Change 512

Introduction 513
Why Change Occurs 513
Reaction to Crisis 513
Fluctuating Crime Rates 515
Technological Advances 515
Funding and Economic Decline 515
Politics 516
A Changing Workforce 517
A New Paradigm Shift 518
When Change Should Not Be Made 519
Organizational Change Models 519
Kurt Lewin’s Three-Step Model on Organizational Change 519
Traditional Action Research Model 520
The Burke-Litwin Model 522
Various Levels of Change 523
The Role of the Police Culture in Organizational Change 524
Why Organizational Change Efforts Sometimes Fail 524

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 xxii Con te n t s

Models Regarding Change 525

Ways To Make Organizational Change Successful 525
Use Coaching as a Tool to Facilitate Organizational Change 525
Set Flexible Priorities 526
Assemble Resources 526
Seize Opportunities 526
Create Opportunities 526
Follow Through 527
Information Technology and Change 527
Policing in the Future: Everything Changes 529
Chapter Summary 531  Chapter Review Questions 532  Critical Thinking
Exercises 532  Key Terms 532  Endnotes 533
Glossary 535
Index 547

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 Preface
The field of police administration is dynamic and ever Edwards Walker is the only woman to receive the
changing. Laws are modified, new problems occur, and Congressional Medal of Honor. She subsequently
administrative practices that were once accepted as gos- had it stripped from her, although it was restored
pel are challenged, modified, and, in some cases, dis- decades after her death. What explains these con-
carded. Beginning in the turbulent 1960s with the due tradictory actions?
process revolution, followed by the civil rights move-
Users of the book will find much that is familiar to
ment, the Vietnam War demonstrations, widespread riots
them and carefully planned additions to continue moving
in our largest cities, the President’s Commission on Law
it forward. The thumbnail sketches of chapters in the fol-
Enforcement and the Administration of Justice, and large-
lowing section illustrates, without being exhaustive, what
scale research on policing, the somewhat static precepts
we have done with this revision. In forging this edition,
of policing came under increased scrutiny. Like a ball
we kept the reader, the user, the profession central at the
gaining speed as it rolls down a steep hill, change has
to our efforts, and the impact of the larger society care-
become more fast paced, urgent, and pervasive.
fully in our minds.
Even while revising this book, we returned occasion-
ally to already “finished” chapters to include significant
developments. When unarmed Michael Brown was shot Chapter 1: The Evolution
to death by a Ferguson, Missouri, Police Officer, civil pro-
tests and some rioting ensued. The incident produced a of Police Administration
call for a federal civil rights investigation, better training
for the police, body cameras, and an indictment for mur- • Added major section, “The New Operating
der. Other cities soon had their own police use of force Environment”
issues, such as the death in police custody of Freddie Gay • Fresh and revised content in many sections
in Baltimore in 2015. How these and other events have • More Box Items, Quick Facts, and photographs
played out they represent our effort to keep the book
strong and balanced between theory and the “the real
world.” Chapter 2: Policing Today
Collectively, the three authors of this text have been
police officers, detectives, administrators, and educa- • New and revised material on the impact of the
tors for over 100 years. We have studied, practiced, decline in crime over the past decade on police
researched, taught, and consulted on police administra- departments nationally with a special focus on new,
tion, and an inevitable by-product of these experiences rising violent crime rates in large cities
is the development of certain perspectives. In addition to • Revised material on the primary elements of com-
meticulous research and recent events, our own insights munity policing with a focus on organizational
also undergird this book. structure
• New and updated material on evaluation research
and community policing, evidence-based policing,
New to This Edition hot-spots policing, intelligence-led policing, and
predictive policing.
This revision of Police Administration includes: • New material on the “Triple-T Strategy: Targeting,
• Many new, revised, and updated sections, e.g., Testing and Tracking” proposed recently by Larry
failed police leadership, supplemental budgets, and Sherman.
new information on the smart policing initiative; • A new box item on “Harm-Focused Policing”
• Coverage of timely topics, such as the guardian and • Updated material on community policing models in
harm-focused models of policing, and the Triple T Newport News, Virginia; Chicago, Illinois; and Min-
Strategy; neapolis, Minnesota
• Important developments, such as the closer scrutiny • New material on the use of social media and policing
of police officers use of deadly force; • New material on the changing paradigm in polic-
• New photographs, figures, tables, and box items ing, from the warrior to guardian philosophy.
on current topics and quick fact boxes that further • New and in-depth discussion on the militarization
illuminate chapter narratives. To illustrate, Mary of the police

xxiii

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 xxiv Pre fa ce

• New material on improving police-community • Investigation of the police rank and file backlash
relations in light of President Barak Obama’s Crime from the firing, indicting, and arresting of police
Reduction and Prevention Initiative in 2014. officers on criminal charges.
• New box item on “Youth Outreach Programs”

Chapter 5:
Chapter 3: Intelligence, Organizational Theory
Terrorism, and • New Sections on mechanistic and organic
Homeland Security organizations and the Reformatted Bureaucracy
• Significant discussion of sanctuary cities
• New box item on “Ten Simple Steps that Assist Indi- • Additional Box Items, Quick Facts, and
vidual Police Agencies Become Part of the National photographs
Criminal Intelligence Sharing Plan
• New material highlighting the Nation Fusion Center
Association (NFCA) and the National Counterterror- Chapter 6:
ism Center (NCTC)
• New box item on the USA Freedom Act Organizational Design
• Updated material on the U.S. Department of Home- • New box items on how organizational structure
land Security impact police misconduct and how bottom-up
• Revised and updated material on Radical Islamic approaches improves officer performance and moral
Terrorism, with a special focus on Al-Qaeda and • Updated material on the factors that influence orga-
the Islamic State, including an analysis of the Char- nizational design
lie Hebdo attack in Paris, France in 2015 • New material on organizational design and the
• Updated information relating to radical Islamic investigative function with pointed discussion on
groups operating throughout the world crime and police factors that impact investigation
• Revised information on ‘homegrown’ Islamic terror- • New focused discussion on investigative styles
ists, including an analysis of the Boston Marathon commonly observed within police organizations
bombing in 2013
• Revised material on the unique structure of sheriffs’
• New material on terrorist groups and the use of the offices in the United States
“deep web” for recruiting, propaganda and opera-
tional planning
• New section devoted to the analysis of recent Chapter 7: Leadership
terrorist attacks: “Crude Devises and Non-Sophisti-
cated Weapons aimed at Mass Casualty” • New section on effective senior police leadership
• New and updated research on other international • Rewritten section on managers and leaders
threats posed by terrorists, including discussion on • New section “The Fall of Police Leaders,” an exami-
Boko Harem, “El Chapo” Guzman and the ­Mexican nation of failed police leaders
Cartels, and an extensive addition on Outlaw • New content on sense making and other work skills
Motorcycle Gangs • New content on the Warrior Servant Leader
• Updated and revised material on right-wing terror- • New Box Items, Quick Facts, and photographs
ism, with a focused box item on the Charleston,
South Carolina Church Massacre in 2015
Chapter 8: Planning and
Chapter 4: Politics and Police Decision Making
Administration • Synoptic, Incremental, Transactive, Advocacy, and
Radical (SITAR) Approaches to Planning
• New discussion of the call for and use of police
• Planning and Time Orientations
body-worn cameras
• Strengths, Weaknesses, Opportunities, and Threats
• Examination of some highly controversial shootings
(SWOT) Analysis
of African-American males by police officers and
the political and institutional response in investigat- • The Pugh Decision Making Matrix
ing allegations of police profiling. • Paired Comparisons of Planning Alternatives

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 P re fac e xxv

• Case Study 1: The After Action Report, Navy Ship • Additional information on Citizen Centric Reports
Yard, Washington D.C. Navy in 2014 (Including Les- • New content: Five Budget Tips
sons Learned in Active Shooter Situation) • Major New Section on Budget Adjustments
• Case Study 2: Tampa Quick Look Analysis of Host- • New information on Program Budgets
ing the 2012 National Republication Convention
• Major rewrite of Asset Forfeiture section
• New Box Items, Quick Facts, and photographs
• New information on Performance Budgets
• New content on Black Asphalt
Chapter 9: Human Resource • Major new section on the use of volunteers
• New Box Items, Quick Facts, and photographs
Management
• Updated all major federal laws pertaining to Human
Resource Management Chapter 13: Stress
• New summaries of key federal court decisions
on/;p= Human Resource Management, and Police Personnel
• New content on legal aspects of police officer preg-
• Police officers homicide and suicide.
nancies
• The stress of small-town policing.
• Additional information on the use of lie detectors in
police applicant screening • The impact of shift length on performance, health,
quality of life, fatigue and extra-duty employment.
• New content on internal affairs investigations
• The police psychologist’s role in a psychological
• New content on police use of force
health/wellness initiative.
• New Box Items, Quick Facts, and photographs
• New Box Items, Quick Facts, and photographs

Chapter 10: Organizational

and Interpersonal Chapter 14: Legal Aspects
Communication of Police Administration
• Social media and law enforcement communications. • Expansive new box item on police training and
liability from an officer’s perspective
• Issues regarding police officers personal postings
on social media sites. • Revised and updated material on the misuse of
firearms and deadly force with a special focus on
• The evolution of police – media communications in
the impact of the 2014-15 shooting incidents in
the digital age.
Ferguson, MO; Charleston, SC; Cincinnati, OH; and
• Communicating with people with disabilities. Baltimore, MD
• More Box Items, Quick Facts, and photographs • Revised and updated material on Graham v.
­Connor (1989) and the impact of this landmark
case on police liability
Chapter 11: Labor Relations
• New box items on 1) the impact of police body
• Labor – management relations in the face of fund- cameras on police liability; 2) the deadly statis-
ing cutbacks. These include setting new priorities tics associated with police pursuits and chases; 3)
and making specific recommendations on how best police sexual violence as an emerging law enforce-
to deal with budget reductions. ment issue; and 4) police membership in hate
• New Box Items, Quick Facts, and photographs groups
• New material on vehicle pursuits and the use of
deadly force
Chapter 12: Financial • Updated material relating to case law and use of
Management force by the police
• New and expansive material on Federal Consent
• Major rewrite of “The Economy and Police Budgets” Decrees
section • Updated material on police officers’ rights, particu-
• Major new section on the impact of the Stockton larly those focusing on officers who are minority,
(CA) bankruptcy women and/or gay

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 xxvi Prefa ce

Chapter 15: as providing a “base layer” of information about the field

of police administration so the subject specific chapters
Organizational Change that follow have a context in which to occur
Chapter 1, “The Evolution of Police Administration,” is
• New introductory material on organizational change a historical overview of how that field developed in the
and the factors that impact successful change in United States, along with general description of where it
policing is now. This description serves to prepare the reader for
• New and updated material on why change occurs as some of the important topics to be covered in more detail
a reaction to crisis, fluctuating crime rates, technologi- in the chapters that follow. Chapter 2, “Policing Today,”
cal advances, funding and economic decline, politics, covers current policing philosophies, their characteris-
a changing workforce, and a changing and new tics, and impact. Chapter 3, “Intelligence, Terrorism, and
paradigm shift in policing focusing on new strategies Homeland Security,” addresses the terrorism threat and its
to cope with rising crime rates with less resources impact on national laws and policy, as well as its effect
• New box items that focus on: 1) organizational change on the role of state and local law enforcement agencies.
in policing in wake of police-community unrest; 2) the Chapter 4, “Politics and Police Administration,” Exam-
effect of economic downturn on police agencies; ines the political effect of various institutions, officials,
3) the race gap in America’s police departments; and and the public on law enforcement agencies, as well as
4) confronting the real problem in America’s inner cities some major forces impacting on law enforcement agen-
• New material on the impact of the 2015 Supreme cies, such as the increased scrutiny of police use of force
Court landmark case, Obergefell v Hodges, legalizing cases that started with Ferguson, Missouri in 2014 and
and recognizing same-sex marriage on policing gained prominence with the series of deadly encoun-
ters between the police and unarmed African American
• New and revised material on organizational change
males that followed. The short-term result is an increase
models focusing on Kurt Lewin’s Three-Step Model,
in criminal charges being placed against police officers
the Traditional Action Research Model in Organiza-
in these encounters and which seemingly is having some
tional Development, and the Burke-Litwin Model of
operational consequences.
organization transformation
• Revise material on the role of the police culture in
organizational change Part Two: The Organization
and the Leader
• New material on John Kotter’s 8-step model for suc-
cessful organizational change Organizations exists to do the things people can’t do for
• New and expansive material on information tech- themselves in modern society. They must be thoughtfully
nology and change designed to achieve the purposes for which they are cre-
ated. Leaders are responsible for ensuring organizational
• New and expansive material on policing in the
performance. To do so, they must plan, envision the
future . . . everything changes . . . with special
organization’s future, make decisions, select a course of
focus on the impact of predictive policing, changes
action from alternatives, and direct the human resources
in traditional police responses, next generation 9-11
(HR) program. HR is of substantial importance to police
and body-worn cameras on future police agencies
administration because it is the largest single class of
expenditures for police services: at least 80 percent of the
Organization police operational budget is encumbered by costs for it.
The overall flow of the book starts with Chapter 1 (The These connections constitute the basis for grouping five
Evolution of Police Administration), which explains how chapters together in Part Two.
the field of police administration developed and is con- Chapter Five, “Organizational Theory,” traces the differ-
tinuing to develop and ends with Chapter 15 (Organiza- ent ways organizations can be structured and the assump-
tional Change), which describes important strategies for tions that different approaches make about people. To
going forward. Essentially, these two “bookend” chap- illustrate, the classical bureaucratic approach holds that
ters chronicle how we got here and the means to move subordinates must be closely watched, resulting in such
beyond the here and now. effects as narrow spans of control, which in term, con-
The chapters in this book are grouped into four parts tribute to “tall” organizational structures that often have
or sections, generally moving from broader topics to seven, eight, or even more horizontal layers. Chapter Six,
more specific ones: “Organizational Design,” introduces concepts and the
decisions that affect how organizations are designed and
Part One: Foundations structured. Chapter 7, “Leadership,” is a comprehensive
The four chapters in Part One are grouped together treatment of the subject, including definitions and theo-
because they provide a “wide lens” view of the field of ries about it, and the difference between authority and
police administration. Part One is usefully characterized power. A major section illustrates why police leaders fail

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 P re fac e xxvii

because those lessons are often more illuminating than traditional and resist change has been dismissed by a
content about what leaders “should” do. Remember the newer reality: The pace of change in law enforcement
failed leadership section as “Thou shalt nots” to be rigor- is brisk, if not bordering on continuous. Candidates for
ously avoided. Chapter 8, “Planning and Decision Mak- police chief positions in departments of roughly 30 or
ing,” covers two related skills law enforcement leaders more are frequently specifically probed about how they
use to help create and sustain improvements. Chapter 9, would go about changing a police agency, the subject of
Human Resource Management, provides the knowledge ­Chapter 15, “Organizational Change.”
necessary to direct the HR program, including the maze
of federal laws regulating it, as well as the numerous
moving parts HR has including recruitment, testing, selec-
Pedagogical Features
tion, training, and promotional testing. Law enforcement This book is rich with pedagogical or teaching tools
leaders need to be well versed in HR because so much is which were selected based on research on what tools
spent on it and so many things can go wrong and create were helpful. The teaching tools included in this book
liabilities. are as follows:
• Learning Objectives
Part Three: The Management At the beginning of each chapter there are behav-
of Police Organizations iorally stated learning objectives which can be used
Part Three focuses on a trio of key, organization-wide to focus students on what they should learn in the
management processes. Chapter 10, “Organizational chapter. In this regard learning objectives provide
and Interpersonal Communication,” is included because an important study guide. The objectives are stated
nothing can be started, guided, receive ­corrective action, in specific terms so that the learning outcome is
or be terminated without communication. ­Chapter 11, clearly understood and students will know what
“Labor Relations,” provides information regarding labor they should be able to do when finished with the
relations, including establishing the collective bargain- chapter. The learning objectives also serve as the
ing relationship, bargaining, and contract administra- basis for the chapter summary.
tion. While some law enforcement executives chafe at • Key Terms and Definitions
the existence of a union in their agency as a restriction The key terms in each chapter are in bold and at
on executive actions, others hold that a carefully nego- the end of each chapter there is an alphabetized
tiated contract make administration easier because so list of key terms. At the end of the book there is
many aspects of the management-union membership an alphabetized glossary of all key terms and their
relationship is regulated in clear terms. Police Chiefs definitions. This feature eliminates the need to
and Sheriffs know that their agencies run on three search several previous chapters looking for the
things: staff, information, and money. When b ­ udgets definition of a term
are slashed, the result is fewer officers and deputies • Photographs, Tables, and Figures
to protect the same area and fewer dollars to ana-
The book is replete with these three types of
lyze information. While volunteers can be trained to
items learning tools. Many of the photographs
perform some tasks, severe budget cuts translate into
have not appeared in other criminal justice books
reduced or entirely eliminated functions. In the last sev-
and some of the tables and figures were prepared
eral years, some police budgets were cut to the extent
by the authors and are unique to this work. The
the agencies couldn’t provide 24-hour police services.
­photographs, tables, and figures compliment the
Such things explain why knowledge about, and skill in
narrative content.
financial management is one of the premier attributes of
law enforcement leaders and why Chapter 12, Financial • Quick Fact Boxes
Management, is so important. These boxes are short, informative, and interest-
ing supplements to the content of a chapter, e.g. in
Part Four: Organizational Issues Chapter 1, “The Evolution of Police Administration,”
This concluding part contains three chapters that are there is a biographical sketch of August Vollmer. If
grouped together by being specific issues that touch the it appeared in the narrative, the flow of the chapter
entire law enforcement organization. Chapter 13, “Stress would be disrupted, but the information is illuminat-
and Police Personnel,” effects all sworn personnel and ing and therefore deserved a place in the chapter.
often civilian employees as well. Negative stress degrades Each chapter contains several Quick Facts Boxes.
individual and sometimes unit and agency functioning. • Box Items
Chapter 14, “Legal Aspects of Administration,” centers on These boxes contain more extended informative,
police civil liability, which often arises out of the ­misuse than quick fact boxes and provide relevant supple-
of force and high speed pursuits. In recent decades, mental information to the chapter. Each chapter has
the old refrain that law enforcement agencies are very multiple box items.

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 xxviii Pre fa ce

• Chapter Summary on paper, electronically, or online. It provides state-of-the-art

The chapter summary is based on the learning objec- features for viewing and editing test bank questions, drag-
tives and reinforces what the student has learned ging a selected question into a test you are creating, and
in completing the chapter. Each learning objective printing sleek, formatted tests in a variety of layouts. Select
is stated and then followed by a statement of what test items from test banks included with TestGen for quick
should have been learned by fulfilling that objective. test creation, or write your own questions from scratch.
• Chapter Review Questions TestGen’s random generator provides the option to display
different text or calculated number values each time ques-
The chapter review questions call attention to other
tions are used.
learning opportunities in the chapter that, arguably,
could have been included as learning objectives. PowerPoint Presentations. A PowerPoint lecture
These are important points of learning that will package is available for use in class.
facilitate additional student growth and can also be
To access supplementary materials online, instructors
the basis of classroom discussions and short essay
need to request an instructor access code. Go to www.
examination questions.
pearsonhighered.com/irc, where you can register for an
• Critical Thinking Exercises instructor access code. Within 48 hours after register-
Critical interest exercises promote student interest ing, you will receive a confirming email, including an
and participation. Each of the 15 chapters has two or instructor access code. Once you have received your
more critical thinking exercises that can be assigned code, go to the site and log on for full instructions on
to individual students or groups that report back on downloading the materials you wish to use.
their conclusions. This could be done in class or as
out-of-class experiences. They may also be used to
stimulate class discussions and involvement. Alternate Versions
eBooks. This text is also available in multiple eBook
Instructor Supplements formats. These are an exciting new choice for students
looking to save money. As an alternative to purchasing
Instructor’s Manual with Test Bank. Includes
the printed textbook, students can purchase an ­electronic
content outlines for classroom discussion, teaching sug-
version of the same content. With an eTextbook, ­students
gestions, and answers to selected end-of-chapter ques-
can search the text, make notes online, print out read-
tions from the text. This also contains a Word document
ing assignments that incorporate lecture notes, and
version of the test bank.
bookmark important passages for later review. For more
TestGen. This computerized test generation system gives information, visit your favorite online eBook reseller or
you maximum flexibility in creating and ­administering tests visit www.mypearsonstore.com.

A01_SWAN4056_09_SE_FM.indd 28 7/8/16 7:18 PM

 Acknowledgments
Although it is insufficient compensation for their gracious of Scott Wofford, Radio Shack, Fort Worth, Texas; Special
assistance, we wish to recognize here the individuals and Agent Jimmy Capra (retired) and the Drug Enforcement
organizations who helped to make this book a reality. Administration; our colleague of 20 years, Jim C ­ ampbell,
Unless asked to do otherwise, we have indicated their East Carolina University; Chief John Kerns, Sacramento,
organizational affiliation at the time they made their con- California, Police Department; U.S. Secret Service;
tribution. ­Bureau of Alcohol, Tobacco, Firearms, and Explosives;
We thank Will Aitchison for his extensive contributions Deputy Superintendent Jim Finley, Illinois State Police;
to Chapter 11, Labor Relations. He also allowed us to Drs. ­Walter Booth and Chris Hornickj, Multidimensional
draw from his previous works, and for this we are greatly Research Association, Aurora, Colorado; Lieutenant Rick
indebted. Frey, Broward County, Florida, Sheriff’s Office; Captain
We also wish to thank our long-time secretary, ­Sharon Lawrence Akley, St. Louis, Missouri, Metro Police Depart-
Ostermann, for typing considerable portions of the ment; the Maricopa, Arizona, Sheriff’s Office; Inspector
9th edition, as well as providing invaluable assistance in Vivian Edmond, Michelle Andonian, and Commander
conducting the necessary research to be certain this edi- Dorothy Knox, Detroit, Michigan, Police Department;
tion contained the most current and accurate information Major Herman Ingram, Baltimore, Maryland, Police Depart-
in policing today. Her pleasant attitude and considerable ment; Commissioner Morgan Elkins and Captain Dennis
intelligence made this revision a much easier task. Goss, Kentucky State Police; St. Paul, Minnesota, Police
We would like to thank the following reviewers for their Department; Thomas J. Deakin, John E. Ott, editor of the
comments and suggestions: Elizabeth Bondurant, Mercer FBI Law Enforcement Bulletin, all three with the Federal
County Community College; Frederick Crawford, Missouri Bureau of Investigation; our good friend, Bill Tafoya,
Baptist University; Jay Kramer, Central Georgia Technical the “father” of futuristics in policing; our lifelong friend,
College; Ted Purtle, Austin Community College; Michael Ron Lynch, University of North Carolina; the ­California
Raymond, New Hampshire Technical College-Concord’s Highway Patrol; Norma Kane, the Kansas City, Missouri,
Community College and John Reinholz, Bryant and S­ tratton Police Department; the San Diego, California, Police
College. Department; the Texas Department of Public Safety: the
A special thanks to these individuals: Sal Territo, Philadelphia Police Department; National Tactical Officers
­Maryellin Territo, Jeannie -Griffin, Linda Pittman, Dwayne Association; Lieutenant James B. Bolger, Michigan State
Shumate, and Donna McKnight, who provided typing Police; the Denver Police Department; Colonel Carroll D.
and -research assistance and made innumerable contri- Buracker and Scott Boatright, Fairfax County, Virginia,
butions, not only for this edition but for many previous Police Department; Major Dave Sturtz, Ohio State Patrol;
ones as well. the National Consortium for Justice Information and
For as long as this book has been in print our col- Statistics, Sacramento, California; Phoenix, Arizona, Police
league and long-time friend, Dr. Max Bromley, Associate and Fire Departments; Lieutenant Mark Stallo, Dallas,
Professor, Department of Criminology, University of South Texas Police Department; Don Fish, Florida Police Benev-
Florida has provided us with information about the most olent Association; Captain Keith Bushey, Los Angeles,
current research on many aspects of police administra- California, Police Department; Deputy Chief Kevin
­
tion. His generosity and friendship are much appreciated. Stoeher, Mt. Lebanon, Pennsylvania, Police Department;
We also wish to thank Major Lee Bercaw of the ­Tampa, Karen Anderson and Lisa Bird, LAN Publications Group;
Florida Police Department who provided us with his Lieutenant Rex Splitt, Craig, Colorado, Police Department;
agency’s comprehensive after-action report on how the Chief R. E. Hansen and Cynthia Shaw, Fayetteville, North
Tampa Police Department’s handling of the 2012 Republi- Carolina, Police Department; Officer David Hoffman,
can National Conference. This document discusses every Anchorage, Alaska, Police Department; LaNell Thornton,
­aspect of good planning and will no doubt be a valu- Chief Paul Annee, and Lieutenant Michael Spears, India-
able document and template for other agencies planning napolis, Indiana, Police Department; Lexington-Fayette,
major events. This information was incorporated into
­ Kentucky, Urban County Police Department; Environ-
Chapter 8, Planning and Decision Making. mental Systems Research Institute, Redlands, California;
Many people helped strengthen this book by Nancy Brandon, Metro Software, Park City, Utah; Larry
providing critiques, photographs, and suggestions. We Yium, Director of Budget and Finance, Houston, Texas;
have elected to indicate their organizational affiliation Lois Roethel and Leslie Doak, Las Vegas, Nevada, Police
when they helped us, even though some have moved Department; the Knox County, Maine, Sheriff’s Depart-
on to other responsibilities. We are grateful for the help ment; Chief Jim Wetherington, a mentor, and Assistant

xxix

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 xxx Ackn o w l e d g m e n ts

Chief Sam Woodall, Semper Fi, Columbus, Georgia, Police Assistant Chief Pete Pacillas, and Ms. Jennifer Callan,
Department; Sergeant Mike Parker, Los Angeles County El Paso, Texas, Police Department; Dr. Kelley Stone,
Sheriff’s Office; Major John F. Meeks, Baltimore, Mary- former Fusion Center Director at Collin County, Texas,
land, Police Department; Mary Foss and Chief Randall now with IBM; Dr. David Carter, Michigan State Univer-
Gaston, -Anaheim, California, Police Department; Captain sity; Dr. John Liederbach, Bowling Green State University;
Tom Brennan, Newark, New Jersey, Police Department; Dr. Shelly Greenberg, Johns Hopkins University; Dr. Geoff
Lieutenant Robert O’Toole, Boston, Massachusetts, Police Alpert, University of South Carolina; Dr. James Marquardt,
Department; Commander Tim McBride, Los Angeles, Lamar University; and our colleagues and friends who
California, Police Department; Sergeant Patrick Melvin, have been involved in police training and education for
Phoenix, Arizona, Police Department; Officer Matthew the last forty years, Mr. Lonnie Wilder, Mr. Norm Willox,
Rastovski, Birmingham, Alabama, Police Department; and Mr. Dave Willox.
Lieutenant Doug Cain, Baton Rouge, Louisiana, Police Lieutenant Stephen Hartnett of the Tampa, Florida,
Department; Sheriff Leroy D. Baca and Natalie Salazar Police Department -provided us with material on the
­
Macias, Los Angeles County Sheriff’s Office; Chief P. psychological testing of police applicants. Chief of Police
Thomas Shanahan and Sergeant James Cifala, Ann Arundel Ronald Miller and Major Roger Villanueva of the Kansas
County Police Department, Maryland; Chief Harold L. City, Kansas, Police Department provided us with infor-
Hurts, Police Chief Danny Garcia (retired), Phoenix, mation on their agency’s college incentive and -college
Arizona, Police Department; Amy M. Pich, Seattle, Wash- tuition assistance programs. Chief of Police Bill McCarthy
ington, Police Department; Deputy Chief Raymond D. of the City of Des Moines, Iowa, Police Department pro-
Schultz, Albuquerque, New Mexico, Police Department; vided us with information on the agency’s salary sched-
Sheriff Cal Henderson and Detective Herb Metzger, Hills- ule. Cynthia Brown, publisher of American Police Beat,
borough County Sheriff’s Office, Tampa, Florida; Sergeant Cambridge, Massachusetts, gave us permission to use nu-
Robert J. Delaney, Chicago, Illinois, Police Department; a merous articles and photographs in several of our chap-
very special thanks to Dr. Denis Dean, Dr. John Worrall ters. Melonie Hamilton with Police Magazine, Torrence,
and Dr. Galia Cohen, The University of Texas at Dallas, California, assisted us in obtaining photos in relation to
for their continued support at UT-Dallas, and their will- our discussion of assessment centers, as well as our -dis-
ingness to review specific parts of this text; Sergeant Don cussion of Internal Affairs investigations.
Pahlke (retired), Portland, Oregon, Police Bureau, Bob’s We would also like to thank Chief Joe Lumpkin of
partner in a squad car, who taught Bob what real policing the Savannah, Georgia, Police Department for his con-
was all about; former Chief David M. Kunkle, Chief tinued good counsel and information on the subject of
David O. Brown, Assistant Chief Floyd Simpson (rest police administration and Chief Dwayne , formerly Direc-
in peace, my friend), Lt. Ronald Thomasson, Lt. Dianna tor of Public Safety in Cordele, Georgia, Police Depart-
Watts, and Mr. Michael Freeman, Dallas, Texas Police ment for his continued work as the president of the
Department; Chief Brian Harvey, Allen Police Depart- Georgia Association of Chiefs of Police. We also thank
ment, retired Chief Lowell Cannaday, Irving, Texas, Police ­Deanette L. Palmer, Ph.D., a psychologist with the Spo-
Department; Chief Jimmy Perdue, North Richland Hills, kane, W ­ ashington, Police Department. We wish to thank
Texas, Police Department; former Chief and good friend, ­Meredith A. Bowman of the Southeastern Public Safety
Mr. Darrell Stephens, ­Charlotte-Mecklenburg, North Caro- Institute, St. Petersburg College, St. Petersburg, Florida,
lina Police Department, now Executive Director of Major and our colleague Jim Sewell, Florida Department of Law
Cities Chiefs of Police Association; former Commissioner Enforcement, who has also contributed to this book. And
Paul Evans, Boston Police Department; former Chief a very special thanks to Ms. Jennifer Davis-Lamb, Caruth
Bob Olsen, Minneapolis, Minnesota, Police Department; Police Institute, for her outstanding research and energy
Mr. Gil Kerlikowske, former Director of National Drug on this project. Her hard work helped improve the overall
Policy, now Commissioner of U.S. Customs and Border quality of this book. Lastly, we would like to thank our
Protection; Sheriff Jerry Keller (retired), Las Vegas Metro- editor, Gary Bauer, for his continued guidance, support,
politan Police Department; Sheriff Lupe Valdez, Dallas patience, and encouragement. It has been a pleasure
County Sheriff’s Office; Chief Bob Lehner, Elk Grove, Cali- working with him.
fornia Police Department; Dean Victor Strecher (retired), Charles R. “Mike” Swanson
Sam Houston State University; Mr. Bill Hill, former Dallas Leonard Territo
County District Attorney, Dallas Texas; Chief Greg Allen, Robert W. Taylor

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 About the Authors
Charles R. “Mike” Swanson enlisted in the Marine for 20 years of service to the association and other con-
Corps at 17, after which he was a uniformed officer and tributions and later named their first honorary Chief of
detective with the Tampa Police Department. As Dep- Police. Mike is the recipient of the Academy of Criminal
uty Director of Florida Governor Kirk’s Council on Law Justice Sciences’ O. W. Wilson Award for distinguished
Enforcement and Criminal Justice he led a central and police research. The University of Georgia twice granted
seven public safety regional offices to innovations in ser- him Distinguished Service Awards and a Walter Bernard
vice delivery and also advised the Governor on policy Hill Award for Distinguished Achievement in Public Ser-
issues. vice. The Governors of Florida, Kentucky, and Georgia
Subsequently, he taught criminal justice courses for have issued proclamations recognizing his contributions
a year at East Carolina University and then joined the to law enforcement in their states.
University of Georgia’s Vinson Institute of Government Mike holds a B.S. and M.S. in Criminology from Florida
working full-time with Georgia law enforcement agen- State University and a Ph.D in Political Science with an empha-
cies in solving practical problems and conducting agency sis in public administration from the University of Georgia.
assessments. In more than 200 seminars, he also trained Leonard Territo is presently a distinguished professor
over 10,000 police officers from over 40 states in topics at Saint Leo University, Saint Leo, Florida, and professor
ranging from advanced homicide investigation to orga- emeritus in the Department of Criminology, at the Uni-
nizational theory. Mike also designed and led training in versity of South Florida, Tampa, Florida. He was previ-
China’s Shanghai Municipal Institute for senior govern- ously the chief deputy (undersheriff) of the Leon County
mental officials and has been a consultant to agencies in Sheriff’s Office in Tallahassee, Florida. He also served for
the United States, ranging from Elizabeth, New Jersey to almost nine years with the Tampa Police Department as
the Multnomah Department of Public Safety in Portland, a patrol officer, motorcycle officer, and homicide detec-
Oregon. He has written over 100 consulting reports. tive. He is the former chairperson of the Department of
Mike has extensive experience in police promotional Police Administration and director of the Florida Institute
systems. Notably, as an expert, he led a state patrol agency for Law Enforcement at St. Petersburg Junior College, St.
out of federal district court, designing and administer- Petersburg, Florida.
ing the new promotional system he developed for some In addition to writing nearly 50 articles, book chap-
10 years. The Commissioner of the state patrol described ters, and technical reports, he has authored, co-authored
it as “Our agency’s most important development in and edited twelve books, including Criminal Investiga-
human resource management in the last 50 years.” None tion, which is going into its 12th edition; International
of the approximately 14 agencies for which he designed Sex Trafficking of Women and Children: Understanding
promotional systems has been successfully sued. Mike the Global Epidemic, which is in its 2nd edition; Criminal
has extensive experience in job analysis and test valida- Investigation of Sex Trafficking in America; The Interna-
tion, developing and administering more than 100 writ- tional Trafficking of Human Organs: A Multi-­Disciplinary
ten tests, and exercises for oral, boards and assessment Perspective; Crime and Justice in America, which is in
­centers. He has also trained assessment center assessors its 6th edition; Stress Management in Law Enforcement,
from more than 20 states. which is in its 3rd edition; Police Civil ­Liability; College
Rising through the ranks to retire as the Interim Direc- Crime and Prevention and Personal Safety Awareness;
tor of the Vinson Institute, Mike led its 183 faculty and Stress and Police Personnel; The Police Personnel Selec-
staff members in a state-wide program of technical assis- tion Process; Hospital and College Security Liability; and
tance, training, and research for state and local units of a crime novel, Ivory Tower Cop, which was inspired by
government in Georgia. a true story. His books have been used in more than
Among his other publications are several other a thousand colleges and universities in 50 states, and
co-authored books, Terrorism, Intelligence and Home-
­ his writings have been used and referenced by both
land Security (First Edition, 2015), Criminal Investigation ­academic and police departments in 14 countries includ-
(12th edition in preparation), The Police Personnel Selec- ing ­Australia, Barbados, Canada, Chile, C ­ zechoslovakia,
tion Process (1980) Introduction to Criminal Justice, (1979) England, France, Germany, Israel, the Netherlands,
­
and Court Administration: Issues and Responses (1980). Poland, Saudi Arabia, South Korea, and Spain.
Both Police Administration and Criminal Investigation His teaching awards include being selected from
were previously translated into Mandarin. The Georgia among 200 criminal justice educators from the state of
Association of Chiefs of Police twice recognized his con- Florida as the Outstanding Criminal Justice Educator of
tributions to the association. He received the first award the Year by the College of Social and Behavioral Sciences

xxxi

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 xxxii Ab out the A utho r s

at the University of South Florida. He has been given several heads of state in that region. He has acted as a
awards by both the Florida Police Chiefs Association and consultant to numerous federal, state and local a­ gencies,
the Tampa Police Academy for his years of teaching and and since September 11, 2001, Dr. Taylor has been a
meritorious services; he was given an award for Distin- consultant to the U.S. Department of J­ustice ­working with
guished Scholarly Publications by Saint Leo University, the Institute for Intergovernmental Research (IIR). He has
Saint Leo, Florida; he has been selected for inclusion in also worked extensively throughout the Middle East, espe-
Who’s Who in American Law Enforcement, and he has cially in the countries of Turkey, United Arab E ­ mirates,
recently been given a Lifetime Achievement Award from Bahrain, and Lebanon. He has been an i­nstructor for the
the Department of Criminology at the University of South U.S. Department of State, Anti-Terrorism Assistance –ATA
Florida. Program (2001–06) and taught internationally in the Exec-
Robert W. Taylor is currently a Professor in the utive Seminar on Cyber Terrorism ­presented to executives
Criminology Program at The University of Texas at Dal- of foreign governments. Dr. ­Taylor has also worked exten-
las. Previous to this position, he was the Director of the sively with the U.S. intelligence community. He holds
Executive Masters in Justice Administration and Lead- appropriate top secret national security clearances through
ership Program and the former Program Head for the the JPASS system (currently archived).
Public Affairs Program at UT-Dallas. Both are academic Dr. Taylor has authored or co-authored over two hun-
programs integrating the traditions of management, gov- dred articles, books, and manuscripts. Most of his publi-
ernmental affairs, policy analysis, and decision science in cations focus on police administration and management,
the public sector. The program hosted one of the largest police procedures, international and domestic terrorism,
graduate degree programs on campus including Doctoral drug trafficking, and criminal justice policy. His articles
(Ph.D.) and Master’s Degrees in Public Affairs and Public appear in numerous journals including Defense Analy-
Administration. sis (University of Oxford, England Press), the ANNALS
From January 2008 through 2010, Dr. Taylor was the (American Academy of Political and Social Sciences),
Executive Director of the W.W. Caruth Jr. Police Institute Police Quarterly, Crime and Delinquency, and the Police
at Dallas (CPI). The Institute was established through a Chief (International Association of Chiefs of Police). Dr.
$9.5 million grant from the Communities Foundation of Taylor is senior author of four best-selling textbooks,
Texas. Dr. Taylor was a principle party to the develop- ­Terrorism, Intelligence and Homeland Security (Upper
ment of the Institute and was appointed the founding Saddle River, NJ: Pearson Publishing, 2016); Digital Crime
director by the University of North Texas System. The and Digital Terrorism, 3rd edition (Pearson, 2014); Juve-
primary mission of the Institute is to provide direction nile Justice: Policies, Practices and Programs, 4th edition
and coordination of major training and research projects (New York: McGraw-Hill, 2014); and Police Patrol Allo-
for the Dallas Police Department. The Institute represents cation and Deployment (Pearson, 2011). He is also the
a national “think tank” on policing strategies focused on co-author of two truly landmark textbooks, Police Admin-
major urban cities in the United States. Dr. Taylor remains istration: Structures, Processes, and Behaviors, 8th edition
a “Scholar-in-Residence” at the Institute. From 1996 to (Pearson Publishing, 2012); and Criminal Investigation
2008, Dr. Taylor was professor and chair of the Depart- 11th edition (McGraw-Hill, 2012). These texts are used in
ment of Criminal Justice at the University of North Texas. over 700 universities, colleges, and police departments
He served in this capacity for thirteen years, and under his throughout the United States, Europe and China, and
direction, the Department gained national prominence. continue to be developed into new editions.
In 1995, Bob took a leave of absence from univer- Bob has an extensive background in academic and
sity administration and teaching, to join Emergency ­professional criminal justice, having taught at four major
Resources International, Inc., the parent company of universities and serving as a sworn police officer and major
the famed “Red Adair” firefighters. His duties as Senior crimes detective (lateral rank of sergeant) in ­ Portland,
Vice-­
­ President, Crisis Management Division, included Oregon for over six years. In 1984, he was appointed as a
liaison with ­foreign governments and authorities, exten- Research Fellow at the International Center for the Study
sive contract negotiations, and the strategic development of Violence at the University of South Florida, Tampa,
of a world-wide communication and information system. ­Florida, conducting various studies involving international
Bob’s major project was acting as team leader on the and domestic terrorism, police training and management,
largest oil spill in history (3 million bbls), located in the public violence and homicide, computerized mapping,
remote Nenets District of Russia, over 200 miles north of and international drug trafficking. He ­continues to conduct
the Arctic Circle. research in these areas and is the recipient of numerous
For the past forty years, Bob has studied criminal ­justice grants and contracts (over $18 ­million in funded projects).
administration and specifically, police responses to crime His latest work has concentrated in four areas: 1) Police
and terrorism, focusing on issues in the Middle East. He has use of force and improved tactical/­strategic improvement
traveled extensively throughout the Middle East, ­meeting through advanced ­ training, decision-making, leadership

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 Ab ou t t h e A u t h or s xxxiii

and management practices ­particularly addressing areas Award ‘in recognition of his outstanding contribution to
of officer violence and officer-involved shootings; 2) Inter- police education, research and practice.’
national terrorism, ­especially Middle-Eastern groups, and Dr. Taylor has been a consultant to the U.S. Army and
the spread of ­radical Islam; 3) Evaluation of ­community the U.S. Marine Corp; the U.S. Department of Homeland
policing, evidence-based policing, and other predictive Security, the U.S. Department of Treasury, Federal Law
policing strategies in the United States; and 4) Intelligence Enforcement Training Center, the U.S. Secret Service,
analysis, fusion centers, and decision-making particularly the Bureau of Alcohol, Tobacco, and Firearms, the U.S.
during protracted conflict or crisis situations. Department of Justice, the Federal Bureau of Investigation,
In 2004, Dr. Taylor was asked by the International Jus- the Drug Enforcement Administration, agencies within
tice Mission in Washington, D.C. to assist in the training the U.S. intelligence community, the Police Foundation,
of the Cambodian National Police on child sex slavery the Police Executive Research Forum – PERF, the Inter-
and human trafficking as part of a large project funded national Association of Chiefs of Police, and ­numerous
through the U.S. Department of State ($1 million). His state and local municipalities and private corporations.
interest and research in this area has led to a leadership He has also conducted significant training in the United
role in designing and developing training efforts in the States protectorates of the U.S. Virgin Islands, Guam and
United States aimed at raising awareness of the human Saipan, and the countries of Canada, England, France,
trafficking tragedy for American law enforcement officers, Switzerland, Thailand, Cambodia, Barbados, Northern
­
funded in part through the U.S. Department of Justice. Cyprus, Bahrain, Venezuela, Russia, Finland, United Arab
Dr. Taylor focuses on the nexus between human traffick- Emirates, Kenya, Singapore and Turkey. He is an active
ing, drug trafficking and the financing of terrorist inci- member of the Academy of Criminal Justice Sciences
dents internationally and domestically. (elected National Chair of the ACJS Police Section - 2002)
In 2003, Dr. Taylor was awarded the University of North and the American Society of Criminology.
Texas, Regent’s Lecture Award for his work in the Middle Dr. Taylor is a graduate of Michigan State University
East. In March 2008, the Academy of Criminal Justice (Master of Science-1973) and Portland State University
­Sciences presented Bob with the prestigious O.W. Wilson (Doctor of Philosophy-1981).

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 Part 1 Foundations
Chapter 1 | The Evolution of Police Administration
Chapter 2 | Policing Today
Chapter 3 | Intelligence, Terrorism, and Homeland Security
Chapter 4 | Politics and Police Administration

These first four chapters are foundational in that they tell us how law enforcement got to
where it is today, explain current police operational philosophies, describe how national
and domestic terrorism have impacted on the role of our police agencies, and discuss the
continuing importance of politics. This section also introduces terms and concepts referred
to in subsequent chapters.
Chapter 1, “The Evolution of Police Administration,” differs from other histories of
policing because it has a specific, rather than a general, focus. It explains policing’s trials and
tribulations as it morphed from a colonial night watchman system into complex organizations
testing new philosophies. Also chronicled are the social, political, economic, and technological
forces that continuously shape and reshape American policing. The underlying thesis of this
chapter is that policing is like a sandbar in a river, being shaped and reshaped by the currents
of the society in which it is embedded.
Chapter 2, “Policing Today,” examines in greater detail the shifts in operational
­philosophies identified in the previous chapter. More specifically, as police departments
came to grips with the limitations of the traditional strategies of random patrol and
­responding to incidents, it opened the door to new ways of delivering law enforcement
services, such as community policing and evidence based policing. This chapter provides
a strong u ­ nderstanding of the use and limitations of these different operational philoso-
phies and strategies aimed at lowering crime and providing better police services to our
communities.
Chapter 3, “Intelligence, Terrorism, and Homeland Security,” addresses the s­ ignificant
shifts that have occurred in law enforcement in the wake of the 9/11 attacks on this
­country, as well as the threats posed by the Mexican drug cartels operating near our
border, “­
­ homegrown” terrorists, and recent trends in radical Islamic groups, i­ncluding
the ­ surging ISIS. This chapter vividly illustrates the dangers of international terrorism,
domestic right-wing hate groups, left-wing anarchists, and ecoterrorists.
Chapter 4 “Politics and Police Administration,” ends Part One. It explains various l­ocal
forms of government and key offices. This chapter also takes a pragmatic view of how
politics affects law enforcement agencies. There is a significant case study of the Baltimore
Police Department, the community, the riots, and the criminal charges placed against six
officers in the death of Freddie Gray, as well as coverage of other similar recent incidents.
In the wake of police shootings of African American men in 2014–2015 a movement toward
requiring police officers to wear body cameras emerged, which is also examined.

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 c h a p t e r o n e

T h e E v olu t i on of
P o l i c e Admi ni str ation
Learning Objectives
1. List the events in England that led to the creation of the London Metropolitan Police.
2. Describe the importance of the frontier closing in 1890.
3. Define politics and give three reasons why it cannot be kept out of police agencies.
4. Define and describe machine politics in the 19th century.
5. Identify the most negative and positive things about the patronage/spoils system.
6. Explain why the concept of a police profession is so important.
7. Discuss the contributions of Chief Gus Vollmer.
8. Describe the impact of prohibition on policing.
9. Describe the Black Codes and Jim Crow laws.
10. State how World War II affected law enforcement.
11. Explain the unequal badge problem.
12. Describe how the police rank and file became isolated in the 1960s.
13. Define COP, ZTP, CompStat, EBP, and HSP.
14. Give three reasons why the United States has not experienced a major terrorist attack
from abroad since 9/11.
15. Identify what may be the transcendent event for law enforcement over the past decade.

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 4 chapte r 1 • The Ev o l u t io n o f P ol i c e Ad mi n i s t r at i on

INTRODUCTION crimes, and pirates. When watchmen raised an alarm, it

became the collective responsibility of all residents to respond.
Studying the evolution of police Other offices familiar to the colonists, such as sheriff, consta-
administration is crucial because (1) the past is full of ble, and coroner, were subsequently added, although initially
their numbers were very small. In 1625, New Amsterdam, now
important lessons; (2) ignoring these lessons New York City, created its office of sheriff.1
increases the probability that prior mistakes will be In 1833, Philadelphia became the first city in this country to
repeated and opportunities forfeited; (3) knowledge have a paid, full-time day police force.2 Gradually, the wide-
spread use of volunteer citizens’ night patrols was replaced by
of the past breeds esprit de corps, or pride in the paid night police departments, which were entirely separate
heritage of one’s chosen profession; (4) it instills an from the full-time day police. It was not until 1844, in New York
appreciation that each of us stands on the shoulders City, that the first unified day-night police force was created
(see Figure 1.1).
of the men and women who served before us with To no small degree, the rise of unified, full-time police
dignity, compassion, and valor; (5) there is a more departments in America was influenced by events in England.
complete comprehension of where and why a During the late 17th and early 18th centuries, England’s econ-
omy made two key shifts: (1) improved agricultural methods
profession is when you know where it has been; provided significant surplus crops to support people living in
(6) concepts in this chapter are part of the cities and (2) people were drawn to cities by the industrial
vocabulary of policing; and (7) it sets the stage for revolution (1760–1830),3 which shifted production from manual
labor to machine made, initially in the textile industry and then
discussions in some of the chapters that follow. spreading to other goods. Factories surpassed homes and small
workshops as employers.
As the populations of England’s cities grew, so did their
THE URBANIZATION problems, such as slums, crime, and appalling working condi-
OF AMERICAN POLICING tions. As a result, social unrest escalated. The old ways of deal-
ing with crime and unrest were inadequate. In 1829, Parliament
The earliest American colonists, who were primarily English, passed the Metropolitan Police Act with the strong support of
depended on volunteer citizen night watchmen, patrolling Sir Robert Peel (1788–1850), creating a full-time police
from dusk to dawn, to alert them to threats, such as fires, agency for London.

Figure 1.1 c The Colorado Springs (Colorado) Police Department circa 1890–1900. The influence of Union Civil War
(1861–1865) uniforms is plainly seen, including the style of several visible belt buckles. In the second row are two commanding
officers, identified as such by the Union army’s convention that commissioned officers wore a coat with two rows of buttons so
they could be immediately recognized as leaders. Chief Dana leans slightly to the left and seated beside him is Captain
­Gathright. In the third row, is an African American officer, Horace Shelby. (The Denver Public Library, Western History Collection, X-14668)

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 c h ap t er 1 • T h e E vol u t i on of P ol i c e Adm inis t rat ion 5

Quick Facts: Sir Robert Peel’s Other Accomplishments

Sir Robert Peel is a luminary just on the basis of his contributions prohibited women and children from working in mines (1842)
to policing, but he is not without other significant accomplish- and limiting their working hours in factories (1844). We are left
ments. Peel was twice Prime Minister of England (1834–1835 to wonder what else Peel might have achieved had his life not
and 1841–1846). As a social reformer, he championed laws that been cut short by injuries caused by a horse fall.

New principles, such as officers should be hired on a proba- In the history and image of America, the “wild and wooly”
tionary basis, were articulated for the London Metropolitan West looms large (see Figure 1.3), although it spans a scant 90
Police, stressing the need for professional conduct by the years, from roughly 1800 to 1890. The acclaimed Pony Express
agency and its officers.4 The effort to create a force in which (1860–1861) is a prime example of how quickly things changed
the public would have confidence and would support produced in the West. From Missouri to California, relay stations were
grim numbers: In the first three years of its existence, 5,000 established every 10 miles, where Pony Express riders could
officers were dismissed and another 6,000 resigned; many of obtain fresh mounts. Despite riding through dangerous wilder-
them were under pressure.5 ness areas, riders couldn’t carry guns in order to transport more
American cities selectively drew on the experience of the mail. Orphans were preferred as riders because if they were
London Metropolitan Police, gradually creating centralized, full- killed, no one would miss them. Despite its success, the Pony
time police departments. However, the majority of American Express was out of business in 18 months due to the completion
politicians during the 1800s had no interest in hiring quality of the transcontinental telegraph (1861).
officers, choosing instead to continue using officers to suit their Factors contributing to the settlement of the West included the
own purposes: graft, control of elections, and harassment of the discovery of gold at Sutter’s Mill, California (1848), the availability
opposition party (see Figure 1.2). of tracts of land to settlers under the Homestead Act (1862), and the

Figure 1.3 c “Big Ned,” Con Wagner, and “Ace” Moore

Figure 1.2 c Satire of police corruption. “Mulberry were lynched by vigilantes in a partially completed cabin near
Ring” refers to the New York City Police Department, then Laramie, Wyoming (1868). Hoisted just off the ground with no
located at 300 Mulberry Street. (Library of Congress Prints and fall to break their necks, the men slowly strangled. (Denver
­Photographs Division [LC-USZ62-85436]) ­Public Library, Western History Collection, Arundel Hull, Z-5808)

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 6 chapte r 1 • The Ev o l u t io n o f P ol i c e Ad mi n i s t r at i on

conclusion of the Civil War (1861–1865). Although there were enforcement capability, agents on various reservations scrapped
already free African-Americans in the West, that number was together funds and recruited Native Americans as police offi-
increased after 1865, due to (1) assistance from the federal Freed- cers. The Congress finally began appropriating money for tribal
men’s Bureau (1865–1872), (2) flight from the South’s new share- police agencies in 1879 (see Figure 1.6).8 Tribal enforcement
cropper system that effectively re-enslaved the recently emancipated, agencies represent an out-of-the-mainstream example of
(3) the repressive laws enacted to keep “Negroes” segregated and ­American police administration, as is the U.S. Mint Police (1792).
powerless, and (4) the brutality of the Ku Klux Klan (KKK), which
was formed in 1866 for social purposes, but quickly began using
terror, violence, and lynchings to control African-Americans.
Benjamin “Pap” Singleton (1809–1892; see Figure 1.4), a
former slave in Tennessee, promoted the idea of forming African-
American townships in Kansas, leading to the establishment
of such townships as Nicodemus (1877; see Figure 1.5).
­Singlehandedly, Singleton may have inspired the exodus of
20,000 ­people out of the South. However, other promoters estab-
lished perhaps as many as 42 similar settlements in both Kansas
and Oklahoma.6 As a large organized movement, the exodus was
finished by 1872, although smaller groups of African-Americans
continued to regularly arrive through 1880.
The completion of the transcontinental railroad (1869) and
the construction of other rail lines provided mass transportation
into the West for adventurers and settlers. By the mid-1880s,
cattle drives up the Chisholm and other trails from Texas to
Abilene,7 Dodge City, Wichita, and other Kansas “cow towns”
were a thing of the past due to the expansion of railroads, settle-
ments, and the use of barbwire to close off open range.
West of the Mississippi, episodic war with Native Americans
Figure 1.4 c Benjamin “Pap” Singleton was a 37-year-
is traditionally dated as lasting from 1823 to 1890, although the old slave when he escaped to Detroit and began operating a
last battle was fought in 1918 (see Box 1.1). Eventually, the secret boarding house for runaway slaves. After the Civil War
tribes were forced onto reservations, producing a need for law ended, he returned to Tennessee and later began his work as
and order on tribal lands and protection from trespassers. a Moses-like figure, leading people to the promised land
­Lacking any appropriated funds to create a reservation law (State of Kansas Historical Society).

Figure 1.5 c Prosperous African-American settlers in Nicodemus, Kansas, 1877.

(Library of Congress Prints and Photographs Division [76000820])

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 c h ap t er 1 • T h e E vol u t i on of P ol i c e Adm inis t rat ion 7

Box 1.1 The Battle with Yaquis Indians in Bear Valley, Arizona

Yaquis Indians living in Northern Mexico were in rebellion penalty would be death and so they opened fire. In the skir-
against their Mexican national government. Yaquis would mish that followed, at least one Yaquis was killed and nine
cross into the United States, take jobs long enough to buy captured. Those taken prisoner were tried on minor charges,
arms and ammunition, return to Mexico, and distributed the served 30 days confinement, and were released. Because
weapons to other Yaquis. At other times these goods were World War I was still going on, the Bear Valley engagement
taken by raids on isolated ranches. On January 9, 1918, got little attention in the news media or officially. The
there was a chance encounter in Bear Valley, Arizona, 10th Cavalry was historically comprised of African-Americans
between horse-mounted Yaquis headed south with newly with an excellent reputation as fighters. Because of the
purchased weapons and a patrol from the 10th Cavalry. The ferocity with which they fought, the Cheyenne Indians called
Yaquis mistook the African-American troopers of the 10th as them “Buffalo Soldiers.”9
Mexican soldiers seeking to intercept them. If caught, the

Western law enforcement agencies were often small, their juris-

dictions were limited, the local records were inadequate for serious
investigations, there was no centralized record keeping agency,
marauding bandits had vast lands into which they could vanish,
and communication between agencies was often sparse and slow.
Opposing them was an abundance of rustlers, stagecoach and train
robbers, and murderers, a small number of whom were unique.
Born in England, Charles Bowles came to the United States, fought
for the Union, rising to the rank of First Sergeant, was wounded
while participating in General Sherman’s march through Georgia to
the sea, and at some point simplified his name to Boles. As “Black
Bart,” Boles became one of the truly unique criminals of the Old
West. He pulled his robberies with an empty shotgun, only robbed
Wells Fargo stagecoaches and took the company’s strongbox, but
never robbed passengers, some of whom remembered him as
“gentlemanly” and engaging in “intellectual” conversations.10
Given the limitations of Western law enforcement agencies of
the period, it is not surprising that the Pinkerton National
Detective Agency, Wells Fargo detectives, and Union Pacific
operatives developed a strong record in catching or killing these
robbers. Unrestricted by jurisdiction, these private “lawmen” pur-
sued bandits across jurisdictional lines and were aided by their
employers’ substantial record systems.
Notorious outlaws “Butch Cassidy” (Robert Parker) and the
“Sundance Kid” (Harry Longaboug) were part of a loose coali-
tion of gangs whose primary hideout was the Hole-in-the-Wall
Figure 1.6 c Standing Rock Reservation Dakota/Lakota Pass in Wyoming, a place with only one entrance and other
(Sioux) police officers Red Tomahawk (L) and Eagle Man (R). natural defense features. Parker was the leader of a loose-knit
Note that Eagle Man is wearing moccasins with his uniform. gang, called “the wild bunch” and sometimes “the-hole-the-wall
These two officers, 37 other Native American officers, and four gang.” Determined to end the wild bunch’s string of bank and
volunteers attempted to arrest Hunkpapa Sioux spiritual leader train robberies, the Pinkertons “hounded” Parker and Long-
Sitting Bull in 1890. The basis for the arrest was his rumored abough so consistently that by 1902 they ended up in Argentina
involvement with a potential uprising. His followers opened fire and were thought to have been later killed in 1908 by Bolivian
to prevent the arrest and in the ensuing 30-minute battle, eight
soldiers in a shootout. However, that ending is in doubt as is the
officers and Sitting Bull and seven followers were killed, includ-
ing Crow Foot, Sitting Bull’s 17-year-old son. Sitting Bull had
Pinkerton’s assertion that one of these two men was killed later,
long maintained that contacts with white men could only result in 1911 by Uruguayan police.
in the destruction of the Sioux way of life. This photograph is The bodies of the two bandits killed in 1908 were exhumed in
dated to the 1880s. (Denver Public Library, Western History 1986 and it was announced that they were not Parker and Long-
­Collection, D. Barry, B-836) abough. Speculation and rumors about what happened to Parker

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 8 chapte r 1 • The Ev o l u t io n o f P ol i c e Ad mi n i s t r at i on

Box 1.2 Black Bart, the Poet Bandit

Charles Boles (1829– unknown) robbed 28 Wells Fargo stage- Finally arrested, Boles served four years and was released
coaches in California before being arrested. He was fond of early for good behavior. Most sources maintain Boles dropped
leaving poems at the scene of his crimes, signed “Black Bart, out of sight in 1888 and the rest of his life is unknown. How-
the PO8” (poet). One of them reads: ever, one source, with no documentation, maintains that after
I’ve labored long and hard for bread, Boles was released from prison, three Wells Fargo stages were
For honor and for riches robbed. The company is purported to have offered him a
But on my corns too long you’ve tread pension if he’d leave the country. Boles supposedly boarded
You fine haired sons of bitches the steamer Empress of China headed to that country.11

and Longabough continued for many decades thereafter. Some of The pattern for the 3,063 sheriff’s departments, although they
their friends reported speaking with one or the other, or both at involve fewer full-time sworn positions, parallels that of munici-
different locations in South America and the United States after pal agencies. The Los Angeles County Sheriff’s Department is the
their alleged deaths. Their actual fates remain a mystery.12 largest in the country with 9,461 deputies.21 Twenty-five percent
In 1890, the federal government announced that the frontier (775) of sheriff’s offices employ less than 10 sworn, which repre-
was closed and six states were later admitted to the union.13 Both sents 2.4 percent (4,042) of all full-time deputies.22 At the larger
of the territorial governments of Arizona and New Mexico realized end of the spectrum, departments with 100 or more deputies are
that their own aspirations for statehood would be impeded by only 12 percent (378) of the total, but they employ 66 percent
their image of being populated by thieves, rustlers, and bandits. (120,909) of all full-time deputies.23 The usual major functions of
Drawing on the long experience of the Texas Rangers (1823),14 sheriff’s offices include patrol of unincorporated portions of the
they created the Arizona Territorial Rangers (1860) and the New county, follow-up investigations, operation of the county jail,
Mexico Territorial Mounted Police (1905) to curb lawlessness. court security, and serving legal process papers. In a number of
The significance of the frontier closing in 1890 is that it states, some municipalities contract with their sheriff’s department
marks the onset of the swift transition from a rural, agrarian for police services. There are some variations of this. In several
society to an urbanized one in only 30 years. The Census of 1920 states, some counties have done one or more of the following:
revealed that 51 percent of Americans lived in an urban incor- created a separate Department of Corrections in lieu of the sher-
porated area, but the definition of that area was a place with a iff’s jail function, established a county police department thereby
population of 2,500 or more people.15 focusing the sheriff’s office on court security and process serving,
Presently, there are 17,985 state and local law enforcement and eliminating the sheriff’s department in favor of a county
agencies with at least one full-time employee or its equivalent.16 police department and distributing the other sheriff’s functions
The breakdown of this number by type of agency and full-time over several existing and/or new departments. Alaska, Connecti-
sworn positions includes (1) 12,501 local police departments cut, Hawaii, and Rhode Island, and Washington DC do not have
with 461,063 officers; (2) 3,063 sheriffs’ offices with 182,979 the traditional office of sheriff.24
­deputies; (3) 50 state primary law enforcement agencies have The events highlighted in this section and those that follow
60,772 enforcement positions. These agencies may be state illustrate the most important point of this chapter: policing can-
police, highway patrol, or departments of public safety; (4) spe- not be understood if examined alone, as though the institution
cial jurisdiction entities, for example, port, river, and bay, transit, was an island in a lake. The more persuasive analogy is that
airport, and kindred enforcement authorities add another 59,968 policing is a sandbar in a river, subject to being changed continu-
positions; and (5) constable/marshal and related offices account ously by the societal currents in which it is immersed. As a
for 3,464 positions, many in Texas.17 profoundly significant social institution, policing is shaped and
In practical terms, the present consequence of urbanization is reformed repeatedly by a multitude of forces in American society
that a majority of the sworn personnel identified in the preceding and transnationally.
paragraph are deployed in urban areas and this is particularly true
for local police departments. The largest of these is the New York
City Police Department with 36,023 officers.18 In contrast, POLITICS AND ADMINISTRATION
49 ­percent of all municipal agencies employ fewer than 10 full-time
officers.19 The number of small departments has dropped slightly IN THE 19TH CENTURY: ILLS
over the past several years; perhaps consolidation, catastrophic
judgments for police misconduct, and small towns contracting for OF THE PATRONAGE SYSTEM/
police services are contributing to a slow erosion of small police
departments. While small municipal police departments are more
SPOILS SYSTEM
numerous than large ones, most officers work in large ones. Nearly Politics is the process of acquiring and maintaining control
two-thirds, 61 percent, of all sworn personnel work for municipal over a government, including its policies, administration, and
departments with 100 or more full-time officers.20 operations. Politics isn’t inherently bad or good—these types

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 c h ap t er 1 • T h e E vol u t i on of P ol i c e Adm inis t rat ion 9

of descriptions come from how power is used, as opposed to The use of government resources by politicians to reward
some intrinsic quality of power itself. There is no way to keep loyal voters is called patronage or the spoils system. The
politics out of police departments because (1) police depart- worst abuse of the patronage system was when people were
ments must be responsive to democratic control; (2) public rewarded for their political loyalty rather than their ability,
policy is expressed in the laws, regulations, operating proce- roughly from 1820 to 1883. In reaction, the Pendleton Act was
dures, decisions, and actions taken or not taken by a govern- passed (1883), establishing the U.S. Civil Service Commission to
mental agency. Public policy is where politics and administration enforce its provisions and mandating that federal employees
intersect, the method by which governmental agencies are pass a competitive examination and be appointed on the basis
guided and controlled; and (3) as a practical matter, politics of merit. Even behind this progressive/reform legislation ugli-
flourishes in even the smallest agencies. The type of politics ness was at work: Momentum for its passage was garnered from
we do want to keep out of policing is highly partisan party the assassination of President James Garfield (1881; see
politics, which has had a long and, most frequently, unhealthy Figure 1.7) in Washington, DC, by Charles Guiteau, a frustrated
relationship with policing. seeker of a patronage job as ambassador to France.25
During the 1800s, a political machine or machine However, the Pendleton Act initially only covered a small
politics was often a tightly controlled political party headed percentage of federal jobs. When President Benjamin Har-
by a boss or small autocratic group whose purpose was to rison (1833–1901) took office (1889),26 he seized upon this
repeatedly win elections for personal gain, often through graft loophole, and 31,000 postmaster jobs changed hands through
and corruption. These parties had a hierarchical structure run- patronage. This action was at odds with his avowed support for
ning from the boss at the top through the precincts to each civil service reform and he received substantial criticism for his
neighborhood, where block captains make sure supporters “prostitution of the public service.”27
“voted right.” Originating in Chicago, the phrase “vote early and Under the 19th-century patronage system, a person seeking
often” reflects the machine politics’ spirit. Loyal voters were employment in a police department usually needed a letter of
rewarded with incentives for their support, such as jobs, pro- endorsement from a powerful politician allied with the party in
motions, transfers to more desirable positions, lucrative con- power. The letters were typically written by elected officials,
tracts, liquor licenses, or helping their recently arrived such as members of the city council or county commission,
immigrant relatives gain citizenship and find housing. New prominent state officials, or the chairman of a county’s political
York Senator William Marcy (1786–1857) coined the phrase “to party. When a new party came to power, the entire staff of a
the [election] victor belongs the spoils” [the authority to make police agency was dismissed and replaced by patronage
patronage appointments and bestow other benefits]. appointments.28

Figure 1.7 c Artist’s sketch of the assassination of President Garfield at the Baltimore
and Ohio train station in Washington, DC. His assassin is being apprehended in the back-
ground. (Library of Congress Prints and Photographs Division [LC-USZ62-7622])

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 10 chap te r 1 • The E v o l u t io n o f P ol i c e Ad mi n i s t r at i on

Machine politics and the ugly side of patronage were

enhanced by the absence of an effective secret ballot at the
polls in many states during much of the 19th century.29 Each
political party distributed ballot tickets for its own candidates.
Because these tickets varied in size and color, carrying a ticket
into a polling place made voting a public act and subjected
voters to harassment and intimidation.30 Votes were sold for
drinks and money, and states began slowly enacting residency
requirements to vote.31
According to “Boss” Tweed (William M. Tweed, 1823–1878), the
mid-1800s ringleader of the most powerful New York City political
machine, ballots didn’t make a difference, the counters did.32 As a
final insult to the democratic process, state courts, dominated by
patronage judges, consistently ruled that ballots could not be
released for investigating and prosecuting abuses, such as using
the names of dead people as voters in an election.33
Patronage that is not excessive or does not create inefficiency,
however, is useful. Elected officials can appoint persons who
agree with their policies, making governing easier. Patronage
involves more people in the democratic process because they
feel that their efforts and votes have meaning.
There are examples of resistance to corruption during the
19th century. In 1856, San Francisco citizens, outraged by elec-
tion corruption, graft, and out-of-control crime, formed the
Committee of Vigilance to provide “security for life and prop-
erty.” An earlier Vigilance Committee (1851) had only focused Figure 1.8 c At the beginning of the 20th century, chil-
on rampant crime. Even with its own constitution and terms on dren were still being exploited as a labor source. Here, “coal
the committee limited to three months, the committee was breaker boys” (circa 1890–1910) take a break from their
14-hour days in the mines, where they separated chunks of
nonetheless a vigilante group, executing criminals, forcing cor-
coal. Note their lunch pails in the foreground. (Library of
rupt elected officials to resign, and ordering people to leave ­Congress Prints and Photographs Division [LC-D4-32069])
the state immediately. Because the owner of the San Francisco
newspaper supported the committee, its early reputation was Change came in the form of the Reformation Period
excellent. However, as historians looked more closely at the (1900–1926), which had two immediate needs: (1) arousing the
committee, its reputation began to suffer. On the other side of public from its apathy and (2) creating a conceptual corner-
the country, the Lexow Committee (1894–1895), named after stone or model for improvement by separating politics and
its chairman, was established by the New York Senate to exam- patronage in the worst sense from the administration of gov-
ine police corruption in the New York City Police Department. ernmental agencies.
Its report, which ran some 10,000 pages, was instrumental in
that city electing a reform candidate as mayor.
Nationally, some reform candidates were occasionally elected,
Arousing the Public from Its Apathy:
although machine politics usually defeated them in the next The Muckrakers
election, and from time to time, the outrage of decent citizens Author Lincoln Steffens exposed major corruption in Chicago,
boiled over, leading them to activities such as sacking brothels St. Louis, and other municipalities in The Shame of the Cities
protected by politicians and engaging in election day violence. (1906). He believed that bribery was not an ordinary felony,
However, real progress was not made until the 20th century. but an act of treason that subverted democracy. Sinclair’s novel,
The Jungle (1906), called attention to major abuses in the meat-
packing industry, which led to the passage of the Pure Food
The Reformation Period and Drug Act (1906). Churchill’s Coniston (1906) addressed
As policing entered the 20th century, our cities were staggering political corruption in New Hampshire and Phillips’s The Trea-
under the burdens of machine politics, rampant patronage, son of the Senate did likewise with that body. It was President
government inefficiency, poverty, corruption, crime, slums, Theodore Roosevelt (see Figure 1.9, 1858–1919) who, in a 1906
inadequate health care, riots, and the exploitation of woman speech, labeled Steffens, Sinclair, and other writers who
and children by industries (see Figure 1.8).34 State and federal exposed social ills, scandals, and corruption as “muckrakers.”
governments were similarly dysfunctional and scandalized. Although he was a popular president, there is also evidence of
Conditions were so intolerable that they finally became the him being less than fair minded.35 The muckraker tradition
stimulus for change. continues into the present day.

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 c h ap t e r 1 • T h e E vol u t i on of P ol i c e A dm inis t rat ion 11

Figure 1.9 c Colonel Roosevelt standing at the middle of his troops on San Juan
Hill, Cuba, during the Spanish American War (1898). He previously served as Police
Commissioner of New York City (1895–1897), famous there for his “midnight ramble,”
checking to see that officers were working their assignments. (Library of Congress Prints and
Photographs Division [LC-USZC4-7934])

The Conceptual Cornerstone emerging view of public service. Massachusetts and other states
The conceptual cornerstone was provided for by Woodrow passed laws forbidding police unionization, which killed the
Wilson (1856–1924) while he was a faculty member at Bryn movement until the 1960s (see Chapter 11, Labor Relations).
Mawr College in Pennsylvania.36 He later served as President In 1922, the Cleveland Foundation completed a major study of
of the United States (1913–1921). Wilson called for a dichot- crime in that city, which at that time was the fifth-largest in the
omy or separation of politics, in the worst sense of the word, nation.39 Separate groups worked on different aspects of the crimi-
and administration.37 However impractical that might seem nal justice system. Raymond Fosdick (1883–1972) guided the
now, the idea was then very progressive.38 group working on the police department, which was soundly criti-
As the work of the muckrakers and the conceptual corner- cized. Fosdick concluded that it was mostly just a larger version of
stone entwined, rapid progress was made. In 1906, the New York what existed there in 1866—the record system was ­meager, pre-
Bureau of Municipal Research was formed. Staunton, Virginia, cincts were too numerous, there was confusion in the lines of
appointed the first city manager in 1908, placing responsibility authority, and widespread corruption was common. The Cleveland
for day-to-day operations in the hands of a trained professional study is noteworthy because it appears to be the model, albeit
not beholding to any political party. Two years later, the city slowly adopted, of using outside experts to study police agencies.
manager movement was well underway, and appointees were As the separation of politics and administration gained trac-
usually experienced engineers or business managers. Further tion, attention was focused on new ideas. Illustratively, scientific
impetus was created in 1914, when the International City Man- management sought to find the one best way to do things, the
ager Association was founded and the University of Michigan bureaucratic model was carefully articulated, and administrative
offered a degree in municipal administration. theory formulated generic principles and methods of
In 1916, the National Municipal League issued a model city administration (see Chapter 5, Organizational Theory). The shift
charter calling for a strict separation of politics and administra- to these new ideas was marked by the publication of White’s
tion, which had a trickle-down effect on the police and other Public Administration (1926) and Willoughby’s Principles of
departments. City managers worked hard to see that capable Public Administration (1927). The politics/administration dichot-
persons were appointed to leadership positions. The Boston omy was not abandoned and both authors endorsed the city
Police Strike of 1919 was seen as incompatible with the manager’s 1924 code of political neutrality.

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 12 chap te r 1 • The E v o l u t io n o f P ol i c e Ad mi n i s t r at i on

Box 1.3 Three Medal of Honor: Teddy Roosevelt, Mary Walker, and Buffalo Bill Cody

In 1901, President William McKinley was assassinated and his she was initially forced to accept a nurse’s position in the
Vice-President Teddy Roosevelt (1858–1919) succeeded him at Union Army at the beginning of the Civil War. Within a short
42 years of age, serving as President (1901–1909). He is still the time, she was appointed as the first female surgeon in the
youngest person to rise to that office. Roosevelt used his execu- U.S. Army and served with great distinction in battlefield
tive power to preserve wilderness areas as parks and those lands medicine. While perhaps on a spy mission, she was arrested
later became part of the National Park Service when it was leg- and spent four months in a confederate prison. In 1865,
islatively created in 1916. He also championed important laws, Dr. Walker received the Medal of Honor. In 1917, the crite-
such as the establishment of the Food and Drug Administration ria to receive the medal was changed and that recognition
(FDA, 1906). In 1912, Roosevelt was shot in the chest by a was rescinded for over 900 recipients of it, including
deranged man. However, Roosevelt delivered a 50 page speech Dr. Walker and William F. “Buffalo Bill” Cody (1846–1917).
before being treated. For negotiating an end to the Russo-Jap- Cody, a frontiersman, Army scout, and ­proprietor of the
anese War (1904–1905) President Roosevelt became the first “Wild West Show,” received it for gallantry while scouting
American to receive a Nobel Prize, for peace in 1912. with an Army patrol that battled Cheyenne Indians along
In 2001, President Clinton posthumously awarded Teddy Nebraska’s Platte River in 1872. President Jimmy Carter
Roosevelt the Medal of Honor for leading the courageous directed that Dr. Walker’s Medal of Honor be reinstituted
charge up San Juan Hill, Cuba, in 1898. and her name restored to the roll of those who have
The Medal of Honor has been awarded to only one received it. In 1989, the Army Board for the Correction of
woman, Dr. Mary Edwards Walker (1832–1919). A physician, Military Records r­ einstated Buffalo Bill’s medal.

Despite the progress that has been made, politics and theories, models, and practices related to organizations. The
administration, endures to this day as an area of practical con- ­Reformation Period is more than history; it was the landmark that
cern for police executives and even for those farther down the unleashed a process of improvement that has been continuous.
chain of command: Chapter 2, Policing Today, covers some of these developments.
A detective was selected to attend a prestigious national training
program. At the last minute, the newly elected mayor wanted
to reward someone who turned out a block of voters that Police Professionalization
helped him win the election. The detective who was originally
selected to the program was called into his commander’s office Profession and Professional
and told “unpack your bags because the mayor’s favorite detec-
The word profession comes from the Latin pro (forth) and
tive is going in your slot.” The replaced detective thought it
fateri (confess), meaning to announce a belief. At its earliest use,
stunk, but accepted it without outward rancor.
the word referred to public statements or declarations of faith.40
During the Reformation Period, progress was made toward reduc- By 1541, profession meant a learned occupation and 25 years
ing corruption, fraud, waste, and abuse in government; creating a later, its meaning was reduced to how a person habitually earned
cadre of qualified personnel to hold public jobs; developing the civil a living. In 1675, there was another shift, professing to be duly
service system; emphasizing proper recruitment, selection, training, qualified. The serious work on professions has centered on
and promotion of governmental employees; rescuing the public’s specifying what criteria must be met to constitute a profession.
business from highly partisan/machine politics; and developing new Table 1.1 illustrates three different views about such criteria.

Table 1.1 T hree V ie w s of the C riteria M aking U p a P rofession 41

Most Commonly Identified Criteria Merton’s Criteria
1. An organized body of theoretical knowledge. 1. Knowing (systematic knowledge).
2. Doing (trained capacity and technical skill).
3. Helping (knowing and doing).
2. Advanced study is needed to master knowledge.
3. A code of conduct guides action.
4. Prestige.
5. Standards of admission.
6. A professional association. Becker’s Criteria
7. Altruism is the driving force for wanting to practice If you can get people to call you one, you are one.
the profession.

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 c h ap t e r 1 • T h e E vol u t i on of P ol i c e A dm inis t rat ion 13

Quick Facts: August Vollmer: The Father of Modern Law Enforcement

Beginning in 1829, England’s London Metropolitan Police professional policing was the work of August (Gus) Vollmer
created a full-time paid police force that was “professional” in Berkley, California, during 1905–1932 (see Figure 1.10).
in the sense of that’s how officers habitually earned their liv- Without detracting from the genius of his efforts, note that
ing. Similar “professional” officers existed in this country from his successes closely parallel those of the Reformation Period
roughly 1845 onward. However, the genesis of American of 1900–1926.

Figure 1.10 c August Vollmer, seated second from far left. (Courtesy of the City of
Berkeley Police Department-Historical Unit)

The importance to policing of being seen as a profession was thought of as being upper class. Knowing that such people were
fundamental to transforming the public view of officers from influential in molding opinions, chiefs quickly assigned their best
corrupt thugs and heavy-handed brutes to something noble— officers to traffic enforcement duties.
professionals. Every opportunity to develop this view was seized Carte summarized the work of this giant: Under Chief Vollmer’s
upon. For example, when cars first became available, they were leadership (see Figure 1.10, the Berkeley Police Department
largely purchased by people with a degree of affluence, those (BPD) became the model for professional policing. He mobilized

Quick Facts: August “Gus” Vollmer

“Gus” Vollmer (1876–1955) is the father of modern law enforce- title was changed to Police Chief. In 1921, he was elected Presi-
ment. Born in New Orleans to German immigrant parents, his dent of the International Association of Police Chiefs. Retiring
formal education ended in the sixth grade. Gus served with the from the Berkeley Police Department in 1932, he remained
Marine Corps in the Philippines during the Spanish-American active as a consultant and writer for many years. Suffering from
War (1898), fighting 25 engagements with enemy forces. He failing eyesight, Parkinson’s disease, and cancer, this extraordi-
was elected Berkeley Town Marshall in 1905, and in 1909, the nary man ended his own life at 79 years of age.

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 14 chap te r 1 • The E v o l u t io n o f P ol i c e Ad mi n i s t r at i on

officers, moving them first to bicycles and then to patrol cars, While some worked at ending the spoils system, other
introduced a police signal system to dispatch calls, established a reformers sought to enhance professionalization by using a new
modern records system, used crime analysis to establish and staff model that presumably would lead to more efficient operations.
geographical beats, created the first scientific crime laboratory in They concluded the country was besieged by crime and that
the United States in 1916, and the first lie detection machine used police, as our front line of defense against it, were analogous to
in investigation was built in the BPD in 1921.42 the military.
Despite these achievements, Vollmer is better known for his The military model (Figure 1.11) resulted in more staff
tireless efforts to improve the caliber of personnel. He estab- positions to do specialized work, an emphasis on both line
lished police training in 1908, encouraged officers to attend inspection of officers and staff inspections of functions, writ-
college classes, introduced intelligence and psychological test- ten policies and procedures, enhanced training, increased
ing for officers, and, around 1919, began recruiting college accountability, and the widespread adoption of the bureau-
students.43 Although they never constituted a majority of offi- cratic form of organization (see Chapter 5, Organizational
cers, the “college cops” set the tone for the BPD over the com- Theory), which remains in use today. The implementation of
ing decades. The most influential of these “college cops” was the military model required expanded authority for chiefs,
O.W. Wilson.44 who were then able to put an end to precincts operating so
independently that they sometimes looked like completely
separate agencies.
The Pendleton Act of 1883 The military model was so persuasive that some jurisdictions
to the Military Model hired military officers to head their law enforcement agencies.
The Pendleton Act of 1883 marked the beginning of the end Illustratively, retired Marine Major General Smedley Butler was
for the ills of the patronage/spoils system. In the three decades hired as Director of Public Safety in Philadelphia, serving during
following the adoption of the Pendleton Act, state and local 1924–1925. General Butler is among an elite group of 19 men
governments also adopted similar measures, although the in our nation’s history who were awarded two Congressional
spoils systems lasted well into the 1900s. The federal Hatch Medals of Honor for valor.
Act (1939) placed another wedge between politics and admin-
istration by forbidding federal employees from engaging in
partisan political activities, which also spurred similar mea- PROHIBITION TO THE 1930s
sures, “Little Hatch Acts,” by state and local governments.
Although the rise of federal and state civil service systems
intuitively is attractive, some observers were not so enthusiastic. The Roaring ’20s and Prohibition
Fosdick, writing in 1920, concluded that it sometimes made it The 1920s are often referred to as the “roaring ’20s” because
difficult to terminate officers who committed serious breaches of the tremendous changes that occurred in America in that
because the proof did not satisfy civil service safeguards. decade. Following World War I, military demobilization
Civil service and Vollmer’s notion of educated, professional released hundreds of thousands of young men to work in the
officers also conflicted. The former’s emphasis was on keep- rapidly expanding economy as our factories shifted from the
ing politics out of policing, whereas Vollmer’s concept of production of military necessities to consumer goods. Henry
merit was competent performance. Perhaps as much as Ford made millions of affordable cars. The construction of
80 percent of an agency’s budget is spent on personnel and highways quickly paralleled this development, as did the pro-
related support costs, so personnel issues continue to be liferation of motels, gas stations, cafes, and other businesses
prominent for chiefs today (see Chapter 7, Leadership; Chapter 9, catering to travelers. Some state highway patrol agencies were
Human Resource Management; and Chapter 12, Financial created to foster the safe movement of vehicles along these
Management). new road systems. Suburbs, formerly limited to areas served

Quick Facts: O.W. Wilson

Orlando Winfield Wilson (1900–1972) both studied under served as an Army Colonel in England, Italy, and Germany,
Vollmer and worked for him as a patrol officer. After graduating often helping to reorganize police agencies. He returned to
from the University of California at Berkeley, O.W. spent the Berkeley and became the Dean of the School of Criminology
next 14 years serving as Chief of the Fullerton, California, and (1950–1960). O.W. became Superintendent of Chicago’s scan-
then the Wichita, Kansas, Police Departments. He advocated dal-ridden police department (1960–1967), earning him a repu-
many of the things Vollmer did, earning him a reputation as a tation as a fair but tough-minded reformer. Well established as
progressive leader. In 1939, he joined the Berkeley faculty as an advocate of professionalism, O.W. Wilson’s well-regarded
professor of police administration. From 1943 to 1947, O.W. Police Administration (1950) was another jewel in his crown.

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 c h ap t e r 1 • T h e E vol u t i on of P ol i c e A dm inis t rat ion 15

Figure 1.11 c The military model at work in policing. A 1906 Pennsylvania State
Police barracks inspection. (Courtesy of the Pennsylvania State Police)

by trolley and train lines, could spring up anywhere there were Making alcohol illegal was preceded by the formation and
roads. Some suburbs evolved into towns, resulting in more mutual support of various temperance movement organiza-
small police departments, and big-city police agencies added tions, including the Prohibition Party (1869), which offered
more officers. candidates for election, and the Woman’s Christian Temper-
Women rebelled at the strict rules for their dress and behav- ance Union (WCTU, 1874). Perhaps the best-known WCTU
ior. A new sound, jazz, swept the nation, abetted by the rapid temperance activist was Carry Nation (Figure 1.12) who
expansion of radio stations, which also created national sports went into saloons with a hatchet, ripping kegs open and
heroes, such as baseball’s Babe Ruth and golf’s Bobby Jones. scolding drinkers. She was arrested more than 30 times for
Also during the second decade of the 20th century, the first these “hatchetations.”
“talkie” movie was made, the rural electrification movement Prohibition was ratified as the 18th Amendment to the Consti-
began, and telephone service expanded dramatically. Amid all tution in 1919, the same year Congress passed the National
of these changes, the “noble experiment” of prohibition was a Prohibition Act, more commonly known as the Volstead Act,
defining force throughout the 1920s. as the legal means for enforcing the new amendment. The mak-
In the first half of the 19th century, ministers used their pul- ing, manufacturing, selling, bartering, transporting, importing,
pits to denounce drinking, claiming that those who imbibed exporting, and delivery of alcohol were made illegal, with the
excessively were sinners who had lost their way with God. Thus, exception that 200 gallons of alcohol could be made annually by
the temperance movement, which began in the second half homeowners for their own consumption. However well intended,
of the 19th century, grew out of churches. national prohibition resulted in a large, illicit market for alcohol
There were substantial reasons to oppose alcohol, drunken- that gangsters fought violently to control. They smuggled “booze”
ness was made worse by other vices commonly found in saloons, from Canada and across the ocean in “rum runner” boats, set up
such as prostitution and gambling. Drinking constituted both illegal breweries and stills, and hijacked their rivals’ liquor con-
significant family and public health problems. In the 1800s, voys. Illegal bars called speakeasies were established, so named
deaths by liver cirrhosis and chronic alcoholism were 25 per because at their entrances customers spoke the password softly
100,000 people,45 more than twice what it is now. Given these before entering and drinking. In New York City alone, there were
problems, the existence of a national prohibition law (1919– an estimated 32,000 speakeasies.50 “Bootlegger” was a flexible
1933) can in part be viewed as pro-family legislation.46 term meaning people who made, smuggled, or transported
In the second half of the 18th century, temperance crusaders liquor. It was also used to refer to people who had a flask slipped
turned from using moral persuasion to legal coercion.47 Some into their boots or held one on their leg by a garter (Figure 1.13).
17 states adopted prohibition laws, although by 1903, all but The prohibition era is a prime example of the law of unin-
three abandoned them.48,49 tended consequences. It did more to damage the image and

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 16 chap te r 1 • The E v o l u t io n o f P ol i c e Ad mi n i s t r at i on

Figure 1.12 c The family Bible recorded her name as Figure 1.13 c A 1922 “bootlegger” and “flapper.”
Carry Nation (1846–1911), although it is habitually misspelled Tired of the strict roles set for “proper ladies,” flappers
as “Carrie.” She referred to herself as “a bulldog running asserted their independence during the 1920s by challeng-
along at the feet of Jesus, barking at what He doesn’t like.” ing conventional notions about how women should behave.
(Library of Congress Prints and Photographs Division [LC-B2- 1131-3]) “Shockingly,” they wore make-up, danced, dressed
­“provocatively,” wore their hair bobbed, smoked and drank
in speakeasies. (Library of Congress Prints and Photographs Division
reputation of policing than any other single event. To protect [LC-USZ62-99952])
their operations, gangsters bribed police, judges, and other pub-
lic officials to “look the other way” on a massive scale. The police
professionalization movement was hampered and law enforce- esteem for government and its officials lingered on for years, and
ment suffered a self-inflicted black eye that lingered for decades organized crime continues to plague our society.
afterward. Still, officers of integrity continued to enforce the law
(Figure 1.14). In Chicago, Eliot Ness, a federal Treasury agent, The Lawless Years: Late 1920s to 1930s
and 10 agents he handpicked were known as the untouchables Overlapping with the later portion of the prohibition period, the
because they couldn’t be “bought.” lawless, or gangsters’, era lasted from the late 1920s and into the
Prohibition also resulted in 1,300 breweries being closed,51 mid-1930s, when criminals filled their pockets with spectacular
causing thousands of people to lose their jobs and fewer tax bank robberies and kidnappings, known as the “snatch racket.”
dollars flowing to governments. Less well recognized is that pro- These bandits operated in the same era as prohibition gangsters,
hibition created the environment in which organized crime could but were independent of them, specializing in robbing “soft tar-
be invented,52 or at least systematized, and gain a tenacious grip gets,” small banks, and snatching wealthy people from their
on public officials. Because prohibition laws were widely unprotected homes.
flaunted, many people developed a diminished regard for the In the crash of October 1929, the stock market lost 80 percent
law and authority. of its value, wiping out billions of dollars of wealth. Millions of
Recognizing the widespread disobedience to the Volstead Act people became unemployed, lost their homes and farms, and con-
and the many ills associated with it, Congress abolished the sumer spending dried up. The severe droughts in the American
Volstead Act in 1931. Two years later, the 21st Amendment prairie states during 1930–1936 created a “dustbowl” as fertile
repealed the 18th Amendment. Still, the damage done to public topsoil got blown away. More people lost everything and

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Figure 1.14 c New York City police pour alcohol seized in a 1921 speakeasy raid
into the sewer system. (Library of Congress Prints and Photographs Division [LC-USZ62-123257])

immigrated, seeking a better life elsewhere, many going to first comprehensive study of crime and policing in America’s
­California. Collectively, these immigrants were called Okies history. It was commonly referred to as the Wickersham
because so many of them, between 400,000 and 500,000, fled Commission, taking the name of its chairman. The ­Wickersham
Oklahoma; the plight of these families was memorialized in John Commission issued its report in 1931, consisting of 14 volumes,
Steinbeck’s The Grapes of Wrath53 (1939; Figure 1.15). In response much of it written by August Vollmer. Among its recommenda-
to these migrations, some cities established “bum blockades” tions was support for civil service protection for the police and
manned by police officers to turn back everyone who lacked enhanced training and education. Major academic police pro-
sufficient funds to support themselves54 so they wouldn’t be grams sprang up or expanded at the University of California,
a drain on local resources. In California, the police sold Berkeley; Michigan State University; and Northwestern
license plates at the state line blockades as a partial test of University.57
finances. The bum blockades also created negative opinions The importance of separating police and politics gained addi-
of the police among those who were turned away. tional impetus as law enforcement associations emerged. In
During the depression, as a means to ensure that jobs went to 1934, the International Association of Chiefs of Police
local taxpayers and to help the local tax base, city and county (IACP) was formed.58 The IACP issued a newsletter, creating a
governments enacted residency requirements mandating that common perception of what was important to the profession.
employees live within the jurisdiction of the employing unit of The FBI established its crime laboratory in 1932, which provide
government and existing employees had to meet the same stan- free analysis of evidence submitted by state and local police
dard to keep their jobs.55 Critics of the requirement argue that it agencies. Two years later the FBI launched its prestigious
places officers in a difficult situation. They had to choose between National Police Academy (NA, 1934) to train police execu-
living in better neighborhoods, which they found difficult to tives, resulting in a core of knowledgeable leaders. As the next
afford and living in lower income areas where their children may decade began in 1940, the National Sheriffs Association
have to attend marginal schools.56 (NSA) came into being.
However difficult the 1930s, law enforcement, surprisingly, The kidnapping and murder of the infant son of “Lucky
gained some momentum, moving away from its tarnished Lindy” Lindbergh, the first man to complete a trans-Atlantic flight,
image and toward increased legitimacy and authority in soci- led to the adoption of the federal Kidnapping Act (1932), which
ety. President Hoover appointed the National Commission gave the Federal Bureau of Investigation (FBI) jurisdiction over
on Law Observance and Law Enforcement in 1929, the such crimes.

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Figure 1.15 c Her tough life is carved into the face of this 32-year-old mother. With her
seven children, she lived in a migrant pea picker camp near Nipomo, California. Note the
condition of the clothes, the kerosene lantern, and the canvas tent. Because the early pea
crop failed, the camp is destitute. The parents of this family have just sold the tent in order
to buy food for their family. (Library of Congress Prints and Photographs Division [LC-USF34-9093-C])

In some circles, bank robbers achieved celebrity status, with from fun to repressing former slaves, referred to as freedmen,
colorful names such as “Pretty Boy” Floyd, “Creepy Karpis,” and first by intimidation tactics and then by violence.
“Handsome Harry” Piermont. Because these bandits moved rap- The KKK essentially took over some of the duties that slave
idly from one state to another, frustrating state and local inves- patrols held until the end of the civil war. Those patrols, usually
tigators who lacked wider jurisdiction, the Congress passed the of three to six persons,61 could enter any plantation and search,
federal Bank Robbery Act (1934) and tasked the FBI with its without warrant, slave quarters, disperse all slave meetings, hunt
enforcement. Fairly quickly, the FBI apprehended or killed down fugitive slaves, and administer impromptu punishments as
notorious bank robbers resisting arrest, making it a very danger- they saw fit.62 Many Southerners tolerated or approved of the
ous occupation. John Dillinger (1903–1934), who may have Klan’s activities. Freeing the slaves upset the status quo and cre-
robbed two dozen banks, was killed in a gunfight with FBI ated chaos. The KKK repression of African-Americans had the
agents outside of a Chicago theater, marking the end of the potential to maintain white supremacy and “restore order,”63
lawless era.59 warding off feared depredations by them, creating some resem-
blance to the pre-1865 South.
Southern state and local legislatures quickly adopted Black
The Ku Klux Klan: Formation to the 1930s Codes in reaction to losing the Civil War; the codes were
Like the situation in prohibition, the relationship between some intended to keep African-Americans “inferior.” During 1880–1960,
law enforcement officers and the Ku Klux Klan (KKK, see Jim Crow laws added more restrictions. The name Jim Crow
­Figure 1.16) was toxic, producing effects that have lingered for was taken from a minstrel show character, played by white
decades. The KKK was formed in Pulaski, Tennessee in 1866 actors who blackened their faces with burnt cork and presented
by Confederate Army veterans who were bored and wanted to a grotesque caricature of African-Americans.
create a mysterious stir at parties.60 They made up names for Together, the Black Codes and Jim Crow laws made a mock-
themselves such as Grand Cyclops and Imperial Wizard, and ery of equality. It was all but impossible for African-Americans
wore masks and robes made from sheets by the wife of a to vote, and they were prohibited from assembling unless a
founding member. However, quite quickly the agenda shifted White person was present. Separate facilities, including

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 c h ap t e r 1 • T h e E vol u t i on of P ol i c e A dm inis t rat ion 19

Figure 1.16 c A KKK parade, circa 1921. The participation of children was intended
to indoctrinate them in hate. (Library of Congress Prints and Photographs Division [LC-F81-43556])

telephone booths and cemeteries, were mandated, it was illegal Later, it became synonymous with hanging someone without the
to teach Blacks how to read or write, and mixed marriages were legal authority to do so.64,65,66
forbidden. Enforcement of these laws caused the police to drop Nationally, lynching was a ferocity that was substantially race
even lower in the estimation of African-Americans. based against African-Americans, Chinese, Hispanic, and Native
To combat the KKK and the Black Codes, the Republican- American victims.67 Before these lynchings, some victims were
dominated Congress passed laws to “reconstruct” the south beaten or tortured.68 Some of these grisly acts were conducted
(1865–1877) into something that approximated life in the in sight of African-American enclaves and their church congrega-
northern states. Reformists of all types, primarily from New tions as a means of intimidation.69
England, flooded the South, many with the selfless intention Lynchings were often based on mere suspicion or an accusa-
of helping the South “to raise itself.” Others arrived with the tion. At least occasionally, law enforcement officers led the pos-
intention of simply making profits and gaining power. The ses that apprehended and lynched the “offender.” In other
“uninvited do-gooders” that came south with their alien ideas instances, police officials released prisoners to lynch mobs or
were derisively lumped together by southerners as carpet- failed to intervene when mobs seized African-Americans and
baggers, so called because their luggage was cheaply made executed them. An ugly truth is that some officers were also Klan
of second-hand carpet. members. Lynchings tainted police race relations across genera-
The federal Forces Act (1870) was passed in response to the tions, creating a hostility toward, and an abiding suspicion of,
actions of the KKK. Prosecutions under the Act resulted, for the the police, often manifested by a lack of co-operation.70
most part, in the disintegration of the Klan, although arguably
state and local legislative bodies had substantially achieved
White supremacy through the Black Codes. Since the reconstruc-
tion following the Civil War, the KKK has reinvented itself several
THE 1940s AND 1950s: WAR, Fear
times (see Figure 1.16 and Chapter 3, Intelligence, Terrorism, and of Communism, AND THE
Homeland Security).
Lynchings are often associated with the KKK, but were not PROFESSIONAL MODEL
unique to it. The term is derived from the name of Charles Lynch
(1736–1796) of Virginia. During the tumultuous American Revo-
REASSERTED
lution, he led a group of people who took the law into their own These two decades were dominated by World War II and the
hands to deal with criminals. At its earliest meaning, lynching Korean War (1950–1953). The mobilization of able-bodied
meant rough justice and often only involved a severe beating. men for military service created opportunities for women in

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 20 chap te r 1 • The E v o l ut io n o f P ol i c e Ad mi n i s t r at i on

policing and the defense industry. The police took on new targets. Downtown areas were dark and windows everywhere
responsibilities as part of the war effort, the civil rights move- were outfitted with dark shades. Nonetheless, a few attacks did
ment was born, there was substantial fear of communism, and occur.71
the publication of O.W. Wilson’s Police Administration Law enforcement was engaged in combating forged ration
­reaffirmed the professional model of policing. books, which limited the amount of commodities (e.g., butter,
gas, and meat) that the public could buy in order to redirect
those goods to a rapidly expanding military. Civilians supported
The 1940s: World War II and Some the war effort with victory gardens (see Figure 1.18), planting
Progress for Women in Policing vegetables and fruit to meet some of their own food needs.72
The 1940s were defined by America’s involvement in World When the war ended, veterans came home, the domestic
War II, which lasted some four years after Operation Z, the market for goods heated up, and jobs were plentiful in an
Japanese attack on Pearl Harbor, Hawaii (December 7, 1941). expanding economy. Some numbers of veterans made a smooth
The men in public safety agencies had no exemptions from transition from the military to police departments because of the
compulsory military service and they volunteered and were preference given to military veterans in hiring and their familiar-
drafted in great numbers. Departments quickly turned their ity with responsibility, wearing a uniform, a hierarchical organi-
attention to the new staffing realities: (1) the remaining officers zational structure, and formal ranks.
did not meet military physical standards and/or were too old for Now past the pain of the depression and the war, prosperity
military service. For the duration of the war, there would not be seemed within the grasp of Americans. New highways were
better police applicants and (2) women could be part of the built, and factories that had produced tanks now churned out
staffing solution. cars. Many people who suddenly joined the middle class left
Although small numbers of women had been hired as police the cities for the newly developing suburbs, purchased with the
officers since 1920, the war opened the door to more of them, help of veterans’ benefits. The Levitt brothers built so many
but they were often assigned to specialty duties such as dealing suburban homes that a generic name for any suburb became
with juvenile delinquents and shoplifting. This practice was the “Levitt Town.”
norm for several decades thereafter (Figure 1.17). The Civil A novelty in the 1940s, television expanded in the 1950s as
Rights Act of 1964 invalidated Jim Crow laws. Title VII of the quickly as radio stations did following World War I. The New
Act forbade businesses to discriminate in hiring, promoting, and York City Police Department rapidly seized on TV for administra-
firing on the basis of sex, race, color, religion, and national ori- tion purposes and to broadcast lineups of suspects to police
gin, but state and local units of government were excluded from precincts located conveniently for victims.
this requirement until the passage of the Equal Employment
Opportunity Act of 1972, which amended Title VII. Function- The 1950s: The Korean War, Fear
ally, this opened the door for women to be used in all types of
assignments, including patrol, and fostered more minority hir-
of Communism, and the Professional
ings. Police duties during World War II expanded to civil defense Model Reasserted
tasks in some jurisdictions as they were tasked with such respon- For the most part, interest in the police waned during the 1950s, as
sibilities as directing the work of air wardens. Concerned about new issues came to the fore, including urban congestion and the
air raids and shelling from submarines, air raid warden units perception that traditional values were on the decline.73 O.W.
were formed around the country, staffed by women, civic and ­Wilson’s Police Administration (1950) essentially validated the
fraternal groups, Boy Scouts, and other volunteers. Among their ­military model, whose core operational philosophy was R2I:
duties were checking to make sure no lights were showing, respond to incident. Crime was thought to be prevented and appre-
which our enemies could see and use to navigate toward their hensions made by random, aggressive patrol in all areas of the city

Quick Facts: Japanese Attacks on the American Homeland

In 1942, a Japanese sub surfaced off the coast of Califor- wooded section of Oregon. Japan also launched 9,000 bal-
nia. Sixteen shells from a deck-mounted gun were fired at loons into the Pacific Jet Stream. Fire bombs and/or anti-
the Ellwood Oil Field near Santa Barbara, causing little personnel mines were suspended underneath the balloons.
damage. That same type of attack occurred again later Only 342 are known to have reached the United States. Some
that year when a Japanese sub followed fishing boats of the balloons were carried as far as Arizona, Kansas, and
transiting from the Pacific Ocean up the Columbia River Michigan, but none caused major fires. A Sunday school
in Oregon. teacher and five of her 13- and 14-year-old students were
Intending to start a forest fire, a seaplane launched from killed by a balloon, the only mainland American civilian casu-
a Japanese sub dropped incendiary bombs on a heavily alties that occurred during World War II.

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 c h ap t e r 1 • T h e E vol u t i on of P ol i c e A dm inis t rat ion 21

Figure 1.17 c The door to a police career opened a little wider for these women
taking the 1947 New York City Police Department entrance examination. (Library of Congress
Prints and Photographs Division [LC-USZ62-136823])

Figure 1.18 c Spring 1943, planting a victory garden for personal consumption at an
unspecified location. Even small children were involved in this effort. (Library of Congress Prints
& Photographs Division [LC-USE6-D-009201])

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 22 chap te r 1 • The E v o l ut io n o f P ol i c e Ad mi n i s t r at i on

at all times. Police Administration quickly became the “Bible” for Rosa Parks (1913–2005), an African-American woman rid-
law ­enforcement executives, who were guided by it as they sought ing a public bus in Montgomery, Alabama, refused to give up
to find the optimum way to organize and staff the units in their her seat up to a White man on December 1, 1955, and
agency and achieve the most efficient operations. Written policies and was arrested (see Figure 1.19). Reverend Martin Luther
procedures manuals became more common and comprehensive. King, Jr., a 26-year-old minister in that city, organized a bus
On the streets, officers who were combat veterans watched boycott by African-Americans that lasted 381 days and reduced
rookie officers closely. The veterans would tolerate rookies who bus revenues by 80 percent.75 The incident birthed the Civil
drank too much, ran around on their spouses, and were bill dead- Rights movement. The next year, federal courts ordered the
beats,74 but if a rookie couldn’t be counted on in a fight, the desegregation of the bus system.
veterans would run him off. This value may account for some Although African-Americans had served as lawmen in the West
portion of the belief in police circles that women were ill-equipped after the Civil War, their numbers were not large. Some municipali-
for patrol work. In that era and several decades that followed, it ties with large African-American populations, including ­Washington,
was widely thought that physically women wouldn’t be able to DC (1861), Chicago and New Orleans (1872), and Charleston,
handle the rough hands-on part of policing. The “weaker sex” South Carolina (1873), began hiring minorities at the onset and
continues to invalidate stereotypes of them: In 2015, two of the after the Civil War to police their “own kind.” During the 1950s,
new graduates of the Army’s Ranger School were women. more substantial representation was achieved. In Brown v. Board
The Korean War (1950–1953) saw the recall of many World of Education (1954), the Supreme Court ruled that segregation was
War II veterans, including some law enforcement officers, who illegal, although the ruling was more often ignored than followed.
had joined or stayed in reserve and National Guard units. Nationally, real progress in the hiring and promotion of African-
Because the Korean War was confined to one peninsula and, Americans was not made until the succession of civil rights bills
thus, was a war fought on a smaller scale, the impact on police previously noted was passed during the 1960s and 1970s.
staffing was far less than that of World War II. During the 1950s and extending into the mid-1960s, a small
In 1953, Ethel and Julius Rosenberg were executed for divulg- number of Southern cities still had the problem of the “unequal
ing nuclear bomb secrets to the Soviet Union. The Soviet Union badge.” In those cities, African-American officers were not allowed
beat the United States into space in 1957 with the first satellite, to arrest a White person because of the fear it might trigger a riot.
Sputnik, causing concerns about communists using the bomb to Therefore, minority officers could not drive patrol cars for a similar
rule the world from space. In addition, Castro’s rise to power in reason; it was believed that White motorists would not accept a
Cuba (1959) put communism on our doorstep and Senator ticket from an African-­American officer.76 This resulted in the prac-
Joseph McCarthy ran roughshod, searching everywhere for com- tice of majority officers dropping their African-American counter-
munists, until he was discredited. parts off at their walking beats in minority business districts at the

Figure 1.19 c Mourners file past the casket of Rosa Parks, the mother of the Civil
Rights movement, in the Rotunda of the U.S. Capitol, Washington, DC. Honoring a
­private citizen in this manner is rare. She is the first woman to be so recognized. (Mandel
Nfgan/AFP/Getty Images)

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 c h ap t e r 1 • T h e E vol u t i on of P ol i c e A dm inis t rat ion 23

beginning of a shift and picking them up afterward. Minorities when the Soviet Union launched the first man into orbit (1962).
subtly retaliated by getting into the back seat when being picked The Soviets ignited the Cuban Missile Crisis in October 1962 by
up, making it appear White officers were their chauffeurs. placing nuclear weapons in Cuba, and war seemed terrifyingly
In 1959, the California Peace Officers Standards and imminent. Although Russian Premier Khrushchev quickly
Training Commission (POST) was legislatively created to removed the weapons, the practical effect was that Castro’s
set minimum standards for the selection and training of police hand was strengthened. We agreed not to invade or sponsor
officers. Although some states followed suit during the early further invasions of Cuba.
1960s, many POST units were not created until the late 1960s Domestically, the 1960s was a staggering decade for our society
and early 1970s when federal grant funds from the now- as smoldering racial, social, and economic tensions erupted. In
defunct federal Law Enforcement Assistance Administration 1965, these tensions boiled over in Los Angeles’ Watts neighbor-
(LEAA) were available. POST units play an important role in hood. A White California Highway Patrol motorcycle officer
police professionalization. They essentially constitute a profes- stopped Marquette Frye, an African-American, for drunk driving.
sional licensing board and can revoke an officer’s certificate Frye’s brother was also in the car and the men’s mother soon
to hold a job with any public law enforcement agency in the appeared. Los Angeles officers arrived to assist as African-­
state that issued it. Americans congregated at the scene. Events spiraled out of
­control, rocks were thrown at the officers, and all three Fryes were
arrested. Six days of looting, sniping, and arson followed in Watts,
34 people were killed, most of them were minorities, and losses
THE TURBULENT 1960s: amounted to $200 million before an uneasy peace was restored.
RIOTS, POLITICAL PROTESTS, Over the next three years, more than two dozen major cities
were struck by similar riots. The 1967 Detroit riot could not be
ASSASSINATIONS, AND controlled by local officers and elements of the state police and
Michigan’s National Guard. Ultimately, it took the presence of two
THE ISOLATION OF THE brigades, one each from the 82nd and 101st Airborne Divisions to
RANK AND FILE restore order. The following year in Washington, DC, a riot broke
out the day the Reverend Martin Luther King was assassinated in
World War II regained international attention with the trial Memphis, Tennessee. It was only quelled with the assistance of
(1961) of Adolph Eichmann in Israel for his role in the ­holocaust. nearly 14,000 troops (see Figure 1.20), although rioters came
Closer to home, the Bay of Pigs, the American-sponsored Cuban within two blocks of the White House before being forced back.
invasion (1961), intended to topple Castro, failed. Further con- The causes cited across all of these riots were fundamentally
cerns about the “commies” controlling outer space were sparked the same: high rates of minority unemployment; poor housing;

Figure 1.20 c Army soldier on duty during the 1968 riot in Washington, DC. The
smoldering building in the background is an indicator of the wider damage. (Library of
­Congress Prints & Photographs Division [LC-U9-18949-12])

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 24 chap te r 1 • The E v o l u t io n o f P ol i c e Ad mi n i s t r at i on

White store owners who took money from the minority com- Chicago police clashed repeatedly with demonstrators at the
munities but showed no reciprocity, such as jobs for them; a 1968 Democratic National Convention. Both sides used excessive
segregated and unequal society; and police officers viewed as force. The demonstrators threw apples into which razor blades had
hostile and repressive, a force of occupation to maintain the been inserted, vials containing urine, and garbage can lids at the
status quo. police. Such provocations do not, however, excuse the out-of-control
The first mass murder on an American university campus behavior exhibited by the police on some occasions.
occurred at the University of Texas in 1966. In today’s lexicon, Further evidence to the police that our society was
there was an active shooter on campus. Charles Whitman ­u nraveling during the 1960s were the assassinations of
brought an assortment of firearms, including a scoped rifle, to ­President Kennedy (1917–1963) in Dallas78; Robert Kennedy
the 28th floor of a campus building and began shooting. Before (1925–1968), the dead President’s brother, who was cam-
he was stopped, Whitman killed 14 people and wounded 32 paigning for the presidency in Los Angeles; and the civil rights
others. He died a few days later of wounds inflicted by the leader, Reverend Martin Luther King, Jr. (1929–1968), who was
police. To some degree, the incident helped transform campus supporting a sanitation workers strike in Memphis. On April
security departments from simply being unarmed watchmen to 4, 1968, the Reverend Martin Luther King, Jr., stepped outside
professional police agencies. of his hotel room and was shot to death by James Earl Ray
In 1967, the first national study of police since the ­Wickersham (1928–1998, see Figure 1.21). The day before, in Memphis, the
Report (1931) was completed. President Johnson’s Commission Reverend King gave perhaps his most notable address, “I’ve
on Law Enforcement and Administration of Justice issued a sum- Been to the Mountaintop.”
mary report, The Challenge of Crime in a Free Society. The A new world was unfolding that the police did not under-
study was supplemented by task force reports on the police, stand and in which they felt isolated and unsupported. In this
organized crime, and other topics. The organization of the Com- milieu, police professionalism took on new urgency. Before the
mission’s report paralleled the Cleveland Foundation’s use in 1960s, police departments, as an entry-level educational attain-
1922 of subordinate working groups to study specific areas. ment, commonly required a tenth-grade to a high school degree,
Among the recommendations made was that police officers or its counterpart, the general equivalency degree (GED). The
should have college degrees. The 1968 report from the National first major law enforcement agency to require a college degree
Advisory Commission on Civil Disorders, the Kerner Com- was the Multnomah County Sheriff’s Office (Oregon) in 1965,79
mission, which also took the name of its chair, Ohio Governor although in most cases, if any college was required it usually
Otto Kerner, simply confirmed what everyone knew were the amounted to 6 to 12 semester hours. Other departments hired
causes of riots. It also acknowledged the confusing demands officers with the understanding that they would complete a cer-
being placed on law enforcement: One side saw the police as tain number of hours within a specified time period after
maintaining order at the expense of justice, whereas the other appointment or forfeit their jobs. Police locker rooms were polar-
demanded tougher enforcement.77 ized as the less-educated portion of the older officers taunted
The Kerner Commission didn’t start the role debate, but it younger, college-attending officers with requests to “Talk some
certainly added credence, as did The Challenge of Crime in a psychology” and “Say some sociology to me.” The kindest epi-
Free Society, to the need to have such a discussion. As stated thets hurled at officers working on a degree were “egghead” and
earlier, at the core of the military model was the belief that there “educated idiot.” On campus degree-seeking police officers were
was a war on crime led by the police. Their duty was ferreting subject to cries of “police spy” if their occupation was discovered
out crime, conducting investigations, making arrests, and assist- by other students. While a very small number of departments
ing with the prosecution of offenders. Others suggested that the required a college degree as an entry-level credential, the vast
police needed to be something more than that or risk forever majority remained at a high school education or a General
being seen as the “bullies” of a culturally divided society. During Equivalency Degree (GED).
the 1960s, the police, albeit slowly and under pressure, began a Nonetheless, in policing, “professional” slowly became syn-
metamorphosis from just being crime fighters. Their role enlarged onymous with “education” from roughly 1965–1967 onward.
to being conflict managers, community relations specialists, and Education was seen as a means of improving community rela-
a conduit to social welfare agencies. tions, which were generally poor before the urban riots and also
Meanwhile, other events in the 1960s were also changing the contributed to their advent, and of reducing police violence,
world-view of police officers. There were hippies, psychedelic promoting more judicious use of police discretionary decision
drugs, massive demonstrations against the Vietnam War, draft evad- making, countering corruption as a competing model, and rede-
ers and military deserters, civil rights marches and demonstrations, fining the role of policing our society.80 From the late 1960s until
the beginning of open emergence by gays, the burgeoning ­women’s the mid-1970s, there was a quick proliferation of police admin-
rights movement, the passage of civil rights legislation discussed istration and criminal justice programs in community colleges
earlier, and Supreme Court decisions, such as the restrictions placed and universities.
on police interrogations by Miranda v. Arizona (1966). Native Some impetus to college education for officers came in pro-
Americans sought more control over their lands and Cesar Chavez grams adopted by progressive communities. Those officers with
unionized mostly Mexican farm workers in the Southwest to pro- college degrees got an additional 5 or 10 percent above the
vide them with better working conditions and wages. normal salary and those without a degree could work on a

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Figure 1.21 c The Lorraine Hotel, Memphis, Tennessee. Reverend King, a Nobel
Peace Prize winner (1964), occupied room 306. (Library of Congress Prints and Photographs Division
[LC-DIG-highsm-04695])

degree and get some reimbursement for the cost, based on their isolated and unsupported, creating a “we against them” mentality
final grade.81 Tuition for an “A” was reimbursed 100 percent, a that propelled them to join unions as states began passing public
“B” 50 percent, and a “C” 25 percent. Officers were not normally sector collective bargaining laws in the 1960s. Unions created a
reimbursed for the cost of their books. Beginning in 1968, the new power center in police departments, exciting officers and
federal Law Enforcement Education Program (LEEP), an arm of alarming administrators.
LEAA, provided up to $2,400 a year to help defray college educa-
tion costs for criminal justice majors. Repayment could be
accomplished by a 25 percent loan forgiveness formula for each THE 1970s: RESEARCH,
year of service with a public criminal justice agency, up to a
maximum of four years/100 percent. EXPERIMENTATION,
Character and background checks became more robust, and
the use of polygraphs and credit checks became more standard.
AND RISING TERRORISM
Some psychological screening was done, although it often Wadman and Allisan wrote, “The 1970s are generally regarded
involved the general practitioner conducting the entry-level as a period of malaise in American history . . . the Vietnam
physical exam to simply state that no abnormalities were War ended without a sense of closure [1975], the Watergate
observed. The most important leap in the quality of applicant Scandal intensified distrust of government . . . the economic
screening was the result of standards set by emerging POSTs. downturn reduced budgets, limiting the ability of the police to
The professionalization movement during the 1950s and innovate . . . and traditional police concepts made it difficult
1960s shaped the role of the police and created a sense of pride for communities to influence police priorities and programs.”82
and unity among officers. However, in the second half of the President Nixon’s 1974 resignation while facing impeachment
1960s, police unity was redirected as a result of riots and civil grew out of the burglary of the Democratic National Commit-
rights demonstrations, Supreme Court decisions “handcuffing” tee headquarters at the Watergate Office Complex in Washing-
the police, a spiraling crime rate, an increasingly critical press, a ton, DC. The burglary was initially tied to the Republican
perceived lack of public support, and the creation of civilian Committee to Reelect the President and then to members of
review boards to investigate allegations of police misconduct President Nixon’s staff. As a result of Watergate, 61 percent of
fueled police suspicions of being under attack. Americans expressed distrust of government—a burden on all
Officers saw administrators as trying to bring unwanted public agencies, including the police. Prior events may have
change into their world and dismissed the “bosses” as being out also fed this distrust, including the killing of four Kent State
of touch with the realities of police work on the street. Together, University students by members of the Ohio National Guard
these events resulted in the police rank and file feeling they were (1970) who fired on the demonstrators83 and disillusionment

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with the Vietnam War. Because police officers also tried to Around 1970, there was a movement toward new organiza-
control protests, they were often bitterly resented by demon- tions. In 1969, the International Association of Police
strators who labeled them “pigs.”84 Women (IAPW), with roots that date back to 1926, adopted its
Once again, the country seemed to be coming unglued. current name. A number of state-level women officers associa-
Presidential candidate George Wallace was shot and paralyzed tions belong to IAWP. The National Association of Women
while campaigning in Maryland (1972)85 and there were two Law Enforcement Executives (NAWLEE) also advocates for
assassination attempts on President Ford’s life in an 18-day women’s issues in policing. The formation of the federal
period (1975). Against this social backdrop, important things National Criminal Justice Reference Service (NCJRS ,
were occurring in policing. The previously mentioned Chal- 1972) created an easily accessible body of cutting-edge informa-
lenge of Crime in a Free Society found, “There is no subject tion for criminal justice students, scholars, and practitioners.
connected with crime or criminal justice into which further HAPCOA, the Hispanic American Police Command Officers
research is unnecessary.”86 Doig reached the same conclusion, Association, was formed in 1973 to assist in the recruitment,
declaring that law enforcement was a terra incognita, an training, and promotion of qualified Hispanic men and women
unknown land.87 During the 1970s, with grants from LEAA, and to advocate for Hispanic law enforcement issues. The Police
there was a torrent of research. An early trilogy of major Executive Research Forum (PERF, 1975) was formed by the
experiments rocked policing: (1) the Kansas City Preven- largest city, county, and state agencies for the purpose of pursu-
tive Patrol Study, (2) the Rand Criminal Investigation ing research and public policy work of particular interest to its
Study, and (3) the team policing experiment. members. The National Organization of Black Law Enforce-
The Kansas City Preventive Patrol Study examined three types ment Executives (NOBLE, 1976) focuses on crime in low-
of patrol services to see what difference each made: income urban areas. The Commission on Accreditation of
Law Enforcement Agencies (CALEA, 1979) was established
1. Reactive districts received no regular patrol; officers with the support of the IACP, NSA, PERF, and NOBLE as an
who responded to calls entered and left the district by independent accrediting body for law enforcement agencies.
the shortest routes. CALEA accreditation can reduce liability insurance costs, be used
2. Proactive districts were saturated with two to three as a tool in attracting new businesses to a community, and stimu-
times the normal amount of patrolling. lates community pride and confidence in a community’s police
3. Control districts maintained regular or normal department. Although its formation falls in a later era, the
patrolling. National Association of Asian American Law Enforce-
ment Commanders (NAAALEC) was created in 2002 to pro-
The study found no significant differences in reported crime, mote a positive police image in Asian/Pacific communities and
arrests, traffic accidents, fear of crime, or security measures among to speak on topics of common concerns for its membership.
the three types of districts. As local governmental leaders learned The Greensboro Massacre (North Carolina, 1979) was one
of the results, some refused to fund requests for additional police of the most brutal and widely witnessed assaults on civil rights.
officers. The findings were controversial and dismissed by police Representatives of the Communist Workers Party, then known as
leaders as being a lone and methodologically flawed study. the Workers Viewpoint Organization, were attempting to unionize
The Rand (Corporation) Criminal Investigation Study sought to African-American workers, when members of a KKK and American
determine what factors contribute to the success of criminal inves- Nazi Party (ANP) caravan opened fire, killing 3 and wounding 10.
tigations, and just what it is that detectives do. Focusing on serious A police intelligence officer and a police photographer were pres-
crimes, the study concluded that the preliminary investigations ent, but the officer did not intervene. The incident was recorded
conducted by patrol officers provided the information that led to by the news media and the nationally distributed pictures provided
the solution of most crimes. Critics of detectives said it confirmed yet another example that the police would not protect minorities.
suspicions of their value, while police leaders labeled it “one, When all-White juries in both state and federal trials failed to con-
unreplicated study.” Like the Kansas City Study, the finding also vict the attackers, the judicial process was also stained. Finally, at
became an issue in police budgets for a period of time. civil trial, five attackers and the police were found liable. A much
Team policing was a bold reform effort to reshape how larger police presence may have prevented any deaths.
police resources were used and to reduce the amount of spe- Although terrorism is an ancient strategy, transnational terror-
cialization by using patrol officers in a variety of roles, such as ism began a march toward the present during the 1970s (see
plainclothes assignments.88 Roughly 20 to 30 officers were Chapter 3, Intelligence, Terrorism, and Homeland Security). On
formed into teams, under the 24-hour direction of a single com- Black Sunday (1970), operatives of the Popular Front for the
mander who controlled how they were deployed. By the end Liberation of Palestine (PFLP) hijacked four planes. The
of the 1970s, team policing vanished due to the problems of Black September Organization (BSO), a Palestinian group,
implementation and the opposition of mid-level police manag- killed 11 Israeli athletes and team officials at the 1972 Olympic
ers who correctly saw that it reduced their importance. The Games in Munich, some of whom died in a botched rescue
experiment increased appreciation of the capabilities of patrol attempt. Four years later, the PFLP, aided by two Germans from
officers and helped set the stage for community policing, which the Revolutionary Cells, hijacked an Air France jet and forced it
exploded during the 1980s. to fly to the Entebbe Airport in Uganda.89 The hijackers released

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all non-Jewish passengers but held their Jewish hostages in the Each of these paradigms are further discussed in detail in
terminal. The hijackers demanded the release of 53 Palestinians Chapter 2, Policing Today, along with other emerging approaches
held in several countries in exchange. The Israel Defense Force such as directed patrol and intelligence-led policing. However,
(IDF) conducted a spectacular raid, freeing the hostages.90 The it should be noted that of all of these approaches, COP had the
success of the Entebbe raid may have encouraged President quickest, and to date, the most widespread impact on policing.
Carter to approve a military plan to free 53 American hostages It produced an important impact on not only police operations,
held in Iran for more than a year. The raid failed and played a but also on the structure and culture of police organizations.
part in his defeat by Ronald Reagan.91 Certainly, policing has dramatically changed since the days of
August Vollmer and O.W. Wilson; policing has become much
more proactive, focused on preventing not only crime but ter-
rorism as well. Perhaps, no greater challenge confronts American
1980s TO THE 9/11 ATTACKS: THE policing today than the imperative to prevent the next terrorist
attack on the American homeland.
COMMUNITY-ORIENTED
POLICING ERA
Innovation in policing strategies occurred at a rapid pace during The New Operating
this 20-year period. Some came about as a result of the c­ onvergence
of several phenomena, including the rise of terrorism from foreign Environment: Post-9/11
and domestic sources, for example, al Qaeda’s September 11, 2001
(9/11) attacks on the World Trade Centers and the Pentagon and
to 2016
Timothy McVeigh’s 1995 bombing of the federal building in The new operating environment spans from post-9/11 to 2016.
Oklahoma City. The 2001 attacks produced the worst single day There are some periods in the history of police administration
loss of life by American police ­officers: 72. The call for more trans- that have been fairly stable periods and others with some conti-
parency in policing due to high-profile incidents involving law nuity mixed with some notable developments. The post-9/11 to
enforcement decision-making at Ruby Ridge, Idaho and in 2016 period had some continuity, but there were also major
Waco, Texas, also produced innovations to gain and maintain events that substantially impacted law enforcement in ways that
community trust. C ­ hapter 8 Planning and Decision Making could not have been foreseen. This section touches on four
addresses the impact of police decision making. subjects: (1) post-9/11 events and the war on terrorism, (2) the
New strategies in policing also emerged. These new para- effect on the Great Recession of late 2007–2010 and the slow and
digms include community-oriented policing (COP), zero mixed recovery that has followed, (3) police use of force issues
tolerance policing (ZTP), CompStat, evidence-based that has shaken confidence in the police, reinvigorated the inter-
policing (EBP), and hot spot policing (HSP). COP is the devel- est of the U.S. Department of Justice in investigating such inci-
opment of police strategies and programs in partnership with dents, and the impact of Baltimore police officers being
communities in order to deliver custom-tailored police services criminally charged in the death of Freddie Gray, and (4) the
and solutions to problems, as well as a renewed focus on crime Smart Policing Initiative and the Guardian Model.
prevention rather than crime detection. ZTP was based on the
premise that when small infractions of the law are ignored, it (1) Post-9/11 Events
creates a climate conducive to more serious crimes being com- Roughly six weeks after the 9/11 attacks, the Congress
mitted. The extension of this thinking was ZTP, which required quickly passed major legislation, the USA Patriot Act, spe-
non-discretionary enforcement for all crimes. CompStat, which cifically aimed at combating terrorism. Other acts for the
was initially implemented in 1994 in the New York City Police same purpose followed. As a result of the Patriot Act, state
Department, is a management control system designed to and local law enforcement’s powers and role in combat-
develop, analyze, and disseminate information about reported ing terrorism were also expanded. These measures and
crime and to track efforts to deal with it.92 Evidence-based polic- other aspects of terrorism are discussed in Chapter 3, “In-
ing (EBP) is based on data analysis of a constellation of sources, telligence, Security, and Homeland Security.
including intelligence, agency records, and scientific research. A few foreign inspired attacks e.g., San Bernardino attack
With the results of the analysis, strategies are selected or devel- (2015) occurred post-9/11, but more deaths have been caused
oped to attack the targeted problem. by domestic extremists. The absence of many more foreign
Larry Sherman pioneered the notion of hot-spot policing by attacks may be due to some combination of prevention, lack
analyzing crime data. He concluded that a relatively few places/ of potential attackers’ capabilities, and absence of their present
addresses in a city produced roughly half of all crimes. By con- intent to conduct them. One thing is clear: Larger, more sophis-
centrating on those locations, such as open air drug markets, ticated terrorist networks with deep pockets are unlikely to
specific bars, and other areas, crime could be reduced. Some of abandon their zeal to strike grievous blows on American inter-
these new strategies, such as hot-spots, were later identified as ests abroad and in our heartland. Their deep pockets are
“best practices,” publicized, and adopted by many agencies. derived from: (1) quickly raiding banks and seizing all of their

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assets in conquered territories, (2) selling captured artwork, in Ankara, Turkey, was attacked in 2013 by a suicide bomber
sculptures, and antiquities from museums, as well as those they who was reportedly a member of a terrorist organization. That
loot from historical heritage sites, (3) sales of pirated copies of same year, two brothers born in the former Soviet Union were
music and movies and counterfeited goods, for example, hand- primarily responsible for detonating bombs at the Boston Mara-
bags by Gucci and Prada and pharmaceuticals, (4) drug pro- thon finish line. One brother was killed during a gun battle with
duction and distribution, and (5) in the particular case of the the police and the other was convicted in 2015 of 30 charges, 17
Islamic State (IS, aka ISIL), the capture in Iraq of stored oil, oil of which carry the death penalty, to which he was sentenced;98
fields, and oil production facilities. ISIS also has an extensive and (7) in 2015, a married couple who were radicalized Muslims
fine and permit system, e.g., failure to correctly answer ques- attacked a county training event/Christmas party, attended by the
tions about Islam at a roadcheck is a $25 fine and charging husband’s coworkers, in San Bernardino, California, murdering
people $800 to $1,000 for a permit to leave a city under its 14 and wounding 22. Later that same day they were both killed
control. in a shootout with law enforcement officers.99
In the brief sketches of terrorist attacks that follow, not all
perpetrators were charged with terrorism, perhaps because mur- (2) The Great Recession
der or other significant felony crimes were easier to prove. The economy has affected police departments considerably
Among notable recent attacks are (1) a Memphis, Tennessee, during and since the Great Recession, which lasted from
American converted to Islam and murdered one person at a December 2007 until 2010. Nationally, many law enforce-
military recruiting station in Little Rock, Arkansas in 2009. ment agencies have experienced deep cuts. Illustratively,
At ­several points while in custody he claimed to be on jihad for Stockton, California, was in an economic boom until 2007,
al Qaeda.93 Army Major Nidal Hasan, a Muslim who attended the but subsequently was forced to lay off many of its police
same Virginia mosque as several of the 9/11 attackers and officers, firefighters, and other employees. The cuts were
­communicated with a radical Muslim cleric, went on a shooting so severe that at one point the Stockton Police Department
rampage at Fort Hood, Texas, in 2009. He murdered 13 people during portions of some days could only respond to crimes
and wounded in excess of 30 others, the largest mass murder on in progress. Chapter 12, “Financial Management,” discusses
a military installation.94 Tried before a military court, he received the major events in Stockton’s eventual bankruptcy.
the death penalty. It is presently unclear whether he will actually As a result of the Great Recession, a number of municipalities
be executed. Shot during his rampage, Hasan is now confined closed their police departments, contracted with the sheriff or
to a wheelchair. The federal government concluded that Hasan’s county police department for law enforcement services, consoli-
actions were not terrorism, but workplace violence, a position dated with one or more other agencies, or entered bankruptcy.
with which many members of Congress and terrorism experts Elsewhere, some citizen groups began asking the question, “Can
did not agree; (2) in 2010, smoke rising from a car in New York we afford our police department?” “Do we really need one that
City’s Times Square revealed a malfunctioning car bomb. The consumes so much of our city budget?” “Will we be better off
would-be bomber pleaded guilty to multiple charges, including with a smaller one?” A rule of thumb is that it takes a decade to
terrorism;95 (3) an American citizen planted a radio-controlled recover from such a damaging recession.
pipe bomb along the route of the Martin Luther King, Jr., Day The recovery has been slow and uneven, although here and
memorial walk in Seattle in 2011. It was discovered in a suspi- there some cuts made have been partially restored by appropria-
cious backpack before it exploded. Three years later the perpe- tors. Some police agencies may never return and for some time
trator received a 32-year prison sentence;96 (4) in the National the others will be leaner with fewer services. Citizen associations
Security Agency (NSA) Edward Snowden electronically stole have sprung up in some instances to self-police or do so with
American, British, and other files to which he had access in 2012. private security supplementing their efforts.
He described his motive as wanting to reveal the “illegal spying” Despite some economic recovery, oil prices fell 70 percent
the federal government was allegedly conducting against between 2014 and 2016, producing an uneven ripple across high
­American citizens.97 Some have praised him for revealing the oil-producing states. Alaska is in fiscal turmoil over this develop-
“spying.” However, those files revealed our methods, operations, ment. In 2016, its budget was facing a $3.4 billion deficit and the
capabilities, and other intelligence information. It is widely held state was considering enactment of a state income tax law. Cuts
by several countries’ intelligence services, including our own, at all levels of Alaskan government were underway as this was
that his disclosure of some data did grave harm to national written.
­security. Presently he is thought to be in Russia and the extent
of his betrayal is not fully known. He presently faces espionage (3) Shaken Confidence in Police Use of
charges in the United States, although Great Britain has enter- Force and Prosecution of Officers
tained the possibility of terrorism charges based on their laws; Between 2014 and 2016, a series of police use of force
(5) the American Consulate in Benghazi, Libya, was attacked by cases were perhaps the transcendent event for law en-
terrorists during 2012, and resulted in the deaths of the American forcement in the last decade. Some of the actions by po-
Ambassador to Libya and several others. The failure of America lice were highly criticized, a few produced riots, others
to immediately send military support has been hotly discussed resulted in criminal charges being levied against officers,
both in the military and the Congress; (6) the American Embassy and a few of them were convicted.

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While not a comprehensive list, the following are among the Gray was placed in a police van to transport him to jail. How-
most highly publicized police use of force cases during 2014– ever, the police wagon diverted to a hospital where he died of
2016: (1) On August 9, 2014, a Ferguson, Missouri, White police spinal cord injuries. The coroner’s report concluded that a high-
officer shot and killed Michael Brown, a 17-year-old unarmed energy impact contributed to his death. This may have occurred
African-American who allegedly was trying to seize the officer’s in the police van. Days of riots followed. The officers involved
gun. The officer reported fearing for his life. Witness accounts were charged with ­various crimes and the Police Commissioner
varied and the Grand Jury declined to indict the officer. Several was later replaced following a surge in violent crime. The first
days of rioting occurred, during which shots were fired at police officer tried ended in a hung jury. In 2016, the prosecution
officers; (2) Eric Garner was a 43-year-old unarmed African- offered that officer immunity to testify against the officers whose
American man who police believed was illegally selling “loosies trials were still pending. Chapter 4, “Politics and Police Adminis-
or singles” from cigarettes on July 17, 2014. Such sales deprive tration” examines this incident and many of the related cases in
the state and city of a combined $6.95 in tax revenue on each detail.
pack and legal sellers lose business they might otherwise have As a result of these highly publicized events, the issue of
had. In effecting the arrest, New York Police Department (NYPD) police use of force became part of the conversations of Ameri-
officers wrestled Garner to the ground. A White officer report- cans, for example, “This could happen here, to someone in my
edly used a chokehold on him, a tactic not allowed under NYPD family.” The U.S. Department of Justice quickly appeared to place
policy. Garner had trouble breathing and died in the hospital an more emphasis on investigating police use of force cases, particu-
hour later. The medical examiner attributed his death to several larly those involving deaths. In 2015, the University of Chicago
factors, including the chokehold and poor health. However, the Law School’s Civil Rights and Police Accountability Clinic started
Grand Jury also declined to indict the officer, who has received an online database consisting of tens of thousands of Chicago
multiple death threats as a result of Garner’s death. Large Police Department misconduct complaints. In that same year, the
­protestors’ demonstrations occurred in New York City and sev- Dallas, Texas, City Council approved a $1.6 million settlement to
eral other major cities around the country, but no rioting a mentally ill man who was wounded by one of its police officers.
occurred; (3) On October 20, 2014, a 17-year-old African-­ It was the largest settlement to a lone plaintiff in city history.
American male, Laquan McDonald, was walking approximately Arguably, although the plaintiff’s case had clear merit, with all the
down the middle of a Chicago street brandishing a small knife, other negative media attention centered on incidents involving
but not approaching officers. Several police officers were on the police use of deadly force, the city council may have wanted to
scene. When the teenager refused to obey commands to drop make sure the suit was handled quickly and as quietly as possi-
the knife a White officer shot him 16 times, killing him. Most of ble. Major negative publicity about governments can hinder eco-
those shots were fired after the teenager lay unmoving in the nomic development. In such circumstances a city to which a
road. None of the other officers fired a shot. The event was major employee had been considering for relocating its business
recorded by one of the police car’s camera. A year later the is sometimes eliminated and another jurisdiction selected.
officer was indicted for first-degree murder. The year-long delay Many law enforcement agencies quickly initiated reviews
in bringing charges against the officer resulted in the resignation and made thoughtful changes to their use of force policies. In
of the Police Superintendent and demands for the Mayor to 2015, the Los Angeles, California, Police Commission began the
resign; (4) On April 4, 2015, a North Charleston, South Carolina, process of creating a use of force policy that emphasized de-
a police officer stopped a car driven by Walter Scott for a broken escalation and advocates minimum force whenever possible.
taillight. The unarmed 50-year-old African-American ran from the In the following year, the State of Washington’s legislature
White police officer, who shot and killed him. An uninvolved enacted a bill requiring a study of how officers in that state
citizen made a phone video of the shooting portion of the inci- used deadly force. The Utah state legislature also took action
dent. The officer was charged with murder, but had not gone to in 2016. It created a state center at which officers would be
trial as of early 2016; and (5) A small mixed race group of Bal- trained in techniques to defuse situations and thereby decrease
timore, Maryland, police officers arrested a 25-year-old African- use of force incidents.
American Freddie Gray for possession of an illegal knife on April While some may argue that it appears too convenient for
12, 2015. In the process of arresting him he was placed face those few officers who make a mistake in the use of deadly
down on the pavement and his arms and legs placed in restraint. force to claim were in fear of their lives under the “reasonable

Quick Facts: The “Ferguson Effect Versus the “Baltimore Effect”

The shooting death of Michael Brown and the riots that fol- “I don’t want to end up in prison, so I’ll respond to the calls
lowed raised concerns that if police elsewhere have to resort from dispatch, but other than that, I’m just going to ride
to force, it might create trigger riots there too. This became around and not get involved.”
known as the “Ferguson Effect.” The “Baltimore Effect” is,

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Quick Facts: Fatal Shootings by Police Officers

With seven days left in 2015, U.S. police officers had fatally use of force or approximately 0.0015 percent of the time.101
shot 965 people.100 Of these, 564 were armed with a gun, There is a sanctity to all lives and hopefully the national
281 had another type of weapon, and 90 were unarmed. media scrutiny, police-initiated changes, legislative man-
Although these numbers are large, they need to be put in dates, and other actions following the events of 2014–2016
context. will save the lives of both citizens and officers.
Based on 2008 data, one in every 67,000 face-to-face con-
tacts with citizens in this country results in death from police

officer” test established by the Supreme Court in Graham v. standard to be applied to its local and state governments, “The
Connor (1989), it ignores two basic facts: (1) We can’t really preservation of human life is of the highest value in the State
know what goes through an officer’s mind under conditions of of Ohio.”
extreme stress and (2) a death caused by a police officer is As a matter of risk management, Guiding Principle 2 also
always subject to investigation and arguably it should be done appears to miss the mark because it seeks to establish a higher
by a team from another agency which includes a member from standard for the use of force than the Supreme Court did in
the officer’s department who is thoroughly familiar with its Graham v. Connor.106 Adoption of this principle seemingly
policies and practices. Perhaps the lack of indictments in would expose governments to increased liability. The bottom
police use of force cases may not be from a reluctance to line for government officials reading the 30 Guiding Principles
do so, as much as that the test of the reasonable officer in is to ask key questions, such as “Is this different from what we
Graham v. Connor may need to be revisited. do?” or “What value does it add?”
On January 16, 2016, the Police Executive Research Forum Thoughtful questions must be asked and carefully considered
(PERF) issued its “Use of Force: Taking Policing to a Higher actions must be taken to reduce unnecessary and unlawful use
Standard” report, which covers 30 guiding principles for re-engi- of force cases. Some PERF principles will add to this process.
neering police use of force.102 PERF notes that about 200 chiefs, There is also a larger view that cannot be ignored: Overwhelm-
training directors, federal government representatives, academ- ingly law enforcement performs extremely well every day and
ics, and mental health professionals participated in generating exercises tactical restraint that doesn’t show up in any
the 30 guiding principles.103 statistics.
Because these principles were generated by professionals In 2015, FBI Director James Comey speculated that the rise
working on a crucial subject they inherently deserve careful in murders across the country over the past year may be asso-
consideration. It is therefore, somewhat surprising that the ciated with a “chill wind blowing through American law
PERF report has been subject to some criticisms. The report enforcement and its changing behavior . . .,” officers don’t
implies that much is wrong in policing, when many agencies want to get out of their cars and they are being taunted by
work hard and effectively on use of force issues. For example, people holding up smart phones with cameras. Comey went
PERF’s Guiding Principle 1 is, “The sanctity of human life on to say that the national uproar about police officers shoot-
should be at the heart of everything an agency does.”104 How- ing blacks is positive and a conversation that needed to be
ever, even a cursory examination of this subject reveals a rever- had.107
ence for life by law enforcement agencies in their mission Criminal homicides and non-fatal shootings spiked in Balti-
statements and use of force policies. Officers are also taught in more following the indictments. Officers want to go home at the
the academy that when the need to preserve evidence at a end of their shift and not to jail, court, or prison. Morale in
crime scene and preserving a life are in conflict, the latter is ­Baltimore is low and officers are reluctant to do much beyond
always what is most important. In 2003, the Community Rela- answering calls given to them. Arrests have plummeted. Some
tions Service, U.S. Department of Justice, noted in its “Princi- officers have quit because of the current environment and others
ples of Good Policing: Avoiding Violence Between Police and seek “inside” jobs anywhere they can in the department.108
Citizens” that a police department must place its “highest value The death of Michael Brown in Ferguson may have tapped
on the preservation of human life.”105 That wording appears in simmering rage or anger toward law enforcement officers. In
an unknown number of police mission statements and/or use just December 2014, there were multiple unprovoked attacks on
of force policies. For many years, the American Civil Liberties peace officers: (1) shots were suddenly fired at a Los Angeles
Union has advocated the use of language similar to Guiding Police patrol car.109 (2) two Pasco County (Florida) deputies
Principle 1. The PERF report is a good place to publicize use were shot at while observing traffic conditions110 and (3) two
of force ideas, but pointing to already existing good practices New York City police officers were murdered execution style
should not have been neglected. In 2015, Ohio adopted a while they sat in their car.111

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Quick Facts: Tactical Restraint

Walking a beat in a high crime area, I turned a corner as two someone blocks down that sidewalk could have been killed.
cars rolled past me. As a result, I didn’t hear the first shot. I chased the shooter, but he turned the next corner and van-
What first drew my attention was pieces of bricks sliding ished. His escape would have made Houdini proud. We never
down the side of the building on my left. I looked up to see cleared that case.
what happened, heard the second shot, and saw it impact Suppose I missed the shot and hit someone four blocks
several feet above my head. As I turned back to the street, a down the street. There is no do-over on it . . . you can’t just
man with a gun in his hand ran across the street in front of the wave your hand, mumble something, and un-shoot some-
store he had just robbed. He was now on my side of the body. The old timers used to chuckle when they told stories
street, just a short block ahead. He wheeled around, fired about performing common law divorces by having a couple
another shot, and took off running directly away from me like both place a hand on their badge and then saying a few
he was going to make the Olympic team. I had a sight picture solemn words to them. But, shooting at someone isn’t a
on his back, but pulled my gun up. If I missed that shot, laughing matter . . . it’s called deadly force for a reason.

A Birmingham, Alabama, plainclothes detective feared being ­ ureau of Justice Assistance, (BJA) and police agen-
B
labeled a racist and didn’t counter force used against him by cies. The ­purpose of SPI is to encourage the refinement
aggressive African-American man on a traffic stop. In this 2015 of e­ xisting evidence-based strategies and development
incident, the alleged assailant reportedly seized the White detec- of new ones. Participating law enforcement can get
tive’s gun and used it to beat him unconscious. The detective technical assistance from the CNA Corporation, which
said he didn’t use force against the man because he didn’t want is under contract to the SPI. The evidence supporting
to be in the headlines for shooting an unarmed man. His attacker evidence-based strategies is strong. However, an incom-
said he did it because of the recent shootings by police. Onlook- plete or flawed understanding of the strategy selected
ers took pictures, but didn’t come to the detective’s assistance. for implementation will jeopardize the success of the
One picture posted in the social media showed the detective project.
lying on the ground under which the message was “Pistol The President’s Task Force on 21st Century Policing released
whipped his ass to sleep” and another picture taunted the detec- its final report in 2015 with a number of recommendations.116
tive with a note that offered “milk and cookies for his nap.”112 A One of the most intriguing recommendations was that the law
Harris County (Texas) Deputy Sheriff was executed in an unpro- enforcement culture should embrace a guardian mind-set to
voked 2015 attack while he was fueling his car at a gas station. build public trust and legitimacy. Law enforcement officers can-
A man walked up, shot the deputy in the back of his head, and not do so if they cling to a “warrior” orientation as crime fighters.
then shot at him 14 more times while the deputy was face Plato wrote that in a republic that honors democracy, the greatest
down.113 Other unprovoked attacks on law enforcement have amount of power is given to those called Guardians, who protect
also been reported, making a dangerous job all the more so. the community from within it.
Some state and local governments are finding difficulty in Implementing the Guardian role requires a major paradigm
filling police officer vacancies.114 As a result, some of these shift and such a shift would face some resistance. Even if poli-
jurisdictions are waving the usual U.S. citizenship requirement cies and supervisory actions reinforce it, most police officers
and hiring green card holding immigrants legally in the country work without direct supervision. It is said that the street
to fill the positions. Part of this difficulty may be that law police culture has policies for lunch.117 Nonetheless, although
enforcement jobs have become less attractive in the wake of implementing the Guardian role will have some steep hills to
the Baltimore indictments and the unprovoked attacks. The climb, police executives should not be shrink from do it sim-
effect of employing immigrants who have legally entered this ply because it is hard. The implementation of community-
country remains to be analyzed. Parenthetically, green card oriented policing (COP) in the early 1980s faced a similar
holders are able to join the U.S. military to no apparent ill challenge. It may well be that COP is an effective precursor
effect.115 for the Guardian role. The Guardian role presently lacks a
robust description. As time passes, descriptions of the
(4) The Smart Policing Initiative ­Guardian role will emerge. Like some other matters in law
and the Guardian Model enforcement, we should anticipate varying ways in which it
The Smart Policing Initiative (SPI) emerged in 2009 as is implemented, although some common core features are
a collaboration between the grant awarding federal also likely to emerge.

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Chapter Summary
Summary by Learning Objective 7. Discuss the contributions of Chief Gus Vollmer.
Vollmer is the father of modern law enforcement.
1. List the events in England that led to the creation Under his leadership, the Berkeley (California)
of the London Metropolitan Police. Police Department became a model of professional
These events included: (1) improved agricultural policing. He mobilized police officers, first on bikes
methods provided surplus crops to feed people liv- and later in cars, created a signal system to dis-
ing in cities; (2) people were drawn to cities by the patch police cars, created a modern records sys-
industrial revolution which created jobs in cities; tem, used crime analysis to establish and staff
(3) as city populations grew, so did crime and social beats, created the first scientific crime laboratory,
problems, which led to; (4) the need for the London and the first lie detector machine was built in the
Metropolitan Police. Berkeley Police Department.
2. Describe the importance of the frontier closing 8. Describe the impact of prohibition on policing.
in 1890. It did more damage to the image and reputation of
The significance of the frontier closing in 1890 is policing than any other event. To protect their
that it marks the onset of the swift transition from a ­operations, gangsters bribed judges, policemen,
rural, agrarian society to an urbanized one in only and other public officials to “look the other way” on
30 years. a massive scale.
3. Define politics and give three reasons why it 9. Describe the Black Codes and Jim Crow laws.
cannot be kept out of police agencies. In reaction to losing the civil war, southern state and
Politics is the process of acquiring and maintaining local legislatures quickly passed Black Codes
control over a government, including its policies, intended to keep African-Americans in “inferior”
administration, and operations. The three reasons positions. Later, during 1880–1960 “Jim Crow” laws
politics cannot be kept out of policing are: (1) police added more restrictions. Separate facilities for the
departments must be subject to democratic control, majority and the minority were mandated, including
(2) public policy is where politics and administration schools, cemeteries, seating on buses, and telephone
intersect, and (3) politics exists, even in small police booths. At various periods in our history, it was a
departments; what we want to do is keep the worst crime to teach minorities how to read, mixed mar-
sort of politics—highly partisan—out of policing riages were illegal, and so many barriers were erected
because of its long and most often unhealthy rela- that voting was nearly impossible. The Black Codes
tionship with policing. and Jim Crow laws made a mockery of equality.

4. Define and describe machine politics in the 10. State how World War II affected law enforce­ment.
19th century. The men in public safety agencies had no exemp-
During the 1880s, machine politics was often a tions from compulsory military service and they vol-
tightly controlled political party headed by a “Boss” unteered and were drafted in great numbers.
or small autocratic group whose purpose was to Departments quickly turned their attention to the
repeatedly win elections for political gain, often new staffing realities: (1) the remaining officers did
through graft and corruption. not meet military physical standards and/or were
too old for military service. For the duration of the
5. Identify the most negative and positive things war, there would not be better police applicants and
about the patronage/spoils system. (2) women could be part of the staffing solution.
The worst abuse of the patronage/spoils system is 11. Explain the unequal badge problem.
when unqualified people are rewarded, e.g., given During the 1950s through the mid-1960s, a small
a job for their political loyalty instead of their number of Southern police departments had an infor-
­ability. Patronage that is not excessive or create mal practice that minority officers were not to arrest
inefficiencies is useful: Elected officials can appoint majorities for fear a riot would result. A variation of
persons who agree with their policies, making this was in some of those cities minorities couldn’t
­governing easier. drive a patrol car based on the reasoning that a white
6. Explain why the concept of a police profession is motorist would not accept a traffic citation from an
so important. African-American officer. A majority officer would
The importance of policing being seen as a profes- drive a minority to his walking beat and pick him up
sion was fundamental to transforming the public view at the end of the shift. Minorities would subtly retali-
of the police from corrupt thugs and heavy-handed ate by getting in the back seat when being picked up,
brutes to something more noble-professionals. so it appeared the majority officer was a chauffeur.

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12. Describe how the police rank and file became The net effect of these events resulted in the rank
isolated in the 1960s. and file officers feeling that they were isolated
During the 1960s, smoldering social, economic, and and unsupported, creating a “we against them”
racial tensions erupted. A major race-based riot mentality that propelled officers to join unions as
occurred over six days in the Watts neighborhood public sector collective bargaining laws were
of Los Angeles, with exchanges of gunfire and enacted.
buildings on fire, sometimes from arson. The pre-
cipitating event was a police arrest of a minority 13. Briefly define COP, ZTP, CompStat, EBP, and HSP.
driver. In the end, 34 people were killed, most COP is Community Oriented Policing and centers
minorities, and property damages and losses on developing police strategies and partnerships
amounted to $200 million. Over the next three with communities in order to deliver custom-tai-
years, more than two-dozen major cities were also lored police services and solutions to problems, as
shaken by television images of rioting, burning well as a renewed focus on crime prevention rather
buildings, and the deployment of military units. The than criminal detection. ZTP is Zero Tolerance Polic-
underlying factors across riots generally included ing is premised on ignoring minor law violations cre-
high unemployment, poor housing, and lack of ates a climate conducive to more serious offenses.
opportunities for minorities. CompStat is a management control system
designed to develop, analyze, disseminate crime
The police were also tasked to provide crowd con-
information and track efforts to deal with it. Evi-
trol for demonstrations against the increasingly
dence Based Policing (EPB) is rooted on data analy-
unpopular and undeclared Vietnam War. In 1968,
sis of many different sources of information, such as
crowds outside the Democratic National Conven-
agency intelligence and scientific research. The
tion in Chicago clashed repeatedly with the police,
results strategies selected or developed to attach
both sides using excessive force. A few in the
the targeted problems. Hot Spot Policing (HSP)
crowds threw apples bristling with razor blades at
grew out of research by Larry Sherman who found
the police, as wells as garbage can lids and vials of
that about half of all crimes come from relatively few
urine. President Kennedy was assassinated in Dal-
places/addresses, such as open air drug markets
las in 1963, his brother Senator Robert Kennedy
and bars. By concentrating on these spots crime can
likewise lost his life while campaigning for the
be reduced.
presidency, and the ambush murder of the Rever-
end King in 1968 quickly produced more riots. 14. Give three reasons why the United States has not
The Supreme Court unleashed a series of decisions experienced a major terrorist attack from abroad
that “handcuffed” the police, further evidence that since 9/11.
“people were turning against the police.” Draft evad- These reasons are: (1) prevention, (2) lack of capability,
ers refused to serve their country, the women’s move- and (3) lack of present intent.
ment was underway, drug use increased, civil rights
legislation was being enacted, crime was rocketing 15. Identify what may be the transcendent event for
up, the news media was often critical of the police, law enforcement over the past decade.
and calls for Civilian Review Boards to investigate The series of highly publicized police use of deadly
police misconduct were becoming more insistent. force during 2014–2016.

Chapter Review Questions

1. What does the dichotomy of politics and 8. Major Nidal Hasan’s shooting rampage at Fort
administration mean? Hood was characterized by the federal government
2. At its earliest, what did “profession” mean? as workplace violence. Do or don’t you agree with
3. What did the Hatch Act and the “Little Hatch Acts” that characterization? Why?
seek to accomplish?” 9. Should Edward Snowden be praised as a protector
4. When was the gangster era and what was it? of Constitutional rights or taken into custody and
5. What did “lynching” mean at its earliest? tried for espionage? Why?
6. What was the trilogy of major studies of the 10. How can police use of deadly force affect
police? economic development?
7. Who developed the concept of hot-spot 11. What did FBI Director James Comey mean when
policing and what are the findings that support he stated that a chill wind may be blowing through
its use? law enforcement?

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 34 chap te r 1 • The E v o l u t io n o f P ol i c e Ad mi n i s t r at i on

Critical Thinking Exercises

1. Assume that in England the improved agricultural 3. As the Chief of Police of a 100-officer department, you
methods never occurred, but the industrial have been closely monitoring the unprovoked
revolution did. How might that have affected ambush-type murders of police officers. Officers in
England’s evolution? your department are on edge about this development.
2. Assume your family was fleeing from catastrophic What actions would you take to increase the likelihood
conditions in Oklahoma during the time of the bum that such incidents do not occur and officers have a
blockades and were turned back from town after better chance of surviving them?
town while seeking medicine for your diabetic
younger brother. What would you do?

Key Terms
air raid wardens Jim Crow laws Pinkerton National Detective
Black Codes Kansas City Preventive Patrol Study Agency
Black September Organization (BSO) King, Martin Luther Jr., Reverend Police Administration
bootlegger KKK political machine
Boston Police Strike Lexow Committee Politics
bum blockades lynching Peace Officers Standards
carpetbaggers machine politics and Training Commissions (POSTs)
Challenge of Crime in a Free Society McVeigh, Timothy profession
Chavez, Cesar military model prohibition
city manager movement muckrakers Rand Criminal Investigation Study
Civil Rights Act of 1964 National Academy (NA) ration books
Commission on Accreditation of Law National Advisory Commission on Reformation Period
Enforcement Agencies (CALEA) Civil Disorders residency requirements
community-oriented policing National Association of Asian Ruby Ridge
Community-Oriented Policing Services American Law Enforcement Singleton, Benjamin “Pap”
(COPS) Commanders (NAAALEC) slave patrols
Dillinger, John National Association of snatch racket
dustbowl Women Law Enforcement speakeasies
Equal Employment Opportunity Act Executives (NAWLEE) spoils system
of 1972 National Commission on Law team policing
evidence-based policing (EBP) Observance and Law Enforcement temperance movement
Forces Act National Criminal Justice Reference unequal badge
Fosdick, Raymond Service (NCJRS) untouchables
Freedmen’s Bureau National Organization of Black Law victory gardens
frontier closing Enforcement Executives (NOBLE) Vollmer, August (Gus)
Garfield, President National Prohibition Act Volstead Act
Greensboro Massacre (N.C.) National Sheriffs Association (NSA) Waco
Harrison, President Nation, Carry Watergate Scandal
Hispanic American Police Command Okies Whitman, Charles
Officers Association (HAPCOA) patronage Wickersham Commission
Hot-Spot Policing Peel, Sir Robert Wilson, O.W.
International Association of Chiefs of Pendleton Act zero-tolerance policing
Police (IACP) Police Executive Research Forum (PERF) Two Medal of Honors
International Association of Police Popular Front for the Liberation of
Women (IAPW) Palestine (PFLP)

Endnotes
1 3
New Amsterdam was settled by the Dutch. To be precise, These dates are for the first of three successive industrial
the office they created was schout, their cultural equivalent revolutions in England. Others define the period as
of a sheriff. 1760–1840 and 1750–1850.
2 4
Raymond Fosdick, American Police Systems (Montclair, NJ: Many sources list these principles, including the New
Patterson Smith reprint, 1969), pp. 63–64. Westminster Police Service (British Columbia, Canada),

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 c h ap t e r 1 • T h e E vol u t i on of P ol i c e A dm inis t rat ion 35
13
www.NWpolice.org/Peel.html, January 9, 2010. Also see Only Utah (1896), Oklahoma (1907), Arizona and New
Douglas Hurd, Sir Robert Peel: A Biography (London: Mexico (1912), Alaska (1959), and Hawaii (1959) had not yet
Weidenfeld & Nicolson, 2007). Susan Lentz maintains that been granted statehood.
14
the principles are the invention of 20th-century textbook See M. David Desoucy, Arizona Rangers (Mount Pleasant, S.C.:
writers, see “The Invention of Peel’s Principles,” Journal of Arcadia Publishing, 2008), Chuck Hornung, Fullerton’s
Criminal Justice, Vol. 35, No. 1 (January 2007), pp. 69–79, Rangers: A History of the Mexico Territorial Mounted Police
January 2007. (Jefferson, NC: McFarland & Company, 2005), and Mike Cox,
5
Melville Lee, A History of Police in England (Montclair, NJ: The Texas Rangers: Wearing the Cinco Peso, 1821–1900
Patterson Smith reprint, 1971), p. 240. (New York: Forge Books, 2008). “Texas Ranger” was not used
6
Perhaps 250,000 former slaves left the South for the West in any legislation until 1874, although the term “Ranger” had
during the 1870s, so many they were called “exodusters” been widely used by Texas citizens for many years.
15
and Singleton hailed as the “Moses of the Colored U.S. Census Bureau, Table 1, Urban and Rural Population
Exodus.” See Mike Meacham, “The Exoduster 1900 to 1990, https://www.census.gov/population/
Movement,” Western Journal of Black Studies, Vol. 27, censusdata/urpop0090.txt (accessed August 16, 2015).
16
No 2, (Summer, 2003), pp. 108–117 and The Testimony of Brian A. Reaves, Census of State and Local Law
Benjamin Singleton Before the Senate Select Committee Enforcement Agencies, 2008, Bureau of Justice Statistics,
Investigating the Negro Exodus from the South, July 2011, p. 2.
17
Washington, DC: April 17, 1880. Sources identify the place Ibid., p. 2 and Table 1.
18
of “Pap” Singleton’s death alternatively as “someplace in Ibid., p. 14.
19
the West” and St. Louis. Ibid., p. 1.
7 20
At one time or another, three legendary lawmen of the Ibid., p. 2
21
West were employed in Abilene: Bat Masterson, Wyatt Ibid., Appendix Table 10, p. 19.
22
Earp, and Wild Bill Hickok. Ibid., p. 5, calculated with data from Table 4.
8 23
For an excellent summary of the development of tribal Ibid., p. 5.
24
police systems, see David Etheridge, Indian Law Loc. cit.
25
Enforcement History (Washington, DC: Bureau of Indian The site of the assassination is where the present National
Affairs, Division of Law Enforcement Services, February 1, Gallery of Art is located, 401 West Constitution Avenue
1975), p. 80. NW.
9 26
Colonel H. B. Wharfield, “A Fight with the Yaquis at Bear The Dodge City Cow-Boy Band played at his inauguration.
Valley, 1918,” Arizoniani, Vol. 4, No. 3, (Fall 1983), pp. 1–8. It was a curious choice; the bandleader was prone to
10
Boles bio See George Hoeper, Black Bart: The Boulevardier tossing his baton away and directing with a loaded
Bandit ( :Word Dancer Press, 1995). Sidney Drabkin, “Black revolver. No author, Band of Buckaroos, Wild West, Vol. 22,
Bart A Legendary Stagecoach Robber,” Examiner.com, No. 2 (August 2009), p. 16.
27
June 30, 2012, w.examiner.com/article/black-bart-a- Editorial, Nation, Vol. 48, No. 1243, (1889), pp. 338–341.
28
legendary-stagecoach-robber,(accessed August 17, 2015), Thomas A. Reppetto, The Blue Parade (New York: Free
and Gail L. Jenner, Black Bart: The Poet Bandit (Affinity Press, 1978), pp. 41–42.
29
Publishing, 2009); the publisher’s website does not list a Peter H. Argersinger, “New Perspectives on Election Fraud
physical address. in the Gilded Age,” Political Science Quarterly, Vol. 100,
11
No author, ‘Black Bart,” Soylent Communication, p. No. 4, (Winter 1985–1986), p. 672.
30
1,copyright 2014, http://www.nndb.com/ Ibid., p. 672. This is the reason that in all states today, any
people/585/000207961, accessed August 16, 2015. This political signs or activities on behalf of a party or
poem is repeatedly found, but without attribution to a candidate cannot be displayed or conducted within a
source. Boles’s alleged offer of a pension and trip to China specified number of feet of a polling station.
31
is from no author, “Black Bart,” Cowell Historical Society, Ibid., p. 672.
32
undated, p. 2, http://cowellhistoricalsociety.org/html/bart. Ibid., p. 678.
33
html, (accessed August 17, 2015). Ibid., pp. 680–681.
12 34
Some facts are drawn from Mac Blewer, “Butch Cassidy in Alice B. Stone and Donald C Stone, “Early Development of
Wyoming” Wyoming State Historical Society, undated, but Education in Public Administration:” in American Public
carefully researched, http://www.wyohistory.org/ Administration: Past, Present, and Future, edited by
encyclopedia/butch-cassidy-wyoming (accessed Frederick C. Mosher (Tuscaloosa: University of Alabama
August 17, 2015), Jay Clarke, “The Death of Butch Cassidy Press, 1975), pp. 17–18.
35
Keeps Getting Curiouser and Curiouser,” Chicago Tribune, In 1906, racial tensions between the residents of
December 7, 1896, http://articles.chicagotribune. Brownsville, Texas, and members of the all-black 25th
com/1986-12-07/travel/8604010694_1_etta-place-butch- Infantry Regiment, stationed at nearby Fort Brown, were
cassidy-robert-leroy-parker, accessed August 16, 2015, and high. One evening, rifle shots were fired, which killed a
no author, “Former Utah and Two Hole in the Wall Daring white bartender. The Mayor blamed the Black soldiers.
Train Robbers Are Now Terrorizing South America Despite the fact that every White commander of the
Republic, The Ogden Standard, February 21, 1910, p.1, regiment swore all of the men were in the barracks that
http://chroniclingamerica.loc.gov/lccn/sn85058398/1910- night, President Roosevelt ordered them to be
02-21/ed-1/seq-1/#words=BRIGANDS+ARGENTINA+CAS dishonorably discharged on the basis of a “conspiracy of
SIDY+lEADER, (accessed August 17, 2015). silence” because no one came forward to identify

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 36 chap te r 1 • The E v o l u t io n o f P ol i c e Ad mi n i s t r at i on

47
the “guilty.” This was done without any hearing, trial, or Holland Webb, “Temperance Movements and Prohibition,”
opportunity of the regiment members to confront their International Social Science Review, Vol. 74, No. 1 and 2,
accusers. Years later, on the presentation of a careful study (1999), p. 61.
48
of the matter, President Nixon reversed the dishonorable No Author, “Abandoning Prohibition,” The Nation Vol. 76,
discharges. For further information on President No. 1977, (May 21, 1930), pp. 409–410.
49
Roosevelt’s tenure as New York City Police Commissioner, Oddly, this was at the same time that Americans began
see Jay Stuart Berman, Police Administration and drinking more; between 1900 and 1913 the annual
Progressive Reform: Theodore Roosevelt as Police production of alcohol grew dramatically. Beer jumped
Commissioner of New York (Santa Barbara: ABC-CLIO, from 1.2 billion to 2 billion gallons and liquor grew from
1987). This work was originally published by Greenwood 97 to 147 million gallons. Blocker, “Did Prohibition Really
Press; the title passed through several publishing houses Work?” p. 235.
50
before coming to rest with ABC-CLIO on October 1, 2008. Seth Kugel, “Tell Them Seth Sent You,” New York Times,
36
In Welsh, the name means “big hill.” Bryn Mawr was the April 29, 2007.
51
first institution of higher learning to offer graduate Ibid., p. 236.
52
degrees to women. Its first Ph.D. was awarded in 1888. Jack Kelly, “Gangster City,” American Heritage, Vol. 46,
37
Woodrow Wilson, “The Study of Administration,” Political No. 2, (April 1995), p. 65.
53
Science Quarterly 2 (June 1887), pp. 197–222. Toni Alexander, “Welcome to Old Times: Inserting the
38
Parenthetically, Woodrow Wilson is the only U.S. president Okie Past Into California’s San Joaquin Valley Present,”
(1913–1921) to hold an earned Ph.D. and signed the Journal of Cultural Geography, Vol. 26, No. 1,
legislation making Mother’s Day a national holiday. (February 2009), p. 74.
39 54
Raymond Fosdick and Others, edited by Roscoe Pound and Cecilia Rasmussen, “LAPD Blocked Dust Bowl Migrants at
Felix Frankfurter, Criminal Justice in Cleveland, Report of State Borders,” The Los Angeles Times, March 9, 2003.
55
the Cleveland Foundation (Cleveland: The Cleveland Kevin M. O’Brien, “Do Municipal Residency Requirements
Foundation, 1922). The 81 detectives, supposedly the Affect Labour Market Outcomes?” Urban Studies, Vol. 34,
“cream of the department,” were substantially short of No. 11, (November 199)7, p. 1159.
56
that. After administering the Army Alpha Test for Mental Kevin Johnson, “Police, Firefighters Challenge Residency
Ability to all officers, 25 percent of all detectives were Rules,” USA Today, October 3, 2006.
57
found by Fosdick to have “inferior intelligence,” and the Frank J. Remington, “Development of Criminal Justice
personnel in the traffic and mounted patrol units had Education as an Academic Discipline,” Journal of Criminal
higher test scores. Justice Education, Vol. 1, No. 1, (March 1990), pp. 9–20.
40 58
E. W. Roddenbury, “Achieving Professionalization,” Journal Its roots are traceable back to the National Chiefs of Police
of Criminal Law, Criminology, and Police Science 44 (May Union (1893), which largely focused on apprehension of
1953–1954), p. 109. fugitives.
41 59
See Sylvia R. Cruess, Sharon Johnson, and Richard L. In Chicago, Dillinger dated Romanian immigrant Ana
Cruess, “Profession,” Teaching and Learning in Medicine, Cumpanas, a brothel operator known as Anna Sage.
Vol. 6, No 4, (Winter 2004), pp. 74–76, Robert K. Merton, Subsequently, he was involved with one of her employees.
“Some Thoughts on the Professions in American Society Fearing deportation and perhaps stung by being dropped
(Address before the Brown University Graduate by Dillinger, Sage betrayed him to the FBI. According to FBI
Convocation, Providence, R.I., June 6, 1960), and Howard records, on July 22, 1934, Sage wore an orange skirt and a
Becker, “The Nature of a Profession,” in the Sixty-First white blouse to a movie with Dillinger at the Biograph
Yearbook of the National Society for the Study of Theater to help agents identify him. This is in contrast to the
Education (Chicago: National Society for the Study of numerous media reports stating she wore a red dress, which
Education, 1962). probably made better reading. Sage’s betrayal did her little
42
Gene Edward Carte, “August Vollmer and the Origins of good. After receiving a $5,000 reward, she was deported to
Police Professionalism,” Journal of Police Science and Romania. Annually, gangster buffs hold a ceremony on July
Administration, No. 3, (1973), p. 274. 22 at the Biograph, complete with food, drinks, bagpipes,
43
Larry T. Hoover ascribes the development of a police and speakers, to commemorate Dillinger’s death. Dary
academic establishment to O. W. Wilson. See “From Matera authored the most recent biography of him. See
Police Administration to Police Science: The Development John Dillinger (New York: Carroll & Croft, 2005).
60
of a Police Academic Establishment in the United States,” Elaine Frantz Parsons, “Midnight Rangers: Costume and
Police Quarterly, Vol. 8, No. 1, (2005), pp. 8–22. Performance in the Reconstruction-Era Ku Klux Klan,”
44
The Academy of Criminal Justice Sciences Police Section Vol. 93, No. 3, The Journal of American History, (December
bestows an annual award in Wilson’s name for 2005), p. 812. Some of the founding KKK members may
distinguished police scholarship. have earlier been part of a musical group, the “Midnight
45
Jack S. Blocker, “Did Prohibition Really Work,” American Rangers;” in that era, “rangers” were roaming groups of
Journal of Public Health, Vol. 96, No. 2, (February 2006), armed men of dubious legality. Also see, Patrick
p. 235. O’Donnell, Ku Klux Klan: America’s First Terrorists Exposed
46
Marcia Yablon, “The Prohibition Hangover,” conference (Idea Men Productions: West Orange, NJ, 2006).
61
paper, Law & Society Annual Meeting, Humboldt Occasionally, women accompanied these patrols although
University, Berlin, Germany, July 25, 2007. their role is not clear.

M01_SWAN4056_09_SE_C01.indd 36 7/8/16 1:00 PM

 c h ap t e r 1 • T h e E vol u t i on of P ol i c e A dm inis t rat ion 37
62 74
The topic of slave patrols has received little attention. See There is one exception to a bill dead-beat being accepted.
K.B. Turner, David Giacopassi, and Margaret Vandiver, Historically, many employee credit unions wouldn’t issue a
“Ignoring the Past: Coverage of Slave Patrols in Criminal loan unless the applicant had cosigners. If an officer
Justice Texts,” Journal of Criminal Justice Education, defaulted on such a loan and his cosigners had to pay it
Vol. 17, No. 1, (March 2006). off, his reputation went to absolute zero and he might find
63
Danial Kato, “Law and (Dis)Order: Why the KKK was So that his backups were slow getting to him, a hint that it
Successful in 1868?” Conference Paper, Western Political was time to find another occupation.
75
Science Association, 2007, Las Vegas, Annual Meeting, pp. 35 One of the casualties of that boycott was a city of
64
Brundage estimates that following 1865, between 4,000 and Montgomery White librarian, Juliette Morgan, who wrote
5,000 people were lynched in the South and that a letter printed in the Montgomery Advertiser praising
91 percent of the victims were African-Americans. the restraint of African-Americans in protesting for equal
W. F. Brundage, “The Ultimate Shame: Lynch-Law in the treatment. The KKK is thought to be responsible for
Post-Civil War American South,” Social Alternatives, burning a cross on her lawn and invectives were hurled at
Vol. 25, No. 1, (First Quarter, 2006), pp. 28–29. her from all quarters. Although Juliette Morgan was not a
65
A more modest number is put forth by Stovel, 1,200. See healthy person, the intense hostility displayed toward her
Katherine Stovel, “Local Sequential Patterns: The Structure must have played a role in her suicide 18 months later.
of Lynching in the Deep South, 1880-1930,” Social Forces, See Mary Stanton, Journey Toward Justice: Juliette
Vol. 79, No. 3, (2001), pp. 843–880. Hampton Morgan (Athens, Georgia: University of
66
Carrigan and Webb identified 597 Mexican lynchings Georgia, 2006).
76
between 1848 and 1928, a figure that probably is The lead author on this book was a field training officer for
substantially low. See William D. Carrigan and Clive Webb, the first group of African-Americans Tampa Police
The Lynching of Persons of Mexican Origin or Descent in Department officer trained for general patrol duties in
the United States, 1848 to 1928, Journal of Social History, 1964 and witnessed attempts by White motorists to
Vol. 37, No. 2, (Winter 2003), p. 413. refuse his trainee’s traffic citation. Such events were not
67
Brundage, p. 29. unusual. See Elliot M. Rudwick, The Unequal Badge:
68
Ibid., p. 29. Negro Policemen in the South (Atlanta: Southern
69
Ibid., p. 29. The first and second Klans not only lynched Relations Council, 1962) and Jack Kuykendall and David
people, but even more horrifying, also tied their victims to E. Burns, “The Black Police Officer: A Historical
trees with logging chains, stacked wood around it, doused Perspective,” Journal of Contemporary Criminal Justice,
the stack with kerosene, and burnt them alive. The Vol. 1, No. 4, (1980).
77
National Association for the Advancement of Colored This quote has been restated for succinctness. See U.S.
People (NAACP) was founded in 1909, partially in National Advisory Commission on Civil Disorders, Report
response to lynching incidents. of the National Advisory Commission on Civil Disorders
70
When the lead coauthor was working as a patrol officer he (Washington, DC: U.S. Government Printing Office,
was dispatched to an African-American bar on an 1968), p. 157.
78
aggravated assault call. In addition to the bartender, there Some believe that it was Castro’s retaliation for a Central
were only three patrons—two men and a woman, sitting in Intelligence Agency–attempted assassination of him in
a booth together. The floor had just been mopped and was 1961, coordinated by mobster “Handsome Johnny”
still drying, but nobody knew anything about an assault. Roselli (1905–1976). Roselli broke into crime with Capone’s
One of the men was glassy eyed. When asked to stand up, outfit in Chicago. The men allegedly involved in the
he fell out of the booth. Where he had been leaning back in assassination were apprehended and executed in Cuba.
the booth was covered with blood from several knife Several months after testifying before a Senate committee
wounds in his back. His assailant was the other man. on this affair, Roselli’s decomposing and legless body was
71
In 1942, Japanese submarines shelled the oil installation at found in a steel barrel near Dumfounding Bay, Florida.
Goleta (CA) and also Ft. Stevens (OR). The first attack There is, of course, no shortage of theories about JFK’s
caused $500 in damage and the second one failed to hit assassination. The topic continues to command attention;
its target. see Amy Zegart, “A Plot to Assassinate Castro Was
72
Unimaginable today, families collected their waste fats Approved by CIA Director Allen Dulles,” The New York
and grease from cooking; 3 pounds would help make a Times, (January 26, 2007).
79
pound of explosives. Women turned in their hosiery so Garr Nielsen, Multnomah County, Oregon, The Police
parachutes and powder bags for naval guns could be Chief, Vol. 73, No. 8, (August 2006). Reviewed online, no
made. At scrap metal drives, families turned in every iron page numbers.
80
pot and aluminum pan they could to help make tanks James Q. Wilson, “The Police and Their Problems,” Public
and airplanes. Policy, Vol. 12, (1963), pp. 189–216.
73 81
Many saw the new rock’n’roll sound popularized by such Typically, with a final grade of “A” an officer received
performers as Little Richard, Elvis Presley, and Jerry Lee 100 percent of the cost of the course, 50 percent for a “B,”
Lewis as inspired by the devil to seize the souls of our and 25 percent for a “C.”
82
children. The emergence of doo-wop music in the mid- Robert C. Wadman and William Thomas Allison, To Serve
1950s, a smooth harmonized group sound, provided and Protect (Upper Saddle River, NJ: Prentice Hall, 2000),
further “evidence” of the evil of rock ‘n’roll. p. 151.

M01_SWAN4056_09_SE_C01.indd 37 7/8/16 1:00 PM

 38 chap te r 1 • The E v o l ut io n o f P ol i c e Ad mi n i s t r at i on

83 97
By 1973, all major American troop formations were See Peter Finn and Sari Horwitz, “U.S. Charges Snowden
withdrawn from South Vietnam, although advisors with Espionage,” The Washington Post, June 21, 2015,
remained. The country fell to the North Vietnam p. 1, https://www.washingtonpost.com/world/national-
communists in 1975. security/us-charges-snowden-with-espionage/2013/06/21/
84
Vietnam veterans attending college often chose to 507497d8-dab1-11e2-a016-92547bf094cc_story.html,
conceal their service because the anti-war movement, accessed March 19, 2016 and No author, “Snowden
which permeated campuses, would lead to them being Granted 3-Yr Residence Permit in Russia-Lawyer, August
spit at or reviled as “baby killers,” a shameful reward for 7, 2014, www.google.com/webhp?sourceid=chrome-
their service. At the same time, law enforcement instant&ion=1&espv=2&ie=UTF-8#q=snowden%20in%20
personnel attending universities part-time did not russia%20seeks%20asylum, accessed august 7, 2014. At
reveal their occupation because of student “paranoia various times Snowden has also mentioned to the news
about police spies” investigating anti-war activities or media he might seek political asylum in Hong Kong,
drug use. Cuba, Switzerland, and South American Countries.
85 98
His assailant was released from prison in 2007. See G. Jeffrey MacDonald, “Cops: Tsarnaev Shootout
86
Nicholas deB Katzenback, The Challenge of Crime in a Free ‘Non-Stop’ for 8 Minutes,” USA Today, March 17, 2017,
Society (Washington, DC: Government Printing Office, p. 1, http://www.usatoday.com/story/news/2015/03/16/
1967), p. 12. boston-marathon-trial/24843547 and accessed March
87
Jameson W. Doig, “Police Problems, Proposals, and 19, 2016 and No author, ?Boston Marathon Bomber
Strategies for Change,” Public Administration Review, 28, Sentenced to Death,” CBS News, p. 1, http://www.
(September/October 1968), p. 393. cbsnews.com/news/boston-marathon-bomber-
88
National Research Council of the National Academies, dzhokhar-tsarnaev-sentencing, accessed
Fairness and Effectiveness in Policing: The Evidence March 19, 2016.
99
(Washington, DC: The National Academies Press, 2001), See Krishhnadev Calamur, Marina Koren, and Matt Ford,
p. 176. “A Day After the San Bernardino Shooting,” The Atlantic,
89
Joe Schwartz, Israel’s Defense, First Things: A Journal of December 3, 2015, http://www.theatlantic.com/national/
Religion and Public Life, No. 191, (March 2009), p. 29. His archive/2015/12/a-shooter-in-san-bernardino/418497,
assailant was released from prison in 2007. accessed march 19, 2015.
90 100
After the raid, Ugandan Army officers murdered an Israeli Kimberly Kindy, Marc Fisher, Julie Tate, and Jennifer
passenger who previously had been taken from the Jenkins, “A Year of Reckoning: Police Fatally Shoot Nearly
terminal to a hospital. 1,000,” The Washington Post. December 24, 2015, p. 1,
91
It also led to U.S. Navy Seal Team 6 (ST6) being designated http://www.washingtonpost.com/sf/investigative/2015/
as a primary counter-terrorism group (1981). Six years later, 12/26/a-year-of-reckoning-police-fatally-shoot-nearly-
1000
ST6 was folded into the U.S. Navy Special Warfare , accessed March 19, 2015. The statistics appear
Development Group (NSWDG) with responsibility for near the top of the screen, but do not appear when
maritime environment terrorism. printed.
92 101
David Weisburd et. al., CompStat and Organizational No Author, “When Can Police Use Force and What
Change: A National Assessment (Washington, DC: Happens When They Do? Police Foundation, http://www.
National Institute of Justice, 2008), p. 5. policefoundation.org/general-resources/use-of-force-
93
Drawn with restatement from Steve Barnes and James Dao, infographic, accessed March 19, 2016.
102
“Gunman Kills Soldier Outside Recruiting Station,” The See No author, “Use of Force: Taking Policing to a Higher
New York Times, June 1, 2009, P.1, http://www.nytimes. Standard,” Washington, DC, Police Executive Research
com/2009/06/02/US/02recruit.html, accessed march 19, Forum, January 16, 2016, http://www.policeforum.org/
2016. assets/30%20guiding%20principles.pdf, accessed March
94
A portion of the description of this incident was drawn with 16, 2016.
103
restatement from Bill Kenber, “Nidal Hasan Sentenced to No author, “How PERF”s Use-of-Force Guiding Principles
Death for Fort Hood Shooting Rampage,” The Were Developed,” Washington, DC, Police Executive
Washington Post, August 28, 2013, www.washingtonpost. Research Forum, January 29, 2016, p. 1, accessed March
com/world/national-security/nidal-hasan-sentenced-to- 16, 2016.
104
death-for-fort-hood-shooting-rampage/2013/08/28/ “Use of Force: Taking Policing to a Higher Standard,” p. 1.
105
aad28de2-0ffa-11e3-bdf6-e4fc677d94a1_story.html, No author, “Police Use of Excessive Force,” Community
accessed March 19, 2016. Relations Service, Washington, DC: U.S. Department of
95
See Al Baker and William Rashbaum, “Police Find Car Justice, 1999, revised 2002, https://www.justice.gov/
Bomb in Times Square,” The New York Times, May 1, archive/crs/pubs/pdexcess.htm#41, accessed March
2010, p. 1 with restatement, www.nytimes.com/2010/05/02/ 19, 2016.
106
nyregion/02timessquare.html?pagewanted=all, accessed No author, “Use of Force: Taking Policing to a Higher
march 19, 2016. Standard,” p. 1.
96 107
See Warren Richey, “Failed MLK Dat Parade Bomber Gets David A. Graham, “The FBI Director’s Troubling Comments
32-Year Sentence,” Christian Science Monitor, December on the ‘Furguson Effect,” The Atlantic, October 26, 2015,
20, 2011, http://www.csmonitor.com/USA/Justice/2011/ p. 2, www.google.com/webhp?sourceid=chrome-
1220/Failed-Martin-Luther-King-Day-parade-bomber-gets- instant&ion=1&espv=2&ie=UTF-8#q=The+FBI+Director%
32-year-sentence, accessed march 19, 2016. E2%80%99s+Troubling+Comments+on+the+%E2%80%98

M01_SWAN4056_09_SE_C01.indd 38 25/08/2018 07:49

 c h ap t e r 1 • T h e E vol u t i on of P ol i c e A dm inis t rat ion 39

Furgueson+Effect%2C%E2%80%9D+The+Atlantic%2C, com/story/news/nation/2014/12/20/new-york-city-police-
accessed March 27, 2016. officers-shot/20698679/, accessed March 20, 2016.
108 112
Jennifer Lunden, “In Baltimore Violent Crime is Up and, Nick Valencia, “Pistol-Whipped Detective Says He Didn’t
Residents say Police Presence is Down, National Public Shoot Attacker Because of Headlines,” CNN News,
Radio, June 4, 2015, http://www.npr. August 14,2015, http://www.cnn.com/2015/08/13/us/
org/2015/06/04/411917414/since-freddie-gray-s-death- alabama-birmingham-police-detective-pistol-whipped/,
violent-crime-is-up-in-west-baltimore, accessed March 20, accessed March 20, 2016.
113
2016, David Clarke, “Clark on Baltimore Murder Spike: Juan A. Lozano, “Deputy Killed in Houston Ambush, Shot
Cops Have Quit on the Commish,” http://insider.foxnews. 15 Times,” The Dallas Morning News, August 31, 2015,
com/2015/05/22/sheriff-clarke-baltimore-murder-spike- http://www.dallasnews.com/news/state/headlines/20150831-
cops-quit-police-commissioner-batts, accessed March 20, deputy-killed-in-houston-ambush-shot-15-times-suspect-
2016, and Josh Sanburn, “What’s Behind Baltimore’s held-without-bond.ece, accessed March 20, 2016.
114
Record Setting Rise in Homicides?” Time, June 2, 2015, No author, “Pistol-Whipped Detective Says He Didn’t
http://time.com/3905876/baltimore-murders-homicide- Shoot Attacker Because of Headlines, CNN News,
rate-record, accessed March 20, 2016. August 21, 2015, http://www.cnn.com/2015/08/13/us/
109
Jessica Chasmar, “Two Los Angeles Police Officers were alabama-birmingham-police-detective-pistol-whipped/,
Shot at in Unprovoked Attack,” The Washington Times, accessed March 19, 2016.
115
December 29, 2016, http://www.washingtontimes.com/ For more on this subject visit https://www.uscis.gov/
news/2014/dec/29/two-los-angeles-police-officers-shot-at- news/fact-sheets/naturalization-through-military-service-
in-unprovo/, accessed March 20, 2016. fact-sheet.
110 116
Josh Solomon, “Two Pasco County Sheriff’s Deputies Shot These comments are drawn with restatement from
at in Dade City,” December 28. 2014, http://www. President’s Task Force on 21st Century Policing, Final
tampabay.com/news/publicsafety/crime/two-pasco- Report of the President’s Task Force on 21st Century
deputies-fired-upon-early-sunday-in-dade-city/2211669, Policing, May 2015, Washington, DC: Office of Community
accessed March 20, 2016. Oriented Policing Services, U.S. Department of Justice.
111 117
Melanie Eversley, Katharine Lackey, and Trevor Hughes, The original version of this was by noted leadership
“2 NYPD Officers Killed in an Ambush-Style Shooting,” authority Peter Drucker, “Organizational culture east policy
USA Today, December 21, 2014, http://www.usatoday. for lunch.”

M01_SWAN4056_09_SE_C01.indd 39 8/23/18 12:11 PM

 c h a p t e r t w o

P o li c i ng Today
Learning Objectives
1. Define Community Policing.
2. Describe the four-step problem-solving model called SARA.
3. Describe CompStat.
4. Discuss new police strategies, including evidence-based policing, hot-spots policing,
intelligence-led policing, and predictive policing.
5. List and briefly describe some of the more common crime analysis techniques.
6. Describe geographic information systems and explain how such a system would
enhance police service.
7. Explain the impact of information technology on policing.
8. Describe how distrust between police and citizens can affect police strategies.

40

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 c h ap t e r 2 • Polic ing T oday 41

INTRODUCTION States today. In the early 1990s, community

policing was greatly enhanced through a
In the past decade, our society has changed
management accountability process known as
measurably. Economic downturns have, arguably,
CompStat (Computer Statistics), originally started
widened income disparities; politics have become
under the leadership of the then Commissioner
increasingly divisive; and issues of race and
Bill Bratton in New York City. The variety of tactics
equality are at the forefront of the national
and strategies being used to address today’s
consciousness in a way that hasn’t been seen
unique problems draw greatly from both of these
since the 1960s. Throughout it all, crime levels
models, as well as utilizing technology and
have largely been on the decline—police
research-bolstered techniques to maximize their
departments across the country have enjoyed the
effectiveness.
lowest crime rates in decades. Inevitably, these
rates will increase and we have started to see this
in the early months of 2016. Many urban areas are COMMUNITY POLICING
beginning to see huge increases in both violent As explained in Chapter 1, the failure of traditional law enforce-
crime and property offenses, causing law ment methods to curb rising crime rates during the 1970s and
enforcement agencies to reexamine their 1980s and to reintegrate the police with society gave rise to a
new movement, generally referred to as community-oriented
strategies and reallocate resources. In some policing(COP) or community policing. One of the first
cases, departments have shifted from targeted major critics of the traditional policing model was Herman
enforcement models back to community policing Goldstein.1 In his classic work Policing a Free Society, Goldstein
questioned the effectiveness of traditional police methods in
blends—in other cases, departments have utilized safeguarding the constitutional rights and privileges celebrated
technology in new and different ways. in American society (e.g., freedom of speech and expression,
Furthermore, the landscape of policing itself due process, and the right to privacy) versus the control of
crime and the decay of social order. Goldstein pointed out that
looks much different than it did just a few years these two goals may be incompatible under the traditional
ago: Various social movements have begun to call police model and called for a closer link between the police
on law enforcement agencies to increase and the community.
During the same time period, Wilson and Kelling’s “broken
transparency and respond to perceptions of biased windows” thesis emerged as a dominant theme in American
policing; the trend of police militarization, an policing debate.2 Arguing that crime seemed to increase dramati-
outgrowth of SWAT-style techniques and cally in neighborhoods where visible signs of social decay and
disorder were present (e.g., graffiti on bridge structures, unkept
armaments, is being challenged; and the use of lots with overgrown weeds, visible drug and prostitution activi-
technology has transformed many police functions. ties, and warehouses with broken windows). Wilson and Kelling
This is an interesting era for crime-fighting argued that areas with these types of crimes are signs of decay-
ing neighborhoods and therefore a breeding ground for more
methodologies—making understanding their serious crimes. The philosophy of zero-tolerance policing
evolution even more important. Tracing the (ZTP) focuses on targeting police responses to less serious
genesis of these methods from the reactive and crimes in these areas, addressing the counter-intuitive argument
that disorder may elicit more fear than actual crime.3 Where
ineffective traditional model of policing common adopted, officers are not given any discretion in dealing with
previous to the 1980s, one sees how the shift in minor crimes of disorder; an arrest has to be made. In more
focus on social problems and attempts to engage recent times, ZTP has been re-labeled as “disorder policing” in
some circles.
the wider community to assist in curbing crime Although ZTP has been given credit for reducing crime in
and disorder emerged into what is now commonly some jurisdictions, most notably New York City, the empirical
called “community policing.” Community evidence of its effectiveness raises some questions,4 as does the
assumed progression from disorder to serious crimes.5 Moreover,
policing, still provides a strong philosophical the strategy may have some unintended consequences: In New
model among police agencies in the United York City, the implementation of ZTP was accompanied by an

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 42 chap te r 2 • Po l icin g To d ay

increase in citizen complainants and lawsuits alleging police random patrol and response to incidents. In some jurisdictions
misconduct and abuse of force.6 Still, some policy makers con- the calls for service are so high that the amount of time available
tinue to adopt ZTP, which can be used as the dominant strategy to random, preventative patrol is negligible.
in an agency or within the framework of other policing strategies In present practice, COP is a proactive approach to crime
such as community-oriented policing. Others maintain the two control with three complimentary elements: (1) community
strategies are incompatible and that working closely with the partnerships; (2) problem solving, using the Scanning, Anal-
community can achieve ZTP results without generating increases ysis, Response, and Assessment (SARA) model; and (3) orga-
in complainants and lawsuits.7 nizational transformation (see Figure 2.1). The most
Kelling and Coles went on to argue that “broken windows common types of restructuring associated with community
needed fixing” and that the police must be directed to do more policing include:
than just “crime control.”8 Indeed, they argued that other func- dd A decentralization of authority, allowing all levels of a
tions of the police were as important and maybe more impor-
department to have an increased level of independence
tant, than strictly enforcing the law and maintaining order. In this
and decision making.
context, police should focus more on a service orientation,
building key partnerships with churches, youth centers, and dd A flattened hierarchy, which collapses bureaucratic
other neighborhood groups in an effort to forge new alliances layers and allows for increased efficiency and
with the community. Crime was seen not as the sole purview of better communication.
the police but rather as an entire community responsibility. dd A reduced number of specialized units, with resources
Police administrators began to look for new techniques and instead being devoted to the direct delivery of police
operational strategies that emphasized more service than arrest. services to the public.
Decentralization of services, characterized by storefront opera- dd An emphasis on teamwork, which promotes problem
tions and neighborhood centers, began to be commonplace in solving and the provision of services by groups
police organizations. Old programs, such as the horse patrol, of employees.
bike patrol, and the “walking beat” officer, were reintroduced to dd Increasing non-sworn personnel, which provides a cost
American policing as ways to bring the police and the commu- savings because their salaries are typically less than
nity closer together. sworn officers and which also allows sworn officers to be
Although Braiden9 argues that community policing was used more effectively.13
“nothing new under the sun” because it only echoed the ideas
expressed by Sir Robert Peel in the early 1800s, community
policing did represent a refreshing approach to earlier prob-
lems. Community policing embraced the Peelian principle of EVALUATION RESEARCH ON
police as members of the public giving full-time attention to
community welfare and existence. Therefore, policing was
COMMUNITY POLICING
linked to a myriad of social issues other than simply crime, Since the 1980s, considerable empirical data has been gener-
including poverty, illiteracy, racism, teenage pregnancy, and ated regarding the effectiveness of community policing. Few,
the like.10 however, actually show positive effectiveness of the policing
Although precise definitions of community policing are hard paradigm as a successful methodology to reduce crime and
to find and also vary, it is generally an operational and manage- disorder. The evidence, is at best, largely mixed evidence as it
ment philosophy that can be quickly identified. Community relates to positive outcomes. While a portion of the evidence
policing is characterized by ongoing attempts to promote greater shows some indication that community policing may be related
community involvement in the police function. For the most to decreases in crime—as is often the case in social science
part, the movement focused on programs that fostered five ele- research—design limitations make it difficult to generalize to
ments: (1) a commitment to crime prevention, (2) public scru- other places and time. Findings are also limited when it comes
tiny of the police, (3) accountability of police actions to the to perceptions and fear of crime. While it is generally accepted
public, (4) customized police service, and (5) community that community policing helps community members feel safer
organization.11 and reduces the levels of fear of crime, in reality, actual crime
Community policing advocates argue that traditional polic- incidents in several test communities reveals no significant
ing is a system of response; that is, the police respond to calls changes.14 In some research findings, favorable decreases in
for services after the activity occurs. Police response is then disorder offenses as a result of community policing are clear
reactive and incident driven (calls for assistance and people and consistent evidence that COP improves community rela-
reporting crimes) rather than proactive and preventive. Further, tions. And, it appears that community policing models benefit
a randomized motor patrol neither lowers crime nor increases individual police officer attitudes toward both their work and
the chances of catching suspects. Simply, increasing the number the community. It’s not as certain, however, whether community
of police, then, has limited impact on the crime rate because policing actually reduces calls for service or whether it signifi-
improving response time on calls for service has little relevance cantly changes police officer behavior. Hence, definitive state-
to preventing the original incident.12 In addition, the role of the ments on the impact of community policing are difficult
individual police officer is largely limited within the confines of because the concept itself looks very different from agency to

M02_SWAN4056_09_SE_C02.indd 42 7/11/16 2:33 PM

 c h ap t e r 2 • Polic ing T oday 43

The Primary Elements of Community Policing

Other Government Agencies

Community Members/Groups

Nonprofits / Service Providers

Private Businesses

Media

Agency
Management

Community
Partnerships

Organizational
Structure

Organizational
Transformation Problem
Solving
Personnel

Information
System (Technology)

S Scanning
A Analysis
R Response
A Assessment
Using the Crime Triangle

FIGURE 2.1 c Primary Elements of Community Policing Source: Community Oriented Policing Services,
“Community Policing Defined,” p. 2 (2014). www.cops.usdoj.gov/pdf/vets-to-cops/e030917193-CP-Defined.pdf

agency. Some departments emphasize community outreach and COMMUNITY POLICING

programming that directly affect quality of life, while others
favor increased patrols and increased reliance on CompStat. AND COMPSTAT
There’s no standard definition of what a community policing
model should look like, and implementation varies wildly Although community policing has not had the drastic effects its
across agencies compounding problems relating to evaluation supporters had hoped, the premise behind the philosophy has
of the community policing model.15 in turn led to the quality movement within policing: making

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 44 chap te r 2 • Po l icin g To d ay

Box 2.1 Harm-Focused Policing

When we attempt to quantify the success of a policing down narcotics crime in the area. But as increased patrols
program, we often talk about things that didn’t happen: tend to unfairly target minorities, the social implications
Certain crimes didn’t occur at certain rates or we of arresting and sending non-violent offenders through
prevented these things from happening. This is a very the criminal justice system might have a ripple effect: It
one-dimensional perspective to look at policing—the might inflame racial tensions, decrease police legitimacy,
technique may be adequate to compare crime rates from and increase social problems like poverty among families
year to year, but it does not give a full picture of the role whose loved ones were arrested. In that case, a slightly
of the police within a specific community, nor does it decreased number of drug-related crimes as a result of
recognize that all crimes are not equal across the spec- hot-spots policing may not be offset by the social harms
trum. According to at least one police scholar (Dr. Jerry it has simultaneously inflicted on the community.
Ratcliffe), the field of policing is missing an opportunity to Ratcliffe believes that his harm-focused model is an
better capture the complex nexus between crime and the ideal complement to both intelligence-led policing and
criminal justice system by not developing a harm-based evidence-based policing; the model would provide statis-
evaluation system that explores all of these intricacies. tics and information on which to focus intelligence-led
Not only does harm-focused policing take a look at crime practices and would provide much in the way of scientific
numbers and the harm that crime itself causes, but it also data for evidence-based policies and strategies. This new
explores the inherent harms in different types of police and innovative policing model, though complex, provides
activities. Ratcliffe explains that, for example, in hot-spots a rich perspective to view the ways that crime and law
policing, increased “stop and frisk” scenarios might drive enforcement actions impact a community.

the police be more efficient and effective. Today, most ambi- required for effective CompStat efforts. However,
tious police methodology focuses on precisely that concept— more rudimentary aspects of visual crime analysis
CompStat. The word CompStat is derived from “comp,” can be accomplished through daily pin mapping
stemming from the word “computer,” and “stat,” which origi- and bulletins.
nates from “statistics.” The process was originally developed in 2. Rapid deployment of resources, particularly
New York City by the then Commissioner William Bratton in combining the immediate presence of uniform
the mid-1990s,16 and continues in some form today in most patrol working in concert with directed
major cities. CompStat is a process that looks at the individual undercover operations. Rapid deployment of
needs of the community and then designs proactive strategies other city and governmental resources, such as
to stop or prevent crime. To accomplish this goal, Bratton nuisance and abatement personnel, sanitation
required his department (New York in the 1990s and Los Ange- workers, and alcoholic beverage and licensing
les in the 2000s) to analyze crime data weekly and required enforcement, is an additional aspect of this
police administrators to meet regularly to share information principle.
between divisions and precincts. A key component of Comp- 3. Effective tactics and strategies of enforcement that focus
Stat is to force police commanders to address crime and social on visible street crimes or “quality-of-life” crimes, such
problems in their areas of responsibility and to address them as loitering, drinking in public, street prostitution, or
immediately. Police commanders are then held accountable for even jumping subway turnstiles.
the success or failure of their plans and decisions. Combining
4. Relentless follow-up and assessment, which include
the two strategies of in-depth analysis with management
placing accountability and responsibility not only on
accountability is the heart of the process.
the individual police officer on the beat but also on
Essentially, CompStat is a collection of modern management
individual police managers of traditionally defined
practices, military-like deployment efforts, and strong enforce-
areas, such as division heads, precinct captains, or
ment strategies all based on the availability of accurate and
shift commanders.17
timely statistical crime data. Four core principles highlight a
police department’s model of CompStat: CompStat focuses on using the most accurate and timely
information and data available to the police, opening lines of
1. Accurate and timely intelligence and statistical communication both horizontally and vertically within the orga-
crime information based on geographical settings nization, activating the community at large, and improving the
and/or areas. High-tech computer systems and overall efficiency and effectiveness of the police. CompStat is
geographical mapping programs are most helpful in problem-oriented and preventive and stresses the need to focus
providing the aggregate and individual data often on current problems rather than on past incidents. In this

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 c h ap t e r 2 • Polic ing T oday 45

Box 2.2 Traditional vs. Community Policing: Questions and Answers

Traditional Community policing

Question: Who are the police? A government agency principally Police are the public and the public are
responsible for law enforcement. the police: The police officers are those
who are paid to give full-time attention to
the duties of every citizen.

Question: What is the relationship Priorities often conflict. The police are one department among
of the police force to other public many responsible for improving the
service departments? ­quality of life.

Question: What is the role of the Focusing on solving crimes. A broader problem-solving approach.
police?

Question: How is police efficiency By detection and arrest rates. By the absence of crime and disorder.
measured?

Question: What are the highest Crimes that are high value (e.g., Whatever problems disturb the commu-
priorities? bank robberies) and those involving nity most.
violence.

Question: What, specifically, do Incidents. Citizens’ problems and concerns.

police deal with?

Question: What determines the Response times. Public co-operation.

­ ffectiveness of police?
e

Question: What view do police take Deal with them only if there is no Vital function and great opportunity.
of service calls? real police work to do.

Question: What is police Swift effective response to serious Keeping close to the community.
­professionalism? crime.

Question: What kind of intelligence Crime intelligence (study of particu- Criminal intelligence (information about
is most important? lar crimes or series of crimes). the activities of individuals or groups).

Question: What is the essential Highly centralized; governed by Emphasis on local accountability to com-
nature of police accountability? rules, regulations, and policy direc- munity needs.
tives; accountable to the law.

Question: What is the role of To provide the necessary rules and To preach organizational values.
­headquarters? policy directives.

Question: What is the role of the To keep the ”heat” off operational To coordinate an essential channel of
press liaison department? officers so they can get on with the communication with the community.
job.

Question: How do the police regard As an important goal. As one tool among many.
prosecutions?

Source: Malcolm K. Sparrow, “Implementing Community Policing, Perspectives on Policing (Washington, DC: U.S. Department
of Justice, National Institute of Justice, November 1988). See: https://www.ncjrs.gov/pdffiles1/nij/114217.pdf

manner, CompStat significantly departs from the traditional that encourage, cause, or commit crime, thereby preventing con-
police model by taking a preventive/proactive approach rather tinuing problems and crime.
than a reactive, incident-driven approach. CompStat meetings The CompStat process is not limited to large, metropoli-
tend to focus on an individual area or a community’s problems tan agencies. Indeed, CompStat can be implemented in cit-
with an eye toward remedying the situation or variables/people ies of all sizes with diverse populations and varying crime

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 46 chap te r 2 • Po l icin g To d ay

rates. The process helps police executives clarify their agen- Newport News, Virginia
cy’s mission and focus its efforts on the most important
In 1983, under the direction of a new chief, Darrel Stephens, the
issues first, identifying problems early and developing effec-
Newport News Police Department developed a “problem-ori-
tive strategies for remediation and prevention. Most impor-
ented” approach to policing. Known as problem-oriented
tantly, the CompStat process allows the organization to
policing, this innovative style of community policy focused on
quickly learn what works and what does not, while provid-
the department’s traditional response to major, recurring prob-
ing a flexible methodology to try innovative programs and
lems. Its goal was to reassess the traditional, incident-driven
promising strategies. 18
aspects of police work, and fundamentally change the way the
CompStat doesn’t look the same in every agency, nor should
Newport News Police Department viewed its mission. The result-
it. When it was first widely implemented, many police chiefs
ing self-analysis yielded an important four-step, problem-solving
thought that CompStat meetings should be high stakes, disci-
methodology (commonly referred to as SARA) that has become
pline-oriented meetings that involved a lot of yelling and fin-
an integral part of current community policing operations
ger-pointing, which only served to marginalize the process and
(see Figure 2.2).
make meeting highly unpopular and intimidating to mid-level
and even command staff. Today’s CompStat meetings are much Scanning—Instead of relying on broad, law-related
lighter in tone than in Bratton’s version—and many agencies concepts, such as robbery, burglary, and auto theft, officers
now include outside stakeholders who contribute alongside of are encouraged to group individual, related incidents that
commanders, patrol officers, and crime analysts. Depending on come to their attention as “problems” and define these
the problem, outside stakeholders might include key represen- problems in more precise and useful terms. For example,
tatives from a variety of institutions, including public health, an incident that typically would be classified simply as a
the chamber of commerce, public housing, and even private “robbery” might be seen as part of a pattern of prostitution-
security agencies. For instance, in one city economically ori- related robberies committed in center-city hotels. In
ented to tourism, criminals could easily identify rental cars. essence, officers are expected to look for possible
When the rentals were stopped by traffic or at lights, the crimi- problems and accurately define them as part of their
nals would slash the tires and rob the immobile car occupants. daily responsibility.
They didn’t fear prosecution if apprehended because the visi- Analysis—Officers working on a well-defined problem
tors were unlikely to return to that city in order to testify. By then collect information from a variety of public and
including a group of stakeholders that included the tourism private sources, not just traditional police data, such as
bureau and the car rental industry, multiple strategies were criminal records and past offense reports. Officers rely
devised that substantially obviated the problem. on problem analysis guides that direct officers to
CompStat meetings consistently generate clear performance examine offenders, victims, the social, economic, and
measurements that emphasize metrics related to crime reduction
and quality of life, as opposed to police activity indicators like
arrests made and tickets issued.19 Many policing experts point
to CompStat as the single most important advance in police
administration in the past century. Whether that will continue to
be the case in the future lies within CompStat’s ability to incor-
porate technological advances, disseminate tactical information,
and balance its focus on crime with other values critical to law
enforcement, such as fair and impartial policing, officer behavior,
and community relations.

COMMUNITY POLICING MODELS

Community policing has evolved greatly in the years since its
implementation, and as mentioned previously, it takes many dif-
ferent forms across agencies. And though some of the bench-
mark case studies in policing literature tend to focus on programs
that were created decades ago, it remains important to see the
genesis of community policing in order to understand how the
concept is relevant to today’s police organizations. Three cases
FIGURE 2.2 c The problem-solving system used in New-
that still have a major impact on today’s community policing port News, Virginia, Police Department. Source: William Speiman
philosophies include Newport News, Virginia; Chicago, Illinois; and John E. Eck. “Problem Oriented Policing,” in Research in Brief (Wash-
and Minneapolis, Minnesota. ington, DC: National Institute of Justice, October 1988), p. 4.

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 c h ap t e r 2 • Polic ing T oday 47

physical environment, and previous responses to the dd Drunk and drinking drivers around the skid-row area of
problem. The goal is to understand the scope, nature, the city
and causes of the problem and formulate a variety of dd Panhandlers, vagrants, and other displaced people living
options for its resolution. on the sidewalk in a business district
Response—The knowledge gained in the analysis stage is dd Juvenile runaways, prostitutes, and drug dealers
then used to develop and implement solutions. Officers congregating at the downtown bus depot
seek the assistance of citizens, businesses, other police dd Robberies of commercial establishments at major
units, other public and private organizations, and anyone intersections of a main thoroughfare of a suburban area
else who can help develop a program of action. that is a corridor leading out of a large central city22
Solutions may go well beyond traditional police
responses to include other community agencies and/or Note that each of these problems incorporates not only a
municipal organizations. potential or real crime but also a wider community/social
Assessment—Finally, officers evaluate the impact and the issue. Further, each problem has been identified with a spe-
effectiveness of their responses. Were the original problems cific location. Goldstein23 emphasizes that the traditional func-
actually solved or alleviated? What went right and just as tions of crime analysis under the problem-solving methodology
importantly, what didn’t work and why. Officers then can can be expanded to have a much wider and deeper impor-
use the results to revise a response, to collect more data, or tance. The pooling of data and subsequent analysis provide
even to redefine the problem.20 the basis for problem identification and response strategies.
Therefore, the accuracy and timeliness of such information
Goldstein21 further explains this systematic process in his becomes a necessity for the department. However, the ultimate
book Problem-Oriented Policing, which has become a classic in challenge in problem-oriented policing is not the identification
the field. Goldstein’s work attempts to give greater meaning to of problems but rather the integration of the community with
each of the four SARA steps. For instance, a problem is expanded the police in developing effective ways of dealing with them
to mean a cluster of similar, related, or recurring incidents rather (see Figure 2.3).
than a single incident. The assumption is that few incidents are
isolated; instead, they are part of a wider set of urban social
phenomena. Examples of such community problems are the
Chicago, Illinois
following: In January 1993, Mayor Richard Daley and the then Police Super-
intendent Matt L. Rodriguez announced the first major opera-
dd Disorderly youth who regularly congregate in the parking tional changes to use community policing in the city of Chicago.
lot of a specific convenience store The new program, the Chicago Alternative Policing Strat-
dd Street prostitutes and associated “jack roll” robberies of egy (CAPS), was designed to move the department from a
patrons that continually occur in the same area traditional, reactive, incident-driven agency to a more proactive

FIGURE 2.3 c Officers focus

on problem solving in traditionally
high-crime areas, such as low-
income, densely populated urban
settings. Providing quality polic-
ing and an improved image are
important parts of the community
policing movement. (Larry
­Kolvoord/The Image Works)

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 48 chap te r 2 • Po l icin g To d ay

and community-oriented department. At first, CAPS was hailed modification in the existing philosophy, structure, operation,
as a method to combat crime, drugs, and gang activity in the and deployment of police.25 The gradual evolution toward full-
inner city. However, as the implementation plan unfolded, a scale adoption essentially continued to redefine both the means
much broader mission statement evolved that focused on a com- and ends of community policing.26
bined effort with the community to “identify and solve problems CAPS had a number of key features aimed at improving and
of crime and disorder and to improve the quality of life in all of expanding the overall quality of police services in the city of
Chicago’s neighborhoods.”24 Chicago, as well as reducing crime.27 These key features included
As in many large cities implementing community policing, the following:
Chicago developed five prototype districts to serve as “labora- dd Crime control and prevention—CAPS emphasizes
tories” for testing new police ideas, innovations, and strategies
both crime control and crime prevention. Vigorous
(see Figure 2.4).
and impartial enforcement of the law, rapid
These districts could then refine the successful new pro-
response to serious crimes and life-threatening
grams and hence improve the overall CAPS model. Essentially,
emergencies, and proactive problem solving with
the new CAPS program echoed the methodology for implement-
the community are the foundations of the city’s
ing community policing in several other large metropolitan cities
policing strategy.
at the time. For instance, in Houston, Texas, and New York City,
under the direction of the then Commissioner Lee P. Brown, the dd Neighborhood orientation—CAPS gives special attention
transition to community policing occurred only in select neigh- to the residents and problems of specific neighborhoods,
borhoods or districts and was known as neighborhood-­ which demands that officers know their beats (i.e., crime
oriented policing. Similar programs evolved in Phoenix, trends, hot-spots, and community organizations and
Arizona; Miami, Florida; Philadelphia, Pennsylvania; and resources that are within the geographical areas in which
Newark, New Jersey. Only a few cities attempted to implement they are assigned) and develop partnerships with the
community policing strategies on a department-wide basis community to solve problems. Beat officers work the
(Portland, Oregon and Baltimore, Maryland). Most cities, and same beat on the same watch every day, so they can
particularly large metropolitan communities, realized that the more intimately know the beat’s residents, its chronic
implementation of community policing demanded dramatic crime problems, and the best strategies for solving
those problems.
dd Increased geographic responsibility—CAPS involves
organizing police services so that officers are
Rogers Park responsible for crime control in a specific area or beat.
16% poverty A new district organizational structure using rapid-
58% white response cars to handle emergency calls allows newly
17% black
14% Hispanic
created beat teams to engage in community policing
activities. The beat teams share responsibility for
Austin
specific areas under the leadership of a supervising
29% poverty
beat sergeant.
95% black
52% female-headed dd Structured response to calls for police service—CAPS
families system of differential responses to citizen calls frees
Marquette beat team officers from the continuous demands of
31% poverty 911 calls. Emergency calls are handled primarily by
36% black rapid-response sector cars, whereas nonemergency
59% Hispanic and routine calls are handled by beat officers or by
52% high-school
telephone callback contacts. Sector officers also
graduates
attend to community matters, and sector and beat
Englewood
teams rotate, so that all officers participate in
36% poverty
community policing.
99% black
31% female-headed
families
Morgan Park Quick Fact: Chicago’s CAPS Design
9% poverty
61% black
80% homeowners The Chicago Police Department’s Current CAPS Organiza-
62% long-term residents tion divides the city into 25 districts. Each district has three
FIGURE 2.4 c Chicago’s five experimental districts. sectors and each sector has 3–5 beats, where officers are
Source: Susan M. Harnett and Wesley G. Skogan, “Community Policing: assigned to work.
Chicago’s Experience,” NIJ Journal (April 1999): 3.

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 c h ap t e r 2 • Polic ing T oday 49
dd Proactive, problem-solving approach—CAPS focuses on community surveys, a CAPS hotline, and several
the causes of neighborhood problems rather than on suggestion boxes. The information collected through
discrete/individual incidents of crime or disturbances. this marketing program assists in the refinement and
Attention is given to the long-term prevention of these development of the CAPS program.
problems and to the signs of community disorder and dd Evaluation, strategic planning, and organizational
decay that are associated with crime (e.g., “hot-spots” change—The CAPS program is undergoing one of the
such as drug houses, loitering youth, and graffiti). most thorough evaluations of any community policing
dd Combined community and city resources for crime initiative in the United States. A consortium of four
prevention and control—CAPS assumes that police alone major Chicago-area universities (Northwestern, DePaul,
cannot solve the crime problem and that they depend on Loyola, and the University of Illinois at Chicago) is
the community and other city agencies to achieve conducting an evaluation of the process and results in
success. Hence, part of the beat officer’s new role is to the prototype districts.
broker community resources and to draw on other city
agencies to identify and respond to local problems. CAPS represents one of the largest and most comprehensive
Former Mayor Daley made CAPS a priority of all city community policing initiatives in the country. During its first 10
agencies. Hence, the mayor’s office ensures that years of operation, evaluation findings indicated that major crime
municipal agencies are responsive to requests for and neighborhood problems were reduced, drug and gang prob-
assistance from beat officers. lems were reduced, and public perception of the quality of
police services was improved29 (see Table 2.1). Under this
dd Emphasis on crime and problem analysis through the
orientation, the community is viewed as a valuable resource from
CompStat process—CAPS requires more efficient data
which powerful information and ties can be gathered. It aims “to
collection and analysis to identify crime patterns and
increase the interaction and co-operation between local police
target areas that demand police attention. Emphasis is
and the people and neighborhoods they serve” to combat
placed on crime analysis at the district level, and beat
crime.30 Hence, the major goals of community policing are not
information is recorded and shared among officers and
only to reduce crime but also, more significantly, to increase
across watches or shifts. To accomplish this task, each
feelings of safety among residents.31 These two goals appear to
district has implemented a local area network of
be separate but are actually very closely linked in the community
advanced computer workstations employing a crime
policing process. This approach attempts to increase the visibility
analysis system called ICAM (Information Collection for
and accessibility of police to the community. Through this pro-
Automated Mapping). This new technology allows beat
cess, police officers are no longer patrol officers enforcing the
officers and other police personnel to analyze and map
laws of the state but rather neighborhood officers. These officers
crime hot-spots, track other neighborhood problems, and
infiltrate local neighborhoods, targeting specific areas in need of
share this information with the community. The CAPS
improvement. By involving themselves within the community,
project also instituted a rigorous CompStat process
the officers are more available to meet and discuss the specific
designed to take CAPS to the next level through
problems and concerns of each neighborhood and work to
management accountability.28
develop long-term solutions.32 These solutions are the root of
dd Training—The Chicago Police Department has made a the proactive approach to policing. By listening to the public, the
significant commitment to training police personnel police will be better informed of the specific problems in each
and the community in the CAPS philosophy and area. As co-operation between police and citizens in solving
program. Intensive training on problem solving and neighborhood problems increases, residents feel more secure.33
community partnerships is being provided to district CAPS still represents one of the most researched and referred-
patrol officers and their supervisors. Innovative to community policing initiatives in history, but in 2012, it was
classroom instruction for the community and a at risk of being dismantled altogether. Politics within the city and
program of joint police–community training have also increasing violent crime shifted focus locally more toward
been developed. CompStat and reactive policing strategies. Superintendent Garry
dd Communication and marketing—The Chicago Police McCarthy (appointed in 2011) seemed to suggest that he would
Department is dedicated to communicating the CAPS dismantle the program at one point, but instead announced in
philosophy to all members of the department and the 2013 that—in conjunction with Mayor Rahm Emanuel’s office—
community. This is a fundamental strategy of the he was revitalizing the program. The superintendent and mayor
CAPS program. To ensure such communication, an introduced the changes to CAPS by attempting to change the
intensive marketing program has been adopted that model from just another bureaucracy to a new and vibrant mind-
includes a newsletter, roll-call training, a regular cable set and approach to policing. As such, CAPS became a new
television program, information exchanges via management philosophy that was now centralized directly out
computer technology (Internet and fax machines), of headquarters, and updates to the program were then decen-
and various brochures and videos. Feedback is tralized, giving district commanders the flexibility to customize
collected through personal interviews, focus groups, programming to the needs of their specific areas. Each district

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 50 chap te r 2 • Po l icin g To d ay

Table 2.1 C hicago community policing at a glance

Chicago’s community policing effort is more extensive and more organized than programs
in most other jurisdictions, and it permeates the city to a greater extent than in most
others. Below is an “at a glance” description of a typical, more limited program compared
to Chicago’s program.

Chicago’s Community More Limited Community

Policing Model Policing Model
Police Police
• The entire patrol division is involved. • Small units are staffed by officers who
• The program is fully staffed with have volunteered for a community
permanent officers on regular shifts. policing assignment.
• Extensive training is given to both • Officers work overtime and are usually
officers and supervisors. paid with temporary federal funding.
• All districts and all shifts are involved. • Officers work on evening shift only.
• Program activities are supervised • Little training is provided; officers’
through the regular chain of command personal motivation propels the program.
and through standard patrol operations. • Officers are assigned only to selected
areas.
• Program activities are supervised
by the chief’s office or from outside the
routine command structure.

Residents Residents
• Residents are expected to take an active • Residents are asked to be the police
role in solving problems. department’s “eyes and ears.”
• Residents are encouraged to meet with • Surveys or postcards are distributed to
police regularly to exchange information residents as a way of gathering
and report on actions taken. information.
• Public priorities play an important role in • Residents are called to meet occasionally,
setting beat team priorities. to publicize the program.
• Residents receive training in Chicago’s • Residents have no role in setting police
problem-solving model. priorities or operations.

Municipal Services Municipal Services

• Management systems are in place to trig- • Service agencies have no special
ger a rapid response to service requests. responsibility to police or
• Agencies are held accountable by the citizen groups.
mayor for the effectiveness of their • Service agencies believe community
response. policing is the police department’s
• Community policing is the entire city’s program and should be funded by the
program, not the police department’s police department’s budget.
program.

Source: http://mayor.cityofchicago.org/mayor/en/photo_galleries/press_room_photo_galleries/201 (retrieved

on July 16, 2010).

was also assigned a sergeant and two CAPS police officers, as the future of the CAPS project until new leadership assumes
well.34 Longitudinal research efforts centered on the effective- control of the Chicago Police Department.
ness of CAPS were initiated and findings focused on the impact
of these programmatic shifts are underway, pressured by a sharp
increase (of nearly 15 percent) in homicides in the city during Minneapolis, Minnesota
the first half of 2015 (a total of 216 people have been reported Comparing the core principles of CompStat with the problem-
killed from January 1 through June 30, 2015).35 Further, in solving model of Newport News, presented earlier, reveals a sig-
December 2015, Superintendent Garry McCarthy was terminated nificant amount of similarity. Indeed, CompStat may well be the
from his position by Chicago Mayor Rahm Emanuel as a result natural evolution of the problem-solving model in today’s more
of a departmental “crisis of confidence” stemming from the sophisticated cities. It is important that Chicago’s CAPS program
investigation of questionable police involved shootings. 36 incorporated CompStat as a vehicle to enhance crime fighting and
The action was highly controversial and threatens to hinder management accountability. While a number of jurisdictions,

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 c h ap t e r 2 • Polic ing T oday 51

including Los Angeles, Philadelphia, New Orleans, Albuquerque, rates. As previously discussed, though, community policing pro-
Sacramento, Boston, and Dallas, continue to refine the CompStat grams and other contemporary policing initiatives have also
principles, none has been more successful in implementing the revealed similar levels of inefficiency.
process than the Minneapolis Police Department. In particular, research has provided little in terms of support
In Minneapolis, the CompStat program was referred to as for problem-oriented policing as presented through broken win-
CODEFOR (Computer Optimized DEployment—Focus On dows and zero-tolerance philosophies.39 Furthermore, despite
Results). This strategy was designed specifically to reduce crime the widespread popularity of community policing strategies,
and involves every geographical and structural unit within the most studies evaluating this type of policing have not found that
Minneapolis Police Department. CODEFOR combined the latest it greatly impacts crime or disorder; at best, community policing
technology in computer applications and geographical mapping reduces citizens’ fear of crime40 and produces core challenges
with field-proven police techniques. Computer-generated maps to police organizations as they attempts to restructure and
identify high-intensity crime areas, and police resources are change to adapt to community policing ideologies.41
coordinated to such locations in a timely manner. Each week, Nevertheless, there are some new approaches and tactics
police managers gather together and ask directed questions being used with promising results. Evidence-based policing
regarding the crime rates in each of their areas (see Figure 2.5). is becoming a major player, with more and more departments
In CODEFOR’s heyday, departmental executives and com- across the country engaging with police science and research to
manders grilled precinct captains on the crimes in their areas. determine effective strategy.
Precinct captains, while not expected to be able to eliminate Geographic-based and focused policing approaches, such as
crime entirely, were expected to articulate a sensible strategy for hot-spots policing and directed patrols, represent the most
reversing a trend or eliminating a hot-spot. In many cases, those strongly supported policing practices in the United States,42
leaders who repeatedly failed to rise to the occasion—not unlike aided by the use of geographical information systems (GIS),
what might happen to the manager of a struggling department crime analysis, and artificial intelligence. Similarly, intelligence-
in a corporation—found themselves promptly reassigned. Police led policing (ILP) and proactive policing models are also gain-
managers were held accountable for reducing crime in their ing attention as police departments look for ways to do more
areas. A more enlightened understanding of why the process with fewer resources. Although currently under-researched and
worked was that it got the top police managers involved with new, the geographic-based policing approaches have emerged
crime once again. In addition to the solution of internal prob- as innovative strategies for reducing crime and increasing citizen
lems, attendance at community meetings, scheduling, and a satisfaction with police services. Unfortunately, the sheer number
myriad of other administrative tasks, managers were forced to of new and innovative paradigms to combat crime appears to be
direct their efforts to addressing crime in their geographical dis- escalating by the year. Students and scholars alike often have
tricts of responsibility. This emphasis on crime awareness and problems segregating and differentiating the various types of
crime fighting sparked renewed feelings of self-worth among policing strategy that may be employed in one city, or for that
managers as well as an increase in communication between the matter, in one sector of a city. Many of the police strategies
beat officer and the precinct captain. Obviously, a more team- employed today are similar, particularly those that are geographi-
oriented spirit naturally arises which increases morale and sup- cally based, with only minor additions or tactical differences.
ports the primary goals of CompStat under the CODEFOR Indeed, many of the “strategies” could be much more easily
program.37 classified as a police tactic aimed at reducing crime in a specific
The Minneapolis Police Department was one of the first neighborhood over a specific period of time. The myriad of new
departments not only to generate specific crime statistics each names and models has given rise to the thought that the real
week by geographical area but also to use a much more refined differences between policing strategies may be more “rhetoric
process of tabulating success or failure. Interestingly, the reports than reality.”
were also provided over the Internet on a monthly basis for
public consumption and evaluation.38
The major case studies presented (Newport News, Chicago, Evidence-Based Policing
and Minneapolis) represent only three attempts to develop com- In recent years, researchers have focused on building a knowl-
munity policing and CompStat initiatives in the United States. edge base as it pertains to what is known about the effectiveness
Policing continues to develop and change; it is organic. As such, of criminal justice strategies. The ultimate goal is to provide
cities large and small are experimenting with best practices in practitioners with sound empirical evidence to help them make
attempts to significantly reduce crime and improve the quality informed decisions regarding related policies and programs.
of life within their communities. Evidence-based policing is a reflection of this philosophy.
According to Sherman, “evidence-based policing is the use of the
best available research on the outcomes of police work to imple-
ment guidelines and evaluate agencies, units, and officers.”43
POLICING STRATEGIES TODAY Rather than focusing on “how” to do police work, as in com-
Discussions of policing strategies today employ a number of munity policing, or utilizing a generalized problem-solving
catchphrases and acronyms—it seems that every major jurisdic- approach to crime, as in problem-oriented policing, evidence-
tion employs a strategy that they credit with decreasing crime based policing is a paradigm that utilizes the scientific method

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 52 chap te r 2 • Po l icin g To d ay

Minneapolis Calls for Service

Shooting - Sound of Shots Fired - Shotspotter Activations
July 6 - July 12, 2016
Legend
Shooting
ShotSpotter Activation
Sound of Shots Fired

Miles
0 1 2 3 4 5

Information obtained from 911 CAD System.

Minneapolis Police Department NOTE: One incident may be represented by multiple Icons in the
Crime Analysis Unit map, depending upon the number of callers and location of
incoming calls.
350 S. 5th St - Room 100
**Officers are dispatched to the location where the shooting victim
Minneapolis, MN 55415 is currently at, which may include the hospital, or location different
612-673-2470 from the actual shooting incident.

FIGURE 2.5 c Minneapolis’ CODEFOR program merges community policing with CompStat. Police executives
are held accountable for their strategic response to calls for service and crime. Minneapolis is one of the few
departments that shares its crime bulletins and analysis maps with the public on a weekly basis via their website.
Source: http://www.ci.minneapolis.mn.us/police/crime-statistics/codefor/650_MinneapolisShotsFired.pdf, retrieved on July 16, 2016.

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 c h ap t e r 2 • Polic ing T oday 53

to identify, implement, evaluate, and modify the methods that A law enforcement agency that seeks to operate under the
are most effective in reducing crime.44 philosophy of evidence-based policing probably, at a bare mini-
Sherman’s model focuses on the “Triple-T Strategy”: Targeting, mum, looks at the latest research for basic knowledge regarding
Testing, and Tracking. Targeting involves assessing relative levels its organizational directives and strategies and incorporates it
of harm and allocating police resources based on this measure; into their operation on multiple levels from training to crime
in other words, focusing on those issues that the police can law- analysis. Agencies truly committed to the evidence-based model
fully address that will have the most impact. Testing looks at would further emphasize crime analysis and proactive versus
examining research for evidence of success (or failure) to deter- reactive policing policies; would base policies and procedures
mine how a strategy is working. And tracking is an effort to on proven strategies; and work with at least one major academic
continually check performance and implementation, through partner with whom it shares statistics, policies, and plans for the
programs that might include CompStat and even review of body- purposes of ongoing and unbiased evaluation.
worn camera data.45 Shifting to an evidence-based culture in law enforcement will
Essentially, evidence-based policing means that police agen- be a slow change; police agencies are notoriously resistant to
cies should assess research related to “what works and what major transformative change, particularly ones that force them
doesn’t work”—and adjust their organizational strategies appro- to reassess the way things have been done for years. Institution-
priately. This seems intuitive; however, law enforcement agen- alizing research means that police agencies have to work outside
cies have been historically slow and even resistant to discontinue their area of comfort, with expert researchers often from aca-
programs that have been clearly shown through effective evalu- demic and research institutions that do not have a political posi-
ation research that they do not work (e.g., Drug Abuse Resis- tion in the outcome. The relationship between academics and
tance and Education (DARE) programs, gun buyback programs, police agencies has been one fraught with historical conflict and
and the random moving patrol car). And, in the case of programs mistrust. Today, however, there are a number of relatively iso-
that do work, like hot-spots policing, departments implement lated but growing collaborations that highlight partnerships
bits and pieces of the philosophy while still maintaining more between researchers and police. In New York City, the relation-
traditional policing methods overall.46 ship between NYPD and the John Jay School of Criminal Justice
Adopting an evidence-based policing model would have flourishes. The Chicago Police Department continues its evalua-
many benefits to willing law enforcement agencies. Using scien- tion research project of CAPS with Northwestern University and
tifically backed principles to decide on tactics and strategies is the Providence, Rhode Island Police Department continues to
more ethically sound than simply choosing whatever is new, collaborate with Roger Williams University for the improvement
popular, and preferred. Furthermore, using programs and strate- of their programs. However, there are a number of important
gies that are proven to work will reduce crime and increase and new collaborations in Texas. Sam Houston State University
quality of life, thereby inherently enhancing police legitimacy. has historically assisted the Houston Police Department in a
Evidence-based policing also reinforces the concept of police variety of evaluation projects over the past 30 years; and the
transparency—it’s much easier to explain motives, goals, objec- Arlington Police Department has emphasized evidence-based
tives, and plans to the public when there is solid evaluation practices for several years and is seen as a national model for
research to support the effort. Research also plays a very impor- practical research and evaluation. Under former chief Theron
tant role in police professionalism: Using evidence-based strate- Bowman and continued leadership by Chief Will Johnson, the
gies for hiring, training, and developing/implementing policies agency participated in a complex and rigorous study of com-
and procedures may strengthen the personnel base, decrease pressed work weeks in policing, employing randomized con-
inappropriate use of force, and advance the notion of fair and trolled trials to aid in the understanding of how different types
impartial policing. As echoed by the National Research Council of shifts affect officer performance, safety, and health. The six-
(in 2004), current policing strategies in the United States are month study required significant resources from the department,
problematic at best, and future efforts must focus on more effec- but APD remained committed to seeing the outcomes through
tive, evidence-based models: and adapting its agency policies accordingly. It also participated
1. Standard models of policing emphasizing random in programs that highlighted risk-terrain modeling for robbery
patrols and unfocused enforcement is not effective in reductions, national traffic safety studies, and patrol deployment
reducing crime algorithms.48 Continued research into unmanned aircraft sys-
tems, best practices from social media in law enforcement, and
2. Community policing strategies aimed at reducing
body-worn camera deployment again highlight evidence-based
crime, fear of crime, and disorder have had
policing projects team with local universities for research and
mixed results.
evaluation. However, one of the most noted national collabora-
3. Police strategies focused and tailored on specific types tions was highlighted in Dallas, Texas, in 2008 with the develop-
of crime, criminals, and geographic locations are more ment of the Caruth Police Institute; a collaboration between the
effective. Dallas Police Department and the University of North Texas at
4. Problem-oriented policing is effective. Dallas and the University of Texas at Dallas. Under the leader-
5. Future models of policing should be supported by ship of the then chief David M. Kunkle, a transformative gift of
strong and independent evaluation research.47 nearly $10 million was presented for the development of the

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 54 chap te r 2 • Po l icin g To d ay

institute among private foundations, local universities, and the versus focused tactics); included studies must be at least mod-
Dallas Police Department. The institute is physically located erately scientifically rigorous. The result of this ongoing colla-
inside the Dallas Police Department and staffed primarily by tion of data is that practitioners can see at a glance where
faculty at the new University of North Texas at Dallas, with an successful programs cluster—and generally, the data indicates
affiliated relationship with the University of Texas at Dallas, that successful interventions cluster in micro-places or neigh-
which offers a doctoral program in criminology as well as major borhoods, and are highly focused on specific issues.50
assistance with research and evaluation projects. The Caruth
Police Institute focuses on fulfilling the complex research, career
advancement, and leadership development needs of the Dallas Hot-Spots Policing
Police Department. This places the Dallas Police Department in Much like evidence-based policing, hot-spots policing reflects
the unique position of being a national resource for innovative the direct application of empirical data (through various crime
strategies in policing. The venture signifies a bold new relation- analysis and information technologies) that show that crime is
ship between academia and major police departments character- not randomly dispersed but rather is concentrated in isolated
ized by cutting-edge research, education, and professional areas.51 In their seminal work, Sherman and colleagues found
development services.49 that only a few locations were responsible for a majority of
Tools for agencies seeking to bolster their evidence-based police calls for service and reported crime—particularly preda-
credentials are not in short supply. Academic institutions are tory crimes such as muggings, vehicle thefts, burglary, robbery,
forever seeking crime data and access to law enforcement and rape.52 In addition, they found that all robberies occurred
agencies, as well as internships and research opportunities for at 2.2 percent of places, all rapes occurred at 1.2 percent of
students. And the Center for Evidence-Based Crime Policy places, and all auto thefts occurred at 2.7 percent of places.53
offers a number of resources, including the Evidence-Based These areas or “places” with a higher than average number of
Policing Matrix developed by Dr. Cynthia Lum and colleagues crimes are “hot-spots” and represent areas that reflect not only
(see Figure 2.6). This visual guide classifies police interventions higher than normal crime rates but also are often inhabited by
based on the nature and type of target (individuals, groups, lower-income and high-density populations.54 Similar to these
neighborhoods, etc.), whether it’s proactive or reactive, and the findings, drug distribution also appears to cluster. In Jersey City,
level of focus within each strategy (i.e., general prevention New Jersey drug “hot-spots” were responsible for a

Non-Significant Finding
Successful Intervention
Mixed Results
Harmful Intervention or
“Backfire”
Focused
Y: Specificity of prevention mechanism

o.
pr
y
hl
ig
H
ity
iv
ne ac
t
ct o
oa pr
Pr f
General

lo
iv
e ve
ct Le
Re
a Z:
Individuals Groups Micro places “Neighborhood” Jurisdiction Nation/State

X: Type or scope of target

FIGURE 2.6 c The matrix key. Source: Cynthia Lum, Christopher Koper, and Cody Telep, Center for Evidence-Based Crime Policy,
http://cebcp.org/evidence-based-policing/the-matrix/

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 c h ap t e r 2 • Polic ing T oday 55

disproportionate number of arrests and calls for service to the in each type of hot-spot and measuring the impact of each.
police. Furthermore, these areas also experienced a greater Hypothetically, we may well find that it is not one approach but
amount of issues related to crime and disorder compared to rather the cumulative impact of visible police patrol and the
other areas; that is, serious crime, disorder, and street-level drug employment of various arrest tactics that most likely impacts
problems cluster in certain areas within the city. Deploying more crime the most in a specific area.
police resources to these areas reduces the clustering effect.55
Although the concept of crime hot-spots has been documented Directed and Saturation Patrols
for many years, hot-spots policing is a relatively innovative
Directed and saturation patrols are tactics commonly used
approach to crime. This type of policing forces the police to iden-
in policing. Although these strategies are considered low on
tify specific areas with undue concentrations of crime and then
the scale of diverse approaches, they are often used in conjunc-
direct their resources at those places. This is certainly not a novel
tion with hot-spots policing. While directed patrol usually
idea, and the traditional patrol sergeants of the 1960s could have
involves the “directing” of patrol officers to specific locations
argued that a map, a few colored pins, and a series of crime
during their patrol shift, saturation patrol concentrates addi-
reports could have told us “where to send officers” on routine
tional officers on specific locations at specific times. The idea
patrol. Again, this appears to be a very important police strategy,
is to maximize visible patrol efforts in a specific area. Both
particularly in reducing more predatory crimes, recently reinforced
types of patrol involve the assignment of officers to problem-
by a study in Charlotte, North Carolina. The deployment of street
atic areas for proactive enforcement at high-risk times. 61 In
crime units in hot-spot robbery areas not only significantly reduced
theory, increased police presence through directed and satura-
crime but also reduced the level of fear expressed by citizens.56
tion patrols in these areas and times is expected to arrest
However, the strongest support for “hot-spots” policing comes
offenders responsible for a great majority of these crimes and
from the National Academy of Sciences:
generate reductions in crime. It is, however, unknown as to
Studies that focused police resources on crime hot- whether crime is actually reduced or simply moved to another
spots provide the strongest collective evidence of location (displaced); when police visibility is increased, offend-
police effectiveness that is now available. On the ers often move to other areas of the city.
basis of a series of randomized experimental studies, There is also conflicting evidence that calls into question the
we conclude that the practice described as hot-spots effectiveness of directed and saturation patrols as an effective
policing is effective in reducing crime and disorder crime control strategy versus more aggressive arrest tactics. Frit-
and can achieve these reductions without significant sch, Caeti, and Taylor evaluated police strategies aimed at reduc-
displacement of crime control benefits. Indeed, the ing gang violence in Dallas, Texas.62 Their initiative targeted five
research evidence suggests that the diffusion of areas that housed seven of the most violent gangs in the city.
crime control benefits to areas surrounding treated Officers spent a majority of their time utilizing three suppression
hot-spots is stronger than any displacement tactics, including aggressive curfew enforcement, aggressive tru-
outcome.57 ancy enforcement, and saturation patrol, making patrols highly
visible in the targeted areas. Although aggressive curfew and
Despite the evidence in support of hot-spots policing, it is
truancy enforcement were related to significant reductions in
uncertain as to what specific tactics have the most influence in
gang violence, saturation patrols did not produce the same
problem areas, given the wide array of intervention tactics that
effects. Once again, more aggressive arrest techniques in specific
are used within the model.58 For example, hot-spots policing
areas during specific times aimed at specific predatory crimes
tactics include directed patrols, saturation patrol, aggressive traf-
may be the most effective tactic in reducing crime.
fic enforcement, zero-tolerance, and disorder enforcement, as
well as specific drug “buy and bust” programs, even focused
problem-oriented policing techniques. In addition, some schol- Intelligence-Led Policing
ars argue that hot-spots do not actually exist in the real world; Unlike directed and saturation patrols, intelligence-led policing
that is, hot-spots are an “amalgam” of different types of locations (ILP) is not a tactic, nor is it a crime-reduction strategy, but rather
that simply cluster on a map; they are a product of data construc- a business model for policing. It is “an information-organizing
tion.59 These data points could be addresses, buildings, apart- process that allows police agencies to better understand their
ment complexes, block faces, census tracks, or individual police crime problems and take a measure of the resources available
sectors; however, they are a temporary product of the data to be able to decide on an enforcement tactic or prevention
world, a logical fallacy that is impossible to operationally identify strategy best designed to control crime.”63 More specifically,
using agreed-upon, replicable, and scientific criteria.60 intelligence-led policing utilizes criminal intelligence analysis as
Today, many police departments are utilizing a hot-spots a means to accomplish crime prevention and reduction through
strategy banking on those studies that show that it reduces and best practices and partnerships with other entities.
prevents crime; however, they are also utilizing a plethora of There are a number of reasons as to why intelligence-led
patrol and arrest techniques that most likely have varying effects policing has become popular in recent years. First, widespread
on crime in specific places. Future research in this area should recognition of the ineffectiveness of the standard policing model
focus on parceling-out the various techniques and tactics used and the difficulty in implementing problem-oriented policing has

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 56 chap te r 2 • Po l icin g To d ay

caused police departments to look for alternatives. Second, the principles of problem-oriented, community, and evidence-
departments are increasingly faced with financial constraints based policing.71 According to Beck and McCue, “With new
though demands remain high and the opportunities to employ technology, new business processes, and new algorithms, pre-
additional resources and personnel are limited. Third, more dictive policing is based on directed, information-based patrol;
sophisticated technologies in information retrieval and analysis rapid response supported by fact-based prepositioning of assets;
of police information have generated interest in systematic and proactive, intelligence-based tactics, strategy, and policy.”72
approaches to crime.64 Consequently, one of the key components of predictive policing
Although intelligence-led policing emerged in the United is the use of advanced analytics that evaluate and examine data
States after the September 11, 2001, terrorist attacks, the move- and information through advanced statistics and artificial intel-
ment toward this approach actually began prior to the 1990s and ligence. In other words, predictive policing utilizes numerous
originated in the United Kingdom.65 At that time, it was recom- technologies and techniques such as data mining, crime map-
mended by the Audit Commission that police services should ping, and geospatial prediction to plan for and respond to
focus on the offender rather than reported crime. The British future crime.
government subsequently passed legislation requiring police Advanced analytics have been used in a variety of capacities
departments to adopt the National Intelligence Model, which from preventing violent crimes to improving deployment,
promoted intelligence-led policing. response planning, and policy decision making. For example,
It is important to note that intelligence is more than simply police in Richmond, Virginia, used advanced analytics and predic-
data; it also involves information. While data are “identifiable, tive policing to reduce random gunfire on New Year’s Eve. Based
objective facts about events,” information is the addition of con- on information collected from previous years, police were able to
text and analysis that puts data into comprehensible forms.66 Data predict the time, location, and type of incident most likely to
and information do not become intelligence until they are inter- occur on that particular night. In preparation, officers were placed
preted, evaluated, and used as a means to inform crime preven- at those locations to prevent and quickly respond to such crimes.
tion and reduction strategies. In ILP, these objectives are believed The end result was a 47 percent reduction in random gunfire and
to be obtainable primarily through the proactive and objective a significant increase in the number of seized weapons.73
identification and targeting of the criminal subpopulation.67 Although predictive policing is a new and promising
A recent example of intelligence-led policing in practice is approach, it too has generated a number of questions and con-
Operation Nine Connect. Ratcliffe and Guidetti report that the cerns. A major criticism is the novelty of predictive policing given
New Jersey State Police implemented a gang crackdown in 2008 its semblance to other policing models, particularly ILP. More-
targeting Nine Trey—a subset of the much larger and well- over, the central tenets of predictive policing closely resemble
known “Bloods” gang.68 Together, officers involved in the crack- what crime analysts have been doing for years. Still, others argue
down conducted over 8,000 hours of electronic surveillance and that the outcomes of the model are vague and unclear.74
more than 2,300 hours of physical surveillance, as well as spent
over 1,200 hours transcribing wiretaps and approximately 300
hours developing and maintaining confidential sources. The
result was the initial arrest of 60 gang members and the subse- INFORMATION TECHNOLOGIES
quent arrest of at least 30 others.
Despite the popularity and the successes of intelligence-led
IN POLICING
policing, there are a number of limitations associated with this The evolution of policing strategies has included the develop-
type of approach, including data entry problems and lack of ment and use of sophisticated information technologies. Today,
training in advanced analytic techniques within the police. In information technologies assume a new and more vital role. For
addition, Ratcliffe notes the organizational problems of intelli- instance, police operations are incredibly data and information
gence-led policing, such as the lack of continuity in structure intensive. Rather than utilizing computers for data storage, police
across intelligence units and the confusion over the principles of departments are now using them as information and knowledge-
intelligence-led crime reduction.69 In addition, as discussed later based systems.75 This is especially important as police agencies
in Chapter 3, some argue that ILP may well be in conflict with rely more heavily on intelligence as well as the identification and
civil and constitutional safeguards that ensure that individuals are targeting of crime hot-spots and repeat offenders. Crime analysis,
“innocent until proven guilty.” Focusing on specific individuals as geographic information systems (GIS), and artificial intelligence
offenders tests this important principle of our democracy. represent the most widely used information technologies in
policing today.
Predictive Policing
Similar to intelligence-led policing, predictive policing is a Crime Analysis
proactive approach to crime and disorder that uses information As the dynamics of policing move toward an information-driven
and analytical tools to achieve the goal of crime prevention and evidence-based agenda, the need for accurate analyses is
while requiring fewer resources.70 Not only does predictive becoming increasingly important. Consequently, crime analysis
policing improve upon intelligence-led policing, it also reflects has emerged as a means to satisfy this requirement. Crime

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 c h ap t e r 2 • Polic ing T oday 57

Quick Facts: Crime Rates Fall in the First Half of 2014;

Rise Sharply in the First Half of 2015

Crime rates fell for the second year in a row (after slight connection between violent crime rate increases during this
increases in 2011/2012) in the United States, with figures indi- period with changing police behavior. He asserted that officers
cating an overall decrease of 4.6 percent in the number of had stopped more proactive policing tactics and philosophies
violent crimes for the first 6 months of 2014 when compared as a result of fear of being captured by cell phone videos that
with figures reported for the same time in 2013. The violent go viral on the Internet and attract public condemnation.
crime category includes murder, rape, robbery, and aggra- Source: https://www.fbi.gov/about-us/cjis/ucr/crime-in-the-
vated assault. However, violence crime appears to have risen u.s/2014/preliminary-semiannual-uniform-crime-report-january-
sharply by 1.7 percent for the first six months of 2015. FBI june-2014 and Eric Tucker, “FBI: Violent Crime Rose in First 6
statistics reveal that most major cities reported dramatic Months of 2015 over 2014,” Associated Press, January 19, 2016.
increase in the number of homicides in their community See: http://hosted.ap.org/dynamic/stories/U/US_FBI_VIOLENT_
reflecting a 6.2 percent jump in murder alone. FBI Director CRIME?SITE=AP&SECTION=HOME&TEMPLATE=DEFAULT&CT
James Comey raised the possibility that there may be a IME=2016-01-19-15-57-53

analysis is the process of identifying patterns and relationships Crime analysis is not limited solely to reported crime infor-
between crime data and other relevant data sources to prioritize mation. Attention has also been given to the statistical analysis
and target police activity.76 The uneven distribution of crime in of intelligence information. Kinney 78 reports that criminal
terms of space and place, type of offenders, and victimization intelligence analysis supports investigators, decision makers,
theoretically allows analysts to draw inferences from patterns of and policymakers in their attempts to prevent and control
crime, which can be used as a foundation for allocating police crime. The following are some of the more common crime
resources. In other words, crime analysis generates associations analysis techniques:
and relationships between variables (such as space, time, offend-
ers, and victims) that are related to crime. The purpose of crime dd Tactical crime analysis or crime-specific analysis—a
analysis is to organize massive quantities of raw information tabular or graphic display of reported crimes with a given
from databases used in automated records systems and to fore- pattern of time and/or location. It is often used to detect
cast specific, future events from the statistical manipulation of patterns of crime (e.g., robberies, burglaries, and auto
these data. In theory, crime analysis provides a thorough and thefts) that cluster in specific locations during various time
systematic analysis of data on which to make rational decisions periods. The focus of tactical crime analysis is on recent
regarding past, present, and future actions.77 Crime analysis is criminal incidents through the examination of
critical when deploying resources based on new policing strate- characteristics such as how, when, and where the activity
gies such as “hot-spots” policing, directed and saturation patrols, has occurred in order to aid suspect identification and
and predictive policing (see Figure 2.7). case clearance.79

FIGURE 2.7 c A series of “hot-spots” indicating vehicle crimes mapped by census track to
varying hot-spot thresholds. Note that “hot-spots” become much more apparent as the data used
to create the maps are refined. Source: John E. Eck, Spencer Chaney, James G. Cameron, Michael Leitner, and
Ronald E. Wilson, NIJ Special Report: Mapping Crime: Understanding Hot-Spots (Washington, DC: National Institute of
Justice, August 2005). See: http://www.ncjrs.gov/pdffiles1/nij/209393.pdf

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 58 chap te r 2 • Po l icin g To d ay

dd Strategic crime analysis—the study of crime and/or Crime analysis is a flexible and dynamic process designed
social problems in a specific area in an effort to primarily to identify trends and patterns associated with crime
determine long-term patterns of activity as well as to and social problems. It is designed to be a perpetual and continu-
evaluate police responses and organizational ous process and to assist law enforcement executives in making
procedures.80 Strategic crime analysis is often used to more informed decisions in their response to crime. The technol-
determine the effectiveness of police over a given period ogy of crime analysis takes advantage of research and statistical
of time, or in the evaluation of specific policing methodologies, often in an automated process. It does not neces-
strategies as discussed earlier. sarily have to be relegated to advanced statistical techniques, but
dd Link analysis—a graphic portrayal of associations and it can be accomplished quite well with a basic understanding of
relationships among people, organizations, events, Microsoft Office programs, such as Word and Excel. Indeed, Mark
activities, and locations from a given point in time. This Stallo’s inviting work focuses on developing a relatively sophisti-
technique is a powerful analytic tool used to reveal the cated crime analysis model based solely on the application of
hidden connections among criminals and the structure of Microsoft Office products to reported police data.85
clandestine, organized criminal entities often found in
street gangs, La Cosa Nostra families, white-collar crime Geographic Information Systems (GIS)
syndicates, large drug trafficking cartels, and terrorist The use of geographic information systems(GIS) in law
organizations. Link analysis is invaluable in complex enforcement to map criminal events coincided with the results of
investigations, particularly those that have a “conspiracy” several environmental criminology studies that illustrated crime
aspect, as is often found in racketeering and continuing patterns. Prior to computerized mapping systems, police com-
criminal enterprise cases. Link analysis is also a powerful monly used pin maps as a means of tracking crime. Unfortunately,
tool used extensively in ILP. this practice has many limitations due to the difficulties in deter-
dd Telephone toll analysis—computerized reports mining clusters and general trends using point data.86 However,
derived from court-ordered long-distance telephone with the advent of sophisticated computerized mapping, research-
billings of suspects in illegal narcotics trafficking. ers have found a widespread adoption of GIS tools across police
Reports indicate the number and frequency of calls departments, particularly larger agencies87 (see Figure 2.8).
displayed in numerical, chronological, and There are two types of crime mapping: statistical spatial anal-
geographical order. Link analysis can be used to ysis and spatial modeling. While statistical spatial analysis
show the relationship between billing numbers and focuses on the spatial relationship between crime points in a
the numbers called. 81 particular area, spatial modeling is concerned with the technol-
dd Visual investigative analysis (VIA)—charting that depicts ogy and application of data.88 As previously mentioned, GIS has
key events of criminal activity in chronological order. made these two components of crime mapping easy to use in
VIA is used to show the degree of involvement of the realm of policing. Given its functionality, it has become an
subjects. This method is especially convincing in influential mechanism in hot-spots policing as well as Crime
conspiracy cases and can also be used as a planning Prevention Through Environmental Design (CPTED), situational
tool to focus the resources of an investigative effort.82 policing, directed patrols, and crime analysis.
At a conference focusing on school shootings, a Of course, GIS has a myriad of other uses in policing. Police
graphical VIA was presented on the Virginia Tech agencies can use GIS in dispatching police units by providing
University shooting incident.83 Interestingly, the VIA directions to locations; address histories; and locations of nearby
effort displayed a horizontal graph, over 60 feet long, fire and waste hazards, fire hydrants, alarm boxes, high-power
with over 1,200 entries. lines, water lines, and the like. Police managers can not only
dd Case analysis and management system (CAMS)— use GIS to provide graphic analysis of specific crime patterns
computerized case management in which large amounts and to evaluate new policing strategies but also to track indi-
of data are compiled and indexed for each retrieval of vidual officer performance by area.89 Not surprisingly, GIS has
specific items. This system is used to clarify relationships emerged as a powerful tool that helps police executives make
and calculate the probability of associations.84 better-informed decisions. Due to its wide range of uses, it is
likely that crime mapping and geographic information systems
dd Intelligence analysis—the identification of networks of
will remain key tools in police operations and in the evaluation
offenders and criminal activity, often associated with
of police strategies.
organized crime, gangs, drug traffickers, prostitution
rings, and terrorist organizations. Recent interest in
intelligence analysis has given rise to the development The Internet
of large, centralized intelligence processing hubs, Clearly, one of the most important technological advantages of
referred to as fusion centers (discussed later in the information age is the Internet. The Internet is a worldwide
Chapter 3, Intelligence, Terrorism, and Homeland network of computer systems and other computer networks that
Security). Intelligence analysis also becomes the basis for offers the opportunity for sending information to and receiving
intelligence-led policing. information from a vast audience from around the world.

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 c h ap t e r 2 • Polic ing T oday 59

FIGURE 2.8 c Geographic informa-

tion systems (GIS) provide a wide array
of maps and diagrams useful for crime
analysis and decision making. (Courtesy of
the Dallas Police Department, 2016)
2016

The unique benefits of the Internet are speed and efficiency issues impacting the world community (e.g., international terror-
combined with global reach. There are essentially no barriers to ism, environmental crime, gangs, and computer fraud). New and
sending information and receiving information from as close as combined training sessions, various telecommunication partner-
next door to around the world. Of particular importance to police ships, and interactive information exchanges (podcasts and
agencies is the ease and speed with which information can be webinars) are now commonplace on the Internet. The greater
kept current. With the introduction of the World Wide Web, find- access to information provided by the Internet has made a major
ing information on the Internet is very easy and user friendly. difference in the future, not only for police agencies and
Local police agencies have capitalized on the use of the Inter- researchers but also for individual communities addressing wider
net, with most major departments establishing their own home criminal justice issues. Certainly, the Internet has been one of the
pages (see Figure 2.9). In addition, most departments have strongest catalysts for social, economic, and political change in
encouraged their communities to keep abreast of police activities the world.
through the Internet. A list of emergency services and phone
numbers, names and descriptions of the most “wanted” fugitives
in the community, periodic updates on a specific (usually high- Social Media and Policing
profile) case, employment announcements and opportunities One of the most surprising technological advances in law
within the department, residential and commercial crime alerts, enforcement from the past decade can be found in the realm of
and even online crime reporting are now available through vari- social media, taking police agencies into a whole new world
ous departments on the Internet. of “likes,” “shares,” and “re-Tweets.” Facebook and Twitter, par-
As worldwide communication and global reach via the Inter- ticularly, have been a boon to police departments across the
net expand, policing will likely experience dramatic changes. For country, allowing for instantaneous outreach to the community.
instance, the United Nations recently linked various criminal In one of the best examples of the possibilities that lie within
justice research institutes from different countries, allowing for this integrated technology, the Boston Police Department utilized
the first time a free exchange of information among countries on Twitter and Facebook in the immediate aftermath of the Boston

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 60 chap te r 2 • Po l icin g To d ay

FIGURE 2.9 c Most police

departments use the Internet to
share important information with
their communities, including
crime statistics, most wanted,
local and homeland security
news, recruitment efforts, and
chief’s messages. Note the link-
ages to other web portals (Face-
book, YouTube, Twitter, and
Flickr) prominently displayed on
the Salt Lake City Police Depart-
ment website. Source: http://www.
slcpd.com/ (retrieved on July 22, 2015).

Marathon Bombings in 2013. These social media platforms were dd Public relations: social media allows law enforcement
crucial to distributing public information, coordinating media agencies to craft news releases long before the media
briefings, giving traffic information related to street closures, gets information.
coordinating volunteers, and soliciting videos and pictures from
For proponents of evidence-based policing, using social
the event that, in some cases, contained evidence of the crime.90
media policing is difficult to evaluate. How do you measure suc-
Boston is not alone in their successful use of social media; it
cess via social media? Is it the number of followers you have?
has now become standard for police agencies to use Facebook
The number of missing persons found as a result of shared
and Twitter, NextDoor, Tumblr, Instagram, and other social net-
Facebook posts? The number of suspects arrested through You-
works to connect with citizens, personnel, other police agencies,
Tube posts? Does it increase police legitimacy, and if so, where
and the media. The following examples highlight the use of
is the evidence to suggest such a claim? Few scientifically vali-
social media as employed by law enforcement organizations:
dated studies have been undertaken to pinpoint the value of
dd Communication in emergency situations: informing the police use of social media, but nonetheless, agencies continue
public of a situation; releasing new information as it is to adopt and evolve social media strategies at a breaking speed.
available; describing areas to avoid; communicating risks Social media demands significant resources from law enforce-
and giving suggestions to avoid those risks; missing ment agencies. For instance, accounts need to be monitored
persons; and Amber alerts. constantly to prevent abusive, inflammatory, and/or discrimina-
dd Agency transparency: informing the public of use of tory posts. Agencies must constantly reinforce that emergencies
force complaints brought against the department; should not be reported via social media. Grammatical errors can
releasing officer disciplinary information; explaining the become news headlines and the threat from hacking is always a
actions of the police agency in a crisis situation; real possibility. These types of events can open police depart-
providing insight into day-to-day policing; and ments to potentially devastating public relations nightmares and
announcing new initiatives and strategies. potential liability, especially when police departments rush to
update an incident on social media before all the facts are
dd Community outreach: publicizing community policing
known, implicating innocent people in criminal activity. Training
events; announcing community events; publicizing
for officers and police executives entrusted with official social
policing successes; and humanizing policing through
media communications should be rigorous, and departments
anecdotes, humor, and the like.
should have specific policies and procedures that govern their
dd Networking with other police agencies: sharing best use of social media. Finally, police tout social media as a way to
practices; making investigative contacts. increase transparency and legitimacy, but it is increasingly being
dd Investigation: suspect identification; request submission of used to allow agencies to “manage the message”—or release a
crime tips or photographic/video evidence; examination story in order to pre-empt the media and control the message.
of social media sites for criminal activity; and use of social In some cases, monopolizing the message may backfire on per-
media in undercover operations and stings. ceptions of legitimacy and openness.
dd Personnel selection: social media background checks to Obviously, social media in law enforcement is a phenomenon
assess candidates; recruiting outreach. that has permeated the operations of police agencies at every

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 c h ap t e r 2 • Polic ing T oday 61

Quick Facts: Social Media Adoption in Law Enforcement

According to the 2014 International Association of Chiefs of • 71.7 percent of agencies surveyed have a social media
Police Social Media Survey: policy and another 12.2 percent are in the process of
crafting a policy.
• 95 percent of agencies surveyed reported social media
use in some capacity. • 78.8 percent of agencies reported that social media has
helped solve crimes in their jurisdiction.
• The most common use of social media is for investigative
purposes at 82.3 percent. • 77.5 percent say that social media has improved
police–community relations in their jurisdiction.
• The most frequently used social media platforms are
Facebook (95.4 percent), Twitter (66.4 percent), and Source: http://www.iacpsocialmedia.org/Portals/1/documents/
YouTube (38.5 percent). 2014SurveyResults.pdf

level. As a means to generate goodwill between the police and within such strategies. Second, police officers and executives
the public, its value is indispensable—it allows agencies to con- must manage technology rather than allow themselves to be
nect with the people they serve in a creative and instantaneous managed by it. Finally, individual police officers must understand
manner. In the future, social media will continue to shape the their role in the community as aided by, but not controlled by,
way that communities and the police interact. information technologies.

The Impact of Information Technologies

Clearly, information technologies in policing have assumed a A CHANGING PARADIGM: FROM
new and more vital role. They have taken on a new dimension,
one that is central to the support of new policing strategies. The
WARRIOR TO GUARDIAN
new task for information technologies is analysis, in addition to Policing is in a state of flux. A spate of high-profile use-of-force
the storage and maintenance of information as in the past. The incidents in 2014 and 2015 resulted in the deaths of several
analytic support for various police strategies, however, must unarmed African-Americans. These events have fueled criticisms
permeate the entire organizational structure and not be just a of, and anger toward, law enforcement agencies across the
function of the crime analysis division. Information technology c ountry. The result was a series of protests, increased
­
functionality must be much more flexible—ranging from sup- ­anti-policing sentiment, calls for police reforms, and is corre-
port for quick, officer-level field inquiries to longitudinal map- lated with a series of ambushes and murders of police officers.
ping of a specific neighborhood to specific managerial It is essential to recognize that the best policing strategy means
performance measurements. Information technologies can no nothing if the community does not have confidence in the
longer be separated from the integral parts of police manage- police. Indeed, the events of 2014–2015 provided further evi-
ment and decision making. They can no longer be relegated dence that at least part of our communities—particularly parts
solely to the storage, maintenance, and retrieval of vast amounts of the minority ­community—has lost faith in police organiza-
of police data. Most new policing strategies (e.g., community tions.91 There is an increasing number of people who believe
policing, evidence-based policing, and predictive policing) are that the militarization of U.S. policing is inconsistent with the
information-based and information-intensive and require the community policing ­philosophy and a threat to it. In 1829
ability to identify problems, suggest specific police responses, ­Robert Peel ­developed plans for the London Metropolitan con-
and evaluate their effectiveness. This function cannot follow the cepts from the British military. However, he wanted there to be
same information-processing path as before. a distinction between the police and the military. Peel viewed
Today’s police officers must be equipped with information the police as having a protective role toward the public versus
and training. The job still requires the ability to relate to various the British military fighting an armed enemy in a distant land.92
people under stressful conditions in often hostile environments. To make that distinction abundantly clear, Peel’s officers wore
New policing strategies involve new tactics that call for indi- blue u ­ niforms, a marked contrast to the bright red British army
vidual judgment and skill in relating to problems that are both coats and he did not allow them to carry guns.93 While a mili-
criminal and noncriminal. The police officer of the future must tary’s mission is predicated on the use of force, Peel’s principles
be able to relate to diverse groups of people in ways that stretch of policing emphasize crime prevention, the need for public
the imagination. To meet this challenge, police executives must approval, the willing co-operation of the public, and the mini-
ensure that three conditions exist. First, information technology mal use of physical force by the police in the performance of
development and design must support the emerging strategies their duties. These philosophical statements are echoed in the
in policing, particularly meeting the analytic demands embraced tenets of today’s community and evidence based policing

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 62 chap te r 2 • Po l icin g To d ay

models. Peel’s efforts to separate the role of the police from the In 1997, bank robbers In North Hollywood, California, armed
military ­essentially distinguishes between the guardian and with fully automatic weapons and body armor had police officers
­warrior roles. Although there was some earlier use of police equipped with pistols and shotguns at a significant disadvantage
uniforms in America, the adoption of blue uniforms was to some and the movement toward arming patrol officers with military
degree a by-product of the availability of surplus union army AR-15s as “patrol rifles” was energized, spilling military goods into
uniforms after the Civil War and thus essentially not a major mainstream policing, a process that has continued for decades.97
movement until after 1865. Traditional law enforcement uni- The President’s Commission on Law Enforcement and Crimi-
forms serve as a symbol of police authority and provide the nal Justice (1967) issued an overall report as well as ones on the
public with a quick way to locate an officer if one is nearby, components of the criminal justice system. It had the effect of
e.g., to help find a wandering child at a school fair. Presently, focusing attention on crime and into our national conversations,
the wearing of black military-style Battle Dress uniforms (BDUs) policies, and laws. In 1965, President Johnson declared a war on
by some officers is troubling to militarization critics because: crime and seven years later President Nixon confirmed that “war”
1) those uniforms blur the line between police and the military, was an appropriate term to use with respect to fighting crime.98
which have distinctly different roles; 2) the BDUs worn by offi- In 1982, President Reagan maintained illicit drugs a threat to
cers are often black, a color often associated with the “bad national security.99 William Bennett, became the first Director of
guys,” such as ninja ­assassins, and 3) the BDUs may re-enforce the White House National Drug Control Policy in 1989 and was
the police warrior culture. known as the “drug czar.”100 He is on record as favoring “limiting
A 1988 study covering 16-years of National Football League Constitutional liberties if there was a compelling reason to do so”
penalties revealed teams wearing black drew more penalties in the war on drugs.101 Years later, he observed “it’s a funny war
than their opponents, suggesting black uniforms made players when your enemy is entitled to due process and a fair trial.”102
more aggressive.94 Studies of dark uniforms and aggression were Until the 1980s, the use of SWAT teams was unexceptional in
conducted in the National Hockey League in 2011, which found terms of number of deployments or “callouts.” However, during that
a relationship between uniform color and aggression, and 2012, decade callouts began an explosive expansion. Arguably, this
which reached the opposite conclusion.95 A 2013 study found expansion also had the effect of reinforcing the criticism that police
no significant differences in aggressive measures between officers were too quick to become confrontational, what today is
departments whose officers wore dark versus departments called the warrior mindset. BDUs were first adopted in policing by
whose personnel wore light-colored uniforms and a 2008 study SWAT teams because they were practical. They also visually com-
concluded black police uniforms elicited more favorable public municated the police officers wearing them were highly trained and
impressions than light-colored uniforms.96 Still, there is a view not to be taken lightly. SWAT members have historically responded
that black BDU-wearing officers appear more formidable, are to incidents that were beyond the capability of patrol officers and
more aggressive, and less approachable, undercutting public which they were not trained to handle. These incidents often
­support for policing. An unanswered question is whether a resulted in highly skilled use of force that both took and saved lives.
­yet-to-be-done study in the post-Ferguson environment would While the mission of SWAT teams vary by agency, among the mis-
provide a clear answer about any relationship between police sions for which they train are building searches, hostage incident/
behavior and uniform color, as well as public perceptions of the rescue, barricaded suspects, serving high risk warrants, assaults on
topic. bus/train/aircraft, and rescue of persons downed. Although SWAT
is the most common designation, such units carry different “labels”
in law enforcement agencies, such as E ­ mergency Response Team
The Historical Drift Toward Militarization or Special Response Team. The I­nternational ­Association of Chiefs
The historical drift toward militarization is rooted in the social of Police (IACP) studied SWAT operations nationally for 2009–2013.
unrest, soaring crime, massive demonstrations, social changes, Among its findings: 1) the U.S. military was a source of training for
and political rhetoric that swept America in the 1960s and 1970s. only 7.1 percent of respondents; 2) armored vehicles were deployed
Initially, SWAT teams were created primarily as a mechanism to with SWAT teams an average of 10 times annually, 3) the most
deal with riots. Over time, there was mission creep as SWATs common complaint about SWAT teams was property damage (38
effectively took on high risk responsibilities, e.g., drug raids and percent) and the least ­common was unlawful tactics (2 percent)
barricaded subjects. These responsibilities required adoption of with excessive force constituting 14 percent of all complaints.103
new tactics and equipment with greater capabilities, some of The results of the IACP study s­uggest that concerns about police
which were adapted from military models and provided from militarization are less about SWAT teams specifically and more
surplus military inventories. This was an on-going process that about policing generally.
moved SWATs to become increasingly militarized, e.g., using In addition to highly publicized wars on crime and drugs,
explosives to breach reinforced doors on drug raids and flash- some police rhetoric over past decades also reinforced the warrior
bangs/stun grenades when serving some warrants. Militarization model. Daryl Gates was the Los Angeles Police Chief from 1978
critics, including some Chiefs of Police and Sheriffs, are con- until 1992. Two years before leaving that post he suggested drug
cerned that militarization re-enforces the warrior role of law offenders should be shot for treason.104 William Bennett echoed
enforcement at the expense of serving and protecting the public, Gates by asserting he had no moral objection to convicted drug
unlike the military’s role of engaging and destroying the enemy. dealers being beheaded, although it would be legally difficult.105

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 c h ap t e r 2 • P olic ing Today 63

He also advocated evicting people from public h ­ ousing on mere 60 hours or 146 officers died in the line of duty per year from
suspicion of using drugs.106 The war on crime perspective threads 2004 to 2015.109 There were 117 law enforcement officers killed
through the administrations of Presidents George H. Bush, Bill in the line of duty in 2014.110 On December 20, 2014, Officers
Clinton, and George W. Bush. The last of these famously said if Liu and Ramos were murdered as they simply sat in their patrol
you quit drugs, you join the fight on terrorism.107 His administra- car. Afterwards, the gunman, Ismaaiyl Brinsley, ran into a sub-
tion also ran ads that claimed drug use supported terroristic acts. way station and killed himself.111 Police academies may also
While this is true to a degree, a connection to specific terrorist ­contribute to the warrior mindset. Fifteen percent of all law
groups was never made. Still, the rhetoric fanned some flames enforcement academies are primarily stress based and another
against crime, drugs, and terrorism simultaneously. 38 percent more stress than non-stress. Together, 53 percent of
An unscientific peek into the police culture suggests a war- all academies are primarily stress oriented and the stress is not
rior, “hard-liner” orientation by some officers. The messages on classroom instruction about dealing with it, so much as it is
their occasionally worn T-shirts occasionally provide a basis for learning to “bear up” under it.112 Stress training in police acad-
that observation. A former chief of police reports that at a SWAT emies may well generate an “us versus them” mind-set in rookie
team conference he saw a shirt with the message “We don’t do officers, which has the potential of creating barriers between the
drive-by shootings” on one side and on the other there was a police and the community. Even when community policing is
demolished house and under it “We stop.”108 The message is part of an academy curriculum, the stress training may create
eerily similar to a quote from the Vietnam War “To save this vil- latent psychological obstacles to the kind of police–citizen
lage we had to destroy it.” T-shirts worn by officers or sold as ­relationships necessary to fully operationalize a community
fund raisers elsewhere reflect an insensitivity to those they serve: policing philosophy.113
“Baby Daddy Removal Team,” “You huff and you puff and we’ll
blow your house down,” and “We get up early just to beat the
crowds.” More distantly, Just before the 1996 Democratic National Current Unrest with the Police
Convention in Chicago, an enterprising local printer made shirts A federal program also has contributed to growing concerns
that quickly became popular with police “We kicked your father’s about police militarization The National Defense Authorization
ass in 1968 . . . wait ‘til you see what we do to you.” The police Act (1997) allows the Secretary of Defense to provide weapons,
shirt that reads “We trust in God, but all others get searched” vehicles, and other materials to federal and state law enforce-
arguably gets a pass as merely clever. ment agencies for counter-drug and ­counter-terrorism activities.
Perhaps nothing reinforces the perceived need for the “war- These are drawn from surplus stock Department of Defense.
rior” mentality more than the murders of officer. On September Perhaps a majority of this equipment is much needed and used
11, 2001 the loss of 343 firefighters, 8 paramedics, and 60 police well. As an example, police acquisition of large tents provides
officers was a horrific example of just how dangerous public shelter and rest areas for volunteers searching for lost children,
safety and emergency service jobs can be. Collectively, they hunters, hikers, and others in wilderness areas. Figure 2.10.
rushed into incredible danger and an unknown number surely Armored vehicles are legitimately needed by the police to rescue
stayed to lead people out at the cost of their own lives. Hero is hostages, the public and officers under fire, those who are
sometimes an overused word. However, there are no words suf- wounded and lying in the open and may be fired upon at again,
ficient to honor those 411 people. and the presence of such vehicles at a barricaded subject situa-
A total of 1,466 police officers have died in the line of duty tion sometimes causes the peaceful surrender of the subject. In
in the past decade, that is an average of one death every 2016, a lone terrorist murdered 49 people at an Orlando, Florida,

FIGURE 2.10 c The Ferguson,

Missouri, Police Department
responds to rioting after one of its
on-duty officers fatally wounded
an unarmed African American
teenager who reportedly was
­trying to take the officer’s gun.
The clouds appear to be from the
deployment of tear gas.
­Demonstrators later won an
injunction to prevent the police
from using it. The events in
­Ferguson became a focal point for
critics concerned with police
­militarization. (Larry W. Smith/epa
european pressphoto agency b.v./
Alamy Stock Photo)

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 64 chap te r 2 • Po l icin g To d ay

Quick Facts: How Much Military Equipment Has Been Transferred

to State and Local Law Enforcement Agencies?

Between Fiscal Years 2009 and 2014, the federal govern- August 2014, such items made up 96 percent or 1.8 million
ment provided nearly $18 billion dollars in funds and items transferred, which are non-controlled, meaning that
resources to support state and local law enforcement agen- they are not returned to the federal government at the end
cies. These resources are transferred by various federal pro- of their useful life.
grams operated by the Departments of Homeland Security, Some 460,000 pieces of returnable controlled items have
Justice, Defense and Treasury, as well as the Office of been transferred to state and local police agencies, includ-
National Drug Control Policy. ing 92,442 small arms, 44,275 night vision devices, 5,235
Some of the equipment is routine, such as office furniture high mobility, multi-purpose vehicles, 617 mine resistant,
and computers, personal protective equipment, basic fire- ambush-protected vehicles, and 616 aircraft.
arms, tents, generators, tarps, tool kits, first aid kits, blan- Source: Executive Office of the President, Review: Federal
kets, safety glasses, storage lockers, shelving, and forklifts. Support for Local Law Enforcement Equipment Acquisition,
The White House asserts that in the 12-month period ending December 2014, pp. 1, 7, and 8.

nightclub and some of the wounded are in critical condition and Militarization is negatively effecting public perceptions of the
the toll could increase. Using an armored vehicle, the police police. A 2015 Gallup survey revealed support for the police is
were able to rescue some 30 people trapped in various rooms at a 22- year low, only 52 percent, and another poll showed that
in the nightclub. Critics of the police don’t have a blind eye to a 40 percent of those surveyed weren’t the police confident could
genuine police need for such equipment. H ­ owever, when the use m­ ilitary-grade weapons and equipment appropriately.
police use the equipment inappropriately or in a way that seems In Militarizing the Criminal Justice System, Kraska observes
to menace the exercise of Constitutional rights criticisms are as the police and the public view each other over militarization,
rightfully expressed. the police stand to lose legitimacy in the eye of the p ­ ublic. 100
Militarization critics recognize that the police need to If “we versus them” continues unabated in law enforcement, the
monitor demonstrations by citizens exercising their First public may increasingly view the police as an army of occupa-
Amendment rights because those events have the potential tion. If the police lose the public, the Republic may well be
to spiral out of control quickly and create losses of life and endangered. Militarization represents traditional policing in all
property. Their c­ oncern is that an early and unnecessary of its negative manifestations—aggressive, reactive, and based
show of armored v­ ehicles and other military capabilities on force. There is very little that represents the tenets of proac-
could be viewed as an intolerance of dissent by government, tive de-escalation, conflict resolution, the prevention of harm,
which could produce an unintended result, rioting. In and the protection of civil and human rights so passionately
­Ferguson, Missouri, the police response to the 2014 ­largescale expressed in modern tenets of policing.
demonstrations following the shooting death of Michael
Brown by a police officer has been subject to much criticism.
Some of that criticism is due to the presence of 50 police
agencies, many small, who had not trained together. IMPROVING POLICE–COMMUNITY
­Nonetheless, it has set off a national discussion of how the
police responded.
RELATIONS
A central criticism of the response by police in Ferguson is In 2014, President Barak Obama called together a task force
that it was heavily militarized. That appearance stirred the to address community–police relations and offer guidelines
­emotions of citizens, creating fear and anger, and interfering with for reforms in the wake of the unrest in Ferguson, New York,
press documentation of events. Armored vehicles drove on the and Baltimore. Their recommendations, organized as “pillars,”
streets and the community called the “tanks” “an act of aggres- are linked closely to policing strategies discussed in this
sion.” One person said “It looked like the police were invading.” chapter, and provide opportunities for departments to
Loc. cit. The “overwatch” tactic borrowed from the military strengthen and shift their current crime reduction and pre-
­provided sniper cover for the protection of officers. It too was vention initiatives:114
heavy-handed. Sometimes the sniper rode on top of an armored
vehicle, scanning the crowd through his rifle scope to monitor 1. Building Trust and Legitimacy: This is the
the crowd. Overwatch is not considered a crowd control tactic. foundation on which all police/community
Loc cit. Some officers wore camouflage BDUs that further set a interactions rely. Evidence shows that when people
militarized response. perceive authorities to be acting in procedurally just

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 c h ap t e r 2 • Polic ing T oday 65

Box 2.3 Youth Outreach Programs

The recommendations from the President’s Task Force on Explorer Program—aimed at ages 14–21, this program
21st Century Policing make it clear that engaging with youth is held in conjunction with the Boy Scouts of America and
should be a priority both to increase police legitimacy, tackle emphasizes leadership, service activities, and interest in law
systemic quality of life issues, and to reinvigorate community/ enforcement careers.
police dialogue. One agency that has really embraced that Junior Explorer Program—aimed at ages 10–13,
model is the Dallas Police Department, which runs a variety emphasizes good citizenship, community service, personal
of programs aimed at disadvantaged youth of all ages, par- responsibility, and leadership skills.
ticularly those from areas identified as policing hot-spots Blue In The School—character education for 4th graders
throughout the city. taught by police officers, and emphasizing communication
Though evaluations of these programmatic effects on skills and healthy, positive lifestyle choices.
crime will be longitudinal—and therefore data is not readily Police Athletic/Activities League (PAL)—includes Mid-
available—participation is robust, and activities are highly night Basketball, Soccer Camp, Boxing Club, Community
rated by participants and observers alike. DPD takes a holistic Biking Program, Fitness Adventure, Tennis Camps, Free Play,
approach to youth engagement, exposing kids to career PAL Gardening, Robotics, Guitar Lessons, PAL Singers (youth
options, educational activities, athletics, and the arts in the choir), “Movin’ In The Right Direction” musical, Male Mentor-
following programs: ing, Girl Empowerment/DIVA Mentoring, Chess Club, Stuff
Junior Police Academy—includes: Basic Academy, The Squad Car (school supply & Christmas toy collection
aimed at 4th–7th grades and Advanced Academy, drives), Anti-Bullying Presentations, Career Day Presenta-
8th–10th grades. Participants discuss life skills, learn tions, Summer Internship Programs, and a College Prep Pro-
about positive behavioral choices, and have hands-on gram (beginning Fall 2015), held on a local university campus,
interactions with police officers from a variety of units which will include financial education, etiquette, interview
within DPD. skills, college planning, and additional classes.

UA 2.1 c The Dallas Police Department’s Police Athletic League trained participants
for a 12-mile bike ride. (Courtesy of the Dallas Police Department)

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 66 chap te r 2 • Po l icin g To d ay

ways, they are more likely to obey the law. 6. Officer Wellness and Safety: Recognizing and
Procedurally just behavior is described as being promoting the importance of officer safety at all levels of
based on four principles: treating people with dignity a police organization increases officer awareness. Task
and respect; giving individuals a “voice” during force recommendations focused on increased funding
encounters; being neutral and transparent in decision and national support for initiatives supporting the safety
making; and conveying trustworthy motives. Specific of officers, as well as institutional support for their
recommendations include embracing a guardian physical and emotional needs throughout their careers.
versus a warrior mind-set acknowledging past Ultimately, there is no means by which police agencies can be
injustices; and increasing transparent and proactive forced to adopt these recommendations, unless they are under a
communication with the public. consent decree in which the Department of Justice is monitoring
2. Policy and Oversight: Simply stated, policies in their operations. That has been the case in a number of jurisdic-
police agencies must reflect community values. Clear tions, including Ferguson, MO, Detroit, MI, Los Angeles, CA, Port-
and concise policies must be developed that regulate land, OR, and Cleveland, OH, in which the federal government
the use of force, police control of mass demonstrations threatens to sue the agency under civil rights clauses of the Con-
(particularly in regards to equipment used, such as stitution unless significant reforms are enacted. Short of that, how-
armored personnel carriers or other “military grade” ever, agencies are left to implement these types of future changes
weaponry), consent to search, racial profiling, internal on their own, considering community political pressures and the
investigations of improper use of force, in-custody myriad of evidence-based strategies available today.
deaths, and officer-involved shootings. What’s clear is that change will have to fundamentally occur
3. Technology and Social Media: The implementation, within not only police organizations but within the police cul-
use, and evaluation of technology and social media is ture as well. Change, too, must occur within our communities.
acknowledged as a valuable tool for policing, Citizens who do not accept the legitimacy of police are more
emphasizing that these areas contain valuable likely to escalate simple traffic stops to angry confrontations—
opportunities to engage the public and increase police and unfortunately, as witnessed in the past, police officers with
transparency. Technology, such as visual and audio their own biases and entrenched notions of police identity are
recording devices, biometric devices, and less than lethal frequently engaging such incidents with increased violence
technology, should be implemented with community rather than attempting to de-escalate such instances. American
input and should be held to national standards that policing must re-invent itself, emphasizing crime prevention (as
maintain civil and human rights protections. opposed to arrests), and incorporating citizen response and
input. In a similar manner, communities (particularly minority
4. Community Policing and Crime Reduction: The communities) must realize that policing is an inherently danger-
taskforce heralded the potential of community policing ous profession and that individual officers serve every day at
to build trust and collaboration, while also reinforcing the peril of their own lives. New threats from foreign terrorists,
that communities will only support policing models mad bombers, and spree killers simply escalate this situation.
that reflect their own values. The Task Force also This chapter documents the significant movement of major
placed significant emphasis on programming that paradigm shifts in the evolution of policing, from traditional patrol
enhances positive youth/police interactions. and Broken Windows models to community policing, CompStat,
5. Training and Education: Improving training in and various hybrid blends of evidence-based police practices. The
police agencies to address a wide range of challenges, remarkable strides made as part of those seismic shifts give hope
particularly those involving minority communities, must that policing organizations and communities within our country
include wider community input. can rise to meet the current challenges facing our society.

Chapter Summary
Summary by Learning Objective of relying on broad, law-related concepts, such as
robbery, burglary, and auto theft, officers are
1. Define Community Policing. encouraged to group individual, related incidents
A policing philosophy that focuses on general that come to their attention as “problems” and
neighborhood problems as a source of crime; commu- define these problems in more precise and useful
nity policing is preventive, proactive, and terms. For example, an incident that typically would
information-based. be classified simply as a “robbery” might be seen as
part of a pattern of prostitution-related robberies
2. Describe the four-step problem-solving model committed by transvestites in center-city hotels. In
called SARA. essence, officers are expected to look for possible
The problem-solving model called SARA is com- problems and accurately define them as part of their
posed of four specific steps: (1) Scanning—Instead daily routine. (2) Analysis—Officers working on a

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 c h ap t e r 2 • Polic ing T oday 67

well-defined problem then collect information from traditionally defined areas, such as division heads
a variety of public and private sources, not just or precinct captains.
­traditional police data, such as criminal records and CompStat focuses on using the most accurate and
past offense reports. Officers rely on problem analy- timely information and data available to the police,
sis guides that direct officers to examine offenders, opening lines of communication both horizontally and
victims, the social and physical environment, and vertically within the organization, activating the com-
previous responses to the problem. The goal is to munity at large, and improving the overall efficiency and
understand the scope, nature, and causes of the effectiveness of the police. CompStat is problem-­
problem and formulate a variety of options for its oriented and preventive and stresses the need to focus
resolution. (3) Response—The knowledge gained in on problems rather than on past incidents.
the analysis stage is then used to develop and
implement solutions. Officers seek the assistance of 4. Discuss newer police strategies, including
citizens, businesses, other police units, other public e vidence-based policing, hot-spots policing,
­
and private organizations, and anyone else who can ­intelligence-led policing, and predictive policing.
help develop a program of action. Solutions may go Evidence-based policing is a style of policing using
well beyond traditional police responses to include the best available research to guide, manage, and
other community agencies and/or municipal organi- evaluate police operations within a community; hot-
zations. (4) Assessment—Finally, officers evaluate spots policing is a geographically based approach to
the impact and the effectiveness of their responses. crime-fighting focused on in-depth analysis of
Were the original problems actually solved or “places” and times, and deploying police officers to
­alleviated? They may use the results to revise a those locations that account for the majority of calls
response, to collect more data, or even to redefine for service and crime in a community. Intelligence-
the problem. led policing (ILP): arose from the 9/11 terrorist
attacks, and is focused on offenders, not crime inci-
3. Describe CompStat. dents, using intelligence analysis to prevent crime.
Essentially, CompStat is a collection of modern man- Predictive policing is a proactive policing style that
agement practices, military-like deployment efforts, uses information and analytical tools to prevent crime
and strong enforcement strategies all based on the while using the fewest police resources possible.
availability of accurate and timely statistical crime
data. Four core principles highlight a police depart- 5. List and briefly describe some of the more com-
ment’s model of CompStat: mon crime analysis techniques.
Some of the more common crime analysis techniques
• Accurate and timely intelligence and statistical are as follows:
crime information based on geographical settings
and/or areas. High-tech computer systems and • Tactical crime analysis or crime-specific analysis—
geographical mapping programs are most helpful a tabular or graphic display of reported crimes
in providing the aggregate and individual data with a given pattern of time and/or location, often
often required for effective CompStat efforts. How- used to detect patterns of crime (e.g., robberies,
ever, more rudimentary aspects of visual crime burglaries, and auto thefts) that cluster in specific
analysis can be accomplished through daily pin locations during various time periods.
mapping and bulletins. • Strategic crime analysis—the study of crime and/
• Rapid deployment of resources, particularly com- or social problems in a specific area in an effort to
bining the immediate presence of uniform patrol determine long-term patterns of activity as well as
working in concert with directed undercover oper- to evaluate police responses and organizational
ations. Rapid deployment of other city and govern- procedures. Strategic crime analysis is often used
mental resources, such as nuisance and abatement to determine the effectiveness of police over a
personnel, sanitation workers, and alcoholic bever- given period of time or in the evaluation of specific
age and licensing enforcement, is an additional policing strategies.
aspect of this principle. • Link analysis—a graphic portrayal of associations
• Effective tactics and strategies of enforcement that and relationships among people, organizations,
focus on visible street crimes or “quality-of-life” events, activities, and locations from a given point
crimes, such as loitering, drinking in public, street in time.
prostitution, or even jumping subway turnstiles. • Telephone toll analysis—computerized reports
• Relentless follow-up and assessment, which derived from court-ordered long-distance
include placing accountability and responsibility telephone billings of suspects in illegal narcotics
not only on the individual police officer on the beat trafficking. Reports indicate the number and fre-
but also on individual police managers of quency of calls displayed in numerical,

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 68 chap te r 2 • Po l icin g To d ay

chronological, and geographical order. Link directions to locations; address histories; and
­analysis can be used to show the relationship ­locations of nearby fire and waste hazards, fire
between billing numbers and the numbers called. hydrants, alarm boxes, high-power lines, water
• Visual investigative analysis (VIA)—charting that lines, and the like. Police managers can not only use
depicts key events of criminal activity in chrono- GIS to provide graphic analysis of specific crime
logical order. VIA is used to show the degree of patterns and to evaluate new policing strategies but
involvement of subjects. also to track individual officer performance by area.
There are two types of GIS crime mapping: statisti-
• Case analysis and management system (CAMS)—
cal spatial analysis and spatial modeling. While
computerized case management in which large
statistical spatial analysis focuses on the spatial rela-
amounts of data are compiled and indexed for
tionship between crime points in a particular area,
each retrieval of specific items. This system is used
spatial modeling is concerned with the technology
to clarify relationships and calculate the probability
and application of data.
of associations.
• Intelligence analysis—the identification of net- 7. Explain the impact of information technology on
works of offenders and criminal activity, often asso- policing.
ciated with organized crime, gangs, drug traffickers, The impact of information technologies on policing
prostitution rings, and terrorist organizations. cannot be overstated; they take a central support
role for policing strategies, allow for community
6. Describe geographic information systems and interaction, and provide better analysis and problem-
explain how such a system would enhance police solving capabilities.
service.
GIS has become an influential mechanism in hot- 8. Describe how distrust between police and citizens
spots policing as well as Crime Prevention Through can affect police strategies.
Environmental Design (CPTED), situational policing, Police/community co-operation is the cornerstone of
directed patrols, and crime analysis. GIS has a many new police strategies; without police legiti-
­myriad of other uses in policing. Police agencies can macy and community trust, many of these strategies
use GIS in dispatching police units by providing simply will not work.

Chapter Review Questions

1. Define community policing. 7. What is evidence-based policing? Describe the
2. Describe the four-step problem-solving model Triple T Strategy proposed by Larry Sherman as a
commonly referred to as SARA. part of the evidence-based policing philosophy.
3. Identify the problems commonly associated with 8. List and briefly describe some of the more
traditional policing. common crime analysis techniques.
4. What is the CAPS program? Discuss some of the key 9. Describe a geographic information system and
features aimed at improving and expanding the explain how such a system enhances police
overall quality of police services in the City of service.
Chicago, as well as reducing crime. 10. What are the benefits and issues that surround the
5. Define CompStat and identify the core principles of use of social media by police agencies?
CompStat as presented in the New York Police 11. What factors have contributed to the
Department model. militarization of the police over the past two
6. Define some of today’s new police strategies, such decades?
as hot-spots policing, intelligence-led policing (ILP), 12. How can we improve police–community relations
and harm-focused policing. in the United States?

Critical Thinking Exercises

1. Visit your town or city’s law enforcement website. Can community policing program without police
you tell by the information published what type of legitimacy? Why or why not?
policing strategies they employ? Do you think this is 3. Find a law enforcement agency’s Twitter
an appropriate strategy for your city? Why or why not? or Facebook page. What examples of
2. Why is police legitimacy so closely tied to policing strategies can you see throughout
community policing? Can you have a good their posts?

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 c h ap t e r 2 • Polic ing T oday 69

Key Terms
CAPS evidence-based policing problem-oriented policing
CODEFOR geographic information systems (GIS) SARA
community policing hot-spots policing social media
CompStat intelligence-led policing (ILP) traditional policing
crime analysis neighborhood-oriented policing zero-tolerance policing (ZTP)
directed and saturation patrols predictive policing

Endnotes
1
See Herman Goldstein, Policing in a Free Society (Cam- Spelman, and T. J. Sweeney, “The Patrol Function,” in
bridge, MA: Ballinger, 1977). Local Government Police Management, ed. William A.
2
See James Q. Wilson and George L. Kelling, “The Police Geller (Washington, DC: International City Management
and Neighborhood Safety: Broken Windows,” Atlantic Association), pp. 59–95.
13
Monthly, No. 249 (1982), pp. 29–38. Gary W. Cordner. “Community Policing,” in Critical Issues in
3
See Y. Xu, M.L. Fiedler, and K.H. Flaming, “Discovering the Policing, Seventh Edition, eds. Geoffrey Alpert and Roger
Impact of Community Policing,” Journal of Research in Dunham, (Long Grove, IL: Waveland Press, 2015), pp 481–498.
14
Crime and Delinquency, Vol. 42, No. 2 (2005), pp. 147–186. Journal of Experimental Criminology, “Community-Ori-
4
Hyunseok Jang, Larry T. Hoover, and Brian A. Lawton, “Effec- ented Policing to Reduce Crime, Disorder and Fear and
tiveness of Broken Windows Enforcement on Clearance Increase Satisfaction and Legitimacy among Citizens: A
Rates,” Journal of Criminal Justice, Vol. 36, Issue 6, Systematic Review,” - See more at: http://journalistsre-
(November/December 2008), p. 529. See also, National source.org/studies/government/criminal-justice/the-
Research Council of the National Academies, Fairness and impact-of-community-policing-meta-analysis-of-its-effects-
Effectiveness in Policing: The Evidence (Washington, DC: in-u-s-cities#sthash.ksuElqOq.dpuf
15
The National Academies Press, 2001), pp. 228–230. Early discussions relating to the problems associated with
5
B.E. Harcourt and J. Ludwig, “Broken Windows: New Evi- evaluating community policing were highlighted in the fol-
dence from New York City and a Five City Social Experi- lowing article: Robert W. Taylor, Eric J. Fritsch, and Tory
ment,” University of Chicago Law Review, Vol. 73, Issue 1, Caeti, “Core Challenges Facing Community Policing: The
(Winter 2006), pp. 271–320. The questioning of this link Emperor Still Has No Clothes.” ACJS Today 17, No. 1
also appears in the news media; illustratively, see Daniel (May/June 1998).
16
Brook, “The Cracks in Broken Windows,” The Boston For a discussion of CompStat as a new police strategy to
Globe, on-line, February 19, 2006. reduce crime, see William Bratton and Peter Knobler,
6
Judith A. Greene, “Zero Tolerance: A Case Study of Police Turnaround: How America’s Top Cop Reversed the
Policies and Practices in New York City,” Crime and Delin- Crime Epidemic (New York: Random House, 1998); Wil-
quency, Vol. 45, No. 2 (1999), p. 171–210. liam Bratton and William Edwards, “What We Have
7
Ibid., p. 171. Learned about Policing,” City Journal (spring 1999):
8
George L. Kelling and Catherine M. Coles, Fixing Broken William F. Walsh, “CompStat: An Analysis of an Emerg-
Windows: Restoring Order and Reducing Crime in Our ing Police Managerial Paradigm,” Policing: An Interna-
Communities (New York: Touchstone Publishing, 1996). tional Journal of Police Strategies and Management 24,
9
Chris Braiden, “Community Policing: Nothing New under no. 3, (2001): 347–362; William F. Walsh and Gennaro F.
the Sun” (Edmonton, Alberta: Edmonton Police Depart- Vito, “The Meaning of CompStat,” Journal of Contem-
ment, 1987). porary Criminal Justice 20, No. 1 (2004), pp. 51–69; John
10
Ibid. See Peel’s Principle 7, as expressed on p. 2. E. Conklin, Why Crime Rates Fell (Boston, MA: Pearson
11
Jerome H. Skolnick and David H. Bayley, Community Polic- Education, 2003).
17
ing: Issues and Practices around the World (Washington, Much of this section has been adapted from Raymond
DC: U.S. Department of Justice, 1988), pp. 67–70. Dussault, “Maps and Management: Compstat Evolves,”
12
A number of researchers have documented the failures of Government Technology (April 2000), pp. 1–2.
18
traditional policing methods. Most notably, see A. J. Reiss, William F. Walsh and Gennero F. Vito, “The Meaning of
The Police and the Public (New Haven, Conn.: Yale Univer- CompStat,” Journal of Contemporary Criminal Justice 20,
sity Press, 1971); G. L. Kelling, T. Pate, D. Dickman, and C. No. 1 (2004), pp. 51–69.
19
Brown, Kansas City Preventive Patrol Experiment (Wash- Police Executive Research Forum, “COMPSTAT: Its Origins,
ington, DC: Police Foundation, 1975); M. T. Farmer, ed., Evolution, and Future in Law Enforcement Agencies”
Differential Police Response Strategies (Washington, DC: (2013), http://www.policeforum.org/assets/docs/Free_
Police Executive Research Forum, 1981); L. W. Sherman, P. Online_Documents/Compstat/compstat%20-%20its%20
R. Gartin, and M. E. Buerger, “Hot-Spot of Predatory origins%20evolution%20and%20future%20in%20law%20
Crime: Routine Activities and the Criminology of Place,” enforcement%20agencies%202013.pdf (accessed June 23,
Criminology 27 (1989): 27–55; and W. H. Bieck, W. 2015).

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 70 chap te r 2 • Po l icin g To d ay

20 42
The SARA methodology was adapted from William Spel- See Larry W. Sherman, “Policing for Crime Prevention,” in
man and John E. Eck, Newport News Tests Problem-Ori- Preventing Crime: What Works, What Doesn’t, What’s
ented Policing (Washington, DC: National Institute of Promising—A Report to the Attorney General of the
Justice, SNI 201, January/February 1987), pp. 2–3, and United States eds. L.W. Sherman, D. Gottfredson, D.L.
Spelman and Eck, “Police and Delivery,” p. 61. MacKenzie, J.E. Eck, P. Reuter, & S. Bushway (Washing-
21
Herman Goldstein, Problem-Oriented Policing (New York: ton, DC: United States Department of Justice, Office of
McGraw-Hill, 1990). Justice Programs, 1997).
22 43
This list was adapted, in part, from Goldstein, Problem-Ori- Larry W. Sherman, “Evidence-Based Policing,” Ideas in
ented Policing, pp. 66–67. American Policing (Washington, DC: U.S. Department of
23
Ibid., pp. 36–37. Justice, Police Foundation, July 1998), pp. 3–4.
24 44
City of Chicago, Department of Police, “Fact Sheet—the Ibid.
45
Chicago Alternative Policing Strategy (CAPS)” (July 1995). Lawrence W. Sherman. “The Rise of Evidence-Based Polic-
25
Arthur J. Lurigio and Wesley G. Skogan, “Winning the ing: Targeting, Testing, and Tracking.” The Rise of Evi-
Hearts and Minds of Police Officers: An Assessment of dence-Based Policing, Crime and Justice, Volume 42:
Staff Perceptions of Community Policing in Chicago,” Crime and Justice in America: 1975–2015.
46
Crime and Delinquency 40, no. 3 (July 1994): 319. Cynthia Lum and Christopher S. Koper. “Evidence-Based
26
Mark Moore, “Problem-Solving and Community Policing,” Policing”. Critical Issues in Policing, Seventh Edition, eds.
in Modern Policing, eds. M. Tonry and N. Morris (Chicago: Geoffrey Alpert and Roger Dunham (Long Grove, IL:
University of Chicago Press, 1992), pp. 99–158. Waveland Press, 2015), pp. 260–273.
27 47
The key features of the CAPS program presented in this Cynthia Lum and Christopher S. Koper. “Evidence-Based
text are adapted from Lurigio and Skogan, “Winning the Policing.” Critical Issues in Policing, Seventh Edition. Geof-
Hearts and Minds of Police Officers,” p. 318, and Chicago frey Alpert and Roger Dunham, eds. Waveland Press, Long
Police Department, “Fact Sheet,” pp. 1–2. Grove IL. 2015. pp. 260–273
28 48
Ibid. “Evidence Based Policing Hall of Fame: Dr. Theron Bow-
29
Ibid. man.” Center for Evidence Based Crime Policy. Retrieved
30
Stephen Mastrofski, Roger Parks, and Robert E. Worden, from http://cebcp.org/hall-of-fame/ on July 18, 2015.
49
“Community Policing in Action: Lessons from an Observa- See the Caruth Police Institute website at: http://www.­
tional Study,” Research Preview (Washington, DC: untdallas.edu/cpi
50
National Institute of Justice, June 1998). “The Matrix.” Center for Evidence-Based Crime Policy.
31
Ibid. Retrieved from http://cebcp.org/evidence-based-policing/
32
Quint C. Thurman and Jihong Zhao, “Community Policing: the-matrix/ on July 15, 2015.
51
Where Are We Now?” Crime and Delinquency 43, No. 3 David Weisburd, “Hot-Spots Policing Experiments and
(July 1997), pp. 554–564. Criminal Justice Research: Lessons from the Field,” Annals
33
Mastrofski et al., “Community Policing in Action,” p. 7. of the American Academy of Political and Social Science
34
http://www.myfoxchicago.com/story/20533965/ 599 (2005), pp. 220–245.
52
emanuel-mccarthy-plan-to-revitalize-caps-program Lawrence W. Sherman, P. R. Gartin, and M. Buerger, “Hot-
35
Megan Crepeau, “Tracking Homicides in Chicago,” Redeye Spots of Predatory Crime: Routine Activities and the Crimi-
Chicago News (July 1, 2015). See: http://homicides. nology of Place,” Criminology 27 (1986) pp. 27–55.
53
redeyechicago.com/ Ibid.
36 54
Chuck Goudie and Barb Markoff, “Chicago Police Superin- John E. Eck, S. Chainey, and J. Cameron, Mapping Crime:
tendent Garry McCarthy Wouldn’t Resign, So He was Understanding Hot-Spots (Washington, DC: National Insti-
Fired,” ABC7 I-Team Investigation, 2016 WLS-TV. See: tute of Justice, 2005).
55
http://abc7chicago.com/news/cpd-supt-mccarthy- David Weisburd and Lorraine G. Mazerolle, “Crime and Dis-
wouldnt-resign-so-he-was-fired/1127182/ order in Drug Hot-Spots: Implications for Theory and Prac-
37
Interview with Chief Robert K. Olsen, October 7, 2002. tice in Policing,” Police Quarterly 3 (2000), pp. 331–349.
38 56
Refer to www.ci.minneapolis.mn.us/citywork/police/ S. L. Rutherford, K. R. Blevins and V. B. Lord, “An Evalua-
index.html tion of the Effects of a Street Crime Unit on Citizens’ Fear
39
D. Weisburd and J. E. Eck, “What Can Police Do to Reduce of Crime,” Professional Issues in Criminal Justice 3(2008),
Crime, Disorder, and Fear?” The Annals of the American pp. 21–36.
57
Academy of Political and Social Science 593 (2004), pp. 42–65. Wesley Skogan and Kathleen Frydl (eds), Fairness and
40
Ibid., and Lawrence W. Sherman, “Policing Communities: Effectiveness in Policing: The Evidence (Washington, DC:
What Works?” Crime and Justice 8 (1986), pp. 343–386. National Academy of Sciences, Committee to Review
41
See Robert W. Taylor, Eric J. Fritsch, and Tory J. Caeti, Research on Police Policy and Practice, 2004), p. 250. See
“Core Challenges Facing Community Policing: The also, Anthony A. Braga, U.S. COPS Office Crime Preven-
Emperor Still Has No Clothes,” ACJS Today, No. 1 (May- tion Research Review: Police Enforcement Strategies to
June, 1998), Volume XVII: 1, pp. 1–5.

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 c h ap t e r 2 • Polic ing T oday 71
76
Prevent Crime in Hot-Spot Areas (Washington, DC: U.S. N. Cope, “Intelligence Led Policing or Policing Led Intelli-
Department of Justice, 2008). gence?” British Journal of Criminology 44 (2004), pp.
58
Anthony A. Braga, “The Effects of Hot-Spots Policing on 188–203.
77
Crime,” Annals of the American Academy of Political and Several scholars have provided definitions of crime analysis.
Social Sciences 578 (2001), pp. 104–125. See J. B. Howlett, “Analytical Investigative Techniques,”
59
Ralph B. Taylor, “Hot-Spots Do Not Exist and Four Other Police Chief 47 (December 1980), p. 42; Rachel Boba,
Fundamental Concerns About Hot-Spots Policing,” in Crime Analysis and Crime Mapping (Thousand Oaks, CA:
Natasha A. Frost, J. D. Freilich, and T. R. Clear, Contempo- Sage, 2005), p. 5; S. Gottlieb, S. Arenberg, and R. Singh,
rary Issues in Criminal Justice Policy (Belmont, CA: Wad- Crime Analysis: From First Report to Final Arrest (Monclair,
sworth Cengage Learning, 2010). CA: alpha, 1994); Mark A. Stallo, Using Microsoft Office to
60
Ibid., p. 272. Improve Law Enforcement Operations: Crime Analysis,
61
C. S. Koper and E. Mayo-Wilson, “Police Crackdowns on Community Policing, and Investigations (Dallas, TX: Act,
Illegal Gun Carrying: A Systematic Review of Their Impact Now, 2010).
78
on Gun Crime,” Journal of Experimental Criminology 2 J. A. Kinney, “Criminal Intelligence Analysis: A Powerful
(2006), pp. 227–261. Weapon,” International Cargo Crime Prevention (April
62
Eric J. Fritsch, Tory J. Caeti, and Robert W. Taylor, “Gang 1984), p. 4.
79
Suppression through Saturation Patrol, Aggressive Curfew, Boba, Crime Analysis and Crime Mapping, p. 14.
80
and Truancy Enforcement: A Quasi-experimental Test of Ibid., pp. 15–16.
81
the Dallas Anti-gang Initiative,” Crime & Delinquency 45 D. M. Ross, “Criminal Intelligence Analysis,” Police Product
(2000), pp. 122–139. News (June 1983), p. 45.
63 82
Jerry H. Ratcliffe and Robert Guidetti, “State Police Investi- Ibid.
83
gative Structure and the Adoption of Intelligence-led Incident occurring on Virginia Tech University, April 16, 2007
Policing. Policing: An International Journal of Police Strat- resulting in over 30 deaths from gunman, Seung-Hui Cho.
84
egies and Management 31 (2008), pp. 111. Ross, “Criminal Intelligence Analysis,” p. 49.
64 85
Ibid. Mark A. Stallo, Using Microsoft Office to Improve Law
65
Jerry H. Ratcliffe, Intelligence-Led Policing (Portland, OR: Enforcement Operations. See http://www.actnowinc.org/
Willan Publishing, 2008). books.html (July 20, 2010).
66 86
C. Clarke, “Proactive Policing: Standing on the Shoulders of Jerry H. Ratcliffe, “Crime Mapping and the Training Needs
Community-Based Policing,” Police Practice and Research, of Law Enforcement,” European Journal on Criminal Policy
7 (2006), pp. 3–17. and Research 10 (2004), pp. 65–83.
67 87
Jerry H. Ratcliffe and Robert Guidetti, “State Police Investiga- David Weisburd and C. Lum, “The Diffusion of Computer-
tive Structure and the Adoption of Intelligence-led Policing.” ized Crime Mapping in Policing: Linking Research and Prac-
68
Ibid. tice,” Police Practice and Research 6 (2005), pp. 419–434.
69 88
Jerry H. Ratcliffe, “The effectiveness of police intelligence J. R. Battin, “Is Hot-Spot Policing Effective Empirically?”
management: A New Zealand case study.” Police Practice Professional Issues in Criminal Justice 4 (2009), pp. 35–50.
89
and Research (In Press). For more information relating to the applications of GIS
70
Craig D. Uchida, A National Discussion on Predictive Polic- technology to policing, see Nancy G. La Vigne and Julie
ing: Defining our Terms and Mapping Successful Imple- Wartell, Mapping across Boundaries: Regional Crime Anal-
mentation Strategies (Washington, DC: National Institute ysis (Washington, DC: Police Executive Research Forum,
of Justice, 2010). 2001).
71 90
Beth Pearsall, “Predictive Policing: The Future of Law https://www.ncjrs.gov/pdffiles1/nij/244760.pdf
91
Enforcement?” NIJ Journal 266 (2010), pp. 16–19. Justin McCarthy. “Nonwhites Less Likely to Feel Police Pro-
72
Charlie Beck and Colleen McCue, “Predictive Policing: tect and Serve Them.” Gallup: Politics, November 17,
What Can We Learn from Wal-Mart and Amazon about 2014.
92
Fighting Crime in a Recession?” The Police Chief 76 The concept of the “warrior” versus “guardian” role and
(November 2009). Retrieved from http://policechiefmaga- mindset has been developed over the last decade. For
zine.org/magazine/ on July 20, 2010. ­further information regarding these concepts, please see
73
Beth Pearsall, “Predictive Policing: The Future of Law the works of Radley Balko, “Overkill: The Rise of
Enforcement?” ­Paramilitary Raids in America” Unpublished white paper
74
Craig D. Uchida, A National Discussion on Predictive Polic- (July 17, 2006); “Rise of the Warrior Cop: Is it Time to
ing: Defining our Terms and Mapping Successful Imple- Reconsider the militarization of American Policing?” The
mentation Strategies. Saturday Essay (August 7, 2013); and Rise of the Warrior
75
J. W. Brahan, K. P. Lam, H. Chan, and W. Leung, Cop: The Militarization of America’s Police Forces (Jackson,
“AICAMS: Artificial Intelligence Crime Analysis and TN: Public Affairs, 2013).
93
Management Systems,” Knowledge-Based Systems 11 “Will the Growing Militarization of Our Police Doom
(2009), pp. 355–361. ­Community Policing?” The e-Newsletter of the COPS

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 72 chap te r 2 • Po l icin g To d ay

Office 6, no. 12 (December 2013), pp. 1–2; http:// cops. Police Departments: Hearing Before the Subcommittee
usdoj.gov/html/dispatch/ 12/20/13. on Crime, House of Representatives, 110th Cong. (2007)
94
“See Mark G. Frank and Thomas Gilovich, “The Dark Side (Testimony of Radley Balko). http://reason.com/
of Self- and Social Perception: Black Uniforms and archives/2007/07/02/our-militarized-police.
98
­Aggression in Professional Sports,” Journal of Personality Michael S. Sherry, In the Shadow of War (New Haven, CT:
and Social Psychology, Vol. 54, No. 1, 1988, pp. 74–85. Yale University Press, 1997), p. 309.
95 99
See George D. Webster, Geoffrey R. Erland, and Joshua President Reagan, June 24, 1982, “Remarks on Signing
­Correll, “Can Uniform Color Color Aggression? Executive Order 12368, Concerning Federal Drug Abuse
­Quasi-­Experimental Evidence from Professional Ice Hockey,” Policy Functions,” The American Presidency Project,
Social Psychology and Personality Science, Vol. 2, No. 3, May http://www.presidency.ucsb.edu/ws/index.php?pid=42671
2011, pp. 306–310 and David F. Caldwell and Jerry M. Burger, %23axzz1P5p1SNqO.
100
“On Thin Ice: Does Uniform Color Really Affect Aggression Steve Daley, “Bennett Overwhelmingly Confirmed as
in ­Professional Hockey?” Social Psychology and Personality Drug Czar,” Chicago Tribune, March 10, 1989, http://
­Science, Vol. 3, May 1, 2012, pp. 274–28 articles.chicagotribune.com/keyword/william-bennett/
96
Richard R. Johnson, “An Examination of Police Uniform featured/3.
101
Color and Police-Citizen Aggression,” Criminal Justice Douglas Jehl, “Bennett Would Limit Rights in War on
and Behavior, Vol. 40, No. 2, 2013, pp. 228–244 and Ernest Drugs: Says ‘Compelling Reasons’ Would be Needed;
Nickles, “Good Guys Wear Black: Uniform Color and ­Military Might Be Given a Wider Role in Arrests,” Los
­Citizen Impressions of the Police,” Policing: An Angeles Times, March 3, 1989, http://articles.latimes.
­International Journal of Police Strategies and com/1989-03-03/news/mn-238_1_compelling-reason.
102
­Management, Vol. 31, No. 1, March 2008, pp. 77–92. Norm Sampler, “Losing the Hearts and Minds in the Drug
97
See Radley Balko, Rise of the Warrior Cop: The War.” The Huffington Post, November 14, 2011, http://
­Militarization of America’s Police Forces (Jackson, TN: www.huffingtonpost.com/norm-stamper/war-on-
Public Affairs, 2013) and Radley Balko, Our Militarized drugs_b_1088931.html.

M02_SWAN4056_09_SE_C02.indd 72 7/11/16 2:33 PM

 c h ap t e r 2 • Polic ing T oday 73
103
International Association of Chiefs of Police and the National what-cop-tshirts-tell-us-_n_3479017.html.The informa-
Tactical Officers Association, National Special Weapons and tion about T-shirts is drawn with restatement from this
Tactics (SWAT) Study: A National Assessment of Critical Trends source and some additions.
109
and Issues from 2009 to 2014 (Alexandria, VA: ­International National Law Enforcement Officers Memorial Fund. See:
Association of Chiefs of Police, 2016), pp. 11 and 18. http://www.nleomf.org/facts/officer-fatalities-data/year.
104
Ronald J. Ostrow, “Casual Drug Users Should be Shot, html?referrer=https://www.google.com.
110
Gates Says,” Los Angeles Times, September 6, 1990, Ibid.
111
http://articles.latimes.com/1990-09-06/news/ Dennis A. Clark, “Number of Cops Killed up 56% in 2014,”
mn-983_1_casual-drug-users. New York Post, December 30, 2014, http://nypost.com/
105
No author, “Drug Czar Says Beheading Dealers ‘Morally 2014/12/30/number-of-cops-killed-by-guns-up-56-in-2014.
112
Plausible,” Chicago Tribune, June 16,1989, http://archives. Cynthia Lum and Daniel S. Nagin, “Reinventing American
chicagotribune.com/1989/06/16/page/25/article/ Policing,” The Crime Report, June 24, 2015, http://
drug-czar-says-beheading-dealers-morally-plausible. thecrimereport.org/2015/06/24/2015-06-reinventing-american-
106
Howard Kohn, “Cowboy in the Capital: Drug Czar Bill policing-a-seven-point-blueprin, accessed July 5, 2016.
113
­Bennett,” Rolling Stone, November 2, 1989, http://www. No author, Recruit Training: “Are We Preparing Officers for
rollingstone.com/culture/features/ a Community Policing Department?” Community Policing
cowboy-in-the-capital-drug-czar-bill-bennett-19891102. Dispatch (The e-newsletter of the Cops Office), Vol. 6,
107
Duncan Campbell, “Bush Tars Drug Takers with Aiding Issue, 6, June 2013, p. 2, http://cops.usdoj.gov/html/
­Terrorists,” The Guardian, August 7, 2002, https://www. dispatch/06-2013/preparing_officers_for_a_community_
theguardian.com/world/2002/aug/08/usa. oriented_department.asp, accessed July 5, 2016.
114
duncancampbell. No author, Final Report of the President’s Task Force on
108
Radley Balko, “What Cop T-Shirts Tell Us About Police 21st Century Policing, May 2015, http://www.cops.usdoj.
­Culture,” Huffington Post, June 22, 2013, http://www. gov/pdf/taskforce/taskforce_finalreport.pdf, accessed July
huffingtonpost.com/2013/06/21/ 5, 2016.

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 c h a p t e r t h r e e

I n te ll i ge nc e ,
Ter r or ism, and
H o m e land Se c u rit y
Learning Objectives
1. Define intelligence.
2. Describe the Intelligence Cycle as presented in the National Criminal Intelligence
Sharing Plan (NCISP).
3. Define a fusion center and briefly list its four primary goals.
4. Describe some of the major criticisms aimed at fusion centers and other law
enforcement responses to terrorism.
5. List the four primary areas of responsibility within the Department of
Homeland Security.
6. Define terrorism.
7. Briefly describe the concept of jihad and name some of the more radical Islamic
groups active throughout the world.
8. Describe the concept of a “homegrown terrorist.”
9. Discuss why Outlaw Motorcycle Gangs (OMGs) are considered an international
threat to the United States. Identify the “Big Four” OMGs that are active
in the United States.
10. Define a hate crime.
11. Define and identify groups that are commonly called ecoterrorists.

74

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 c h ap t e r 3 • I n t el l i g e n c e , T e r r or i s m, an d H ome land S ec u r it y 75

INTRODUCTION attempts to infiltrate crucial infrastructures. This

realization has forced local police administrators
On September 11, 2001, our world changed
to focus considerable attention on the need to
forever. For the first time in the past 60 years,
improve law enforcement intelligence
America came under attack by an outside and
operations. The notion that state and local law
foreign enemy (see Figure 3.1). Our security
enforcement agencies must enhance their
weaknesses were exploited, our vulnerability
intelligence gathering and analysis capabilities
was exposed, and our fear became real. For law
represents a fundamental shift in the strategic
enforcement and police officers throughout the
dimension of local policing that involves making
United States, the attacks on the World Trade
these agencies “intelligence-led” organizations
Center and the Pentagon posed yet another
reminiscent of the military model used for
new challenge to the already difficult task of
gathering, assessing, and distributing
reducing crime and maintaining order in our
critical information.1
communities (see Chapters 1 and 2 for a
discussion of the changing role of police While much of the effort to reform intelligence
in America). operations after 9/11 focused on the need to
The 9/11 attacks and the ongoing war on restructure and better coordinate the
terror have demonstrated that terrorism respects intelligence infrastructure and model at the
no jurisdictional boundaries, whether these federal level, there has also been a significant
attacks take the form of aircraft hijackings, the effort to define the role state and local law
use of biological agents, or more sophisticated enforcement agencies play in homeland security.

FIGURE 3.1 c The events of 9/11 changed our world forever . . . characterized as one
of the defining moments of the 21st century: 2,752 men, women, and children lost their
lives in this horrific terrorist attack. According to former Attorney General John Ashcroft,
there is no priority higher than the prevention of terrorism; a role now placed squarely
on the shoulders of American police and law enforcement officers. (Seth McAllister/Newscom)

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 76 chap te r 3 • In te l l i g e n ce , T e rror i s m, an d H omel an d S ec u r i t y

INTELLIGENCE AND TERRORISM Policing Today), it should now be possible to provide accurate
and reliable predictions concerning specific events.5 The ulti-
Historically, the missing dimension in quality intelligence has mate goal is twofold: (1) provide accurate information concern-
been analysis.2 The transformation of raw data, whether ing the future in order to avoid decision and policy pitfalls and
acquired through human, technical, or open sources, must be bureaucratic blunderings and (2) chart out courses of action
collated, scrutinized, and processed accurately and quickly. The directly aimed at achieving specific objectives. This, of course,
ultimate goal of this analytical process is a finished product requires a new way of thinking about policing—one that
more intelligible, accurate, and usable than the data and infor- emphasizes prediction and prevention rather than detection
mation drawn on to prepare it. Herein is the definition of and apprehension.
intelligence—data and information that have been evaluated,
analyzed, and produced with careful conclusions and recom- The Intelligence Process and Cycle
mendations. Intelligence, then, is a product created from sys-
The National Criminal Intelligence Sharing Plan (NCISP),
tematic and thoughtful examination, placed in context, and
originally released in 2003 and slightly revised in 2005 and
provided to law enforcement executives, with facts and alterna-
2008, contained 28 specific recommendations for major
tives that can inform critical decisions.3
changes in local policing.6 However, the key concept from the
There are three major perspectives on the purpose of intel-
document emphasized the strategic integration of intelligence
ligence and analysis. Each voices a different focus on the ability
into the overall mission of the police organization—­
of intelligence officers and agents to provide sound information
intelligence-led policing (refer to Chapter 2). Rather than react
on which responsible decision making can be based. The first
and respond to past calls for service, the NCISP placed much
perspective is associated with the writings of Sherman Kent; it
more emphasis on predictive analysis derived from the discov-
holds that the role of intelligence is to limit surprise from
ery of hard facts, information, patterns, intelligence, and good
national security policymaking.4 In other words, the analysis of
crime analysis. By concentrating on key criminal activities,
data (or the making of intelligence) should render facts and
problems, and individuals targeted through analysis, signifi-
figures, identify trends and patterns, and provide statistical sup-
cant attention could be directed to alleviate the crime problem.
port on past events. There are no follow-up investigations, post-
In order to protect the civil liberties of all individuals, the
audits, or continued evaluations concerning the policy
intelligence process was developed with key evaluation points
implemented in response to the data provided. In essence, this
aimed at verifying source reliability and validity at the begin-
type of analysis provides the facts and leaves the decisions to
ning of the collection cycle. The goal was to develop a univer-
decision makers.
sal process that would integrate both law enforcement and
In the second perspective, analysts not only should be
national security intelligence agendas, while providing mecha-
responsible for providing historical data but also should force
nisms for securing individual freedoms and allowing law
policymakers and decision makers to confront alternative views
enforcement agencies to be proactive in preventing and deter-
of specific events, potential threats, and/or foreign situations.
ring crime and terrorism. The end result was the “Intelligence
The emphasis is on connecting the political ends with the
Cycle,” presented by the FBI in an effort to bring varied pieces
course of events. Analysts cannot limit themselves simply to
of information together in an effort to draw logical conclusions
giving situational reports and briefings; they must inherently
from a thorough and systematic process (see Figure 3.2). As
focus on the dynamics of the political arena in order to give
important, the Intelligence Cycle also provides a means of
meaning to data. This can be particularly true regarding threats
communicating and sharing intelligence among individuals
(such as terrorism) from foreign sources, in which state and
and agencies through the dissemination process.
local police executives may be relatively naïve to the geo-
global dimensions of a specific region outside the United
States. Most important, analysts need to place intelligence into Fusion Centers
the relevance and perspective of state and local governments. The transformation of local police agencies into intelligence-
For instance, increased violence in the West Bank may be of led organizations involves four key objectives: (1) the creation
little consequence to rural areas in the United States but much of a task and coordination process, (2) the development of
more meaningful to areas outside Detroit, Michigan, where core intelligence products to lead the operation, (3) the estab-
nearly 300,000 Palestinians reside. lishment of standardized training practices, and (4) the devel-
The final and sharply contrasting perspective concerning the opment of protocols to facilitate intelligence capabilities. This
purpose of analysis is somewhat latent. Its emphasis is not on approach is intended to improve the capability of local law
providing past data on which to base decisions or policy; rather, enforcement in regard to responding to terror threats and
the focus is squarely on the prediction of future events. This traditional anti-crime efforts. Intelligence-led policing blends
shift in emphasis can be viewed as an outgrowth of the second community partnerships with crime fighting and police
perspective as more technological advances have come to pass. accountability in an effort to maximize police efficiency and
With the advent of advanced analytical software and artificial effectiveness in terrorism prevention and crime reduction.
intelligence systems, more robust records management systems, There is evidence to suggest that this initiative has started to
and relatively easy access to huge data banks (see Chapter 2, alter the face of traditional policing in the United States.

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 c h ap t e r 3 • I n t el l i g e n c e , T e r r or i s m, an d H ome land S ec u r it y 77

FIGURE 3.2 c The Intelligence Cycle. (Courtesy of Federal Bureau of Investigation).

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 78 chap te r 3 • In te l l i g e n ce , T e rror i s m, an d H omel an d S ec u r i t y

A national survey found that a majority of responding local incorporating a simultaneously vertical (i.e., federal, state, and
and state police agencies have conducted terrorism threat local) and horizontal (i.e., within the agency, with other local
assessments since 9/11, and about one-third of these agencies agencies, and across disciplines such as fire, EMS, public
have collaborated with the FBI’s joint terrorism task force to works, and private partners) approach within a given jurisdic-
assist in local crime investigations.7 The movement to inte- tion. Fusion centers are composed of talented and trained
grate information and develop an overarching process of individuals using sophisticated application software in crime
managing the flow of information and intelligence across all analysis and mapping to manage and manipulate information
levels and sectors of government and private security has and intelligence into a usable product. The resulting analysis
been the impetus to create fusion centers (see Figure 3.3) acts as a basis for the deployment of police resources and
inside local and state police agencies. Fusion centers act as directed operations in a real-time format—that is, almost
effective and efficient mechanisms for exchanging information immediately. The fusion center not only acts as a centralized
and intelligence, maximizing police resources, streamlining host for intelligence information and analysis but also serves
public safety operations, and improving the ability to fight as a conduit for disseminating critical information to other
crime and terrorism by merging data from a variety of regional, state, and national authorities. This is a particularly
sources.8 Fusion centers serve as clearinghouses for all poten- important point that fulfills the NCISP in protecting the home-
tially relevant homeland security information that can be used land. Both large and small, as well as local, state, tribal, and
to assess local terror threats and aid in the apprehension of federal law enforcement agencies are encouraged to work
more traditional criminal suspects. toward the systematic sharing of intelligence information
Originally launched in New York City under the direction relating to criminal and terrorist threats. See Figure 3.4.
of then police commissioner Raymond Kelly in 2002, the con- Almost every state and several large metropolitan cities have
cept of a fusion center blended the power of information undertaken the development of fusion centers with significant
technology with terrorism prevention and crime fighting. With funding assistance from the Department of Homeland Security.
a price tag exceeding $11 million, the Real Time Crime Center For instance, the Chicago Police Department Deployment Opera-
(RTCC) in New York City combs through tens of millions of tions Center (DOC) was one of the first centers to combine real-
criminal complaints, arrest and parole records, and 911 call time intelligence analysis with the deployment process. In
records dating back a decade in an effort to provide NYPD Los Angeles, both the city and the county have well-developed
officers with the information tools necessary to stop a terrorist fusion centers, and in Dallas, Texas, the Metropolitan Operations
event or investigate a crime.9 Fusion centers distribute rele- and Analytical Intelligence Center (MOSAIC) provides real-time
vant, actionable, and timely information and intelligence, tactical information to officers on the street 24/7.

FIGURE 3.3 c Fusion centers are high-tech, information-intensive operational centers

that analyze and disseminate intelligence relating to terrorism and crime to police officers
on the street. (Jason Decrow/AP Images)

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 c h ap t e r 3 • I n t el l i g e n c e , T e r r or i s m, an d H ome land S ec u r it y 79

1. Recognize your responsibilities and lead by example

Recognize the value of sharing intelligence information within your own agency, and encourage the practice of
sharing information with other law enforcement and public safety agencies. Use the guidelines and action steps
outlined in the National Criminal Intelligence Sharing Plan (“Plan”) to implement or enhance your organization’s
intelligence function.

2. Establish a mission statement and a policy to address developing and sharing information and intelligence
data within your agency
The Plan provides model policies and guidelines for implementing or reviewing an agency’s intelligence
function. Examples include Criminal Intelligence Systems Operating Policies federal regulation 28 CFR Part 23,
the International Association of Chiefs of Police’s Criminal Intelligence Model Policy, and the Law Enforcement
Intelligence Unit’s (LEIU) Criminal Intelligence File Guidelines.

3. Connect to your state criminal justice network and regional intelligence databases, and participate in
information sharing initiatives
Many states provide access to other government databases, including motor vehicles, corrections, and others.
Regional intelligence databases and sharing initiatives promote communication and collaboration by providing
access to other agencies’ and organizations’ investigative and intelligence data.

4. Ensure privacy issues are protected in policy and practice

The protection of individuals’ privacy and constitutional rights is an obligation of government officials and is
crucial to the long-term success of criminal intelligence sharing. The Plan provides guidelines that support policies
which will protect privacy and constitutional rights while not hindering the intelligence process. Implementing and
supporting privacy policies and practices within your agency will also reduce your organization’s liability concerns.

5. Access law enforcement Web sites, subscribe to law enforcement listservs, and use the Internet as an
information resource
Many Web sites on the Internet and others on closed networks provide valuable intelligence assessments and
news. Listservs provide instant and widespread communication for investigators.
Listservs allow both the receipt and distribution of intelligence information. The Internet provides a wealth of open-
source information, including government information and access to private agencies that share with law enforcement.

6. Provide your agency members with appropriate training on the criminal intelligence process
Some training models or modules are already found in Internet-based and interactive CDs, such as the
International Association of Law Enforcement Intelligence Analysts (IALEIA), National White Collar Crime Center,
and LEIU “Turn Key Intelligence.” A listing of available intelligence training sources and specifically scheduled
classes is found on the IALEIA website: www.ialeia.org. This listing allows individuals to directly contact training
source agencies and organizations for more information on classes and schedules.

7. Become a member of your in-region Regional Information Sharing Systems® (RISS) center
RISS operates the only secure Web-based nationwide network for communication and exchange of criminal
intelligence information by local, state, federal, and tribal participating law enforcement member agencies.
RISS partners with other law enforcement systems to electronically connect them to RISSNETTM, including High
Intensity Drug Trafficking Areas (HIDTA) Investigative Support centers and other federal and state agency systems.

8. Become a member of the Federal Bureau of Investigation’s (FBI) Law Enforcement Online (LEO) system
The FBI’s LEO system is a sensitive but unclassified, real-time information sharing communications system for
all levels of the law enforcement community and is available at no cost to its users. LEO provides secure e-mail
capability, a national alert mechanism, and access to over 125 special-interest groups for sharing information by
providing access to other networks, systems, databases, and other services.

9. Partner with public and private infrastructure sectors

Regular communication with the entities that control America’s critical infrastructures, such as energy, agriculture,
transportation, and shipping, is critically important to ensuring the safety and security of the citizens in your community.

10. Participate in local, state, and national intelligence organizations

In most areas of the country, there are locally based intelligence organizations that welcome participation from all
agencies and are often affiliated with state and national organizations.
FIGURE 3.4 c Ten simple steps that assist individual police agencies become part of the National Criminal Intelligence
Sharing Plan. (Source: https://it.ojp.gov/gist/100/10-Simple-Steps-to-Help-Your-Agency-Become-a-Part-of-the-National-Criminal-Intelligence-Sharing-Plan, Crimi-
nal Intelligence Coordinating Council, updated 2015).

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 80 chap te r 3 • In te l l i g e n ce , T e rror i s m, an d H omel an d S ec u r i t y

The goals of a fusion center are fourfold: operations and planning. The aim of a fusion center is
to reduce the vulnerability of the high-value and high-
1. Fusion centers support the broad range of activities
risk targets identified within a jurisdiction. For example,
undertaken by a police department relating to the
in any major city, there are several important CI/KRs—
detection, examination, and investigation of a potential
bank buildings, corporate headquarters, bridges and
terrorist and/or criminal activity. Ideally, the center
overpasses, water supply tanks and systems, electronic
serves as a hub of anti-terrorist and anti-crime
switching hubs, rail and subway stations, and a myriad
operations in a specific region, focusing on the
of other important infrastructure entities. Fusion centers
recognition of patterns, indications and warnings,
maintain huge databases that are immediately
source development, interdiction, and the coordination
retrievable for use in thwarting an attack or dealing
of critical criminal justice resources. These are critical
with an emergency. For instance, the Los Angeles
activities for any police agency attempting to be
Police Department has implemented the “Archangel
proactive and intelligence-led to be successful in
Project,” aimed at developing a large database for all
deterring, detecting, disrupting, investigating, and
CI/KRs in the region. Its primary purpose is to maintain
apprehending suspects involved in terrorist and
as much accessible and critical data as possible on any
criminal activity directly related to homeland security.
one given piece of critical infrastructure, so that during
Figure 3.5 represents one of several information
an emergency or a potentially threatening event, police
technology solutions that are commonly used in fusion
resources can be directed appropriately. Hence,
centers to help identify patterns and indicators
building schematics and event histories, alternative
associated with terrorism and/or crime.
road and highway routes, and maps of water supply
2. Fusion centers support operations that protect critical mains, electrical grids, switching stations, and the like
infrastructure and key resources (CI/KRs) in a are maintained and accessible within the fusion center.
given region, support major incident operations, Fusion centers are all-hazard in scope—that is, they
support specialized units charged with interdiction and are developed to support operations during an
investigative operations, and assist in emergency emergency that is either human-made, such as a

FIGURE 3.5 c IBM i2 iBase IntelliShare

Software enables multiple web-based users to
analyze data in a central repository. Further,
individual dashboards can be created to reveal
a number of widgets and windows that provide
single and unified views of intelligence data.
Such intelligence tools can be used in a wide
range of investigations, including the following:
• Counterterrorism
• Drug Trafficking
• Money Laundering
• Securities Fraud
• Insurance Fraud
• Forensic Accounting
• Major Incident Management
• Immigration Violations and Human
Trafficking
• Identity Theft
• Threat Assessment and Emergency
Management

Application Programs
Since 1990, i2 Corporation has been a worldwide leader of visual investigative analysis software for law enforcement, intelligence,
military, and Fortune 500 organizations. The application software performs an array of sophisticated analytical techniques, including
social network analysis, commodity flow, telephone record analysis, link analysis, and the like, often used in real-time fusion centers
to convey analytical findings in intuitive charts that organize support data. i2 is now part of IBM and has developed a number of new
analytic tools for intelligence analysis and sharing, such as the IntelliShare dashboard described here. (Courtesy of the IBM Corpora-
tion, visit http://www-01.ibm.com/software/info/i2software).

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terrorist event, or natural, such as a hurricane, government to move information and intelligence to the states
flood, or tornado. at the “secret” level, thereby allowing the quick exchange of
critical data and information pertaining to an immediate terrorist
3. Fusion centers often maintain public “tip lines,” which
threat within any jurisdiction of the United States. Through
give them the capability to promote more public
HSDN, fusion center staff can access the National Counterter-
involvement in and awareness of terrorist threats. The
rorism Center (NCTC) via a secure and classified portal to the
goal is to identify and recognize warning signs and
most current terrorism-related information. The NCTC acts as the
potential threats in a timely manner in order to pre-
nations “hub” for intelligence activity both domestically and
empt potential terrorist attacks and reduce the
internationally, coordinating intelligence information derived by
vulnerability of the CI/KRs in a given region. Fusion
individual members of the intelligence community. It also serves
centers accomplish this task on a daily basis, focusing
as the single point for the strategic and operational planning of
on the analysis of crimes that are often linked to
counterterrorism activity. This is often accomplished through
terrorist cells and activity for funding, such as narcotics
interagency meetings and secure teleconferences about terrorist
trafficking, credit card abuse, armament and gun theft,
groups, capabilities, plans and intentions, and emerging threats
prostitution, and human trafficking, by distributing
to U.S. interests. The NCTC is located in Washington, DC, and is
information relating to these linkages to all agencies
part of the Office of the Director of National Intelligence. One
within a given region. The timeliness of gathering,
of the most important duties of the center is to maintain the
analyzing, and disseminating information is vital to
national repository of known and suspected terrorists and
successfully preventing acts of violence and threats to
provide assessments to potential threats by these individuals.13
homeland security.
Clearly, the 9/11 attacks and the impact of terrorism on our
4. Fusion centers assist police executives in making country has transformed the role of the police in our c­ ommunities.
better-informed decisions, especially during We have witnessed an unprecedented movement on the part of
emergencies or critical incidents. Fusion centers are the federal government to employ local, tribal, and state police
ongoing deployment operations centers with the real- agencies into the counterterrorism mission. Police executives
time ability to monitor critical resources. This includes need to recognize that this trend will not wane in the future, but
real-time status monitoring of major events, that the public as well as federal officials, will increasingly expect
communicating with area medical facilities and trauma local police to take a broader and more important role in safe-
units, coordinating the allocation and deployment of guarding their communities against terrorists.14
multi-agency personnel resources (including military
reserve units), monitoring changing weather conditions, Policing Terrorism
and directing all support services through a centralized According to policing scholar George Kelling and current NYPD
operations center. Commissioner Bill Bratton, cities must create a hostile environ-
Fusion centers embody the core of collaboration between ment for terrorists by instilling effective intelligence gathering and
agencies in law enforcement, as well as members of private analysis into the everyday workings of local police departments.15
security and the general public. The National Governors Asso- More recently, Mathieu Deflem’s work on the policing of terror-
ciated Center for Best Practices revealed that states ranked the ism emphasized the prevention and response to terrorism as an
development of intelligence fusion centers as one of their issue of crime control for every police department and suggests
highest priorities in reducing crime and preventing terrorism the development of professional standards for investigating ter-
in the homeland.10 rorist incidents as a crime methodology, rather than singularly a
counterterrorism effort.16 This theme is certainly reinforced by
federal authorities as presented in the late 2008 report presented
The National Fusion Center by the U.S. Department of Justice, Office of Community Oriented
Association (NFCA) and the National Policing Services, acting as a police chief’s guide to policing
Counterterrorism Center (NCTC) ­terrorism.17 Central to this document and the mission of policing
in preventing terrorism and reducing crime must be the system-
As of 2015, there were 82 state and major urban fusion centers atic collection, analysis, and sharing of intelligence information
within the United States.11 Almost every state has a statewide between agencies. Several important steps for any local police
fusion center, as well as most major urban areas. The National department to consider in developing its intelligence collection
Fusion Center Association (NFCA) is a formal group that repre- methodology and enhancing its role to prevent terrorism are
sents the interest of state and local urban area fusion centers echoed earlier in Figure 3.4 and include the following:
nationally. In addition, the NFCA promotes the development and
sustainment of fusion centers to enhance public safety, the ethi- dd Create an intelligence unit that focuses on
cal and lawful collection of intelligence gathering, analysis, and counterterrorism and/or appoint a terrorist liaison officer.
dissemination.12 The goal of the NFCA is to prevent the next dd Send officers for training in intelligence gathering,
terrorist attack on the homeland. To this end, the Homeland analysis, and sharing. Know the legal and privacy issues
Security Data Network (HSDN) allows the federal surrounding police use of intelligence information.

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dd Join the local Joint Terrorism Task Force (JTTF) Criticisms Aimed at Fusion Centers and
sponsored by the FBI field office in the local jurisdiction.
Depending on the size of the department, this may not
Other Law Enforcement Responses to
always be feasible or cost-effective since the FBI provides Terrorism
pay for only overtime and equipment; officer salaries are As with any new direction, there have certainly been setbacks
continued by the home department. Therefore, smaller and problems that have plagued not only the development and
agencies may wish to only designate an officer to transition of the Department of Homeland Security but also
coordinate information between the department and the befuddled the government’s response to terrorism. For instance,
nearest task force. there continue to be problems relating to the sharing of infor-
dd Develop an information-sharing environment between mation between local law enforcement and the FBI. A 2010
agencies of law enforcement within and across assessment of state and local fusion centers conducted by the
jurisdictions. Implement fusion centers when appropriate U.S. Department of Homeland Security revealed widespread
to analyze and funnel terrorist information to appropriate deficiencies in the centers’ basic counterterrorism information-
authorities. sharing capabilities.19 Especially noted in the study was the
dd Participate in the National SAR Initiative (NSI),which is need to improve the coordination of federal communication and
focused on developing and using the Suspicious Activity collaboration within and between fusion centers. One local
Reporting System (SARS). In accordance with the fusion center director noted that information flow appears to be
National Criminal Intelligence Sharing Plan and the one way—from the local agency to the FBI.20
National Strategy for Information Sharing (NSIS), Fusion centers have also not been without their detractors.
developed within the U.S. Department of Justice, this Monahan and Palmer note, after an exhausting and compre-
system promotes an Information Sharing Environment hensive analysis from 2002 to 2008, that three primary concerns
(ISE) important to establishing the timely sharing of SAR continue to plague these information and intelligence hubs.21
information with law enforcement agencies, fusion First, fusion centers are expensive and almost any cost-benefit
centers, and theJTTF18 (see Figure 3.6). analysis will reveal significant money spent for very little, tan-
gible evidence of success. The effectiveness of fusion centers,
dd Promote intelligence-led policing and implement
particularly given their financial outlay, is seriously questioned.
community policing efforts with immigrant communities,
Few terrorist incidents have actually been prevented due to the
especially immigrant Muslim communities.

Suspicious Activity
Processing Steps
Planning

Gathering and
Processing
Analysis and Production
Frontline law
enforcement personnel Dissemination
State and major (federal, state, local,
Reevaluation
urban area and tribal) are trained
Federal agencies produce State and major fusion centers, in to recognize behavior
coordination with and incidents that Observation
and make available urban area
local or federal may indicate criminal and reporting of
intelligence and other fusion centers, in
officials, develop activity associated with behaviors and
information products to coordination with
information terrorism. Community incidents by trained
support the development local or federal
requirements based outreach plan law enforcement
of geographic risk officials, develop
on risk assessment implemented personnel during
assessments by state and risk assessments
their routine activity Supervisory review of
major urban area fusion the report in accordance
centers with departmental policy
National coordinated In major cities, SAR
information needs on
annual and ad hoc
NATIONWIDE SAR CYCLE reviewed by trained
counterterrorism
basis expert
SAR made available to fusion
Authorized ISE center and/or JTTF
participants ISE-SAR Determination and At fusion center or JTTF, a trained analyst or
access and posted in documentation of law enforcement officer determines—based on
retrieve ISE-SAR ISE Shared an ISE-SAR information available, knowledge, experience,
Spaces and personal judgment—whether the information
meeting the ISE-SAR criteria may have a
terrorism nexus

FIGURE 3.6 c The SAR Cycle Chart. This diagram focuses on activities of local, state, and tribal agencies. By
following these steps, agencies can be assured that their SAR activities are in alignment with and can support crucial
information sharing. This diagram will also help identify gaps in an agency’s current process that may need to be
addressed and/or corrected. (Suspicious Activity Reporting: Process Implementation Checklist, p. 4. See http://it.ojp.gov/docdownloader.
aspx?ddid=1147).

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work of fusion centers. Second, many fusion centers appear to Eliminate military participation in the fusion
suffer from “mission creep”; that is, because there are few cases process—The Posse Comitatus Act of 1878 clearly prohibits
focused on terrorism, many centers have expanded their role the U.S. military from acting in a law enforcement capacity
to include crime fighting and reduction. According to Monahan on American soil, except under express authority from
and Palmer, the expansion of fusion centers into this mission Congress. Hence, fusion centers should be prohibited from
is well beyond the initial intention of funding “all-hazard” cen- using active-duty military personnel. However, many fusion
ters for the coordination of intelligence and information to centers incorporate the National Guard and the Coast
prevent terrorism. And finally, fusion centers come desperately Guard and are a bridge between military and civilian
close to violating the civil liberties of people, especially relating intelligence centers. At least one center in North Dakota is
to racial and ethnic profiling and breaches of privacy. The actually located within National Guard facilities. The ACLU
American Civil Liberties Union (ACLU) has also highlighted argues that military personnel operating in a law
possible privacy and individual infringements stemming from enforcement capacity (fusion centers) would erode not only
fusion centers.22 the Posse Comitatus Act but also reduce the Constitutional
Fusion centers have access to an enormous amount of barriers between the military and American citizenry.
personal information regarding individuals. Data banks Eliminate illegal data mining in the fusion
involving criminal and arrest records, financial records, civil process—Data fusion can lead to illegal data mining; that
litigation, credit reports, water bills, and even Internet sites is, accessing private sector databases that are not controlled
such as Facebook and MySpace are now available to police or authenticated. This action clearly jeopardizes an
personnel. Quoting a spotty historical past by police relating individual’s Constitutional right to privacy, as well as subjects
to intelligence gathering and analysis, the ACLU suggests a the individual to unwarranted scrutiny by the police without
number of important potential improvements: probable cause. Intelligence gathering and fusion center
Eliminate ambiguous lines of authority—In many processes include anticipating, identifying, monitoring, and
cases, there appears to be a blurred line between the preventing future criminal and terrorist activities without
federal government and individual states or local agencies probable cause. How police agencies focus on one group
housing fusion centers. There simply is not a clear portrait versus another, and who becomes the target of an
of who is actually in charge of fusion centers. Although investigation, are key questions concerning this issue.
individual fusion centers were developed by state and local Eliminate excessive secrecy—A fusion center’s ability to
governments, the federal government provided much of the gather vast amounts of personal information on individuals,
original funding and dispatches its own intelligence officers with very little oversight, not only undercuts the function
to work alongside state/local officials. Most state/local and purpose of the intelligence process, but also increases
agencies cannot access classified information, and, hence, the danger that incompetence and malfeasance will
must rely on the DHS employee or the FBI to provide this flourish. Fusion centers must be held accountable and
intelligence. transparent to public scrutiny.
Eliminate private sector involvement in the fusion Clearly, the power struggle between federal and state/local
process—Private sector participation in fusion centers is agencies continues today. Despite the lessons learned from 9/11,
designed to encourage a number of public safety, there are still major issues in this area. Further, while over a half
transportation, social service, and private sector entities to a billion dollars have been spent to improve the nation’s ability to
join together in the fusion process. Because one of the thwart terrorist attacks, the Congressional Research Service (CRS)
goals of fusion centers is to protect the nation’s critical Reports for Congress indicates that fusion centers are ineffective
infrastructure—85 percent of which is owned by private and continue to suffer from lack of interoperability and a host of
interests—fusion centers are strongly encouraged to seek political power issues between government levels.23 The CRS
information from “nontraditional sources” (e.g., private reports that while fusion centers were primarily designed to “fuse”
corporations, hospitals, and transportation companies). federal, state, and local intelligence regarding potential terrorist
Allowing private sector corporations access to classified attacks, they have gravitated more toward collecting and analyzing
materials and other sensitive law enforcement information information on criminals and offenders in local regions—precisely
may violate individual Constitutional and personal rights. the concern of the ACLU. The CRS document supports the ACLU
Police and law enforcement entities undergo rigorous stance that fusion centers pose significant risks of civil liberty and
training, are sworn to objectively serve their community, privacy incursion. Most revealing of the criticism against fusion
and are paid through public salaries, whereas private centers was a 2012 report by the U.S. Senate Permanent Subcom-
companies and their employees are motivated to maximize mittee on Investigations.24 The subcommittee found that the qual-
profits. In short, the availability for personal information to ity of intelligence information forwarded by many fusion centers
be shared between public and private officials, for the sake was “oftentimes shoddy, rarely timely, sometimes endangering
of forging public and private partnerships, may be a citzens’ civil liberties and Privacy Act protections” and often taken
violation of individual rights to privacy guaranteed by our from previously published public sources.25 Most damaging was
Constitution. the finding that many times, the “intelligence” was not even related

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 84 chap te r 3 • In te l l i g e n ce , T e r r or i s m, an d H ome l an d S ec u r i t y

Box 3.1: USA Freedom Act: High Tech Companies vs the US Government

After 9/11, Congress quickly passed the USA PATRIOT Act phone calls in bulk; (2) The FBI will no longer be able to
that provided new tools to assist law enforcement in securing invoke the PATRIOT Act to obtain new investigations or new
the country against terrorist attacks. The PATRIOT Act wiretaps on potential suspects without affiliation or linkage
expanded the traditional methodologies of surveillance used to a known terrorist group; and (3) the FBI will be required to
by law enforcement and intelligence agencies with signifi- obtain a court order to obtain business records relevant to a
cantly reduced checks and balances relating to record terrorist organization. The new law represented some of the
searches, wiretaps, search warrants, pen trap and trace most significant surveillance reform in decades in the United
orders, and court orders. However, in 2015, a major shift sig- States, and comes on the heels of information technology
naling a significant change in American attitudes toward safe- companies like Apple and Microsoft, that provided new per-
guarding civil liberty versus the nation was marked by the sonal security tools for customers that can prevent “snoop-
expiration of parts of the PATRIOT Act, and the development ing” from both the government and the Internet Service
of new laws curtailing international and domestic intelligence Provider itself.
agencies like the Central Intelligence Agency (CIA), the The conflict between big high-tech companies and the
National Security Agency (NSA), and the Federal Bureau of government continued into early 2016, as a U.S. magistrate
Investigation (FBI). Sparked by a former NSA contractor in ordered Apple to produce software that would give FBI
2014, Edward Snowden revealed the presence of a powerful agents the ability to access data stored within the new
national intelligence apparatus involving the collection of iPhone. Specifically, agents wished to access the data on
phone and computer records (metadata) from almost every Syed Rizwan Farook’s iPhone, a U.S. citizen accused of killing
large communications provider in the country. Worse yet, 14 people at a holiday party in San Bernardino, California on
federal bureaucrats denied the existence of the apparatus in December 2, 2015. Agents were interested in viewing poten-
Congressional Hearings in 2014–2015. tial emails from members of terrorist organizations (e.g., ISIS,
A new bill, known as the USA Freedom Act, was signed by al-Qaeda) in the Middle East with Farook, as well as Farook’s
President Obama on June 2, 2015, that strengthen civil lib- conversations on an online dating site in which Farook met
erty safeguards and allowed three key provisions of the his wife, Tashfeen Malik, an accomplice in the San Bernardino
PATRIOT Act to expire: (1) The NSA (or any other agency) will massacre. Farook and Malik were both killed in a shoot-out
no longer be able to collect newly created logs of Americans’ with police after the attack.

to terrorism and that DHS was unable to provide an accurate Federal Emergency Management Administration [FEMA]).
amount as to how much it had granted to states and cities in sup- In addition, the department created a division to analyze intel-
port of fusion center efforts. Instead, it provided a range from $289 ligence gathered by the FBI, CIA, and other police and military
million to $1.4 billion, without any details regarding a cost-benefit agencies. There are four primary areas of responsibility within
analysis or study on efficiency and effectiveness.26 Fusion centers the Department of Homeland Security:
can serve a significant purpose in detecting and investigating dd Border security and transportation
­terrorists, but their current practices are in need of constant moni-
toring and supervision. And, the public is certainly entitled to an dd Emergency preparedness and response
accounting of federal dollars spent on the development of fusion dd Chemical, biological, radiological, and nuclear
centers with an honest evaluation of the effectiveness of countermeasures
such entities. dd Intelligence analysis and infrastructure protection
The building of the department has been slow, with a variety
of changes and setbacks coming from changes in leadership,
HOMELAND SECURITY violations of ethical behavior, and severe criticism stemming
from poor agency responses to several national emergencies. For
In November 2002, President George W. Bush ushered in the instance, FEMA’s lackluster response to the city of New Orleans
largest federal bureaucratic reorganization in 55 years to create during Hurricane Katrina in 2005 was eclipsed in 2010 with,
the cabinet-level Department of Homeland Security (DHS). again, a very slow and poor response to the largest oil leak in
Headed by the former governor of Pennsylvania, Tom Ridge, the U.S. history crippling the Gulf Coast of Louisiana (British Petro-
new department focused the anti-terrorism effort in the United leum’s Deep Horizon oil rig explosion and resulting oil spill).
States, absorbing many of the enforcement agencies within the And, in 2012 and 2015, the U.S. Secret Service was rocked by
Departments of Treasury and Transportation (Transportation scandals involving agents that were drinking heavily and engag-
Security Administration; U.S. Coast Guard; U.S. Customs; Bureau ing with prostitutes and strippers overseas prior to official duty
of ­Alcohol, Tobacco, and Firearms; U.S. Secret Service; and in safeguarding the President.27

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 c h ap t e r 3 • I n t el l i g en c e, T e r r or i s m, an d H ome land Sec u rit y 85

Homeland Security and President threat of and/or use of violence to achieve a specific set of politi-
cal objectives or goals.29 Historically, defining terrorism has been
Barack Obama a very difficult venture, shaped and altered by a number of fac-
On January 20, 2009, Senator Barack Obama from the state of tors, including our own national interests, government interpre-
Illinois was sworn in as the 44th President of the United States. tations, the news media, hidden political agendas, and emotional
One of his first duties was to appoint then Governor of Arizona, human rights rhetoric.30 Such phrases as “guerrilla warfare,”
Janet Napolitano, as the third Secretary of the Department of “revolutionary movement,” “communist-supported terrorism,”
Homeland Security. Napolitano had received praise in her role and “radical Islamic fundamentalist” only heighten ideological
as governor in the areas of terrorism and immigration reform.28 sentiment and play to emotion rather than intellect. Hence, we
As Secretary of the Department of Homeland Security, ­Napolitano find the cliché that one person’s terrorist is another person’s
played an integral role in bolstering border security by increasing freedom fighter to be truly an observation based on perspective
forces along the border, and, in addition, increasing resources and perception.31 This is certainly the case in the United States,
and technology to aid in the fight against terrorism. as some actions, such as the first attack on the World Trade
The Department of Homeland Security, directed by Jeh Center (1993), the bombing of the Alfred P. Murrah Federal
­Johnson since 2013, is the third-largest department and has the Building in Oklahoma City (1995), the downing of TWA flight
ninth-largest budget in the federal government, boasting over 800 (1996), the attacks on 9/11 (2001), the killing of 13 soldiers
220,000 employees and a total budget authority that exceeds at Fort Hood, Texas (2009), the Boston Marathon Bombing
$60 billion (FY 2015), with an additional $12 billion earmarked (2013), the attack on the Dallas Police Department using home-
for grants aimed at funding anti-terror and border security initia- made bombs, automatic weapons, and an armored truck (2015),
tives at the state and local levels (see Figure 3.7). Much of this and the killing of 14 people in San Bernardino, California (2015),
money will be provided to local and state law enforcement agen- are “terrorist,” whereas the sporadic bombings at abortion cen-
cies for the development of programs that address one of the ters or mosques across the country are not.
four primary responsibilities of DHS. Large, high-profile terrorist events greatly impact how mem-
Beyond the ultimate mission of ensuring the nation’s safety bers of society interact. Random acts of terrorism upset the
and preventing terrorism, DHS is responsible for immigration framework of society, leaving only futile questions without ratio-
policy, airport security, and the protection of the president. nal answers. Essentially, terrorism tests the basic social structure
of dependence and trust. If random bombings and acts of vio-
lence occur on a frequent basis at the most secure institutions of
POLITICAL VIOLENCE AND a society (e.g., federal buildings, police departments, churches,
synagogues, and hospitals), then people tend to lose faith in the
TERRORISM existing social and government structure. Safety and security are
The events of 9/11 and continuing incidents of mass violence in severely compromised and questioned. Terrorism destroys the
America have had a profound impact on federal, state, and local solidarity, co-operation, and interdependence on which social
law enforcement agencies, as police administrators are con- functioning is based and substitutes insecurity and distrust.
fronted with the most pressing and significant external issue of Terrorism, then, plays to emotion, not intellect.32 It strikes at
their careers: how to investigate, interdict, and prevent terrorism. the very heart of who we are as Americans. For the first time in
Police departments around the country have had to address new modern history (9/11), the United States was rocked by an attack
threats of violence that are sometimes the result of federal on its own land. People were afraid as their daily lives were
actions or international foreign policy actions in which they have impacted and changed forever. The privileges and lifestyle that
no authority. For instance, since 9/11, virtually every large met- we so enjoyed in this country appeared to be jeopardized. The
ropolitan police department has been placed on the highest ability to travel freely was restricted. Few of us can recall where
alert. Operational demands required police agencies to perform we were on September 2, 2001, but almost all of us can give
new activities, including increasing infrastructure security around vivid details of where we were and what we were doing in the
critical buildings and airports, building anti-terrorism barriers, morning hours of September 11, 2001. Even if we were in junior
beefing up intelligence gathering and analysis functions, moni- high or grade school, this event was so powerful and impactful
toring activity in Middle Eastern communities, and participating on the United States as to be called a modern day “Pearl Harbor,”
in joint terrorism task forces. Even though an extensive federal referencing a sneak attack by the Japanese in 1941 that heralded
structure has been developed to counter the terrorist threat, the U.S. involvement in World War II.
first level of prevention (and response) remains with uniformed The overwhelming question plaguing so many of us was,
police officers on the street. why? We are a great nation that has helped almost every other
nation in need. We give billions of dollars away each year in
foreign aid. And we consistently stand for the human rights of
Defining Terrorism all people, emphasizing the dignity of the human spirit and
In the popular mind, terrorism is viewed as the illegitimate and integrity of all people to live free, so why were we the victims
violent actions of specific groups that violate the authority of of such rage on September 11, 2001, and continuing today, from
rightfully established governments. Terrorism encompasses the a group of people that few of us even knew?

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 86

M03_SWAN4056_09_SE_C03.indd 86
SECRETARY Executive
________________ Secretariat
Chief of Staff
DEPUTY SECRETARY
Military Advisor

SCIENCE & NATIONAL PROTECTION

MANAGEMENT POLICY LEGISLATIVE AFFAIRS PUBLIC AFFAIRS
TECHNOLOGY & PROGRAMS GENERAL COUNSEL INSPECTOR GENERAL
Under Secretary Assistant Secretary Assistant Secretary Assistant Secretary
Under Secretary Under Secretary

Chief Financial
Officer
CITIZENSHIP &
HEALTH AFFAIRS INTELLIGENCE & OPERATIONS CIVIL RIGHTS & CIVIL COUNTERNARCOTICS
IMMIGRATION CHIEF PRIVACY
Assistant Secretary/ ANALYSIS COORDINATION LIBERTIES ENFORCEMENT
SERVICES OFFICER
Chief Medical Officer Under Secretary* Director Officer Director
OMBUDSMAN

FEDERAL LAW NATIONAL

DOMESTIC NUCLEAR
ENFORCEMENT CYBER SECURITY
DETECTION OFFICE
TRAINING CENTER CENTER
Director
Director Director
chap te r 3 • In te l l i g e n ce , T e rror i s m, an d H omel an d S ec u r i t y

TRANSPORTATION
SECURITY U.S. CUSTOMS & BORDER U.S. CITIZENSHIP & U.S. IMMIGRATION & FEDERAL EMERGENCY
U.S. SECRET SERVICE U.S. COASTGUARD
ADMINISTRATION PROTECTION IMMIGRATION SERVICES CUSTOMS ENFORCEMENT MANAGEMENT
Director Commandant
Assistant Secretary / Commissioner Director Assistant Secretary Administrator
Administrator

FIGURE 3.7 c U.S. Department of Homeland Security. (U.S. Department of Homeland Security. Effective April 10, 2015 http://www.dhs.gov/xlibrary/assets/
dhs-orgchart.pdf).

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 c h ap t e r 3 • I n t el l i g e n c e , T e r r or i s m, an d H ome land S ec u r it y 87

Interestingly, the answer may be found in the question. Cuban DGI, the old Soviet KGB, the Syrian Secret Police,
­ istorically, we have known little about the Middle East. This
H the British M-9, the Israeli Mossad, and even the CIA.
view is confirmed by the late Osama bin Laden and the al-Qaeda dd Transnational terrorism—Actions conducted in the
group announcements to the world that one of the primary international arena by individuals that have no nation-state.
reasons for the attack was our lack of knowledge about the true The predominate groups for the past 60 years are
political and economic conditions of the Middle East. Indeed, associated with the Palestinian cause (e.g., Popular Front
bin Laden made it very clear that they believed our goals in the for the Liberation of Palestine [PFLP], al-Fatah, Black June,
Middle East were much more motivated by our own self-interest Black September Organization, and Abu Nidal). However,
and quest for oil than in safeguarding the human rights of the other groups have also been active in the Middle East,
people in that land. These may be particularly stinging remarks, such as the Kurdish Workers Party (PKK), the Armenians,
considering the wars in Iraq and Afghanistan. He maintained that and various groups from the breakaway lands of the
the stationing of American troops in the Middle East—in particu- former Soviet Union. The radical Islamic groups, such as
lar, near the holy city of Mecca (in Saudi Arabia)—was an egre- al-Qaeda, HAMAS, and Hezbollah, are also classified in
gious affront to his religion. He maintained that the people of this typology. The new Islamic State (ISIS) is also a very
the Middle East suffer under puppet governments supported by good example of a transnational terrorist group.
the United States and that these governments practice state ter- dd Domestic terrorism—Actions conducted by groups
rorism against their own people. Today, we hear similar reasons
within a nation, usually against the government or
given for attacks against the United States, only the focus is much
specific groups within the nation-state. This may be one
more anti-American regarding our involvement in Iraq, Afghani-
of the most difficult aspects of attempting to define the
stan, Syria, and other parts of the Middle East.
concept of terrorism. When do the rights of a government
Here, we see quite profoundly the perspective that terrorism
to control splinter elements within its own country end
can be different things to different people. Theoretically, scholars
and the rights of the people to rebel become legitimate?
have been debating the definition of terrorism for the past
This is a difficult question and one most often “flavored”
50 years.33 The goal here is to provide a conceptual framework
by the myriad of factors already discussed. In any event,
on which to classify and understand terrorism, particularly in the
within the United States, groups associated with an
Middle East. The work of Edward Mickolus provides such a
extremist perspective (whether from the far left, the far
framework.34
right, or single issue) often fall within this typology.
Terrorism is situationally defined—that is, a number of factors
Examples of such groups include the Weather
play on the difficulty of defining terrorism, including competing
Underground, the Earth Liberation Front, the Animal
political agendas, national interests, economic security, the news
Liberation Front, the Ku Klux Klan, the Neo-Nazis, the
media, fundamental cultural and religious beliefs, and the use of
National Alliance, many of the radical militias (e.g., the
misinformation. By exploiting any one of these, it is possible to
Republic of Texas Militia and the Hutaree Militia of
distort the facts. Even more disturbing and most compromising
Eastern Michigan), and a myriad of anarchist groups
is the moral judgment passed on those who are labeled terrorists,
sprouting up across the country. Most recently in 2016,
for we in America assume that terrorism is “what the bad guys
armed aggressors affiliated with the militia movement
do.” Hence, what better way is there to distort the sovereign inter-
calling themselves “Citizens for Constitutional Freedom”
est of people than to associate them with illegitimate action or
occupied the Malheur National Wildlife Refuge in rural
sources? In the Middle East, all of these factors are at play, making
Harney County, Oregon. While the occupation ended
for a very complicated and difficult analysis. Those perpetrating
with the death of one of the leaders of the group during
terrorism against the United States do not view themselves as
a police confrontation, the incident sparked national
criminals. Indeed, many are at war and may well be agents pro-
debate over the word “terrorist,” as the Harney County
vocateur and within the employ of a foreign government. This is
Sheriff’s Office characterized the group as “criminals
an audience that American law enforcement has had little experi-
engaged in trespassing” while the Oregon Governor, Kate
ence with, and these groups pose special ­challenges to the
Brown, referred to them as “terrorist.”35 The incident was
­everyday police officer now charged with thwarting attacks
compared to the Ruby Ridge shooting in northern Idaho
against our homeland and with securing our infrastructure.
(1992), the Mount Carmel siege with David Koresh in
­Conceptualizing terrorism from a different perspective provides
Waco, Texas (1993), and the Montana Freemen-Christian
us with an opportunity to learn about our adversaries and hope-
Patriot standoff in Jordon, Montana (1996) wherein
fully exploit their weaknesses. Mickolus conceptualizes terrorism
suspects were consistently labeled “terrorist” by the FBI.
in four distinct typologies, based on actors:
dd State terrorism—Actions conducted by governments
dd International terrorism—Actions conducted in the against their own population. Unfortunately, history is
international arena by individuals that are members of a replete with suppressive governments that victimize
nation state. This usually includes members of intelligence their own populations. Certainly, the regimes of Adolph
and secret services employed by governments, such as the Hitler, Joseph Stalin, and Pol Pot represent these types

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 88 chap te r 3 • In te l l i g e n ce , T e rror i s m, an d H omel an d S ec u r i t y

of regimes, often characterized by ethnic and political American law enforcement. Historically, the root of conflict in
cleansing. More recently, we have seen these types of the Middle East was the establishment of Israel in 1948 and the
activities in smaller countries throughout the Far East subsequent U.S. support provided to that country. While peace
and Latin America. In the Middle East, Saddam Hussein between the two major groups (Israelis and Palestinians) was
in Iraq and Haffez al-assad and now his son, Bashar formally established in 1995, both sides still have major radical
al-Assad in Syria, represent these types of entities. movements opposing the process that often act out in the
Interestingly, many (including the leadership of ISIS ­international arena, including the United States.
and the deceased Osama bin Laden) in the Middle East The most significant activities against the United States in the
refer to the governments of Israel, Jordan, Kuwait, past 25 years have been led by fundamental Islamic groups
Egypt, and Saudi Arabia as suppressive regimes ­acting from clandestine areas in Afghanistan, Iraq, Lebanon,
controlled by rich elites that suppress the legitimate Yemen, and Iran. The first major incident witnessed in the United
rights of their people through the use of kidnapping, States connected to fundamental Islam was the bombing of the
death squads, and brutal police tactics. By proxy, the World Trade Center on February 26, 1993, which killed six
same people also argue that the United States is guilty ­people. FBI experts contend that, if the bomb had been just
of state terrorism because it financially and militarily slightly larger and more skillfully placed, the entire building may
supports these governments. They are quick to point to have c­ ollapsed, causing untold devastation and death. Unfortu-
the military use of power against the Palestinian people nately, this was just a preview of the horrible events to come just
in the West Bank and Gaza by the Israelis, the use of 8 years later. Linkages to Islamic fundamentalist groups in Egypt
armed soldiers in Jordan and Egypt to quell mass were developed, resulting in several indictments of Arab nation-
demonstrations, and the huge differential between als living in the United States. One of those convicted was the
classes in Saudi Arabia. Again, and to re-emphasize, the blind cleric Sheik Abdul Omar Rahman, a spiritual leader and
Middle East is a hodge-podge of cultural, religious, and scholar who helped spawn a number of other groups.
ethnic groups, all struggling for power and recognition.
Precisely defining the terrorist and placing moral al-Qaeda (AQ)
judgment is a very difficult task, at best.36 The most infamous of these groups is the al-Qaeda (AQ)
From a law enforcement perspective, it is important to under- organization formally led by Osama bin Laden and now,
stand this conceptualization of terrorism. It provides a frame- Ayman al-Zawahiri. It is actually a network of many differ-
work on which to understand the motivations behind people’s ent fundamental Islamic groups in diverse countries. Their
actions, particularly in the Middle East and for those expressing ideology is based primarily on the writings of Muhammad
a radical Islamic philosophy. Further, it provides a basis on Ibn al-Wahhab (1703–1792), Hassan al-Banna (1906–1949),
which to develop a conversation or an interview with members and Sayyid Muhammad Qubt (1906–1966), three early
of Middle Eastern communities living within the United States, Islamic scholars calling for a violent purification movement
some of whom may be sympathetic to the causes of specific throughout the Middle East and the greater Islamic world.
Middle Eastern or radical Islamic groups. This religious movement is commonly called “Wahhabism”
and later “Salafism” and can be traced back to the late
1700s in what is now Saudi Arabia and Egypt. According
RADICAL ISLAMIC TERRORISM to these radical philosophers, the Middle East must be
purged of Western influence. To this end, leaders call for
The list of potential international terrorist threats against the a “holy war,” or jihad, calling on everyday Muslims to join
United States is almost unlimited, considering the numerous in their fight against the West. Bin Laden and other mem-
political conflicts continuing in the international arena. Many bers of the al-Qaeda network perverted parts of the Qur’an
of these threats are fueled by political, religious, and/or ideo- to justify their philosophy and do not represent main-
logically motivated causes. Certainly, terrorism from various stream Islam. It is important to understand that Islam is the
Middle Eastern groups has posed significant problems to world’s second-largest religion, with over 1 billion peaceful

Quick Facts: Terrorism In The United States

Although terrorism is something of an ever present specter indicators. The top five terror targets are (in order): Iraq,
in the American consciousness, the United States is actu- Pakistan, Afghanistan, India, and Yemen. The United States
ally a relatively safe haven from terrorist attacks compared also ranks as a safer place than Great Britain, which is
to its global counterparts. The U.S. ranks 41st in the world twenty-eighth on the list. More recent attacks (2015–2016)
when considered on a scale that measure property dam- in Paris, Brussels and other parts of Europe continue to
age, loss of life, injury, and other socioeconomic highlight the relative safety of the United States.37

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followers, living primarily in Africa, Asia, and Europe. The culminating on September 11, 2001, with the attacks on
actions of radical Islamic fundamentalists represent only a the World Trade Center and the Pentagon.
small but growing percentage of all of Islam. Unfortu- Since Operation Enduring Freedom, which first sent
nately, the movement has flourished in Egypt and Saudi troops to Afghanistan in 2001, and the recent wars in Iraq
Arabia for the past 100 years, countries where American and Afghanistan (2003–2015), most scholars and govern-
influence is easily observed. Members of the al-Qaeda ment officials have believed that the stability and opera-
organization are politically motivated to overthrow the tional capability of al-Qaeda have been diminished in the
“heretic governments” that they see as puppets of Western international arena. Certainly, the leadership has been
influence and replace them with Islamic governments dismantled and most have either been killed or are on the
based on the rule of the Shariah (the first book of the run. According to the U.S. Department of State, much of
Qur’an, strictly regulating all aspects of life). the 2014 spike in global terror attacks could be attributed
Osama bin Laden (1957–2011), the son of a wealthy to civil conflict in Iraq, Syria, Pakistan, and Afghanistan;
building contractor in Saudi Arabia, rose to power within areas where AQ played a prominent role.39 However,
the fundamental Islamic movement as a student of Ayman today, much of the operational capability of al-Qaeda as
al-Zawahiri (see Figure 3.8). However, it was not until the a single group has been destroyed, especially with the
1979–1989 Soviet–Afghan War that bin Laden actually took advent of a much larger and much more violent radical
a recognized leadership role in the organization. Trium- Islamic movement in the Middle East.
phant over the Soviets and enlisting the aid of American
interests in Afghanistan, bin Laden amassed a number of
hardened mujahideen (holy warriors) fighters. He became The Islamic State (ISIS)
obsessed with Western influence in the Middle East and Many of the radical Sunni fighters loyal to al-Qaeda suffered
declared a holy war on the United States in 1996.38 Fueled dramatic losses to U.S. forces during the Iraq War. Coupled with
by Middle Eastern oil wealth and an increasing radicaliza- the loss of political power and the establishment of a majority
tion of Islam, bin Laden set out to destroy those entities Shiite-led government in Iraq, many fled to neighboring coun-
that he believes have adulterated his homeland. The activ- tries, and in particular Syria, where violent revolution already in
ities of al-Qaeda have been significant and numerous, progress was pitting Sunnis against a Shiite-backed al-Assad

FIGURE 3.8 c After the death of Osama bin Laden in 2011, the leadership of
al-Qaeda transitioned to Ayman al-Zawahiri, a physician by training and the personal
cleric to bid Laden. Al-Zawahiri continues the legacy of a very hardline approach to
removing the West, and particularly the United States from social, economic and political
involvement in the Middle East. (SIPA/Newscom)

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government. The early name of this group became widely States—retaliatory air strikes and bombing of IS-held areas. He
known as ISIS (or the Islamic State in Iraq and Syria). Syrian called upon all Muslims around the world to pledge support and
rebel groups quickly welcomed these hardened fighters; how- allegiance to him and his country. These were powerful words
ever, they soon realized that the Iraqi group had a much larger in the Muslim world, and ones that positioned al-Baghdadi and
goal than toppling the al-Assad regime—their goal was to estab- the Islamic State as a unique challenge to Western nations and
lish a new “Islamic State.” a direct threat to the stability of the entire Middle East. This is
ISIS has been successful in carving out a portion of land in particularly true as other radical Islamic groups align with the
the heart of the Middle East (from Syria across Iraq to Iran) in Islamic State. Boko Harem (Nigeria – discussed later in this chap-
which to build a new country and recruit other like-minded ter, Abu Sayyaf (The Philippines), Ansar al-Tawhid (Pakistan/
­Sunnis worldwide. The rise of the ISIS was quick and historical, Afghanistan), al-Qaeda on the Arabian Peninsula (AQAP)
occurring along the banks of the Tigris and Euphrates Rivers, a (Yemen), Answar al-Sahria (Libya), and other have already rec-
region commonly known as the cradle of civilization. ognized and become affiliates to al-Baghdadi’s proclamation
In July 2014, the leader of the ISIS, Abu Bakr al-Baghdadi, (see Box 3.2, Box 3.1). The Islamic State is not just another radi-
declared himself “caliph” over the area he controlled and cal Islamic group; rather it is a significant movement across the
announced the establishment of the new “caliphate.” He then world (some scholars estimate the movement includes over
changed the name of the group to the Islamic State, and within 8 million people) that sees itself as the provocateurs of the com-
a month (August 2014), he led attacks on Kurdish territories in ing apocalypse, paving the way for the final Islamic rule in the
northern Iraq, prompting an immediate response by the United Middle East and the rest of the world.40

Box 3.2: Radical Islamic Groups Active Throughout the World41

Radical Islamic ideologies represent a significant threat to Yemen. Interestingly, AQAP claimed responsibility for
Israel, Europe, and the United States. The philosophy the Christmas Day attempted bombing of Northwest
represents the most virulent of radical Islamic fundamen- Airlines Flight 253 on December 25, 2009 by Umar
talism and has been the base foundation for several active Farouk Abdulmutallab. In that incident, Adbulmtallab
terrorist groups throughout the world. These groups attempt to set off plastic explosives sewed into his
remain active and continue to pose a significant threat of underwear. The explosives failed to detonate and
attack in the United States and against American interest Abdulmutallab was arrested.
abroad.
Al-Qaeda in Iraq (AQI). AQI is also known as the
Abu Sayyaf Group (ASG). ASG is a violent Islamic sepa- Islamic State of Iraq and more recently as the Islamic
ratist group operating in the southern Philippine island State of Iraq and the Levant (ASIL) was established in
of Mindanao. Split from the Moro National Liberation 2004 by Abu Musab al-Zarqawi, a long and strong-time
Front, the group has been active in narcotics, arms, and supporter of Usama bin Laden. AQI was a primary force
human trafficking as well as kidnapping as a means to against the U.S. military in Iraq, even after al-Zarqawi
fund their operations in Southeast Asia. and other leaders were killed; remnants in Iraq continue
to perform acts of terrorism against the established
Al-Qaeda. Established in 1988 by Usama bin Laden in
government of Iraq and threaten U.S. interests in the
Afghanistan as a resistance movement against the
area. Much of the membership of AQI is now associated
invasion by the Soviet Union, al-Qaeda remains a viable
with the Islamic State.
terrorist group aimed at destroying Western influence
(particularly the United States) and establishing a world- Al-Qaeda in Islamic Maghreb (AQIM). The Maghreb is
wide Islamic state. The group has been significantly a geographical region of northwest Africa, comprising
reduced in number and resources due to military the Atlas Mountains and the modern day countries of
involvement in Iraq and Afghanistan. Al-Qaeda is Mauritania, Morocco, Algeria, Tunisia, Western Sahara,
currently headed by its long-time spiritual leader, and Libya. AQIM has declared itself as an affiliate of the
Ayman al-Zawahiri and remnants are still committed original al-Qaeda and carries out operations in an
to their Jihadist cause. attempt to overthrow the Algerian government and insti-
tute an Islamic state throughout the Maghreb.
Al-Qaeda in the Arabian Peninsula (AQAP). AQAP is a
militant group following the ideological philosophies of HAMAS. The Palestinian Islamic Resistance Movement
the larger al-Qaeda. AQAP is based primarily in Yemen or Harakat al-Muqawamah al Islamiyyah (Arabic) is the
and has been linked with other radical Islamic groups in largest and most politically powerful group expressing
that country, such as the Yemeni Islamic Jihad and the radical Islamic ideologies to justify the liberation of
Aden-abyan Islamic Army. It has been strongly opposed Palestine and the destruction of Israel. The group was
to the House of Saud in Saudi Arabia and has been originally led by the now-deceased Sheik Ahmed Hassan
involved in several terrorist attacks in Saudi Arabia and Yassin and conducted a campaign of suicide bombing

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throughout the Gaza Strip and the West Bank in Israel significant and violent movement facing Western
during the late 1990s to mid-2000s. Significant linkages interests in the Middle East.
between HAMAS and groups within the United States
Jemaah Islamiya (JA). JA is an Indonesia-based
have been confirmed over the past decade.
terrorist group active throughout Southeast Asia. JI is
Hezbollah. Arabic for “Party of God,” Hezbollah is pri- headed by Abu Baker Bashir, an Indonesian of Yemini
marily focused in Lebanon and Syria. The group repre- descent, and a highly charismatic cleric and leader. The
sents the radical Shiite fundamentalist perspective as group has active cells in Thailand, Singapore, Malaysia,
opposed to the other radical Sunni Islamic perspective. and Indonesia and has been linked to the Moro Islamic
The group is led by Hassan Nasrallah and was linked Liberation Front in the Philippines. The group has been
directly to the bombing of the barracks in Beirut in 1983, responsible for several high-profile terrorist incidents in
killing 241 U.S. Marines. The group is philosophically, Southeast Asia including the 2002 bombing of a
politically, and economically backed by Iran. nightclub in Bali killing 202 people and the 2003 car
bombing of the J.W. Marriott Hotel in Jakarta,
Harakat ul-Mujahidin (HUM). Formerly part of the
Indonesia that killed 12 people.
larger radical Islamic movement in Pakistan and
Afghanistan called Harakat al-Ansar, HUM operates Lashkar-i-Tayyiba (LT). The Lashkar-i-Tayyiba or “Army
primarily in Kashmir and can link direct associations of the Righteous” is one of the largest and best trained
with bin Laden and original al-Qaeda fighters in fighting groups in the Pakistan-Afghan region. It is
Afghanistan and Pakistan. The group maintains close headed by Hafiz Mohamed Saeed and has conducted a
ties to Jaish e-Mohammad (JEM) or the “Army of number of terrorist attacks against India (Mumbai).
Muhammad” in Afghanistan. These groups have
Muslim Brotherhood (MB). An Islamic fundamental
maintained significant training camps in Pakistan and
group stemming from the writings of Hassan al-Banna
represent the primary groups that fight against U.S
and Sayyid Qutb in 20th century Egypt. The group has
forces in Afghanistan.
been very successful in recent Middle East politics,
Islamic State in Iraq and Syria (ISIS), Islamic State (IS). winning the majority of parliamentary seats in the
Much of the original membership came from al-Qaeda government of Egypt and moving vigorously in other
in Iraq (AQI); however, the group now represents a North African countries. Considered by the FBI as the
major radical Islamic movement across Iraq and Syria. “father of all militant Islamic groups,” the Muslim
Led by Abu Bakr al-Baghdadi, the movement claims to Brotherhood has established cells in the American
be the new “caliphate” and now poses the most Islamic community within the United States.

However, there have been some recent cracks in the move- in sustained acts of violence against Western interests. Most
ment.42 For instance, the new Islamic State has been so violent, alarming are the number of attacks being planned or those
characterized by videotaped beheadings, executions by burning, implemented over the past 2 years from U.S.-born, radical
and rampant carnage during combat that some former groups Islamic terrorists.
have “disowned” them, including the current leadership of
­al-Qaeda.43 The Islamic State rules by fear and demands obedi-
ence to conservative Islamic law by citizens within its control. “Homegrown” Islamic Terrorists
The group has become so powerful and so violent in its applica- A recent trend observed in the radical Islamic terrorist move-
tion of the law that many of the individuals formally associated ment is the development of “homegrown” terrorists. The
with the leadership of al-Qaeda, such as Ayman al-Zawahiri, term refers to extremists who are legal U.S. residents or even
have disavowed any associations with ISIS. citizens, and who are linked to or inspired by a specific, often
Although this wholesale violence has driven small wedges in intolerant ideology. This ideology may be motivated by political
the proliferation of the overall Islamic State, it continues to flour- or religious sources and may be centered in domestic or for-
ish as a movement. See Figure 3.9. American soldiers are the eign movements. Indeed, some of them have made connections
continual targets of ISIS; as well as reported bombings of govern- with well-known, international terror groups, such as ISIS and
ment buildings, security positions, and non-Islamic schools al-Qaeda.44 These individuals may receive ideological encour-
throughout the Middle East. ISIS bombers and soldiers continue agement, but not financial or material support, making them
to strike at locations both in the Middle East (Saudi Arabia, ancillary to the primary group and very difficult to detect by
Yemen, Tunisia, Brussels, and Turkey) as well as in Europe intelligence and law enforcement services.
(Madrid, London, Brussels and Paris), (see Figure 3.10) and the For instance, Major Nidal Hasan, perpetrator of the 2009
United States ­(Garland, Texas and San Bernardino, California Fort Hood shootings that killed 13 people and wounded more
2015). From website announcements and flyers to the recruit- than 30 others, is a prime example of this type of terrorist—
ment of new fighters in the Middle East, ISIS continues to grow a man who was radicalized due to a belief that American wars

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 92 chap te r 3 • In te l l i g e n ce , T e rror i s m, an d H omel an d S ec u r i t y

rates T ig
ri s

h
E up
Fish
T U RKE Y Khabur Dahuk
Dahuk
Tall Hamis IR AN
‘Ayn
al ‘Arab Al Hasakah Zummar Mosul Dam
Sinjar Erbil
Halab Mountain Mosul
Ar Raqqah Kisik
Erbil
Aleppo Al Hasakah Sinjar Tall Kupri
Ar Raqqah ‘Afar Al Kuwayr
Eu
p Ninawa Makhmur
As Sulaymaniyah
Idlib Kirkuk

hr
Dayr

ate
As

s
az Zawr Sulaymaniyah
Hamah Baiji Oil Refinery Kirkuk
SYRIA Dayr az Zawr Bayji
Tikrit Amirli
Rawah
Homs Salah ad Din
Hadithah
Al Qa’im Dam Samarra’ Jalawla’
IRAN
Hadithah Ad Dulu‘iyah
Balad
Diyala
Al Asad
Airbase Hit E uphra
tes
Damascus BAGHDAD
Countryside Ar Ramadi
Al Fallujah Baghdad
Ar Rutbah
IRAQ
As
Suwayda’
Al Anbar Jurf as Sakhr Wasit

Karbala’ Babil

Tig
J ORDA N

ri s
Al Qadisiyah
(Ad Diwaniyah)

S AU D I ARA B IA
Dhi
Qar
0 50 100 Kilometers An Najaf Al
Muthanna
0 50 100 Mile

Areas of Influence Dominant Group Note: Our judgment

ISIL dominant as of April 2015 ISIL as to which group has
ISIL’s territorial losses since August 2014 Syrian Kurd dominant influence over a
Iraqi Kurdish security forces particular city is based on
Populated area
a body of sources that we
Iraqi Government
Sparsely populated or unpopulated deem reliable.
Syrian Government
Administrative boundary
Contested city

FIGURE 3.9 c Iraq and Syria: ISIL’s Reduced Operating Areas as of April 2015.
Source: U.S. Department of Defense, Operation Inherent Resolve, Iraq and Syria: ISIL’s Reduced Operating
Areas, April 2015, p. 1, http://www.defense.gov/News/Special-Reports/0814_Inherent-Resolve, accessed
October 21, 2015.

in Iraq and Afghanistan were wars against the Muslim faith. and any specific terrorist group have been identified in the year
Hasan had expressed his opposition to these wars, despite his after the bombing, the two did view al-Qaeda training videos on
position as a psychiatrist in the U.S. Army, and carried out his the Internet, and espoused doctrine that was common among
attack about a month before he was to be deployed to al-Qaeda sympathizers.46 See Figure 3.11.
­Afghanistan. Hasan had been in contact with radical Muslim Similarly, first-generation “homegrown” terrorists were
cleric and suspected al-Qaeda propaganda officer Anwar actually known by intelligence and law enforcement services;
al-Awlaki via a series of e-mails before his attack.45 however, no previous illegal actions had been taken by the
In other cases, terrorist groups target first-generation foreign suspect. Such was the case in 2015 when Elton Simpson and
nationals living in the United States to join their ranks. The per- Nadir Soofi (a first-generation Pakistani) entered the Curtis
petrators of the Boston Marathon bombings in 2013 are good Culwell Center in Garland, Texas, armed with assault rifles
examples of this activity and are considered homegrown threatening participants in a controversial event designed to
­terrorists. Tamerlan Tsarnaev, who apparently masterminded the show cartoons of the Muslim Prophet Muhammad. Simpson
attack with the help of his younger brother Dzhokhar, was had been convicted of a terror-related charge in 2011 after
another young Muslim who had been radicalized by his anger discussing plans to travel to Somalia to engage in “violent
over perceived injustices against the Muslim faith by the United jihad” or a “holy war” and Soofi had expressed similar convic-
States. Though no direct connections between the two Chechens tions but not threatened actual violence.47 Both suspects had

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FIGURE 3.10 c Chilling photo of two gunmen just prior to entering the Paris, France
offices of satirical magazine Charlie Hebdo and killing 12 people in 2015. The gunmen
were later linked to members of the Islamic State (ISIS). (ABACA/Newscom)

been a concern for their radical Islamic beliefs and both had attacks. Even Nadir Soofi had been a pre-med student at the
been living together in a Phoenix, Arizona, apartment prior University of Utah and was described by neighbors and friends
to the shooting incident. Both Simpson and Soofi linked them- as being outgoing, loved cars, was intelligent, and “had a normal
selves to ISIS which was indeed confirmed by ISIS supporters American upbringing.”49
via various website outlets.48 December 2015—A 28-year-old U.S. citizen, Syed Rizwan
In the United States, such homegrown terrorists have largely Farook and his wife, Tashfeen Malik (age 29), a legal immigrant
flown beneath the radar—many have no criminal records to the United States, walked into a morning holiday party for
(unlike Simpson), and while their European counterparts tend disabled persons at the Inland Regional Center in San B­ ernardino,
to be more socially marginalized, it’s more likely that American- California, and opened fire with semi-­automatic weapons and
grown extremists come from a broad variety of educational and pistols. The attack left 14 individuals dead and another 17
socioeconomic statuses. Consider that Major Nidal Hasan had wounded. Farook and Malik were later killed in a shoot-out with
completed medical school; Tamerlan Tsarnaev had gone to police later that evening. Interestingly, Farook was recently mar-
­college for a time to pursue engineering; and his brother, ried, a graduate student at ­California State University-Fullerton,
­Dzokhar, was enrolled in American university at the time of the and worked for the county as an environmental health specialist.

FIGURE 3.11 c The Boston Marathon Bombing in 2013 shocked the American public
as two first-generation foreign nationals and brothers from Chechnya, Tamerlan and
Dzhokhar Tsarnaev, carried out the crude attack killing 3 and injuring another 264 people.
Tamerlan Tsarnaev was killed by police at the time of his arrest and Dzhokhar was
convicted of 30 charges relating to terrorism and sentenced to death in 2015. He is
currently awaiting execution in a Federal maximum-security prison in Colorado.
Source: (a) FEMA (b) FBI

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Box 3.3: Recent Homegrown Terrorist Incidents

Recent instances that made national news involving October 2009—David Coleman Headley, a U.S. citizen
U.S. citizens and residents that convert to radical Islamic of Pakistani descent, was arrested for plotting the
extremism, plot and commit terrorist acts, or fight for the attacks in Mumbai, India, that killed 170 people, includ-
jihadist movement both inside the United States and in ing 6 Americans. Headley, whose original name is
foreign counties: Daood Gilani, had his name changed in order to make
his overseas traveling easier.59 Headley actively scouted
July 2009—A North Carolina man, Daniel Boyd, along
targets in Mumbai before the attacks and has admitted
with six other individuals were arrested for operating a
to planning and scouting targets against a Danish news-
terrorist training camp in North Carolina.50 Daniel Boyd,
paper that printed images of Muhammad in 2005, an
a U.S. citizen, his two sons, and four others had alleg-
attack that was never carried out.60 The Chicago native
edly been training in their rural lakeside home for “vio-
pled guilty to conspiring to bomb public places in India,
lent jihad.” Boyd and his brother had lengthy ties to
murder people in India and Denmark, and to providing
radical Islamic groups, having been arrested in 1991 in
material support to terrorist groups.61
Pakistan on bank robbery charges, and were found with
identification indicating they were members of the November 2009—Five young men from Virginia (all born
Islamic terrorist group Hezbollah.51 Further, Boyd had in the United States) were arrested in Pakistan for
traveled to the Middle East nearly 20 years prior to train attempting to join Jihadist terrorist groups, specifically
at terrorist camps in Pakistan and Afghanistan, and Al Qaeda.62 They had been reported missing by their
fought the Soviets (in the Soviet–Afghan War) for 3 years parents in Virginia on the advice of the local Muslim
before returning to the United States.52 Members of his community after the men had traveled to the Middle East
group also traveled to Israel in 2007 with the intent of without informing their parents.63 The “Virginia 5” were
joining the Palestinian Islamic jihad movement in that reported to have been arrested in a safe house of an anti-
country but later returned without incident. The seven India terrorist group in possession of Jihadist literature.
men were charged and convicted with providing mate- They were also reported to be building schematics and
rial support to terrorists. maps of local areas. Officials believe that they were in the
planning stages of a major attack in Pakistan.
September 2009—A 19-year old Jordanian citizen,
Hosam Maher Husein (Sam) Smadi, was arrested by the November 2009—Major Nidal Malik Hassan, a psychia-
Federal Bureau of Investigation in downtown Dallas, trist for the U.S. Army, killed 13 people and wounded
Texas, for attempting to detonate an inert/inactive 30 others at Ft. Hood, Texas, in a Soldier Processing
device. The Jordanian had been living and working in ­Center. Major Hassan was reportedly unhappy about the
Italy, Texas, illegally on an expired tourist visa.53 He had continuing wars in the Middle East and feared an
been under constant surveillance by the FBI and had approaching deployment to Afghanistan to assist in the
placed what he believed to be an active car bomb under war against his fellow Muslims.64 Major Hassan had
the Fountain Building in downtown Dallas, a 60-story, showed signs through his career of resistance to the war
glass skyscraper.54 The decoy device and all materials effort in the Middle East, as well as many disagreements
had been supplied to him by the FBI, who kept him about U.S. foreign policy. Hassan had even been in con-
under constant surveillance after discovering him as a tact with the radical Muslim cleric Anwar al-Awlaki.65 Army
potential terrorist in an on-line chat room with a group officials cited numerous failures in supervision and infor-
of extremists. Smadi was subsequently charged with mation sharing to recognize these signs and connect the
attempting to use a weapon of mass destruction and dots that should have produced increased vigilance on
pleaded guilty to this charge in June 2010.55 Hassan’s mental state and potential terrorist activities66
September 2009—Najibullah Zazi, an Afghan citizen and
U.S. legal resident living in Colorado, was arrested on
charges of conspiring to use weapons of mass destruc-
tion with others against the United States.56 It was later
reported that Zazi had traveled to Pakistan to receive
weapons and explosives, and for training in their use and
tactics. Zazi pleaded guilty to terrorism charges including
conspiracy to use weapons of mass destruction, conspir-
acy to commit murder overseas, and providing material
support for a terrorist organization.57 He admitted to
planning to use explosives when he arrived in New York
in September 2009 to make a political statement about
civilian killings in Afghanistan.58 Law enforcement author-
ities were alerted to Zazi while monitoring various on-line
chat rooms. Zazi actually planned his attack on the web
and communicated it with others online. Major Nidal Malik Hassan (Handout/MCT/Newscom)

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March 2010—Colleen LaRose, more commonly known mass destruction and the malicious destruction of
as “Jihad Jane,” was a U.S. citizen born in 1963 and property resulting in death. He was found guilty of
living in Philadelphia. She was apprehended for all 30 charges on April 8, 2015, and sentenced to
conspiracy to provide material support to terrorists, death.
conspiracy to kill in a foreign country, attempted October 2014—Zale Thompson attacked four NYPD
identity theft, and making false statements to a police officers posing for a photograph. He critically
government official.67 Ms. LaRose had been exchanging injured two officers as he swung a hatchet at them.
e-mails for years in an attempt to recruit fighters for Thompson, an African-American male, had previously
“violent jihad” in South Asia and Europe. Her U.S. converted to Islam and adopted radical jihadi beliefs
citizenship and Caucasian appearance made her having posted numerous threats against police officers
appealing to Islamic extremists who used her within the online. He was killed during the melee.
United States.68 She had also made posts on various
online message boards and blogs expressing sympathy June 2015—Two gunmen, Elton Simpson and Nadir
with various terrorist groups and movements, and a Soofi, opened fire outside the Curtis Culwell Center in
desire to help in any way possible, including fighting Garland, Texas. The attackers were motivated by the
and killing, to help ease the suffering of the Muslim Charlie Hebdo Shooting in Paris, France, and the
people during their jihad or “holy war.” LaRose even Copenhagen Shooting in Denmark earlier in the year.
traveled to South Asia to marry a known and active All three attacks involved heavily armed suspect (assault
jihadist in that area. She supplied her American rifles and pistols) sparked by the insensitivity of
boyfriend’s passport to her new “husband” in an ­developing cartoon depictions of the Islamic Prophet
attempt to avoid travel restrictions in the United States ­Muhammad. Two days after the incident, members of
and Europe.69 She planned to use her European looks the Islamic State claimed responsibility for the attack
to blend into the Swedish population and to kill a through a Twitter post.71
Swedish artist who depicted the face of Muhammed on July 2015—A lone gunman, Mohammad Youssuf
a dog in 2007.70 ­Abdulazeez (24 years old), armed with an assault rifle
April 2013—Two bombs exploded during the Boston with a 30-round magazine, opened fire outside a military
Marathon, killing three people and wounding another recruiting office in Chattanooga, Tennessee, killing five
250 spectators and runners. The bombs were crudely soldiers and severely wounding three others.
constructed using ordinary pressure cookers as an ­Abdulazeez, born in Kuwait, was a naturalized citizen of
improvised explosive device (IED) stuffed with explo- the United States for the past 17 years. He had traveled
sive material (black powder) and scrape metal (e.g., back to the Middle East in the past two years, however,
BBs, nuts, and bolts). A blasting cap was then placed was not a member of any known terrorist organization,
through the cooker cover and attached to a simple nor mentioned on any governmental terrorist watch list.
timing device or cell phone. Three days later, a police According to numerous friends in the Chattanooga com-
officer for Massachusetts Institute of Technology (MIT) munity, Abdulazeez was “very intelligent” and a “good
was killed while confronting two potential suspects, kid.” He was killed by police responding to the shooting
and an ensuing gun battle with police in Watertown, incident.72
Massachusetts, ensued. One suspect, 27-year-old December 2015—A 28 year old U.S. citizen,
Tamerlan Tsarnaev was shot and killed during the inci- Syed R ­ izwan Farook and his wife, Tashfeen Malik
dent. The other suspect (Tamerlan’s brother), 20-­year-old (age 29), a legal immigrant to the United States, walked
Dzhokhar Tsarnaev was arrested hiding in a boat into a morning holiday party for disabled persons at
parked in the backyard of a Watertown resident later the Inland Regional Center in San Bernardino,
that same night. During the initial investigation, ­California and opened fire with semi-automatic
Dzhokhar alleged that Tamerlan was the mastermind ­weapons and pistols. The attack left 14 individuals
of the entire bombing and that they had learned how dead and another 17 wounded. Farook and Malik were
to build the bombs from online instructions hosted by later killed in a shoot-out with police later that evening.
an al-Qaeda affiliate in Yemen. Both Tsarnaev brothers Interestingly, Farook was recently married, a graduate
were born in remote areas of the former Soviet Union, student at California State University-Fullerton, and
near Chechnya, and grew up in ­Kyrgyzstan. Both were worked for the county as an environmental health
Muslims who became increasingly radicalized by ­specialist. Neighbors and friends refereed to Farook as
watching jihadist speakers on the Internet. Dzhokhar a “normal guy;” however, both Farook and Malik had
Tsarnaev was convicted of 30 charges relating to expressed allegiance to ISIS leader Abu Bakir Bashir in
homegrown terrorism, including use of weapon of recent Facebook posts.

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Neighbors and friends referred to Farook as a “normal guy;” terrorists, but the term also encompasses those who identify
however, both Farook and Malik had expressed allegiance to with ideologies other than radical Islam; lone wolves can be
ISIS leader Abu Bakir Bashir in recent Facebook posts.73 right-wing extremists, anti-abortion radicals, and leftist envi-
The future of homegrown terrorism is one that will see shifts ronmentalists. They typically operate the same way that
in the composition of participants, as well as in the networking homegrown terrorists do—by networking online, seeking out
that they engage in with ISIS, al-Qaeda, and other affiliated their own information, and utilizing easily made or easily
movements. As the United States continues to see successes in obtained weaponry for their attacks, though they may have
dismantling the major arteries of these terrorist organizations, more of a tendency than their radical Muslim counterparts to
homegrown terrorists will seek new ways to interact with them. broadcast their intentions in some way.78 They generally act
In the past, some had physically attended training camps or, as on their own accord, in the name of some deeply held ideo-
in the cases of Hasan and Simpson, communicated directly with logical belief system.
terror operatives. As surveillance has intensified and travel has
become more scrutinized, those who seek out these radically
inclined connections will retreat further into the Internet, par- OTHER INTERNATIONAL THREATS
ticularly the “deep web,” utilizing gaming sites that appear
innocuous on the outside but allow encrypted conversations Certainly, the Middle East is not the only area ripe with ter-
using their platforms, social media sites, and chat rooms to com- rorist activity aimed at the United States. Indeed, the huge
municate.74 The deep web is a vast part of the World Wide Web, growth of Islam in Southeast Asia (e.g., Thailand, Indonesia,
not accessible through regular Internet browsing or search Malaysia, and the Philippines) continues to also spawn radical
engines. Most of the information in the deep web is hidden, movements aimed at destroying Western interests in the area.
accessible from dynamic websites requiring the use of an appli- Jemaah Islamiya ( JI) continues to be an active radical Islamic
cation called Tor. The Tor network is synonymous for the group in Southeast Asia under the leadership of Abu Bakar
deep web. This secretive online world remains mostly untrace- Bashir (recently released from his Indonesian prison for par-
able and difficult to access for the regular Internet user and even ticipation in bombings in Jakarta [2003] and Bali [2002]). In
law enforcement and intelligence operatives. This subsequently July 2014, Abu Bakar Bashir pledged allegiance to ISIS, as did
allows a large illegal domain to thrive and a hidden venue for several other leaders of radical Islamic groups throughout
secret communications between terrorists, particularly astute Southeast Asia. Abu Sayyaf, another Islamic group based in
worldwide terrorists sharing a common radical Islamic the Philippines followed suit, and released a video swearing
philosophy.75 allegiance to ISIS as well.79 And terrorism on the left appears
to be escalating throughout Western Europe, fueled in part by
the current downturn in the global economy, causing high
Crude Devices and Non-Sophisticated unemployment and a reduction of government benefits to
Weapons aimed at Mass Casualty various populations. Incidents in Germany, Italy, and France
Another important trend among homegrown terrorists is the use have indicated a “reawakening” of the Red Brigades, the
of crude devices or easily obtained weapons (such as assault Greens, and other cell groups expressing a left-wing, Marxist
rifles and other firearms) to carry out their attacks. The bombs orientation.80
used in the Boston Marathon attacks were basically pressure Then, too, a relatively new phenomenon called “ narco-
cookers, found in any large retailer, filled with nails and ball terrorism” continues to plague American police agencies as
bearings. They were reportedly made using instructions found well as the international community. The most illustrative cases
online. Major Nidal Hasan used legally obtained firearms. Simp- are seen in South America and Mexico surrounding the highly
son and Soofi were armed with pistols and assault rifles com- lucrative cocaine business. Drug lords in the Medellin and Cali
monly found at local gun stores. Other terror attacks in the past cartels continue to be allied with the M-19 group in Colombia
few years have utilized vehicles as weapons, as well as a litany and Sendero Luminoso (Shining Path) in Peru for protection
of homemade explosives. Purchasing materials to make more in cultivating and trafficking cocaine to the United States. Simi-
complex weaponry is made more difficult by policy changes lar arrangements between drug dealers and anti-Western politi-
restricting certain hazardous or biologic materials—or, if not cal groups (or states) have been observed in Cuba, Nicaragua,
restricting them outright, triggering a level of scrutiny that would- Panama, Bulgaria, and Burma.81 One of the most successful of
be terrorists might avoid.76 these collaborations is the development of the notorious street
It’s for these reasons that then-Attorney General Eric Holder gang Mara Salvatrucha (MS-13). Originally composed of former
stated that these were the types of potential attacks that keep soldiers and fighters from civil wars in El Salvador and
him up at night; he singled out the homegrown, lone wolf ­Honduras during the 1970s and 1980s, MS-13 has become a
terrorist, stating that he was “very concerned about individu- violent and sophisticated gang associated with drug and
als who get radicalized in a variety of ways . . . sometimes human trafficking from Latin America. More problematic to
self-radicalized.” 77 Lone wolves include homegrown local police agencies is the connection between ethnic drug

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dealers (Haitians, Jamaicans, and Cubans) and foreign govern- that they control to be part of the Islamic State “Caliphate” in
ments, which results in significant financing and armament greater Africa. See Figure 3.12.
supplying in support of drug trafficking to the United States. 82
The Mexican Cartels
Boko Haram Violence along the U.S.–Mexican border has dramatically
Although having existed for over a decade (since 2002), the decreased in the past 5 years, so much so, that many refer to
Nigerian group Boko Haram gained international notoriety places like Ciudad Jaurez and Nogales as “back to normal.”85 For
when the group kidnapped 276 schoolgirls in Chibok, Nigeria, instance, in Ciudad Juarez, once considered the most dangerous
in April 2014. The incident brought international condemnation city in the world (across the Rio Grande River from El Paso,
as well as a cooperative venture by Western countries (primar- Texas), over 2,660 people were killed in criminal violence in 2009;
ily the United States, Great Britain, and France) aimed at reduc- that’s an average of over seven people killed every day!86 Most of
ing the impact of Boko Haram in northeastern Nigeria. Aside these murders could be attributed to narco-terrorism and violence
from this infamous kidnapping, the group has also been between cartels vying for control of the primary transportation
responsible for a number of other kidnappings for ransom, the routes for billions of dollars, worth of illegal drugs entering the
wholesale slaughter of hostages taken from Borno, Nigeria, in United States from Mexico annually. The primary groups operating
June 2015, and several bombings using improvised explo- on the border were the Tijuana Cartel; the Vicente Carrillo Fuentes
sive devices (IEDs). Boko Haram means “Western education Organization, also known as the Juarez Cartel; the Gulf Cartel; and
is forbidden.” Its primary goal at inception was the destruction the Sinaloa Cartel, composed of several smaller groups including
and overthrow of the current Nigerian Government. However, the Guzman-Loera Cartel and the Pacific Cartel.
under the leadership of Abubakar Shekau, the group now rep- These primary narco-trafficking cartels had direct linkages to
resents the radical Islamic movement in Nigeria. It has become Hispanic street gangs operating within the United States (such as
increasingly more violent and radicalized in the past few years, the Mexican Mafia, La Familia, and the MS-13 gang), used for street
aligning itself operationally and philosophically with the trafficking and enforcement. A rival group operating on the bor-
greater Islamic State in the Middle East.83 An estimated 13,000 der, Los Zetas, were also very active. Members acted as highly
innocent civilians have been killed by Boko Haram in the past select assassins after deserting from the Mexican Army after exten-
5 years, with the vast majority occurring in 2014 and 2015.84 sive training. While originally hired as “enforcers” for the Gulf
Members of Boko Haram have declared the areas in Nigeria Cartel, Los Zetas were also violent leaders in the narco-trafficking

FIGURE 3.12 c A member of Boko Haram states demands for the exchange of
new girls kidnapped in Nigeria in 2015. The group has expressed its allegiance to the
greater caliphate called the Islamic State, and has become a significant threat in
Africa. (AP Images)

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Box 3.4: The Legend of Joaquin Guzman Loera—“El Chapo”

One of the most notorious Mexican cartel leaders in the government to run an effective international drug traf-
world today is Joaquin Guzman Loera, more commonly ficking and crime syndicate.89
known as “El Chapo.” Guzman was born in Culiacan, the El Chapo represents the new state of order in some
capital of the state of Sinaloa, Mexico, into a poor, working developing countries, a person not afraid to use his
class family. He quickly rose through the ranks of the Mexi- ­massive wealth and influence, (albeit from criminal enter-
can drug cartels to become of the world’s largest and most prise) to help the lower classes achieve some status in
successful drug traffickers in history.87 According to some an otherwise ruthless and corrupt governmental condi-
DEA reports, El Chapo was responsible for the death and tion. Consequently, he is viewed as the “Robin Hood” of
destruction of millions of people across the globe though the modern era. 90 The concept is not new to the
drug addiction, violence, and corruption. 88 However to South ­A merican drug world, as Pablo Escobar and
many Mexicans, he is a modern-day folk hero; a person who C arlos Lehder held similar positions of respect in
­
successfully rose from poverty to fight the deeply unpopu- ­Colombia during the 1980–early 1990s “cocaine c­ owboy”
lar Mexican government, and a person that mythically, can- era. El Chapo maintains his mythical position as he once
not be imprisoned having escaped his captors countless again, escaped from Mexico’s most secure prison via an
times in Mexico. Many people, especially those from poor elaborate tunnel on July 11, 2015, however was
agrarian backgrounds inside Mexico look to their govern- ­recaptured in early 2016 by Mexican Navy Special
ment as a highly corrupt and aloof elite class. Like his ­Commandos in western Mexico. He is currently fighting
­American counterparts, El Chapo represents the hero out- extradition to the United States.
law, the Al Capone, the Lucky Luciano, the Don Corleone
or the Tony Soprano of Mexico . . . the persons who rose Source: (Polaris/Newscom; PGR/NOTIMEX/Newscom; PGR GDA
from nothing to outsmart the rich and powerful Photo Service/Newscom)

business along the U.S.–Mexico border.91 This gang’s brand of American law enforcement. The violence does not appear to be
narco-terrorism was particularly vicious, often marked by mass spilling over into major U.S. cities. During 2015, El Paso was
murders and mutilated bodies set for display in an effort to once again designated the “safest city in America,” and significant
frighten rival groups. However, today, the number of homicides drops in murder rates were also reported in Dallas, San Diego,
in Mexico is significantly down. In 2014, there were 424 homi- Tucson, and Phoenix during this same period of time.
cides, down over 80 percent from the highs in 2009 and 2010.
These are remarkable drops but do not signal that Juarez and the
Mexican border is safe, by any means. Comparatively, the number Outlaw Motorcycle Gangs (OMGs)
of homicides in Chicago was 407 and in New York 328 in 2014, The history of outlaw motorcycle gangs in the United States and
and only 20 in El Paso (the U.S. city directly across from Ciudad the rest of the world is a history of violent confrontations between
Juarez). Interestingly, El Paso received the “Safest City in America” rival gangs themselves and the police. According to the FBI’s
designation in 2014 for the fourth year in a row according to the 2013 National Gang Intelligence Report, there may be as many
City Crime Ranking by CQ Press for cities with a population of as 50,000 members in the United States alone, with affiliations to
over 750,000 people.92 Across the Rio Grande River, 40 percent of approximately 3,000 active outlaw motorcycle clubs.93 Although,
the population in Ciudad Juarez lives below the poverty level, and outlaw motorcycle gangs represent only a small percentage
cartel violence and the resulting crime is still a major problem. against traditional street gangs, they still pose a significant threat.
Clearly, the violence in Mexico and particularly along the Calling themselves “1 percenters,” representing 1 percent of
border will remain a top priority for intelligence agencies and all the people that are members of the American Motorcycle

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Association, outlaw motorcycle clubs gained in popularity after Indeed, there have been several gang battles overseas. For
World War II as young combat soldiers, often disenfranchised by instance in 1984, a shoot-out between the Bandidos and a rival
the war and unemployed, sought the thrill-seeking, crime-ridden gang called the Comancheros killed seven people and wounded
subculture focused around riding a motorcycle. The 1947 Fourth another 28 in Milperra, Australia, and between 1994 through
of July week-end that occurred in the small town of Hollister, 1997, in what is commonly called, “The Great Nordic Biker War,”
California, has become part of OMC folklore as well as the sub- long-time enemies belonging to the Hell’s Angels and the
ject of many Hollywood movies. The incident was not nearly as ­Bandidos shook the Scandinavian countries of Denmark, ­Finland,
infamous as Hollywood made it out to be; however, the reported Sweden, and Norway. At least 12 people died and over 100 were
havoc caused by some 4,000 outlaw motorcycle members injured in the 4-year war. On the domestic side, in 2015, in Waco,
descending on a small rural city did nothing more that recruit Texas, over 170 rival OMG members were arrested and charged
new members to the lifestyle. The ranks of OMGs have filled in a shoot-out at a popular Twin Peaks restaurant. Nine bikers
through the years with returning veterans from the Korean, Viet- were killed and another eighteen were wounded in the gun
nam, and Iraq/Afghanistan Wars. battle that at one time had over 30 gang members shooting at
Today, there are four primary outlaw motorcycle clubs in the one another. Over 100 weapons, including various pistols and
United States, with all having chapters in foreign countries: The assault rifles were confiscated by police at the scene, as well as
Hell’s Angels (the largest group focused in California with nearly 500 spent shell casings.94 The incident marked one of the
425 chapters in 50 different countries), the Pagans (located pri- bloodiest confrontations in OMG history. See Figure 3.13.
marily on the east coast of the United States and throughout Outlaw motorcycle gangs are engaged in variety of organized
Canada), the Outlaws (focused in Chicago with 275 chapters in crime activities, including international drug, gun, stolen prop-
23 countries), and the Bandidos (focused in Texas with erty, and human trafficking. They also have a long history associ-
210 ­chapters in 22 countries). Each club has their own insignia ated with hate. Many of their symbols mimic Nazi-era insignias
often proudly displayed on members’ leather vests and jackets, such as lightning bolt tattoos, Waffen SS initials, the number “88”
commonly called the club’s “colors.” Most people in the United signifying the 8th letter of the alphabet—“H” or “HH” for Heil
States would not immediately think of outlaw motorcycle gangs Hitler. The role of women in OMG is also quite dubious. Many
as “an international threat.” However, during the past 25 years, are referred to as “sheep” and are “owned by the club.” It is not
almost all of the major outlaw motorcycle gangs have been clas- unusual to see a women tattooed with “Property of . . .” some-
sified by authorities as international criminal enterprises. where on her body as she dances in a biker-owned bar.

FIGURE 3.13 c Members of an outlaw motorcycle gang were arrested after a

­ evastating shooting in Waco, Texas, in May 2015. Nine people were killed and another
d
18 were wounded outside a local restaurant as members from rival gangs (The Bandidos
and the Cossacks) engaged in a bloody shoot-out between themselves and then police
as they arrived on the scene. (Rod Aydelotte/Waco Tribune-Herald via AP Images)

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There are no known African-American or Mexican-American The bombing focused attention on a number of right-wing
outlaw motorcycle gang members in any of the “Big Four” clubs, groups and state militias that have traditionally expressed
and OMGs are often associated with right-wing extremist groups strong anti-government and White-supremacist propaganda.
around the world, such as the Aryan Nation, Aryan Brotherhood, These groups have also supported violence against minorities
the Order and various Neo-Nazi factions. (African-Americans, Asians, and Jews), homosexuals, and
members of the U.S. government (Bureau of Alcohol, Tobacco,
Firearms, and Explosives). While the number of members of
RIGHT-WING EXTREMISM each of these groups is relatively small, they pose a significant
threat because of their ability to communicate and coordinate
The resurgence of right-wing, white supremacist groups across activities. The groups have multiple names and members, pub-
the country, was highlighted in the bombing of the Alfred P. lish regular newsletters, maintain websites, and operate auto-
Murrah Federal Building in Oklahoma City on April 19, 1995. mated bulletin board systems. In some cases, documented
The blast killed 169 people, including 19 children, and injured collusion between these groups and local law enforcement
more than 500 others. Convicted and sentenced to death, officials has posed a significant threat. Many people are
­Timothy James McVeigh held “extreme right-wing views and attracted to these groups because they identify themselves
hated the federal government.”95 According to the FBI, the for- with fundamentalist Christianity. Much of their rhetoric focuses
mer army sergeant often wore military fatigues, sold weapons on patriotism as interpreted by their leaders, usually using a
at gun shows, and attended militia meetings.96 Although the perversion of the Constitution or the Bible. These groups con-
incident recently marked its 20-year anniversary, the bombing sist of well-armed ideologues who possess the potential for
of the Murrah Building remains a cold reminder of the potential increased terrorism, at least in geographical pockets through-
of hate in America. out the United States.97

Quick Facts: The Threat from Right-Wing Terrorism

Since the 9/11 attacks, nearly twice as many people have Clearly, public perception does not match the facts: The ter-
been killed by white supremacists and antigovernment fanat- rorist threat inside the county is much greater from right-wing
ics than by radical Islamic terrorists in the United States. hate groups than radical Muslim extremists.98

Box 3.5: Major Right-Wing Militant Groups in the United States

Aryan Nation—This is a White-supremacist organization and Missouri. Eight members were arrested with illegal
with strong separatist ideology, founded by Richard But- weapons, explosives, land mines, and an anti-tank rocket
ler of Hayden Lake, Idaho, a major figure in the Christian launcher in 1985. They were extreme Christian funda-
Identity Church, a pseudoreligious justification for White mentalists with survivalist mentalities.
supremacy. The Nation recruits members from White Ku Klux Klan (KKK)—This is primarily a southern states
prison gangs. Their goal is to develop an all-White organization, with the largest memberships in Alabama,
homeland, to be called the “Northwest Mountain Georgia, Kentucky, South and North Carolina, and
Republic,” in Washington, Oregon, Idaho, Montana, ­Mississippi. Several of the chapters have forgone the tra-
and Wyoming. In September 2000, a jury awarded ditional cross burning and hooded robes in favor of
$6.3 ­million to a mother and son who were assaulted by automatic weapons, paramilitary training camps, and
Aryan Nations guards outside their Idaho compound.99 camouflage uniforms. In 2008, a jury awarded
The Aryan Nations were forced to sell the land on which $1.5 ­million in compensatory damages and $1 million in
the compound was built. With the death of Richard But- punitive damages to plaintiff Jordan Gruever, repre-
ler in 2004, the group and its philosophical position con- sented by the Southern Poverty Law Center against the
tinue; however, its numbers have dwindled and the KKK.100 The jury found that five KKK members had
group’s future is filled with uncertainty. ­brutally beaten Gruver, then a 16-year-old of American
Covenant, Sword, and Arm of the Lord—This paramili- Indian descent, at a Kentucky county fair. The case, simi-
tary group operated primarily in Texas, Arkansas, lar to the one against the Aryan Nations in 2000, had a

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significant impact on the Klan, as its numbers and dona- White Aryan Resistance (WAR)—This is the main White-
tions fell dramatically. Current estimates of KKK mem- supremacist group in California, headed by Tom
bership hover around 5,000; however, increases in Metzger, former Grand Dragon of the California
splinter groups appear to be growing since the election Ku Klux Klan. It currently produces Race and Reason,
of President Barack Obama in 2008. The group still a White-supremacist program shown on public access
maintains the White-supremacist and anti-Semitic beliefs cable television.
prominently characterizing the KKK historically.
White Revolution—This group was founded in Septem-
Minutemen—This paramilitary organization was strongest ber 2002 by Billy Roper after he was expelled from the
during the 1960s. Small enclaves still exist that express National Alliance during a power struggle with Erich Gli-
strong anti-communist rhetoric and violence against liber- ebe. The Arkansas-based White Revolution is a racist
als. Their insignia of the crosshairs of a rifle scope usually organization that promotes co-operation between White
earmarks this group from other right-wing extremists. supremacist groups in the United States and in Europe.
National Alliance—This is a Neo-Nazi group founded State militias—Active paramilitary organizations exist
by William L. Pierce, who started a new White enclave in in almost every state (e.g., the Michigan Militia, the
rural West Virginia. Pierce was the author of The Turner Republic of Texas Militia, and the Arizona Vipers),
Diaries, the saga of a family that survives the impending expressing a strong white, Protestant, local
race war against African-Americans and retreats to the constitutionalist perspective of government. They
mountains for safety. Pierce’s death in 2002 heralded the conduct a variety of paramilitary camps and are
rise of Erich Gliebe as national chairman. His primary preparing for an “impending race war.” Many groups
goal has been to foster international membership have legitimate firearms licenses allowing automatic
expressing the White supremacy doctrines of the past, weapons and explosives. One group in Arizona is
particularly those stemming from Nazi Germany. Signifi- known to have purchased a World War II–era tank.
cant in-fighting for top leadership positions within the Strong linkages to local police agencies have been
group has greatly diminished membership and finances. documented. Members are strong gun owner
Posse Comitatus—This is a loose-knit group attracting advocates with a superpatriotism and anti-federal
rural farmers. Strong anti-government sentiment claims government sentiment. Since 2009, their financial
that the Federal Reserve System and income tax are strength and membership rolls have grown apparently
unconstitutional. Posse leaders have fused tax-protest due to deep-seeded conflict over immigration reform
doctrine with virulent anti-Semitism. Leader Gordon Kahl and the election of the first Black President,
murdered two U.S. marshals in North Dakota and was Barak Obama, in 2008. The Southern Poverty Law
subsequently killed in a shoot-out in 1983. Center estimates that there are close to 800 militia
Skinheads—This is a violence-prone, Neo-Nazi youth groups active in the United States. None are more
gang whose members are noted for their shaved heads. potentially violent than the Hutaree or Christian Warrior
They express a strong White-supremacist, racist, and Militia based in eastern Michigan’s Lenawee County.
anti-Semitic ideology and have close linkages to the Established in 2008, the group was heavily para-
Ku Klux Klan. military, participating in extensive training for a future
war “preparing for the end time battles” with forces of
The Order—This is the most violent of the Neo-Nazi
the anti-Christ.101
groups, with several ties to the Aryan Nations. It is
responsible for the murder of a Jewish radio personality Nine members of the group (located in Michigan, Ohio,
in Denver in 1984; at least two armored car robberies and Indiana) were indicted by a grand jury in Detroit for
totaling $4 million in Seattle, Washington, and Ukiah, conspiring to murder police officers and civilians using
California; and a large bombing attempt in Coeur explosives and firearms.102 Their intent was apparently
d’Alene, Idaho. The Order has been very quiet during to “replace” all factions of the government, starting with
the past decade. police officers.

Hate Crimes heinous because of their unique impact on victims as well as on

the community. Victims often suffer from the suspect’s underly-
Right-wing extremist groups represent a movement that pro-
ing criminal behavior, such as the physical injury caused by
motes Whites, especially northern Europeans and their descen-
violence or the property damage associated with vandalism. In
dants, as intellectually and morally superior to other races.103 It
addition, they are victims by the thought that such acts were not
is not coincidental that as these groups have grown in strength,
random, that at least some people in our society detest them
so have the number of reported hate crimes. Hate crimes are
because of who they are: African-American, Jewish, Islamic, gay-
harms inflicted on a victim by an offender whose motivation
lesbian-transgender, and so on. Hate crimes are often brutal and
derives primarily from hatred directed at a perceived character-
injurious, and victims are not only physically hurt but also emo-
istic of the victim (e.g., the person’s race, religion, ethnicity,
tionally traumatized and terrified. Others in the community who
gender, and/or sexual orientation). These crimes are particularly

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Box 3.6: Charleston, South Carolina Church Massacre

Around 8:00 pm on Wednesday, June 17, 2015, a young anthrax attack, and product contamination were all executed
white man, Dylann Storm Roof entered the Emanuel A.M.E. by lone persons.108
Church in Charleston, South Carolina, and began shooting
African-Americans in a Bible study group, resulting in nine
deaths. He then fled the scene in a black four-door sedan.104
Roof was armed with a handgun that the FBI reports should
not have been able to purchase.105
Roof was quickly arrested and subsequently confessed to
the grotesque massacre of church members. Roof’s motive
was to start a race war and in that context he saw himself as
a heroic figure, doing what others did not dare to do. His
website was filled with comments about Nazis and rants
about African-Americans, Jews, Hispanics, and east Asians.
A survey taken 10 days after the massacre revealed that 87
percent of Americans saw the murders as a hate-based
crime.106 Roof’s murderous rampage did not give rise to
hatred, but public forgiveness by the church members,
including relatives of slain members, a demonstration of
unshakeable Christian belief.
Roof’s actions are characteristic of the lone wolf attack,
which seemingly comes out of nowhere, with no warning.
Even his website did not provide an indication that an actual
attack would be carried out. Lone wolves do not have to
coordinate with anyone; there is no group decision-making
or supporters who might mediate the wolf’s deadly intent.107
As an indication of the harm that can be wrought by a lone Source: (Splash News/Newscom)
wolf, the first midair plane bombing, airplane hijacking,

share the victim’s characteristic may also feel vulnerable, and this race, religion, ethnic/national origin, gender, age, disability, or
may escalate the conflict as they attempt to retaliate for the origi- sexual orientation.110 Most states have a hate crime statute that
nal offense. provides enhanced penalties for crimes in which victims are
In the past, police officers have not been adequately selected because of the perpetrator’s bias against the victims’
trained to handle such incidents, treating them as routine perceived race, religion, or ethnicity. Some states also classify
assaults or vandalism. However, enacted federal legislation as hate crimes those in which a victim is selected on the basis
has resulted in the development of the National Institutes of a perception of his or her sexual orientation, gender, or dis-
Against Hate Crimes and Terrorism, located at the Simon ability. In some states, the passage of hate crime statutes has
­Wiesenthal Center in Los Angeles, California. The institute been controversial as politicians have debated the constitution-
provides training for teams of criminal justice professionals ality of enhanced penalties based on a suspect’s association
from the same jurisdiction to combat hate crimes. Its goal is with an extremist group or the inclusion of homosexuality as a
to provide new strategic approaches to combating hate crimes protected class.
based on an understanding of the unique elements that dif-
ferentiate such crimes from other acts. The center has been
highly successful in training over 500 participants and provid- Digital Hate
ing an ongoing support center for follow-up communication, Many White-supremacist groups have used the Internet to recruit
program evaluation, and professional development via potential members and spread their message of hate. See
website updates and videoconferences.109 ­Figure 3.14. Over 1,500 websites can be identified and attributed
Legal definitions of hate crimes vary. The federal definition to extremist organizations that incite racial hatred and religious
addresses civil rights violations under 18 U.S.C. Section 245. intolerance as well as terrorism and bomb making. More disturb-
A hate crime is a criminal offense committed against persons, ing is the directed effort by many of these groups to attract
property, or society that is motivated, in whole or in part, by an young people into their ranks. Based in part on links to other
offender’s bias against an individual’s or a group’s perceived social youth movements involving music and dress

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These groups are commonly called “ecoterrorists” since their pri-

mary motivation focuses on improving the ecology of the world.
The notable difference between the terrorist group and the more
passive movements (e.g., Earth First and People for the Ethical
Treatment of Animals [PETA]) is in the advocacy of violence and
destruction to accomplish their ends. Single-issue groups, such as
ELF and ALF, pose one of the most significant new threats in
domestic terrorism. Both organizations work in small groups with
no central hierarchy. They have no formal membership lists, and
they work independently in a cell-structured manner similar to
other violent groups. The ELF and ALF declared solidarity in 1993
and members of either group usually carry out acts on behalf of
both groups. To date, most of their activities have been aimed at
the destruction of property and vandalism.
FIGURE 3.14 c Selected Hate Sites on the Internet. Both groups began in England and migrated to the United
Source: The New Lexicon of Hate: The Changing Tactics, Language and
Symbols of America’s Extremists (Los Angeles: Simon Wiesenthal Center, States during the 1980s. Like so many other groups, ELF was
1999), www.wiesenthal.com. See also Robert W. Taylor, Eric J. Fritsch, and inspired by the fictional writings of one author, Edward Abbey,
John Liederbach, Digital Crime and Digital Terrorism, 3rd edition (Upper whose 1975 novel, The Monkey Wrench Gang, told the story of a
Saddle River, N.J.: Pearson, 2015). group of ecologists who were fed up with industrial development
in the West. In the novel, environmental activists travel through
the western U.S. spiking trees, burning billboards, sabotaging
(e.g., Skinheads, Black cults, and heavy-metal music), aggressive bulldozers, and damaging the property of people they deem to
recruitment on college campuses and the development of web be destroying the environment. This type of low-level activity has
pages designed to attract young people are now quite common. become so popular that, among activists, the term “monkey
In addition, White-power rock concerts are often sponsored by wrenching” has become a key touchstone for ecoterrorism.114
extremist groups, such as the National Alliance and the World The FBI designated ELF a terrorist organization in January 2001.
Church of the Creator. These concerts provide face-to-face This action was based primarily on the arson attack of a ski resort
opportunities for meeting and recruitment. under construction near Vail, Colorado, in 2001. ELF burned three
White-supremacist groups have also created sophisticated buildings and caused the destruction of four ski lifts. The group
computer games aimed at attracting teenagers. Ethnic Cleansing, quickly claimed responsibility for the attack, which caused an
the most high-tech game of its kind, encourages players to kill estimated $12 million in damages. Ironically, the fire almost swept
Blacks, Jews, and Hispanics as they run through urban ghettos through the adjoining forest and would have destroyed the very
and subway environments. In the game, players can dress in Ku habitat ELF was attempting to “save” for the preservation of wild-
Klux Klan robes and carry a noose. Every time a Black enemy is life. Of course, this was not the only attack from ELF, but it does
shot, he emits a monkeylike squeal, while Jewish characters represent one of the most financially destructive incidents directly
shout, “Oy vey!” when they are killed.111 Quite predictably, the attributed to the group. More recently, ELF has had a resurgence
game has spurred significant controversy between game develop- in England, fire-bombing several cars in London (2014) in
ers and censor advocates. However, very little can be done to ban response to the death of Remi Fraisse, an environmental activist,
the game, since many other video games are designed to allow and a major arson attack of a U.S. Forest Service Research Station
enthusiasts to create new levels and characters, while free soft- in Pennsylvania causing over $700,000 in damages and destroying
ware tools enable programmers to build new platforms easily. 70 years of research in 2012.115
These types of games and directed recruitment efforts have ALF grew substantially during the 1990s and took on a much
been effective tools in swelling the ranks of some extremist more destructive perspective. Instead of just tossing blood or
organizations.112 According to one Skinhead source, young peo- spray-painting individuals wearing furs, the group began a cam-
ple represent the future—“they are the frontline warriors in the paign to “free” animals from cages and destroy animal-linked
battle for white supremacy.”113 farms, business, and laboratories. Breeding companies were
attacked when the animals were released from their cages and
the surrounding areas destroyed by fire and/or vandalism.
­Several of the targets were major research universities in
ECOTERRORISTS AND ANIMAL ­Michigan and California, which not only suffered significant
RIGHTS GROUPS physical damage to buildings but also lost years of research find-
ings and records.116 However, in January 2006, after a 9-year
Many of the single-issue terrorist groups, such as the Earth Lib- investigation, the FBI indicted 11 people in connection with a
eration Front (ELF) and the Animal Liberation Front (ALF), 5-year wave of arson and sabotage claimed by the Earth Libera-
arose from relatively peaceful movements and call for a renewal tion Front and the Animal Liberation Front. Detailing nearly 20
of the planet’s geophysical and biological environment. attacks from 1996 to 2001, causing no deaths but nearly

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$25 million in damage to lumber companies, a Vail ski resort, researcher’s house in 2006 for research with animals and the
meat plants, and electric towers throughout the Pacific North- arson of four houses in the Seattle region, causing nearly $7 mil-
west, the “vast ecoterrorism conspiracy” was dealt a very severe lion in damages because the houses were not deemed to be
blow, one that placed a significant dent in the movement.117 In “built green” (2009),118 and a 2011 arson of the Rocky Mountain
the last few years, ALF activities have been limited to a few iso- Fir and Fireworks Corporation in Boise, Idaho causing over
lated events involving, again, the firebombing of a UCLA $100,000 in damages.119

Chapter Summary
Summary by Learning Objective streamlining public safety operations, and improv-
ing the ability to fight crime and terrorism by
1. Define intelligence. ­merging data from a variety of sources. Fusion cen-
Intelligence is data and information that have been ters serve as clearinghouses for all potentially rel-
evaluated, analyzed, and produced with careful evant homeland security information that can be
conclusions and recommendations. Intelligence, used to assess local terror threats and aid in the
then, is a product created from systematic and apprehension of more traditional criminal suspects.
thoughtful examination, placed in context, and pro- The four primary goals of a fusion center are as fol-
vided to law enforcement executives, with facts and lows: (1) Fusion centers support the broad range of
alternatives that can inform critical decisions. activities undertaken by a police department relat-
2. Describe the Intelligence Cycle as presented in the ing to the detection, examination, and investigation
National Criminal Intelligence Sharing Plan (NCISP). of a potential terrorist and/or criminal activity;
The National Criminal Intelligence Sharing Plan (2) Fusion centers support operations that protect
(NCISP) contains 28 specific recommendations for critical infrastructure and key resources (CI/KRs) in
major changes in local policing. The key concept a given region, support major incident operations,
from the document emphasized the strategic inte- support specialized units charged with interdiction
gration of intelligence into the overall mission of and investigative operations, and assist in emer-
the police organization—intelligence-led policing. gency operations and planning. The aim of a fusion
Rather than react and respond to past calls for ser- center is to reduce the vulnerability of the high-
vice, the NCISP places much more emphasis on value and high-risk targets identified within a juris-
predictive analysis derived from the discovery of diction; (3) Fusion centers often maintain public “tip
hard facts, information, patterns, intelligence, and lines,” which give them the capability to promote
good crime analysis. By concentrating on key crimi- more public involvement in and awareness of ter-
nal activities, problems, and individuals targeted rorist threats. The goal is to identify and recognize
through analysis, significant attention can be warning signs and potential threats in a timely man-
directed to alleviate the crime problem. In order to ner in order to pre-empt potential terrorist attacks
protect the civil liberties of all individuals, the intel- and reduce the vulnerability of the CI/KRs in a given
ligence process was developed with key evaluation region; and (4) Fusion centers assist police execu-
points aimed at verifying source reliability and tives in making better-informed decisions, espe-
validity at the beginning of the collection cycle. The cially during emergencies or critical incidents.
goal was to develop a universal process that would 4. Describe some of the major criticisms aimed at
integrate both law enforcement and national secu- fusion centers and other law enforcement
rity intelligence agendas, while providing mecha- responses to terrorism.
nisms for securing individual freedoms and allowing
The major criticisms aimed at fusion centers and
law enforcement agencies to be proactive in pre-
other law enforcement responses to terrorism
venting and deterring crime and terrorism. The end
include the following: (1) Problems relating to the
result was the “Intelligence Cycle,” presented by
sharing of information between local law enforce-
the FBI as a means of developing data into refined
ment and the FBI. The sharing of information
and polished intelligence and communicating or
appears to be one way, from local police agencies
sharing that intelligence among individuals and
to the FBI; (2) Fusion centers are expensive and
agencies through the dissemination process.
almost any cost-benefit analysis (including a 2012
3. Define a fusion center and briefly list its four U.S. Senate Permanent Subcommittee investiga-
primary goals. tion) revealed significant money spent for very little,
Fusion centers act as a hub for exchanging informa- tangible evidence of success. The effectiveness of
tion and intelligence, maximizing police resources, fusion centers, particularly given their financial

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outlay, has seriously been questioned; (3) Many on the writing of radical Islamic philosophers,
fusion centers appear to suffer from “mission Muhammad Ibn al-Wahhab, Hassan al-Banna, and
creep”; that is, because there are few cases focused Sayiid Muhammad Qubt and calls for the purging
on terrorism, many centers have expanded their of Western influence throughout the entire Middle
role to include crime fighting and reduction; and (4) East. The concept is justified throughout passages
Many fusion centers come desperately close to vio- in the Qur’an that are perverted and misinterpreted
lating the civil liberties of people, especially relat- to justify a “holy war” against the West. It is impor-
ing to racial and ethnic profiling and breaches of tant to note that radical Islamic fundamentalists
privacy. represent only a small but growing percentage of
5. List the four primary areas of responsibility within all Islam. Some of the groups that espoused “jihad”
the Department of Homeland Security (DHS). throughout the world are al-Qaeda, the Islamic
State, Abu Sayyaf Group, HAMAS, Jemaah Islamiya,
There are four primary areas of responsibility within
Lashkar-i-Tayyiba, and the Muslim Brotherhood,
the Department of Homeland Security: (DHS):
(1) border security and transportation; (2) emer- 8. Describe the concept of a “homegrown terrorist.”
gency preparedness and response; (3) chemical, The term “homegrown terrorist” refers to extrem-
biological, radiological, and nuclear countermea- ists who are legal U.S. residents or even citizens,
sures; and (4) intelligence analysis and infrastruc- and who are linked to or inspired by a specific,
ture protection. often intolerant ideology. This ideology may be
6. Define terrorism. motivated by political or religious sources and may
In the popular mind, terrorism is viewed as the ille- be centered in domestic or foreign movements.
gitimate and violent actions of specific groups that Indeed, some of them have made connections with
violate the authority of rightfully established gov- well-known, international terror groups, such as ISIS
ernments. Terrorism encompasses the threat of and al-Qaeda. These individuals may receive ideo-
and/or use of violence to achieve a specific set of logical encouragement, but not financial or material
political objectives or goals. Historically, defining support, making them ancillary to the primary
terrorism has been a very difficult venture, shaped group and very difficult to detect by intelligence
and altered by a number of factors, including our and law enforcement services.
own national interests, government interpretations, 9. Discuss why Outlaw Motorcycle Gangs (OMGs)
the news media, hidden political agendas, and are considered an international threat to the
emotional human rights rhetoric. Terrorism is situ- United States. Identify the “Big Four” OMGs that
ationally defined—that is, a number of factors play are active in the United States.
on the difficulty of defining terrorism, including
Most people in the United States would not imme-
competing political agendas, national interests,
diately think of outlaw motorcycle gangs as “an
economic security, the news media, fundamental
international threat.” However, during the last
cultural and religious beliefs, and the use of misin-
25 years, almost all of the major outlaw motorcycle
formation. For this reason, scholars have conceptu-
gangs have been classified by authorities as inter-
alized terrorism in four distinct typologies, based
national criminal enterprises. Indeed, there have
on the actors: (1) International terrorism—Actions
been several gang battles overseas. For instance in
conducted in the international arena by individuals
1984, a shoot-out between the Bandidos and a rival
that are members of a nation state; (2) Transnational
gang called the Comancheros killed seven people
terrorism—Actions conducted in the international
and wounded another 28 in Milperra, Australia, and
arena by individuals that have no nation-state;
between 1994 and 1997, in what is commonly
(3) Domestic terrorism—Actions conducted by
called, “The Great Nordic Biker War,” long-time
groups within a nation, usually against the govern-
enemies belonging to the Hell’s Angels and the
ment or specific groups within the nation-state; and
Bandidos shook the Scandinavian countries of
(4) State terrorism—Actions conducted by govern-
­Denmark, Finland, Sweden, and Norway. At least
ments against their own population.
12 people died and over 100 were injured in the
7. Briefly describe the concept of “jihad” and name 4-year war. On the domestic side, in 2015, in Waco,
some of the more radical Islamic groups active Texas, over 170 rival OMG members were arrested
throughout the world. and charged in a shoot-out at a popular Twin Peaks
The concept of “jihad” or “holy war” is rooted in restaurant. Nine bikers were killed and another
an early religious movement commonly called eighteen were wounded in the gun battle that at
“Wahhabism” and later “Salafism” and can be one time had over 30 gang members shooting at
traced back to the late 1700s in what is now Saudi one another. There are four primary outlaw motor-
Arabia and Egypt. The ideology is based primarily cycle gangs in the United States, with all having

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chapters in foreign countries: The Hell’s Angels (the gender, or disability. In some states, the passage of
largest group focused in California with 425 chap- hate crime statutes has been controversial as politi-
ters in 50 different countries), the Pagans (located cians have debated the constitutionality of enhanced
primarily on the east coast of the United States and penalties based on a suspect’s association with an
throughout Canada), the Outlaws (focused in extremist group or the inclusion of homosexuality as
­Chicago with 275 chapters in 23 countries), and the a protected class. There is also a federal statute that
Bandidos (focused in Texas with 210 chapters in addresses civil rights violations under 18 U.S.C.
22 countries). Clearly, OMGs pose an international ­Section 245.
as well as a domestic threat.
11. Define and identify groups that are commonly
10. Define a hate crime. called ecoterrorists.
A hate crime is a criminal offense committed against Groups commonly called “ecoterrorists” are pri-
persons, property, or society that is motivated, in marily motivated on improving the ecology of the
whole or in part, by an offender’s bias against an world. Many of these single-issue terrorist groups
individual’s or a group’s perceived race, religion, arose from relatively peaceful movements and the
ethnic/national origin, gender, age, disability, or call for a renewal of the planet’s geophysical and
sexual orientation. Most states have a hate crime biological environment. The two most notable
statute that provides enhanced penalties for crimes “ecoterrorist” groups are the Earth Liberation Front
in which victims are selected because of the perpe- (ELF) and the Animal Liberation Front (ALF). Despite
trator’s bias against the victims’ perceived race, reli- recent and significant law enforcement and prose-
gion, or ethnicity. Some states also classify as hate cution successes against these groups, both are still
crimes those in which a victim is selected on the active today, with most of their activities aimed at
basis of a perception of his or her sexual orientation, the destruction of property and vandalism.

Chapter Review Questions

1. Define intelligence, and identify the two ultimate 10. Briefly describe the concept of jihad and name
goals of intelligence. some of the more radical Islamic terrorist groups
2. List and briefly explain the six steps of the active throughout the world.
Intelligence Cycle as presented in the National 11. What is ISIS and who is Abu Bakr al-Baghdadi?
Criminal Intelligence Sharing Plan (NCISP). 12. What is a “homegrown” terrorist? Give some
3. What is a fusion center and briefly list their four examples and recent incidents involving
primary goals? homegrown terrorists.
4. What are the 10 simple steps that assist individual 13. What is Boko Haram?
police agencies become part of the National 14. Who is “el Chapo” and what is his importance to
Criminal Intelligence Sharing Plan? the Mexican Cartels?
5. What are critical infrastructure and key resources 15. Why are Outlaw Motorcycle Gangs (OMGs)
(CI/KRs)? Give some examples. considered an international threat to the United
6. What is the National Counterterrorism Center (NCTC)? States. Identify the “Big Four” OMGs that are
7. What are the four primary areas of responsibility active in the United States.
within the Department of Homeland Security? 16. What is a hate crime? In your answer be sure to
8. Briefly discuss some of the issues and criticisms identify some of the major right-wing groups
relating to police and intelligence generally, and active in the United States.
with fusion centers specifically. 17. What is an ecoterrorist? Identify some of the
9. Define terrorism. major groups called ecoterrorists.

Critical Thinking Exercises

1. Historical Problems in the Levant. Research the land of great historical civilizations—from the
Middle Eastern area known as the Levant—An area center of the Ur civilization (2100 BC) to the
of land between Egypt, Anatolia, Mesopotamia, kingdom of Babylonia (1700 BC), to the ancient
and the Arabian Desert. The Levant is an ancient Greek and Roman Empires (300 BC to 400 AD), to

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 c h ap t er 3 • I n t e l l i g en c e, T error i s m, an d H omeland S ec u r it y 107

the great Ottoman Empire of the 20th century— mass shootings and spree killings in class. What do
the Levant has been the crossroad for you think can be done to prevent such horrific
communication, trade, and commerce between problems in the future?
the Middle East and the rest of the world (Europe). 3. Research Intelligence on Terrorist Organizations
The Levant is a geographical area composed of and Groups Globally. Visit and preview the
the modern day countries of Israel, the Palestinian Terrorism Research and Analysis Consortium
territories of the Gaza and West Bank, Syria, (TRAC), created by the Beacham Group, LLC on
Jordan, and Lebanon. It is a fertile area located on the Internet at: www.terrorismresearch.org. Watch
the southeastern shores of the Mediterranean Sea. the preview and explore the site. TRAC is one of
Great spiritual meaning has also been given to the the most comprehensive terrorism research sites
area of the Levant as it represents the lands of on the Internet and provides an efficient series of
Abraham, Moses, Jesus, and Muhammad. It is also filters in which to study various types of terrorist
an area that has witnessed significant historical targets, tactics, and groups. Play with the filters,
conflict. Study the countries of the Levant and watch some of the posted videos, read some of
focus on the current conflict in Syria. Try to identify the articles on ideology, and read the intelligence
which groups discussed in this chapter are actively reports about the latest information on active
fighting or supporting a specific side in Syria. Now groups in any area of your choosing. Consider
research the history of the al-Assad family in Syria. subscribing, or having your university or college
Who is Bashar al-Assad and do you think he will subscribe to the site. TRAC was specifically
abdicate his monarchy in the near future? Why or designed to fulfill the research and intelligence
why not? needs of faculty, scholars, students, government,
2. Mass Shooters and Lone Wolves. Scour the and defense professionals studying terrorism.
Internet for mass shooters and lone wolf attacks in 4. The National Counter Terrorism Center
the United States. Are there any common (NCTC). The Office of the Director of National
denominators between the shooters and their Intelligence houses the National Counter Terrorism
horrific events of the past decade? Review the Center (NCTC). The two core missions of the
CNN story and videos entitled, “The 25 Deadliest NCTC are to serve the primary organization in the
Mass Shootings in U.S. History Fast Facts” at: United States for the analysis and integration of
http://www.cnn.com/2013/09/16/us/20-deadliest- terrorism intelligence, and the second mission is to
mass-shootings-in-u-s-history-fast-facts/. Now conduct strategic operational planning for counter
review the article entitled, “A Guide to Mass terrorism activities. Visit the NCTC website at:
Shootings in America,” at: http://www.motherjones. www.nctc.gov. Name the key partners associated
com/politics/20/07/mass-shootings-map. Note that with the NCTC and view the Counter Terrorism
both articles make a difference between Mass Calendar. Now explore career possibilities within
murders (single incident) and Spree killing (Multiple the intelligence field. What types of career
incidents). View the map presented in the second opportunities exist within the Intelligence
story, and try to identify any patterns that can be Community at the federal level? As important,
made geographically about these events. Also what knowledge, skills, and abilities are required
note the stories are dated October 26, 2013, and to fulfill these types of positions and are you
April 2, 2014, respectively. Can other events be qualified? Develop an action plan for yourself to
added to the story since those dates, like the accomplish education and training goals that
Emanuel AME Church massacre in Charleston, would qualify you for an intelligence analyst
South Carolina, in 2015? Discuss the problem of position within the NCTC.

Key Terms
al-Qaeda Earth Liberation Front (ELF), Animal Islamic State (ISIS)
all-hazard Liberation Front (ALF) jihad
caliphate fusion centers lone wolf (wolves)
colors hate crimes narco-terrorism
critical infrastructure and key homegrown terrorism terrorism
resources (CI/KRs) improvised explosive devices (IEDs) Tor network
deep web intelligence

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Endnotes
1 22
Marilyn Peterson, Intelligence-Led Policing: The New Michael German and Jay Stanley, “What’s Wrong with
Intelligence Architecture (Washington, DC: U.S. Fusion Centers? Retrieved June 8, 2008 from http://
Department of Justice, BJA, September 2005) NCJ www.aclu.org/pdfs/privacy/fusioncenters_20071212.pdf.
23
210681, and K. Riley, G. Terverton, J. Wilson, and L. Davis, John Rollins, Fusion Centers: Issues and Options for
State and Local Intelligence in the War on Terror Congress (Washington, DC: Congressional Research
(Washington, DC: The RAND Corporation, 2005). Services, January 2008).
2 24
For a more thorough discussion of the role of intelligence U.S. Senate Permanent Subcommittee on Investigations,
in combating terrorism, see Robert W. Taylor, “Terrorism and Federal Support For and Involvement in State and Local
Intelligence,” Defense Analysis 3, No. 2 (1987), pp. 165–175. Fusion Centers. See: http://www.hsgac.senate.gov/search/
3
Peterson, Intelligence-Led Policing: The New Intelligence ?q=federal+support+for+and+involvement+in+state+and
Architecture, p. 3. +local+fusion+centers.
4 25
For a more thorough discussion of the first two schools of Ibid., p. 1.
26
thought, refer to R. Godson, ed., Intelligence Requirements Ibid., p. 5.
27
for the 1980s: Analysis and Estimates (Washington, DC: See “Norah O’Donnell and Jillian Hughes, “New Code of
National Strategy Information Center, 1983). Conduct Issued for Secret Service Agents,” CBS News,
5
Early models of predictive intelligence are discussed in R. April 27, 2017 and Alicia Caldwell, “REPORT:Secret Service
Hever, Quantitative Approaches to Political Intelligence Agents ‘Likely’ Impaired by Alcohol, The Huffington Post,
(Boulder, Colo.: Westview Press, 1978). May 14, 2015. See: http://www.huffingtonpost.com/
6
National Criminal Intelligence Sharing Plan (Washington, DC: 2015/05/14/secret-service-agents-wer_n_7281024.html.
28
U.S. Department of Justice, 2003, and revised in July 2005). See: http://change.gov/newsroom/entry/key_members_
7
K. Riley, G. Treverton, and L. Davis, State and Local of_obama_biden_national_security_team_announced/
Intelligence in the War on Terror. (May 31, 2010).
8 29
Fusion Center Guidelines: Developing and Sharing Richard Schultz, “Conceptualizing Political Terrorism: A
Information and Intelligence in a New Era (Washington, Typology,” Journal of International Affairs 4, no. 8 (spring/
DC: U.S. Department of Justice, 2006). summer 1978): p. 8.
9 30
Joseph D’ Amico, “Stopping Crime in Real Time,” Police Robert W. Taylor and Harry E. Vanden, “Defining Terrorism
Chief, (September 2006): pp. 20–24. in El Salvador: La Matanza,” Annals of the American
10
Fusion Center Guidelines: Developing and Sharing Academy of Political and Social Science (September 1982):
Information and Intelligence in a New Era. pp. 106–117.
11 31
U.S. Department of Homeland Security, “Fusion Center Ibid., p. 109.
32
Locations and Contact Information.” See http://www. Ibid.
33
dhs.gov/fusion-center-locations-and-contact-information. For a discussion on the various definitions of terrorism, see
12
See https://nfcausa.org/. Richard Schultz, “Conceptualizing Political Terrorism: A
13
For a complete description of the National Typology,” Journal of International Affairs 4, No. 8 (spring
Counterterrorism Center, visit: www.nctc.gov. 1978); Martha Crenshaw Hutchinson, Revolutionary
14
Samuel Walker and Charles M. Katz, The Police in America, Terrorism (Stanford, CA.: Hoover Institute Press, 1978);
5th ed. (Boston: McGraw-Hill, 2005). Brian Jenkins, The Study of Terrorism: Definitional
15
George L. Kelling and William K. Bratton, “Policing Problems (Santa Monica, CA.: The RAND Corporation,
Terrorism,” Civic Bulletin 43, New York: Manhattan 1980); James M. Poland, Understanding Terrorism: Groups,
Institute for Policy Research (September 2006), p. 2. Strategies, and Responses (Upper Saddle River, NJ:
16
Mathieu Deflem, The Policing of Terrorism: Organizational Prentice Hall, 1988); Paul Wilkinson, Political Terrorism
and Global Perspectives (New York: Routledge (New York: Wiley Press, 1974); Bruce Hoffman, Inside
Publishing, 2012). Terrorism (New York: Columbia University Press, 1998); and
17
See Graeme R. Newman and Ronald V. Clarke, Policing Jonathan R. White, Terrorism: An Introduction (Belmont,
Terrorism: An Executive’s Guide (Washington, DC: U.S. CA: West/Wadsworth, 2003).
34
Department of Justice, October, 2008). The conceptualization of terrorism is presented in a number
18
See Nationwide SAR Initiative (NSI), http://nsi.ncirc. of works. See Edward Mickolus, “Statistical Approaches to
gov/default.aspx (June 2010). the Study of Terrorism,” in Terrorism: Interdisciplinary
19
U.S. Department of Homeland Security, 2010 Baseline Perspectives, Yonah Alexander and Maxwell Finger, eds.
Capabilities Assessment of Fusion Centers. See: (New York: McGraw-Hill, 1977), pp. 209–269. For additional
http://www.dhs.gov/2010-baseline-capabilities-assessment- reading on this subject, see David Milbank, International
fusion-centers-and-critical-operational-capabilities-gap. and Transnational Terrorism: Diagnosis and Prognosis
20
Information received during conversations with various (Washington, DC: CIA, 1976), and Richard Schultz, Jr., and
fusion directors at the Fourth National Fusion Center Stephen Sloan, Responding to the Terrorist Threat:
Conference, New Orleans, LA (February 23–25, 2010). Security and Crisis Management (New York: Pergamon
21
For a thorough critique focusing on fusion centers, see Press, 1980).
35
Torin Monahan and Neal A. Palmer, “The Emerging See: CBS News, “Armed militia takeover in Oregon Sparks
Politics of DHS Fusion Centers,” Security Dialogue 40, Debate on Meaning of Terrorist.” (New York: CBS, January
No. 6 (December, 2009), pp. 617–636. 3, 2016) and Rob Manning, “Oregon Governor Brown on

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 c h ap t er 3 • I n t e l l i g en c e, T error i s m, an d H omeland S ec u r it y 109

Burns: “Spectacle Must End,” (Portland, OR: Oregon July 27, 2009, retrieved online from www.huffingtonpost.
Public Broadcasting, January 20, 2016). com/2009/07/27/daniel-boyd-six-others-in_n_245792.html
36
Ibid. on April 23, 2010.
37 53
See Robert W. Taylor and Charles R. Swanson, Terrorism, See A. Gary, “Hosam Maher Husein Smadi Arrested for
Intelligence and Homeland Security (Upper Saddle River, Dallas Bomb Plot,” The Huffington Post, September 24,
NJ: Pearson, 2016), and Jennifer Harper, “As a Target for 2009, retrieved online from www.huffingtonpost.
Terrorists, U.S. Ranks 41st in the World,” The Washington com/2009/09/24/hosam-maher-husein-smadi-_n_299340.
Post, December 4, 2012. html on April 25, 2010.
38 54
For detailed information on the life of Osama bin Laden, See J. Trahan, T. J. Gillman, and S. Goldstein, “Dallas
see Yossef Bodansky, Bin Laden: The Man Who Declared bomb plot suspect told landlord he was moving out,”
War on America (Rocklin, CA: Prima, 1999). The Dallas Morning News, September 26, 2009,
39
U.S. Department of State, Country Report on Terrorism, retrieved from www.dallasnews.com/sharedcontent/dws/
2014, released June 19, 2015. dn/latestnews/stories/092409dnmetbombarrest.1b177d
40
Graeme Wood, “What ISIS Really Wants,” The Atlantic, b8b.html on April 25, 2010.
55
March 2015. See: https://www.theatlantic.com/features/ Ibid.
56
archive/2015/02/what-isis-really-wants/384980/?fb_ref= Rick “Ozzie” Nelson and Ben Bodurian, “A Growing
Default. Terrorist Threat? Assessing ‘Home-grown Extremism’ in the
41
Robert W. Taylor and Charles R. Swanson, Terrorism, United States.” Center for International and Strategic
Intelligence and Homeland Security (Upper Saddle River, Studies, March 8, 2010, retrieved from www.csis.org/files/
NJ: Pearson, 2016) and the National Counter Terrorism publication/100304_nelson_growingterroristthreat_web.
Center (NCTC) website. See: http://www.nctc.gov/site/ pdf on April 22, 2010.
57
index.html. “Najibullah Zazi,” The New York Times, updated February
42
See Robert W. Taylor and Charles R. Swanson, Terrorism, 22, 2010, retrieved online from http://topics.nytimes.com/
Intelligence and Homeland Security (Upper Saddle River, topics/reference/timestopics/people/z/najibulla_zazi/
NJ: Pearson, 2016). index.html on April 18, 2010.
43 58
Zelna Karam, Vivian Salama, Bram Janssen, and Lee Keath, Michael Leiter, Director of National Counterterrorism
“Inside Islamic State Group’s Rule: A Nation of Fear,” Center, “Hearing Before the Senate Homeland Security
Associated Press, June 17, 2015. and Governmental Affairs Committee: Eight Years After
44
Ally Pregulman and Emily Burke, “Homegrown Terrorism,” 9/11: Confronting the Terrorist Threat to the Homeland,”
AQAM Futures Project Case Studies Series, April 2012, September 30, 2009. Transcript online at www.nctc.gov/
http://csis.org/files/publication/120425_Pregulman_ press_room/speeches/hbshsgac_8years_9-3—29.pdf,
AQAMCaseStudy7_web.pdf. retrieved April 22, 2010.
45 59
Rick “Ozzie” Nelson and Ben Bodurian, “A Growing See G. Miller, “Al Qaeda’s new tactic is to seize shortcuts,”
Terrorist Threat? Assessing ‘Home-grown Extremism’ in the Chicago Tribune, March 19, 2010, retrieved online from
United States.” Center for International and Strategic www.chicagotribune.com/news/nationworld/la-fg-
Studies, March 8, 2010, retrieved from www.csis.org/files/ qaeda19-2010mar19,0,3312538.story on April 18, 2010.
60
publication/100304_nelson_growingterroristthreat_web. See P. Belien, “Jihad against Danish Newspaper,” The
pdf on July 15, 2015. Brussels Journal, October 22, 2005, retrieved online from
46
Katherine Q. Seelye, “Bombing Suspect Cites Islamic http://www.brusselsjournal.com/node/382 on April 16, 2010.
61
Extremist Beliefs as Motive,” The New York Times, April Rick “Ozzie” Nelson and Ben Bodurian, “A Growing
23, 2013, www.nytimes.com/2013/04/24/us/boston- Terrorist Threat? Assessing ‘Home-grown Extremism’
marathon-bombing-developments. in the United States.”
62
html?hp&pagewanted=all&_r=1&. Spencer Ackerman, Pakistani Court Indicts “Virginia Five,”
47
Holly Yan, “Texas Attack: What we know about Elton The Washington Independent, March 17, 2010, retrieved
Simpson and Nadir Soofi,” CNN Video AP, May 5, 2015. online from http://washingtonindependent.com/79466/
48
Catherin Schoichet and Michael Pearson, “Garland, Texas: pakistani-court-indicts-virginia-five on April 10, 2011.
63
Shooting Suspect Linked Himself to ISIS in Tweets,” CNN See S. Ackerman, “A Mixed Picture on Domestic
Video AP (May 4, 2015). Radicalization?” The Washington Independent, December
49
Matt Pearce and Nigel Duara, “Texas gunman’s mother: 10, 2009, retrieved online from http://
“He had a normal American upbringing.” Los Angeles washingtonindependent.com/70388/a-mixed-picture-on-
Times, May 5, 2005. See: http://www.latimes.com/nation/ domestic-radicalization on April 24, 2010.
64
la-na-texas-gunman-20150505-story.html#page=1. See G. Whittell, “Profile: Major Nidal Malik Hassan was trained
50
Alejandro J. Beutel, “Data on Post-9/11 Terrorism in the to treat post-traumatic stress,” The Times, November 6,
United States,” Muslim Public Affairs Council: Policy 2009, retrieved online from www.thetimes.co.uk/tto/news/
Memo Backgrounder (April 1, 2010), pp. 1–16. world/americas/article2001549.ece on April 20, 2010.
51 65
See M. J. Stephey, “Daniel Boyd: A Homegrown Terrorist?” Rick Nelson and Ben Bodurian, “A Growing Terrorist Threat?
Time Online, July 30, 2009, retrieved online from www. Assessing ‘Home-grown Extremism’ in the United States.”
66
time.com/time/nationa/article/0,8599,1913602,00.html on See, “Major Hassan’s Smooth Ascension,” The New York
April 23, 2010. Times, January 15, 2010, retrieved online at www.nytimes.
52
See M. Baker, “Daniel Boyd, Six Others in North Carolina, com/2010/01/16/opinion/16sat2.html on April 23, 2010.
Charged with Terror Conspiracy,” The Huffington Post, Appeared in print (January 16, 2010), p. A-20.

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 110 cha pte r 3 • In te l l i g e n ce , T error i s m, an d H ome l an d S e c u r i t y

67 84
Department of Justice, “Pennsylvania Woman Indicted in Jack Moore, “Nigerian Military Enters Final Stages of Boko
Plot to Recruit Violent Jihadist Fighters and to Commit Haram Offensive,” Newsweek ( April 23, 2015).
85
Murder Overseas,” Federal Bureau of Investigation Nick Valencia, “After Years of Violence and Death, “Life is
Philadelphia Office Press Release, March 9, 2010, retrieved Back” in Juarez,” CNN (April 21, 2015).
86
online at http://philadelphia.fbi.gov/dojpressrel/ Nick Allen “Mexican city is ‘murder capital of the world’” –
pressrel10/ph030910a.htm on April 24, 2010. The Telegraph (October 22, 2009).
68 87
See H. Khan, E. Friedman, and J. Ryan, “‘Jihad Jane’s’ Pamela Engel, “The Astonishing Rise of the World’s Most
Arrest Raises Fears about Homegrown Terrorists,” ABC Notorious Drug Lord,” Business Insider (July 18, 2015).
88
News, March 10, 2010, retrieved online at http:// William Neuman and Azam Ahmed, “Public Enemy?
abcnews.go.com/GMA/politics/jihad-jane-arrest-colleen- Escaped ‘El Chapo’ is Folk Hero No. 1” New York Times
larose-raises-fears-homegrown/story?id=10056187 on (July 18, 2015).
89
April 22, 2010. Ibid.
69 90
Department of Justice, “Pennsylvania Woman Indicted in Catherine E. Shoichet, Don Melvin and Mariano Castillo,
Plot to Recruit Violent Jihadist Fighters and to Commit “The Legend of ‘El Chapo’: Cartel Chief Cultivated Robin
Murder Overseas.” Hood Image,” CNN (July 14, 2015). See: http://edition.
70
See “Profile: ‘Jihad Jane’ from Main Street,” BBC News, last cnn.com/2014/02/22/world/americas/
updated March 11, 2010, retrieved online at http://news. mexico-el-chapo-profile/.
91
bbc.co.uk/2/hi/americas/8561888.stm on April 26, 2010. See George Grayson, “Los Zetas: the Ruthless Army
71
See http://dfw.cbslocal.com/2015/05/03/ Spawned by a Mexican Drug Cartel”. U.S. Foreign Policy
breaking-shooting-in-garland. Research Institute. http://www.fpri.org/enotes/200805.
72
Catherine E. Shoichet and Gary Tuchman, “Chattanooga grayson.loszetas.html, and Michael Ware, “Los Zetas
Shooting: 4 Marines Killed, a Dead Suspect and Questions called Mexico’s most dangerous drug cartel”. CNN News
of Motive,” CNN News (July 17, 2015). See: http://www. (August 6, 2009) http://www.cnn.com/2009/WORLD/
cnn.com/2015/07/16/us/tennessee-naval-reserve- americas/08/06/mexico.drug.cartels/index.html.
92
shooting/. Daniel Borunda, “El Paso Rankings: Safest, Best Places for
73
Saeed Ahmed, “Who were Syed Rizwan Farook and Families, Least Hipster,” El Paso Times (January 6, 2015).
93
Tashfeen Malik?” CNN Reports ( December 4, 2015). Federal Bureau of Investigation, National Gang
See: http://www.cnn.com/2015/12/03/us/ Intelligence Report, 2013. See: https://www.fbi.gov/stats-
syed-farook-tashfeen-malik-mass-shooting-profile/. services/publications/national-gang-report-2013/view.
74 94
Frank Gardner, “How Do Terrorists Communicate?” British Ibid.
95
Broadcasting Company, November 2, 2013, www.bbc. “Families Scoff at Suspect’s New Images,” Sunday
com/news/world-24784756. Oklahoman, (July 2, 1995): p. 24.
75 96
Robert W. Taylor, Eric J. Fritsch, and John Liederbach, Ibid.
97
Digital Crime and Digital Terrorism (Upper Saddle River, Louis A. Radelet and David Carter, Police and the
NJ: Pearson, 2014). Community, 5th ed. (New York: Macmillan, 1994), p. 248.
76 98
Pregulman and Burke, “Homegrown Terrorism.” Scott Shane, “Homegrown Extremists Tied to Deadlier Toll
77
Evan Perez and LeeAnn Caldwell, “Holder Fears ’Lone Wolf’ than Jihadists in U.S. Since 9/11,” The New York Times,
Terrorist Attack, Doesn’t Want TSA Armed,” CNN, June 24, 2015. See: http://www.nytimes.com/2015/06/25/
November 5, 2014. See: www.cnn.com/2013/11/05/ us/tally-of-attacks-in-us-challenges-perceptions-of-top-
politics/holder-terror-snowden-interview/. terror-threat.html.
78 99
Sarah Teich, “Trends and Developments in Lone Wolf Keenan v. Aryan Nations, CV 99-441 (September 8, 2000).
100
Terrorism in the Western World: An Analysis of Terrorist See Gruver v. Imperial Klans of America, Civil Action
Attacks and Attempted Attacks by Islamic Extremists,” Number 07-CI-00082 (November 14, 2008).
101
International Institute for Counterterrorism, October 2013. See http://hutaree.com/.
102
See: www.ict.org.il/LinkClick.aspx?fileticket=qAv1zIPJlGE% See United States v. Hutaree Members, copy of federal
3D&tabid=66. indictment. See: http://commons.wikimedia.org/wiki/
79
The ISIS Study Group, “People are Waking-up to the File:Federal-hutaree-indictment-mar-2010.pdf) (June
Southeast Asia ISIS Threat – But things are still being 10, 2010).
103
Missed,” (November 30, 2014). See http://isisstudygroup. The New Lexicon of Hate: The Changing Tactics, Language
com/?p=3314. and Symbols of America’s Extremists (Los Angeles: Simon
80
See Robert Kupperman and Jeff Kamen, “A New Wiesenthal Center, 1999).
104
Outbreak of Terror Is Likely,” New York Times, (April 19, Federal Bureau of Investigation, “Seeking Suspect in
1988): p. 6, and Alan Riding, “Rifts Threaten Plan to Church Shootings in Charleston, South Carolina, June 18,
Remove Borders,” CJ International 6, no. 5 (September/ 2015, p. 1, https://www.fbi.gov/news/news_blog/seeking-
October 1990): p. 3. suspect-in-church-shootings-in-charleston-south-carolina
81
David W. Balsiger, “Narco-Terrorism ‘Shooting Up’ (accessed October 20, 2015).
105
America,” in Annual Edition: Violence and Terrorism Statement by FBI Director James Comey Regarding
1990/91 (Guilford, CT: Dushkin, 1990), pp. 164–166. Dylann Roof Gun Purchase, July 10, 2015, https://www.fbi.
82
Ibid. gov/news/pressrel/press-releases/statement-by-fbi-
83
Al Arabiya, “Boko Haram Voices Support for ISIS’ director-james-comey-regarding-dylann-roof-gun-
al-Baghdadi” (July 13, 2014). purchase (accessed October 20, 2015).

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 c h ap t er 3 • I n t e l l i g en c e, T error i s m, an d H omeland S ec u r it y 111
106
Janell Ross, Why Blacks See Dylann Roof As a Terrorist and McGraw-Hill, 2015). See also Robert W. Taylor, Eric J.
Whites Don’t,” The Washington Post, July 3, 2015, p. 1, Fritsch, and John Liederbach, Digital Crime and Digital
https://www.washingtonpost.com/news/the-fix/ Terrorism, 3rd edition, (Upper Saddle River, NJ: Pearson
wp/2015/07/03/why-blacks-see-dylann-roof-as-a-terrorist- Prentice Hall, 2015).
113
and-whites-don’t (accessed October 20, 2015). An interview with leader of the Texas Militia in Dallas
107
Robert Taylor and Charles Swanson, Terrorism, Intelligence, (December, 2014), reflecting much of the sentiments
and Homeland Security (Boston, Pearson, 2015, p. 112.) expressed by Tom Metzger, a leader of the White Aryan
108
See: Jeffrey D. Simon, Lone Wolf Terrorism: Understanding Resistance (WAR).
114
the Growing Threat (Amherst, NY: Prometheus Books, Jonathan R. White, Terrorism and Homeland Security, 6th
2013) and Mark Thompson, “The Danger of the Lone-Wolf ed. (Belmont, CA: Wadsworth Cengage Learning, 2009),
Terrorist,” February 27, 2013), www.nation.time. p. 233.
115
com/2013/02/27/the-danger-of-the-lone-wolf-terrorist University of Maryland, Global Terrorism Data Base,
(accessed October 20, 2015). Incident Summary Number 201411250074 and
109
For more information, see the National Institutes Against 2012201208110011. See: www.Start.umd.edu/gtd/Search.
116
Hate Crimes and Terrorism, visit their website: http://www. Cindy C. Combs, Terrorism in the Twenty-First Century,
museumoftolerance.com/site/c.tmL6KfNVLtH/b.5052739/. 3rd ed. (Upper Saddle River, NJ: Prentice Hall, 2003),
110
Responding to Hate Crimes: A Police Officer’s Guide to pp. 164–166.
117
Investigation and Prevention (Washington, DC: U.S. See Blaine Harden, “11 Indicted in ‘Eco-Terrorism’ Case,”
Department of Justice and International Association of Washington Post (January 21, 2006): p. A-3.
118
Chiefs of Police, 1999). See “Terror at UCLA,” Critical Mass (August 22, 2006) and
111
Victor Godinez, “Hate Group Wooing Teens by Making a “Luxury Homes Burn in Apparent Eco-Attack,” Associated
Game Out of Racism,” Dallas Morning News, (March 14, Press (March 3, 2008).
119
2002): p. A2. University of Maryland, Global Terrorism Data Base,
112
Robert W. Taylor and Eric. J. Fritsch, Juvenile Justice: Incident Summary Number 201109260012. See: www.Start.
Policies, Programs, and Practices, 4th edition (New York: umd.edu/gtd/Search.

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 c h a p t e r f o u r

P o l i t i c s and Poli ce
A d mi ni str ati on
Learning Objectives
1. Explain the significance of the U.S. Supreme Court decisions in each of the following cases:
Mapp v. Ohio (1961), Gideon v. Wainwright (1963), Escobedo v. Illinois (1964), and
Miranda v. Arizona (1966).
2. Identify three distinctly different styles of law enforcement discussed by
James Q. Wilson.
3. Explain the legally defined roles of city councils.
4. Discuss the ways in which the tasks and roles of sheriff’s department and police
departments were historically different but have become similar in recent years.
5. Explain how the state prosecutor’s policies and procedures can have an observable
effect on police practices and procedures.
6. Discuss the ways in which the judiciary impacts police practices.
7. Understand the differences between the four existing forms of citizen oversight
agencies.
8. Identify and briefly discuss the reasons for friction between the news media and law
enforcement.
9. Discuss the advantages for police officers wearing body cameras that are cited by
police administrators.
10. Define racial profiling.
11. Discuss two major concerns that state and local law enforcement administrators have in
becoming involved in immigration enforcement.

112

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A d m inis t rat ion 113

Introduction FEDERAL INFLUENCE IN LAW

In discussing the relationship between ENFORCEMENT
politics and police administration, it is important Some authorities believe that trends occurring from the 1960s to
to distinguish between “Politics” and “politics.” the present have resulted in the partial nationalization of criminal
Politics, when used negatively, refers to attempts justice. Up to the 1960s, it was safely said that criminal justice
was almost completely the responsibility of state and local
to impose external, partisan political influence on ­governments. Federal criminal statutes were limited in their cov-
the operation of a department. erage, federal assistance to local law enforcement was generally
However, politics, used in the positive sense, in the areas of training and the processing of evidence, and the
U.S. Supreme Court concerned itself with only the most n­ otorious
means governance of a city. Aristotle’s original violations of Constitutional rights by state and local authorities.2
understanding of the word politics was “science This trend was reversed in no small measure by a series of
of the polis,” seeking the good of both citizen ­opinions, rendered by the Supreme Court under the strong lead-
ership of Chief Justice Earl Warren that greatly strengthened the
and city-state.1 rights of accused persons in criminal cases (see Figure 4.1).
In order to successfully maneuver through the However, as the Supreme Court has become more conservative
minefields of politics in any community, a police in the past two decades, an “erosion” of many of the landmark
cases of the Warren era can be observed.3
administrator should possess the following
information: (1) how politics at the federal and Supreme Court Decisions Affecting Law
state level can impact local law enforcement; Enforcement: 1961 to 1966
(2) how the dominant political culture of a local Significant judicial review of local police actions has been a
community can affect the quality and style of law somewhat recent practice.4 From 1961 through 1966—a period
frequently referred to as the “due process revolution”—the
enforcement services provided; (3) why the Supreme Court took an activist role, becoming quite literally
politics and organizational structures of police givers of the law rather than interpreters of it. The Warren Court’s
departments and sheriffs’ departments have activist role in the piecemeal extension of the provisions of the
Bill of Rights, via the due process clause of the Fourteenth
traditionally been so different but in recent years Amendment, to criminal proceedings in the respective states
the functions they perform have become appears to have been a policy decision.5 Normally, the Supreme
increasingly similar; (4) the ways in which judges Court writes opinions in about 115 cases during any particular
term. During the 1938–1939 term, only five cases appeared
and prosecutors can impact on enforcement under the heading of criminal law; a scant three decades later,
practices; (5) why some communities have the
need for and demand the creation of citizen
oversight committees; (6) the important roles
played by chambers of commerce, churches, and
the media; (7) the political fallout from
allegations and actual incidents of police
brutality and the ways in which body cameras
can be a useful tool to protect officers from false
allegations as well as preventing officers from
engaging in misconduct; (8) being aware of the
intentional or unintentional racial profiling of
enforcement practices; and (9) the role of the Figure 4.1 c The U.S. Supreme Court led by Chief Justice
local and state police in immigration Earl Warren was responsible for some of the most important
decisions affecting law enforcement in the 1960s. (Library of
enforcement. ­Congress Prints and Photographs Division [LC-USZ62-41653])

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 114 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

during the height of the due process revolution, about one- known as the exclusionary rule, rested primarily on the judg-
quarter of each term’s decisions related to criminal law.6 ment that deterring police conduct that violates the Constitu-
The Supreme Court could scarcely have picked a worse period tional rights of an individual outweighs the importance of
in which to undertake the unpopular role of policing the police; securing a conviction of the specific defendant on trial.
a burgeoning crime rate far outstripped population increases, A need for new procedures in such areas as interrogations, line-
and many politicians were campaigning on “law and order” plat- ups, and seizures of physical evidence was created.
forms that all too often dissolved into hyperbolic rhetoric in their Although the decisions of the due process revolution initially
election campaigns. The problem of crime increasingly came to were criticized by many law enforcement officers, over the years
the public’s eye through the media. In sum, the high court that view has changed as new generations of law enforcement
extended procedural safeguards to defendants in criminal cases officers joined the profession and for whom those decisions
precisely when the public’s fear of crime was high and there was were simply the correct way to do things. Also, officers from the
great social pressure to do something about crime. due process revolution have retired or left the profession because
Fundamentally, the Supreme Court’s role in the due process they could not abide or adapt to the new procedures mandated
revolution was a response to a vacuum in which the police by the Supreme Court.
themselves had failed to provide the necessary leadership. The Finally, there was a growing willingness among law enforce-
era of strong social activism by various special-interest groups ment leaders to acknowledge not only that some of their tactics
was not yet at hand, and neither the state courts nor the legisla- needed changing but also that Miranda and other decisions
tures had displayed any broad interest in reforming the criminal had accomplished it. There is a sense in which the due process
law. What institution was better positioned to undertake this revolution furthered police professionalization.
responsibility? The Court may even have felt obligated by the
inaction of others to do so. Therefore, it became the Warren
Court’s lot to provide the reforms so genuinely needed but so
unpopularly received. The high court did not move into this
THE ROLES OF STATE
arena until after it had issued warnings that, to responsive and AND LOCAL GOVERNMENTS
responsible leaders, would have been a mandate for reform.
Several key decisions were made by a split vote of the Court IN LAW ENFORCEMENT
and drew heavy criticism from law enforcement officers and
From the outset, most Americans had a firm belief that the police
others as handcuffing police in their struggle with lawlessness.
should be controlled by local officials organized along municipal
These decisions included:
lines. For them, a national police, such as the Italian carabinieri,
dd Mapp v. Ohio (1961), which banned the use of illegally was inconceivable, and a state police, such as the German
seized evidence in criminal cases in the states by applying polizei, was undesirable.8 However, the history of state and local
the Fourth Amendment guarantee against unreasonable relations in the United States in the area of law enforcement,
searches and seizures especially in the last half of the 1800s, was often rocky and
dd Gideon v. Wainwright (1963), which affirmed that equal tumultuous with the states taking over the operation of many
protection under the Fourteenth Amendment requires local law enforcement agencies.9 These takeovers were ­motivated
that legal counsel be appointed for all indigent to a great extent by power struggles between the Democratically
defendants in all criminal cases controlled cities and Republican-controlled state legislatures.
dd Escobedo v. Illinois (1964), which affirmed that a suspect This type of direct takeover of local law enforcement by the
is entitled to confer with an attorney as soon as the focus states will very likely not occur again, or at least not on the grand
of a police investigation of the suspect shifts from scale of the late 1800s, but there have been some isolated cases
investigatory to accusatory in recent years where similar action has been contemplated. For
example, several years ago some public officials in Georgia were
dd Miranda v. Arizona (1966), which required police
urging the state to take over the administration of the Atlanta
officers, before questioning suspects, to inform them of
Police Department because of dramatic political upheavals that
their constitutional right to remain silent, their right to an
were affecting the morale and effectiveness of that department.
attorney, and their right to have an attorney appointed if
A takeover by the state did not occur, but the political atmo-
they cannot afford to hire one. Although the suspect may
sphere was conducive to such a move.
knowingly waive these rights, the police cannot question
In a positive vein, the impact of the state on the affairs of
anyone who, at any point, asks for a lawyer or indicates
local law enforcement is continuing via the imposition of pre-
“in any manner” that he or she does not wish to be
employment and training standards, as well as through various
questioned.7
funding formulas tied to these standards. The first state to
The impact of these decisions on police work was staggering. impose minimum standards of training for police officers was
In an effort to curb questionable and improper tactics, the California, in 1959. This move was soon followed by the states
Supreme Court essentially barred the use of illegally obtained of New York, Oklahoma, and Oregon. In 1970, the Law Enforce-
evidence in a criminal prosecution to prove guilt. This action, ment Assistance Administration (LEAA) did make available

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A d m inis t rat ion 115

discretionary grants to those states that wanted to implement maintenance, and traffic enforcement. Numerous variations,
minimum standards programs. Today all 50 states have man- linked to the community’s political culture, also emerged in the
dated training for law enforcement officers. It must be noted, police department’s personnel entry standards, promotional poli-
however, that much of the impetus for the implementation of cies, extent of specialization, and level of managerial skills.
minimum standards on a statewide basis comes from the local These, in turn, affected the overall operations of the department,
law enforcement community. Requirements related to the mini- which in turn impacted the citizens’ perception and confidence
mum standards for employment for police officers are adminis- in the police department.
tered through state organizations, often termed Police Officers There is an unfailing, consistent, and close relationship
Standards and Training Commissions (POSTs), which generally between the type of law enforcement a community has and its
operate under four broad mandates: (1) to establish minimum dominant political culture. This is not to suggest, however, that
standards for employment in a state, county, or local law enforce- any community’s political culture is unalterably fixed. In fact, the
ment agency; (2) to articulate academy and annual training reform movements that have been a part of the American politi-
requirements for police officers; (3) to conduct and encourage cal scene throughout much of its history have corresponded with
research designed to improve all aspects of law enforcement;10 the emergence of new political cultures. Each new dominant
and (4) to remove the certification of police officers for certain political culture in time leaves its own unique mark on the unit
disciplinary or criminal violations, effectively revoking their of government within its sphere of control.
“licenses” to be a sworn officer.
In its assessment of the role of the states in criminal justice Strong Mayor
planning, in general, the National Advisory Commission on
To some extent, the type of local government that a community
Criminal Justice Standards and Goals suggested that the State
has impacts the way police chiefs are selected, the freedom they
Planning Agencies (SPAs), which were created by the Omnibus
enjoy in the performance of their status, and their tenure. For
Crime Control and Safe Streets Act of 1968 as the state-level
example, with a strong mayor form of government, the mayor
organizations through which federal funds were funneled from
is elected to office and serves as the chief executive of the city.
the LEAA, bear a special responsibility for the formation of mini-
The city council constitutes the chief legislative and policymak-
mum statewide standards.11 However, with the demise of LEAA
ing body. The mayor nominates a candidate to serve as police
in 1982, there has been a reduction in or total dismantling of
chief, and sometimes, but not always, majority approval is
large state planning agencies.
needed from the city council. Once approved, the candidate
assumes the position of police chief and serves at the discretion
of the mayor (see Figure 4.2).
LOCAL POLITICAL FORCES Ideally, the person the mayor selects as police chief should
possess the full range of skills necessary to operate the police
The special dimension of police politics varies from community department. However, to a great extent, the kind of person
to community, but law enforcement activities are governed for selected to serve as police chief is determined by the mayor’s
the most part by the dominant values of the local political cul- professional qualifications, philosophy about the role of law
ture. James Q. Wilson, in his now classic study of the police in enforcement, and political commitments. If the mayor is
eight communities, identified three distinctly different styles of
law enforcement, all of which were reflective of the political
culture of the communities they served: (1) the “watchman” style
of law enforcement emphasizes maintenance of order and is
found in economically declining cities with traditional political
machines; (2) the “legalistic” style of law enforcement is found
in cities with heterogeneous populations and reform-oriented,
professional governments (law enforcement of both a reactive
and proactive nature characterizes this style); and (3) in the
homogeneous suburban communities, the “service” style of law
enforcement is oriented toward the needs of citizens.12 As a
small town police chief once told a consultant, “We’re rich as all
get-out and not interested in consolidating with some larger
department. We know who needs to get that traffic ticket and
who just needs a quick reminder.”
In Wilson’s studies, these variations in the community politi-
cal culture manifested themselves in a number of ways that Figure 4.2 c New York City, which has a strong mayor
subsequently affected both the qualitative and the quantitative form of government, recently elected William de Blasio who
enforcement action taken by the police. Significant enforcement in turn appointed as his new police commissioner William J.
variations emerged in the areas of vice, juvenile offenses, order Bratton. (Spencer Platt/Getty Images)

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 116 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

endowed with sound business or public administration skills and external interference. One of the reasons for this assessment is
has a “good government” philosophy, then the chief of police the balancing mechanisms developed over the years that are typi-
will very likely be selected on the basis of professional abilities cally inherent in the city manager form of government: (1) the
rather than on extraneous political factors. Unfortunately, on too city manager is accountable to the elected members of the city
many occasions in the past, this appointment has been a method council as a body rather than to any individual council member;
of repaying political favors. A classical case of the misuse of this (2) individual council members are prevented (by law or council
appointing authority was illustrated by the Wickersham Commis- rules) from giving administrative, operational, or policy direction
sion in 1931: to the city manager; (3) the council as a body may not give spe-
cific administrative direction to the city manager, who generally
A few years ago the newly elected mayor of Indianapolis was
has exclusive executive authority over city employees; (4) the city
called upon to introduce his appointee as police chief to an
manager, consistent with civil service statutes and subject to
assemblage of police chiefs during one of their conferences.
employee appeals, has full authority to hire, promote, and disci-
In the course of his introductory remarks, the mayor said,
pline city personnel; (5) the city manager has broad authority
“I know that my man is going to be a good chief because he
within state municipal financial statutes to manage the budget
has been my tailor for 20 years. He knows how to make good
and to depart from line item appropriations to meet unanticipated
clothes; he ought to be a good chief.”13
needs; and (6) the council as a body hires the city manager and
No big-city mayor would make the same choice today, but the may dismiss the city manager at its discretion without stating its
choice will nevertheless be a reflection of the mayor’s personal cause. The city manager model is significant because it has been
value system and abilities and the political environment of the clearly successful in the American local political milieu and
community. because its separation of the political policymaking body and the
In the strong mayor form of local government, the tenure of independent chief executive is realistically defined.14
the chief of police is often linked directly to the mayor, and the The city manager, more often than not, is a professional
nature of the relationship is such that the chief is quite depen- administrator who is recruited for certain skills and training and
dent on the mayor for support and guidance on budgetary mat- is appointed by the city council. A person with this background
ters, enforcement practices, and a multitude of other areas tends to make sincere efforts to select a competent individual to
essential to the overall success of the police department. If there serve as police chief because the manager’s professional reputa-
is mutual respect between the police chief and the mayor, a tion is tied inextricably to the effective management of the city
strong professional and political bond will be formed. If the departments.
reverse holds true, however, significant antagonisms are almost It is significant that city managers have sought qualified police
certain to emerge. There are too many situations to enumerate chiefs and have, in most instances, based their selection on the
positively or negatively that can affect the working relationship professional qualifications of the candidate rather than on politi-
between a mayor and a police chief. The important differences cal or other extraneous considerations that too often have gov-
that do emerge are frequently those that evolve out of philo- erned appointments to this position in the past.15 This does not
sophical and ethical differences rather than questions of legality. mean that the city manager form of government removes the
These are differences that can occur in any form of government chief from local politics, but it does create more distance and
(see Figure 4.3). insulation than the one-to-one political relationship commonly
found in the strong mayor form of government (see Figure 4.4).
City Manager
Every form of local government found in the United States has City Councils
its supporters and detractors. The proponents of the city manager The legally defined roles of a city council are fairly consistent
form claim that it provides the most conducive atmosphere in throughout the United States; namely, it acts as the chief legisla-
which professional law enforcement can operate and minimize tive and policymaking body. Through its ordinance power,

Strong Mayor
Chief Executive

Director Director
Director Police Fire
Housing Parks
Sanitation Chief Chief
Authority Department

Figure 4.3 c The strong mayor form of government. The mayor serves as the chief executive and appoints all department
heads. The department heads serve at the pleasure of the mayor.

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A d m inis t rat ion 117

City City City City City City City

Council Council Council Council Council Council Council
Member Member Member Member Member Member Member

City
Manager

Director Director
Director Police Fire
Housing Parks
Sanitation Chief Chief
Authority Department

Figure 4.4 c The city manager form of government. The city manager is appointed by the council (typically the majority),
and the manager serves at the pleasure of the city council. The city manager in turn appoints all department heads, and they
serve at the pleasure of the manager.

subject to constitutional and statutory provisions, including the be because it is the process in our system of government by
city charter, the council carries out its legislative function. When which people hope to gain and maintain influence over govern-
within the council’s authority, its enactments have the force of mental policy and decision making. It remains true in many
law and are binding on both administration and electorate. In police departments even today that promotions to senior leader-
addition to legislative and policymaking functions, the council, ship positions are sometimes influenced by political figures. In
in common with most legislative bodies, holds the purse strings a handful of states with which the authors are familiar, until
and exercises control over appropriations.16 Thus, the immediate roughly the early to mid-1960s, being hired by the state patrol
impact of a council’s actions on the operation of a law enforce- required the endorsement of the county chairperson of the polit-
ment agency is considerable. ical party in power for the county in which the applicant resided.
The record of involvement by council members and other Similar arrangements existed during that time period in many
elected officials in police operations to the detriment of both the small and large cities. While James Ahern was Chief of Police in
efficiency and the effectiveness of the police establishment is a New Haven, Connecticut (1968–1970), he had to deal with inter-
well-established fact. One observer of this problem has noted: nal and external forces as he moved to gain control over person-
nel matters in his department:
Local political leaders frequently promote more abuses of
police power than they deter. In seeking favored treatment New Haven Mayor Dick Lee (1917–2003) possessed a sub-
for a violator of the law or in exerting pressure for police stantial national reputation for championing urban renewal
assistance in the sale of tickets to a fund-raising dinner, the and low cost public housing. On occasion, he intervened in
politician only encourages the type of behavior he/she is police promotions, but it was to further the advancement of
supposed to prevent. Although such political interference into officers who were deemed to have two qualities in abun-
police work is not as extensive as it once was, it still exists.17 dance: honesty and effectiveness. Although it reduced his
own power, Mayor Lee supported Chief Ahern’s reforms, who
The record of involvement by council members and other
quickly took a series of actions.
elected officials in police operations to the detriment of both the
efficiency and the effectiveness of the police establishment is The day after he became Chief, Ahern closed the door that
historically accurate. One observer of this problem described this led from the police department to Mayor Lee’s Office and
issue in the following way: re-issued an existing order which theretofore was most often
A few local political leaders episodically engage in abuses of not followed: No officer could visit the Mayor without the
police power instead of deterring such behavior, e.g., they Chief’s prior approval. This action communicated that if
ask to have traffic tickets given to their friends or family Ahern wouldn’t let the Mayor who had selected him effect
members voided or reduced to warnings. Although such personnel matters, then neither would he allow other power-
unhealthy political interference in police work is no longer ful figures to do so.
pervasive, some still exists.18
Ahern also established the principle that if approached by
The removal of negative politics has substantially been political figures or other power brokers seeking that Ahern
achieved, but eliminating positive politics has not, nor should it promote an officer or transfer the officer to easy duties that

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 118 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

the officer for whom the favor was sought would be barred from their positions to return to the ranks they held within their
permanently from them. Having a “hook” or “rabbi” inter- departments before being appointed chiefs. Most states, how-
vene for them was so ingrained in officers that Ahern con- ever, offer very little protection. Chiefs across the country are
cluded that many couldn’t imagine another way of getting therefore forced to look for job protections in local civil service
ahead. However, Ahern successfully halted interventions by codes, local municipal ordinances, and such individual employ-
power brokers.19 ment contracts as they are able to negotiate.23
However, for the most part, the ability to endure the reali-
To suggest that the experience of New Haven is typical of
ties of the position of chief of police requires a unique blend
most communities would be an inaccurate generalization, but
of talent, skill, and knowledge that is often not “guaranteed”
there is little doubt that the council’s fiscal control over the
in statute or law. The reality is that few protections exist for
police department’s budget and its legislative powers make it a
persons occupying the highest position of a police agency
political force that is never taken lightly by chiefs of police. As
except for those developed in the person themselves. That is
a matter of fact, most police chiefs will go to great lengths to
to say, the characteristics and qualities of excellent manage-
maintain the goodwill and support of their council members.
ment and leadership imbued in the person are generally the
reasons a chief remains in office.

POLITICS AND THE POLICE CHIEF

A study conducted in California showed that the average tenure TENURE AND CONTRACTS
of a police chief in that state was less than 3 years before the
chief was fired or resigned.20 Even though the tenure of police
FOR POLICE CHIEFS
chiefs across the nation has somewhat improved since this study Police chiefs who lack protection from arbitrary and unjustified
was conducted, the national average is still only about 5 years21 termination cannot objectively and independently fulfill their
with most chiefs still having no contract or agreement. Of course, responsibilities. They will also likely be less willing to implement
the reasons for police chiefs leaving their positions are numer- innovative programs that are controversial. This is so because a
ous, including the opportunity to move to another (often larger) failure could jeopardize their position.
police department with better pay and improved benefits, poli- The conservative nature of many police chiefs and their
tics, health issues, stress, personal issues, retirement, and, of risk-aversive tendencies are not surprising when one considers
course, dismissal. Much has been written about the need for where police chiefs come from. Most top police executives
some type of protection for police chiefs against the arbitrary today, as in the past, reach their position as police chief in the
and unjustified removal from office by an elected or political twilight of their policing careers. Charles Gain, former chief of
officeholder.22 In some states, such as Illinois, statutory protec- the Oakland, California, Police Department, argued that police
tions have been implemented to protect police chiefs against chiefs in this twilight period tend to resist organizational
such actions. Special boards or commissions have been created change because they fear the loss of the position for which
for the sole purpose of establishing recruitment, selection, and they have so long waited, and as they are in the final stages
retention policies for chiefs of police. In Illinois, the law prohib- of their career, they engage in a “holding action.”24 Gain fur-
its the removal or discharge of a member of the fire or police ther commented that, when chiefs make it to the top, they are
department (including the chief) without cause; the individual not going to jeopardize their position by setting new goals and
must also be given written charges and an opportunity to be moving ahead.25
heard in his or her defense. While this is a state mandate, these Researchers of the Police Executive Development Project at
protections are available only when there is no local ordinance Pennsylvania State University found that top police executives
prescribing a different procedure. If such an ordinance exists, showed greater devotion to their own job security than for the
the statute requires the municipal appointing authority to file the citizens they served. Their findings also indicated that top police
reasons for the chief’s removal but does not require a showing executives showed greater submission to authority than did the
of cause or a hearing. general public. This subservient attitude is formed as a result of
New Hampshire affords significant protection to police chiefs. working in a rigid organizational structure that demands and
It requires written notice of the basis for the proposed termina- rewards obedience to authority.26 The results of the project indi-
tion, a hearing on the charges, and a finding of cause before the cated that the average police executive failed to possess initia-
dismissal can be effected. Minnesota, on the other hand, pro- tive, self-reliance, and confidence because of a lifelong habit of
vides no mandatory protections for police chiefs but does submission and social conformity. The study concluded that
require they be included in any civil service system adopted by these findings correlate to some extent with the suggestion that
a municipality. police chiefs tend to treat their job as a sinecure and are inca-
A few other states have attempted to provide police chiefs pable of innovation at this late stage in their police careers.27
with at least some job security whenever they have been pro- Without some form of contract protection, it is difficult to expect
moted from within the ranks of the police department. Both any police chief to jeopardize his or her job by implementing a
Illinois and Ohio allow chiefs who resign or who are removed vision or a program that has any chance of failure.

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A d m inis t rat ion 119

A strong criticism of the position came from Brammer and

POLITICS AND THE COUNTY Hurley, who wrote A Study of the Office of Sheriff in the United
States Southern Region in 1968.34 After they alluded to the sheriff
SHERIFF as often the most important, if not the sole, law enforcement
There are approximately 3,100 county sheriff’s departments in agency in many unincorporated areas of the South, they added:
the United States.28 The county sheriff’s department is unique
The elected nature of the office has been cause for the most
among American law enforcement agencies in terms of both
serious indictments of the office. Allegations regarding a
its role and its legal status.29 However, in discussions about
sheriff being required to participate in partisan politics in
police administration, sheriff’s departments have too often
order to hold his office are the most prevalent criticism. Yet
been overlooked. Historically, the tasks and roles of sheriff’s
in reality, all law enforcement executives are politicians in
departments and police departments have been fundamentally
one form or another. Some may refute this assertion, but
different.30 Sheriff’s law enforcement functions have often
only out of misguided notions that politicians are evil or that
been relegated to jurisdictions of sparse populations that can-
an administrator cannot be a politician and a professional
not support municipal police agencies. Sheriffs are typically
manager at the same time. Realistically, a politician is noth-
elected, as opposed to their appointed counterpart police
ing more than a person accountable to the public for deci-
chiefs. In addition, sheriffs routinely have a custodial role in
sions made in the performance of duty. Certainly a police
the detention of prisoners not common to municipal police
chief or police commissioner could fall into this category as
functions. This all changed somewhat after World War II,
easily as a sheriff.35
when populations expanded into rural areas that eventually
became the suburbs. This eliminated part of the distinction
between sheriffs and chiefs when big-city problems came to Unique Legal Status of Sheriffs
these areas.31 The county sheriff’s legal status is unique in two ways. First, in
The 20th century brought a marked decline in the political 37 states, it is specified by the state constitution. As a result,
strength of sheriff’s departments in many parts of the country. major changes in the office of sheriff require a constitutional
As law enforcement became more abundant, a curious aca- amendment which is not always easily accomplished.
demic neglect of the office of the sheriff resulted in serious In terms of size, with some notable exceptions such as the
breaks of understanding regarding the role of sheriff in the Los Angeles County Sheriff’s Department (see Figure 4.5), most
criminal justice system. The early 20th century literature about sheriff’s departments are small. Nearly two-thirds of them employ
policing and law enforcement analyzed the office as a jailer, fewer than 25 sworn officers, and a third employ fewer than 10.
court bailiff, process server, and county tax collector. However About half serve a population of less than 25,000.36
little, if any, emphasis was placed on the office in police lit- As elected officials, sheriffs are important political figures. In
erature, and if there was reference to the position, it was many rural areas, the sheriff is the most powerful political force
generally unfavorable. In 1925, Bruce Smith’s book The State in the county. As a result, sheriffs are far more independent than
Police referred to the sheriff’s office as a “dying medieval” appointed law enforcement executives because, as discussed
throwback. A later book by the same author, Rural Crime earlier, police chiefs can be removed by the mayors or city
Control, alluded to county government in general as the “dark managers who appoint them. However, this is not to suggest
continent of American politics.” A 1935 book by A. E. Parker that because sheriffs enjoy greater independence than police
and A. Vollmer, Crime and the State Police, stated that the chiefs they are not subject to powerful political forces within
sheriff was an outdated law enforcement institution.32 their communities. Indeed, because the office is usually an
Patterns of academic neglect continued after mid-century, elected position, there is considerable media scrutiny and state
even as the nation’s police interest was escalating. O. W. Wilson accountability. Individuals seeking the position of sheriff must
neglected to mention sheriffs in his 1950 book Police Adminis- run for public office the same as any other public official.
tration. R. E. Clift neglected reference to the position in the 1956 In fact, the office of sheriff is the only local law enforcement
edition of A Guide to Modern Police Thinking but did make position recognized and decreed by many state constitutions, a
small reference to the office in his third edition in 1970. George holdover from the days when local sheriffs were the only law
Felkenes devoted considerable discussion to the decrease and of the land.
scope of the office in an inverse relationship with urbanization The extent to which politics, in the negative sense, enters
in his 1973 The Criminal Justice System: Its Functions and into the sheriff’s race and subsequently into the operations of
Personnel. He further observed that sheriffs were banished to the sheriff’s department varies radically from community to
only four modes of operation: (1) contract law enforcement for community and even among sheriff’s races. For example, in
small or rural communities, (2) supervision of metropolitan states in which sheriffs—because they are constitutional offi-
police agencies along the East Coast only, (3) civil process func- cers—are not bound by normal purchasing restrictions, some
tions, and (4) custodial functions as prescribed by law.33 Some potential for abuse exists. If a candidate running for the office
law enforcement journals have noted that the sheriff’s law of sheriff has accepted a large donation from a certain business,
enforcement functions lacked the professional standards of there would likely be an expectation of reciprocity in return for
larger police departments. such “support.” This could result in purchases of cars from

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 120 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

Figure 4.5 c Recent graduates of the Los Angeles County Sheriff’s Department police academy. This organization is one
of the largest of its kind in the United States with nearly 18,000 sworn and professional staff. (Courtesy of Los Angeles County Sheriff’s
Department)

highly qualified opponent contacted one of his vice squad offi-

Quick Facts: Length of Terms the cers to see if he could create a situation that would be embar-
Sheriffs Will Serve Vary rassing to his opponent. The vice squad officer made contact
with a young and exceptionally attractive prostitute, who also
served as his informant. He asked her to approach the man run-
In 43 states, sheriffs are elected to 4-year terms. In two ning against the incumbent sheriff at his place of business and
states, Arkansas and New Hampshire, their terms are 2 years try to entice him into joining her in a nearby hotel to have sex.
in length. In New Jersey, a sheriff’s term is 3 years in length The preselected hotel room had been set up with audiovisual
and in Massachusetts it is 6 years in length. Alaska has no equipment, so that the entire event could be recorded. Once the
county government; thus they do not have any Sheriff’s planned act was consummated and recorded, the videotape
Offices. In Connecticut, sheriffs have been replaced with would be sent to the candidate’s wife, along with copies to his
a State Marshall system, and in Hawaii, there are no sher-
minister and other key people in his life. It was felt that such a
iffs but deputy sheriffs serve in the Sheriff’s Division of the
tape in the hands of these people would be sufficiently disrup-
Hawaii Department of Public Safety.37
tive to the candidate’s personal life to make him ineffectual as a
campaigner. The prostitute, as instructed, did go to the business
of the candidate and attempted to entice him to join her. The
“loyal” car dealers, food for jail inmates from certain distributors, candidate, who was a politically astute individual, saw through
uniforms from a specific uniform company, and so forth. How- this transparent farce and told the woman to leave his business.
ever, a sheriff who becomes too partisan in his or her purchas- However, as soon as she left, he very discreetly followed her for
ing risks disappointing other vendors. As such, a marshaling of a couple of blocks and saw her getting into an unmarked sher-
support for a different candidate in the next election usually iff’s department vehicle, which was being driven by the vice
occurs. The “real politics” of such a situation is that, while more squad officer, whom he recognized. When the election was held,
purchases will be made from key supporting organizations, the the incumbent sheriff lost. Since this was only one of many “dirty
incumbent must “spread around” enough purchasing to appease tricks” attempted by a number of employees of the sheriff’s
other vendors. department, the newly elected sheriff immediately “cleaned
Then, too, there are potentials in any political environment house” and fired everyone who he could prove (or suspected)
for dirty campaigns, and sheriff’s races are no exception. For was involved in the efforts to embarrass him.
example, several years ago, an incumbent sheriff who realized Inside the sheriff’s department, politics can also be a decisive
he might not be reelected because of strong opposition from a factor in the operational effectiveness of the organization. It is

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no accident that increased enforcement activity by the local Then again, some chiefs may decide to “go public” and try to
­sheriff’s department usually precedes an election. The activity mobilize community support for enforcing the ignored viola-
usually focuses on highly visible suspects or signs of disorder. tions. However, few police chiefs take this course of action
Characteristic events include the roundup of local prostitutes, the because it could result in a serious deterioration in the working
crackdown on street corner vagrants, and the closing of “X-rated” relationship with the local prosecutor, a situation most would
video stores, all of which just happen to ensure considerable prefer to avoid.
positive media attention. The interpretation is obvious—that the From the prosecutor’s perspective, a cordial relationship
incumbent sheriff is “tough” on crime. Sheriffs serving in smaller with the police is also a desired condition. This is not, however,
counties may even instruct their deputies to decrease the number always possible. For example, the prosecutor cannot ignore
of traffic citations that are given, except for the most serious suspicions of corruption or other illegal activity by local police
violations such as DUI and reckless driving, and to start issuing officers. When prosecutor-led investigations become public
more warning traffic citations, especially to those motorists who knowledge or lead to indictments, a prosecutor’s rapport with
live in the county. This, of course, is based upon the assumption the police can be severely strained and may require sustained
that unhappy citizens could translate this dissatisfaction in a vote effort to recultivate. The resulting tension may become high if
against the incumbent sheriff. officers believe that the prosecutor is “sticking it to the police
One of the most important political processes that impact department by dragging the thing out,” or by not allowing
the internal organization is the absence of local or state civil affected officers to plea bargain to lesser charges, or if the
service boards. In many states, employees of the county sher- prosecutor is suspected of furthering his or her career at the
iff’s department serve at the pleasure of the current sheriff. officers’ expense.
Therefore, if the incumbent sheriff either decides not to run
for office or is defeated in the next election, the newly elected
sheriff may decide to fire a high percentage of the employees
currently working at the sheriff’s department. However, if
THE JUDICIARY
wholesale dismissals do occur, this will result in a lack of Once the police have made an arrest and brought the arrestee
continuity in the skill level of employees and affect the quality before a judge, from pretrial release onward the case is
of service being delivered to the public. It also creates enor- within the domain of the judiciary. In its assessment of the
mous job insecurity and provides a mechanism whereby relationships of the judiciary and the police, one government
unqualified persons may be elected to one of the highest report noted that trial judges have acted as chief administra-
positions of law enforcement in the community. Thus, the tive officers of the criminal justice system, using their power
very nature of the electoral process and the enormous power to dismiss cases as a method of controlling the use of the
inherent in the office can foster an environment in which criminal process. However, except in those rulings involving
politics prevails. the admissibility of evidence, this has been done largely on
an informal basis and has tended to be haphazard, often
reflecting primarily the personal values of the individual trial
judge.39
STATE PROSECUTOR In contrast, the function of trial judges in excluding evidence
The prosecutor, also called the state’s attorney, district attor- that they determine has been obtained illegally places them very
ney, or commonwealth attorney, is the chief law enforcement explicitly in the role of controlling police practices. Trial judges
officer under the statutes of some states, but in most states, it have not viewed this role as making them responsible for devel-
is the sheriff. However, despite this designation, the state pros- oping appropriate police practices. However, many trial judges,
ecutor does not have overall responsibility for the supervision when asked to explain their decisions, indicate that they have
of the police.38 Even so, the prosecutor’s enforcement policies, no more responsibility for explaining decisions to police than
procedures for review of all arrests before their presentation in they have to private litigants.40
court, and overall supervision of the cases prepared by the Occasionally, judges grant motions to suppress evidence to
police do have an observable effect on police practices and dismiss cases they feel should not be prosecuted because the
enforcement policies. The initial contact of police officers with violation is too minor or for some other reason. The use of a
prosecutors occurs when the former brings a complaint to be motion to suppress evidence in this manner confuses the stan-
charged. This encounter may be critical because it is an impor- dards that are supposed to guide the police and has a disturbing,
tant point for making decisions about the disposition of the if not demoralizing, effect on them.41
case and whether the complaint will be dismissed or reduced If judges consistently interject their personal biases into the
to a lesser offense. This discretionary power given to the pros- judicial process and make it very clear to the police they will
ecuting attorney has tremendous influence on the ways and the dismiss certain categories of violations, the police may discon-
extent to which certain laws are enforced or ignored. Police tinue enforcing that law.
chiefs who perceive that the prosecutor consistently reduces or For example, one of the co-authors of this book had previ-
fails to vigorously enforce certain types of violations may very ously been a motorcycle officer whose primary functions were
likely divert their enforcement efforts and resources elsewhere. traffic law enforcement and accident investigation. It became

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 122 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

apparent during the course of investigating traffic accidents TYPES OF CITIZEN OVERSIGHT
that one of the major causes of rear-end collisions was drivers
who were following too close. However, it was the practice of SYSTEMS
his agency not to issue traffic citations for following too close
unless an accident had occurred. In an effort to be proactive, There is no single model of citizen oversight. However, most
he decided to start issuing traffic citations to motorists who procedures have features that fall into one of four types of over-
were clearly following too close but to do so before accidents sight systems:
­actually occurred. At the end of his shift, like he routinely did, dd Type 1: Citizens investigate allegations of misconduct and
he submitted his traffic citations for the following too close recommend findings to the chief or sheriff.
violations to his supervisor, who wanted to know where the dd Type 2: Police officers investigate allegations and develop
accident reports were. He explained that there were no traffic findings; citizens review and recommend that the chief or
accidents and that this was his effort to be proactive and pre- sheriff approve or reject their findings.
vent rear-end collisions from occurring by enforcing the traffic dd Type 3: Complainants may appeal findings established by
violations against following too close before the accidents
the police or sheriff’s department to citizens, who review
occurred. The sergeant just smiled and accepted the tickets
them and then recommend their own findings to the
without saying a word. When the court date came to appear
chief or sheriff.
before the judge, along with the unhappy citizens who had
received the traffic citations, he started to testify about the fol-
dd Type 4: An auditor investigates the process by which the
lowing too close violations he had witnessed and the rationale police or sheriff’s department accepts and investigates
for issuing the tickets. When the judge realized that the traffic the complaints and reports on the thoroughness and
citations were issued without any accidents having occurred, fairness of the process to the department and the
he summarily dismissed all of the cases. The judge never told public.
him to stop writing traffic citations for this particular traffic
violation, but suffice it to say, no more traffic citations were Advantages and Drawbacks of Citizen
written for following too close unless there were rear-end
collisions. Oversight
Each type of system has advantages and drawbacks. For
example, oversight systems that involve investigating citizen
complaints (Type 1) can help reassure the public that inves-
CITIZEN OVERSIGHT OF tigations of citizen complaints are thorough and fair. How-
THE POLICE ever, hiring professional investigators can be expensive, and
the investigation models typically have no mechanism for
Since the 1960s, civil rights groups have argued that police soliciting the public’s general concerns about police
departments fail to investigate citizen complaints thoroughly or conduct.
fairly. As an alternative, they have demanded the creation of
citizen oversight of the police. Citizen oversight is defined as Concerns Expressed by Law Enforcement
a process by which people who are not sworn officers are
involved in some way in the review of citizen complaints
and Unions
against police officers. Citizen oversight rests on the assump- It is important to note that many police and sheriffs’ departments
tion that because of the police subculture, police officers can- are not pleased with trends involving citizen oversight of their
not objectively investigate complaints against fellow officers,42 agencies and have expressed some concerns (see Table 4.1).
and therefore, citizen oversight has grown tremendously in the These negative reactions also apply to some union leaders. One
last 30 years. spokesman for a local police association even predicted strong
negative consequences from rank and file officers should a city
decide to create an oversight board.

Quick Facts: Current PUBLIC INTEREST ORGANIZATIONS

Status of Police Oversight
Several years ago, the local chapter of the American Civil
Liberties Union (ACLU) in Oakland, California, had volunteers
In almost all big cities, there is now some form of over- systematically call different units of the Oakland Police Depart-
sight agency. The most recent report by the National ment and ask how to file a citizen complaint. The callers found
Association of Civilian Oversight of Law Enforcement that few Oakland officers handling their calls gave out correct
(NACOLE) reports that over 100 law enforcement agen- information. Many, apparently, were simply uninformed about
cies have reported they have some form of oversight.43 the department’s complaint process. Some others may have
deliberately not given out the right information. The ACLU

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A dm inis t rat ion 123

Quick Facts: St. Louis Police Threaten to Quit

or Slowdown if Civilian Oversight Passes

A bill to create a seven-member civilian oversight board for Roorda, a spokesperson for the St. Louis Police Officers’
the St. Louis, Missouri Police Department, is looking like a Association announced that St. Louis police officers will quit
sure bet to pass. The majority of the Board of Aldermen and the department or do only the bare minimum on patrol if the
even Mayor Francis are attaching their names to it. Jeff city creates the proposed civilian oversight board.44

table 4.1 C o nc e r ns m any p o li ce and sh e ri ff’s d e partme nts—and un ion

l e ade r s — e x p re ss abo ut ci ti ze n o ve rsi gh t—and p o ssi ble respon ses

Assertion: Citizens Should Not Interfere in Police Work

Concerns Responses
• T
 he chief must be held accountable for • Most oversight bodies are only advisory,
discipline to prevent misconduct.

• Internal affairs already does a good job. • E

 ven when the department already imposes appropriate discipline without
citizen review, an oversight procedure can reassure skeptical citizens that the
agency is doing its job in this respect.
• T
 he next chief or sheriff may not be as conscientious about ensuring that the
department investigates complaints fairly and thoroughly.

Assertion: Citizens Do Not Understand Police Work

Concerns Responses
• O
 versight staff lack experience in police • B
 oard members typically have pertinent materials available for review, and
work. ranking officers are usually present during hearings to explain department
procedures.
• O
 versight administrators need to describe the often extensive training they
and their staff receive.
• C
 itizen review is just that—citizens reviewing police behavior as private
citizens.

• O
 nly physicians review doctors, and only • D
 octors and lawyers have been criticized for doing a poor job of monitoring
attorneys review lawyers. their colleagues’ behavior.

Assertion: The Process Is Unfair

Concerns Responses
• O
 versight staff may have an “agenda”—they • O
 versight staff need to inform the department when they decide in officers’
are biased against the police. favor.
• O
 versight staff and police need to meet to iron out misconceptions and
conflict.

• N
 ot sustained findings remain in officers’ • Indecisive findings are unfair to both parties and should therefore be
files. reduced in favor of unfounded, exonerated, or sustained findings.

• A
 dding allegations unrelated to the citizens’ • Internal affairs units themselves add allegations in some departments.
complaint is unfair.

• S
 ome citizens use the system to prepare for • B
 oard findings can sometimes help officers and departments defend against
civil suits. civil suits.

Source: Citizen Review of Police: Approaches and Implementation, NIJ Issues and Practices, U.S. Department of Justice, Washington, DC, March 2001, p. 110.

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 124 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

report blasting the Oakland Police Department for this failure different standards and have varying levels of tolerance, but if
was only one in a long series of investigations and reports on the church leaders of a community mobilize and call on their
police misconduct by that organization. police chief to eradicate or reduce what they perceive to be a
The ACLU is a private, nonprofit public interest organiza- serious problem, there is a high probability that they will receive
tion. Private groups play an important role in police account- some positive response. And if the police chief suggests that the
ability. For the most part, they have been involved in attacking police department cannot cope realistically with the problem
police misconduct. The National Association for the Advance- because of limited personnel and resources, those church groups
ment of Colored People (NAACP) has a long record of fighting will likely begin applying pressure on the city officials to give
police use of excessive force against African-Americans. The the police chief the needed resources. Thus, the religious leaders
ACLU was responsible for some of the most important Supreme of the community can be powerful allies of the police chief in
Court cases involving the police. For example, ACLU briefs were certain types of enforcement efforts. On the other hand, this
the basis for the Court’s decisions in the landmark Mapp and pressure group may force the chief to redirect resources away
Miranda cases discussed earlier in this chapter. The ACLU has from areas that may have a higher priority.
been the leading advocate of citizen review of the police in New
York City, Los Angeles, and many other cities. At the same time,
the ACLU has defended the rights of police officers in cases
involving, for example, grooming standards and department
NEWS MEDIA
investigations of alleged police misconduct. The ACLU even pub- It is the responsibility of the police department, and especially
lished a handbook on The Rights of Police Officers.45 its top leadership, to establish and maintain a cordial associa-
tion with all media representatives.46 Both the electronic and
print news media can be powerful friends or devastating antag-
onists of a local police department and, to a great extent, this
CHAMBERS OF COMMERCE is determined by the attitudes, policies, and working relation-
AND SERVICE CLUBS ships among editors, news directors, and the police chief.
When friction does occur between the police and the news
Local chambers of commerce and service clubs typically are media, as it invariably does in every community, it frequently
supportive of efforts that lead toward efficient and clean govern- emanates from the events surrounding a major crime or an
ment. Although such groups are characterized as being apoliti- unusual occurrence.
cal, they do exercise considerable influence. Their support for Often in the case of major crimes or incidents, police depart-
improving the quality of law enforcement in the community is ments do not want to release information that will jeopardize
frequently heard in the chambers of city hall and is demonstrated the safety of the public or its officers, impair the right of a
through various community projects intended to assist local law suspect to a fair and impartial trial, or impede the progress of
enforcement. Attuned police chiefs realize the benefit to be an investigation. On the other hand, the news media have a
gained from the support of such groups, encourage personnel different orientation and duty: to inform the public. Although
to become active members in these clubs, and frequently join their goals are often compatible, the police and the news media
one or two themselves. Support from these groups is not surpris- can sometimes disagree irreconcilably. The following case illus-
ing when one considers that many are composed of men and trates this point.
women who are well educated and deeply involved in many
aspects of community leadership. Such groups often have mobi- One of the authors was involved in the investigation of the
lized behind a police chief to get much-needed budget increases murders committed by Theodore Robert (Ted) Bundy in
for salaries, additional personnel, and equipment. ­Tallahassee, Florida, and learned firsthand how differences in
philosophy can play out to the detriment of a criminal inves-
tigation and cause conflict between the media and law
enforcement. The facts are as follows:
CHURCHES At approximately 2 a.m. on a Sunday morning, Bundy entered
The religious leaders and congregations of the churches in a an unlocked door to the Chi Omega sorority house, located
community represent one of the most potentially powerful politi- near the campus of Florida State University. Prior to entering,
cal pressure groups in the community. Their influence can, and he had armed himself with a tree limb from a pile of firewood
frequently does, extend into the voting booth, which assures a that was in close proximity to the sorority house. After enter-
high degree of responsiveness from local elected officials. ing the sorority house, he went to the second floor, which
Church leaders and their congregations almost always find an was the bedroom area. In the first room, he encountered a
open door and a receptive ear at the office of their local police lone woman was asleep in her bed. He entered the room and
chief when they present their concerns. The problems that are clubbed her with the tree limb, rendering her immediately
frequently of greatest concern to such groups are vice-related, unconscious. He then strangled her with the pantyhose he
such as prostitution, massage parlors, X-rated theaters, and adult had brought to the scene with him. He left her room and
bookstores. It is true that individual communities impose went to a second room and proceeded to batter a second

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A dm inis t rat ion 125

sleeping woman with the tree limb. Like the previous victim, it leads” and this is true for both the print and electronic
he rendered her unconscious and then proceeded to strangle media. Bundy was eventually arrested, convicted, sen-
her manually. He also bit off the nipple of her right breast, tenced to death, and subsequently executed in the electric
bit her twice on the left buttocks, and sodomized her with a chair. Prior to his death he confessed to murdering
hairspray bottle. He left her room, went down the hall and 35 young women in three states.
entered a third room where he encountered two more sleep-
Other circumstances for potential tension or conflict in
ing women and proceeded to batter each of them. Neither of
police–news media relationships include “off-the-record” police
them was killed. Still armed with the tree limb, he started
information appearing in the news media, the occasional claim
walking down the flight of stairs leading to the front door of
by a police administrator that he or she was misquoted, and the
the sorority house when he was observed by one of the
involvement of press at the scenes of bank robberies, gangland
sorority women returning from a date. She had no knowledge
killings, and hostage situations or in the sensitive investigations
at that time that anything had occurred and the presence of
of kidnappings and drug rings.
a man in the sorority house, even at that time of the morning,
From a legal standpoint, the police may release relevant infor-
was not that unusual. Bundy then left the premises, but
mation about a defendant if it is not prejudicial to the defen-
shortly after leaving, one of the injured women started
dant’s right to a fair trial. Many police departments have policies
screaming for help and at that point the police and medical
that protect the defendant’s rights, but those policies may
personnel were called.
obstruct the needs of reporters to gather images and information
The investigation involved three different law enforcement for the public.
agencies: the local sheriff’s office, the municipal police
department, and the campus police. At the end of the first
day, it was agreed that all 35 criminal investigators who had
worked independently of each other on the case would ALLEGED POLICE MISCONDUCT
meet at the municipal police department headquarters to
discuss facts they had gathered. It was made clear to all IN BALTIMORE, MARYLAND, AND
those present that highly specific information such as the
name of the only eyewitness and the ways in which
THE POLITICAL FALLOUT
the victims were killed and assaulted should not be released On April 12, 2015, a 25-year-old African-American male,
to the media because this information would jeopardize the Freddie Gray was arrested by Baltimore police officers after he
safety of the eyewitness, who said she would be able to ran from them. As a result of a fatal spinal cord injury he
identify the man if she ever saw him again. It could also received while in police custody, he died. Shortly after his
result in the possible destruction of physical evidence by funeral rioting broke out in the City of Baltimore. The follow-
the suspect or perhaps encourage him to flee the area. In ing are the facts of the case as set forth by the District Court
spite of this admonition, the following day the local news- of Maryland, Baltimore City.47
paper printed every detail of the crime, including the name
of the young woman who had observed the suspect leaving Statement of the Charges
the Chi Omega sorority house. Once she read the head-
On April 12, 2015, between 8:45 and 9:15 a.m., near the corner
lines, which identified her by name and location, she
of North Avenue and Mount Street, Lieutenant Brian Rice of the
packed her bags and went home. Her reaction was per-
Baltimore Police Department (BPD), while on bike patrol with
fectly understandable considering her personal safety con-
Officers Garrett Miller and Edward Nero, made eye contact with
cerns. The sheriff who was heading this investigation was
Mr. Freddie Carlos Gray, Jr. (DOB 8-16-1989). Having made eye
very upset by the release of this information, which very
contact, Mr. Gray subsequently ran from Lt. Rice. Lt. Rice then
likely had been provided to the newspaper by one or more
dispatched over a departmental radio that he was involved in
of the investigators at the meeting the day before. He went
a foot pursuit, at which time bike patrol Officers Miller and
to the local newspaper to talk to the editor to find out why
Nero also began to pursue Mr. Gray. Having come in contact
it was necessary to divulge all of this highly specific infor-
with the pursuing officers, Mr. Gray surrendered to Officers
mation, which endangered the victim’s life, and also raising
Miller and Nero in the vicinity of the 1700 block of Presbury
the possibility the suspect might now destroy important
Street. Officers Miller and Nero handcuffed Mr. Gray’s arms
physical evidence. The editor’s comment was that the pub-
behind his back and moved him to a location a few feet away
lic had the right to know all of the facts available on the
from his surrendering location. He was then placed in a prone
case and he would continue to publish any information
position. It was at this time that Mr. Gray indicated that he
provided from any source as long as it was reliable.
could not breathe and requested an inhaler to no avail. Officers
Also, there is little question, from a purely business per- Miller and Nero then placed Mr. Gray in a seated position and
spective, that the more sensational and salacious the infor- subsequently found a knife clipped to the inside of his pants
mation printed about the crime, the more papers that pocket. The blade of the knife was folded into the handle. The
would be sold. An old axiom in the media is “If it bleeds knife was not a switchblade knife and is lawful under Maryland

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 126 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

law. Those officers subsequently removed the knife and placed recognized need for medical assistance, Officer Goodson, in a
it on the sidewalk. Mr. Gray was then placed back down on his grossly negligent manner, chose to respond to the 1600 block
stomach at which time Mr. Gray began to flail his legs and of W. North Avenue, with Mr. Gray still unsecured by a seat belt
scream as Officer Miller placed Mr. Gray in a restraining tech- in the wagon, without rendering to or summoning medical
nique known as a “leg lace” while Officer Nero physically held assistance for Mr. Gray.
him down against his will until a BPD wagon arrived to trans- Officer Goodson arrived at North Avenue to transport the
port Mr. Gray. Lt. Rice, Officer Miller, and Officer Nero failed individual arrested at the location of North and Pennsylvania
to establish probable cause for Mr. Gray’s arrest as no crime Avenues, at which time he was again met by Officers Nero,
had been committed by Mr. Gray. Accordingly, Lt. Rice, Officer Miller, Porter, and Lt. Rice. Once the wagon arrived, Officer
Miller, and Officer Nero illegally arrested Mr. Gray. Upon arrival Goodson walked to the back of the wagon and again opened
of the transport wagon, driven by Officer Casear Goodson Jr., the doors to the wagon to make observations of Mr. Gray.
Lt. Rice, Officer Nero, and Officer Miller loaded Mr. Gray into Sgt. Alice White, Officer Porter, and Officer Goodson observed
the wagon and at no point was he secured by a seat belt while Mr. Gray unresponsive on the floor of the wagon. Sgt. White,
in the wagon, contrary to BPD General Order. Lt. Rice then who was responsible for investigating two citizen complaints
directed the BPD wagon to stop at Baker Street. At Baker Street, pertaining to Mr. Gray’s illegal arrest, spoke to the back of
Lt. Rice, Officer Nero, and Officer Miller removed Mr. Gray from Mr. Gray’s head. When he did not respond, she did nothing
the wagon, placed flex cuffs on his wrists, placed leg shackles further despite the fact that she was advised that he needed a
on his ankles, and completed required paperwork. Officer medic. She made no effort to look, assess, or determine his
Miller, Officer Nero, and Lt. Rice then loaded Mr. Gray back condition. Despite Mr. Gray’s seriously deteriorating medical
into the wagon, placing him on his stomach, head first onto the condition, no medical assistance was rendered to or summoned
floor of the wagon. Once again, Mr. Gray was not secured by for Mr. Gray at that time by any officer.
a seat belt in the wagon, contrary to BPD General Order. After completing the North Avenue arrest and loading the
Lt. Rice then directed Officer Goodson to transport Mr. Gray to additional prisoner into the opposite side of the wagon contain-
the Central Booking and Intake Facility. Following transport ing Mr. Gray, Officer Goodson then proceeded to the Western
from Baker Street, Mr. Gray suffered a severe and critical neck District Police Station, where contrary to the BPD General Order,
injury as a result of being handcuffed, shackled by his feet, and he again failed to restrain Mr. Gray in the wagon for at least the
unrestrained inside the BPD wagon. From Baker Street, Officer fifth time.
Goodson proceeded to the vicinity of Mosher Street and Fre- At the Western District Police Station, the defendant arrested
mont Avenue, where he subsequently parked the wagon and at North Avenue was unloaded, escorted, and secured inside of
proceeded to the back of the wagon in order to observe the police station prior to attending to Mr. Gray. By the time
Mr. Gray. Despite stopping for the purpose of checking on Officer Zachary Novak, Sgt. White, and an unknown officer
Mr. Gray’s condition, at no point did he seek, nor did he render, attempted to remove Mr. Gray from the wagon, Mr. Gray was no
any medical assistance for Mr. Gray. Officer Goodson returned longer breathing at all. A medic was finally called to the scene,
to his driver’s seat and proceeded toward the Central Booking where upon arrival the medic determined that Mr. Gray was now
and Intake Facility, with Mr. Gray still unsecured by a seat belt, in cardiac arrest and was critically and severely injured.
contrary to BPD General Order. Mr. Gray was rushed to the University of Maryland Shock
Several blocks later, Officer Goodson called into dispatch Treatment Unit, where he underwent surgery. On April 19, 2015,
that he needed to check on the status of this prisoner and Mr. Gray succumbed to his injuries and was pronounced dead.
requested additional units at Dolphin Street and Druid Hill The manner of death, deemed a homicide by the Maryland State
Avenue. Officer William Porter arrived on the scene near Medical Examiner, is believed to be the result of a fatal injury
Dolphin Street and Druid Hill Avenue. Both Officer Goodson that occurred while Mr. Gray was unrestrained by a seat belt in
and Officer Porter proceeded to the back of the wagon to the custody of the BPD wagon. All events occurred in Baltimore
check on the status of Mr. Gray’s condition. Mr. Gray requested City, Maryland.
“help” and indicated that he could not breathe. Officer Porter
asked Mr. Gray if he needed a medic, at which time, Mr. Gray
indicated at least twice that he was in need of a medic. Officer The Rioting Starts
Porter then physically assisted Mr. Gray from the floor of the On April 27, 2015, the funeral services were held for Freddie
van to the bench. However, despite Mr. Gray’s appeal for a Gray. That same afternoon rioting started in the same part of
medic, both officers assessed Mr. Gray’s condition and at no Baltimore where he had been arrested. The riots resulted in
point did either of them restrain Mr. Gray, per BPD General extensive burning and looting of hundreds of businesses in the
Order, nor did they render or request medical assistance. While area as well as dozens of police officers being injured primarily
discussing the transportation of Mr. Gray for medical attention, by bricks, stones, and other objects being thrown at them. In
a request for additional units was made for an arrest at 1600 the next couple of days an additional 5,000 thousand police
W. North Avenue. Officer Porter left the vicinity of Dolphin officers were brought to Baltimore from other Maryland cities
Street and Druid Hill Avenue to assist in the arrest of another and counties, as well as officers from New Jersey and
prisoner at North Avenue. Despite Mr. Gray’s obvious and Pennsylvania. Also called in for assistance was the Maryland

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A d m inis t rat ion 127

National Guard. A curfew was imposed from 10:00 p.m. to while he was handcuffed and shackled in the back of the van48
5:00 a.m. for 5 days and eventually the rioting was brought (see Figure 4.7).
under control (see Figure 4.6).
Charges Filed Against the Six Officers
The Decision to Prosecute dd Officer Caesar Goodson Jr.—second-degree murder,
Upon receiving the medical examiner’s report ruling that manslaughter, second-degree assault, two vehicular
Freddie Gray had died as a result of a homicide, the decision manslaughter charges, and misconduct in office.
was made by Baltimore State’s Attorney Marilyn Mosby to dd Officer Garrett Miller—second-degree assault, misconduct
charge the six officers criminally. She concluded that Mr. Gray in office, and false imprisonment.
should never have been arrested on the morning of April 12th. dd Officer Edward Nero—second-degree assault, misconduct
She also said police officers lacked probable cause to chase him
in office, and false imprisonment.
when he ran after making eye contact with the lieutenant and
it wasn’t against the law for him to have the knife that he was dd Sgt. Alicia White—involuntary manslaughter, second-
charged with illegally possessing. degree assault, and misconduct in office.
Ms. Mosby alleges that during the 45 min between the time dd Lt. Brian Rice—involuntary manslaughter, second-degree
of Mr. Gray’s arrest and his emergence from the back of a police assault, and misconduct in office.
van with a fatal spinal cord injury, all six officers at various dd Officer William Porter—involuntary manslaughter,
points saw him in need of medical help but offered no aid second-degree assault, and misconduct in office.

Figure 4.6 c Rioting breaks out in

Baltimore, Maryland, after the funeral of
Freddie Gray. (Andrew Burton/Getty Images)

Figure 4.7 c Baltimore, Maryland, State’s

Attorney, Marilyn Mosby, announcing the
criminal charges being placed against the six
Baltimore, Maryland, police officers on the death
of Freddie Gray. (Alex Brandon/AP/Corbis)

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 128 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

All six officers bonded out after being arrested and booked for
these charges but were subsequently indicted by a Baltimore
County, Maryland, grand jury. However, the false imprisonment
charges were dismissed by the grand jury.

The Political Divide

As a result of the death of Freddie Gray, there has emerged a
considerable political divide among the local prosecutors, mem-
bers of the minority community, and the police union represent-
ing these officers. For example, the Baltimore Chapter of the
Fraternal Order of Police called the speed at which the prosecutor
moved on the case politically motivated. “The actions taken
today by the State’s Attorney are an egregious rush to justice,”
said Michael E. Davey, the Union’s lawyer. “We believe that these
officers will be vindicated as they have done nothing wrong.”49
There is also a strong feeling among some pro-police advocates Figure 4.8 c Near the right ear note that the camera is
that the prosecutor’s decision was a political one as well as an attached to the frame of the sunglasses. The camera can eas-
effort to appease those who were rioting and looting in the ily be moved from one type of glasses to another. The model
hopes that they would discontinue their actions. also wears a body camera on his chest. It could easily be
On the other hand, there are those in the community who attached to an epaulette on a shirt or coat. (Courtesy
believe that the criminal charges placed against these six officers WOLFCOM®, a Los Angeles-based company that is a leader in
were justified and would like to see these officers punished and body-camera applications)
imprisoned. There have also been some anonymous threats that
if these officers are not convicted and sent to prison the rioting exactly what actions transpired between their officers and indi-
would start again. viduals who may be taken into custody. There is also the implied
The U.S. Department of Justice has also started a civil rights suggestion that such devices will deter those officers who might
investigation. Its focus will be to assess if any civil rights have been be inclined to engage in misconduct from doing so, as well as
violated as well as to determine if the Baltimore Police Department discouraging citizens inclined to make false allegations when
has a custom of employing discriminatory policies and practices they know the entire interaction is being recorded.
in dealing with the local African-American community, especially The body cameras that are presently being employed by law
as it relates to the use of excessive force and making unconstitu- enforcement agencies are small in size and can be hooked onto
tional searches and arrests. At the time this book was being revised collars, caps, shirt labels, sunglasses, and even worn on the ear.
Officer William Porter had already been tried but the case was Even the ACLU, which generally is wary of surveillance,
declared a mistrial and Officer Edward Nero had also been tried recently expressed support for the use of such cameras. How-
and was found not guilty. ever, they do acknowledge that privacy concerns of the police
Only time will tell what the final outcome of this case will be, and public and its import comes with conditions. “I absolutely
but hopefully in the end it will be based upon the legal facts of know this tool will transform policing,” Scott Greenwood, a
the case and not upon emotions or political considerations. police accountability attorney and general counsel for the ACLU,
said in an interview. “It’s an unalloyed good, provided that there
are policies in place that mandate the use of devices rather than
THE USE OF POLICE BODY-WORN leaving it up to the discretion of the officers.”50
Because increasing numbers of police departments are pres-
CAMERAS AND POLITICS ently using the cameras both objective and anecdotal informa-
tion seems to be accumulating pointing to the benefits of
The question that is consistently raised in police–citizen interac-
cameras. For example, the Institute of Criminology at the Uni-
tions is what can be done to prevent officers from using excessive
versity of Cambridge recently conducted a body camera study
force in the first place and equally important what can be done to
with the Rialto Police Department, California, and the results
determine, with a high degree of certainty, what actually transpired
were that complaints against officers dropped by 88 percent and
in an interaction between a police officer and a citizen when there
officers wearing cameras used force almost 60 percent less.51,52
is an allegation of excessive force or other misconduct is alleged.
One of the technological innovations that can assist both law
enforcement agencies as well as citizens in coming to a reason- The Catalyst for Accelerated Change
ably definitive conclusion as to just exactly what did transpire is There was previously a slow but steady trend toward police
through the use of body-worn cameras (BWCs) worn by police departments utilizing BWCs for their police officers. However,
officers (see Figure 4.8). Police administrators who are in favor this trend dramatically accelerated starting in August 2014 after
of the use of these devices argue that they can provide valuable a Ferguson, Missouri, white police officer Darren Wilson shot
evidence in court and provide a clear and objective image of and killed 18-year-old Michael Brown, a black teenager.

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A d m inis t rat ion 129

Figure 4.9 c Police guard the Ferguson,

Missouri Police Department and Municipal Court
building as rioting erupts following the grand
jury announcement exonerating Officer Darren
Wilson in the shooting of Michael Brown.
(Scott Olson/Getty Images)

Not surprisingly, there was considerable conflicting testimony reason that the police would have to obtain consent from the
between Officer Wilson and some of the eyewitnesses. Because citizen before recording the encounter.
there was no video recording from either a dash camera or a It is imperative that the privacy issue be thoroughly reviewed
BWC the grand jury had to rely upon physical, ballistics, forensic, with legal counsel and legal advice strictly followed. The rea-
and crime scene evidence, medical reports, autopsy reports as sonable expectation of privacy doctrine will certainly be at the
well as hearing the testimony of dozens of witnesses. In the end, forefront of this issue, but it is not always crystal clear for
the grand jury concluded that Officer Wilson was justified in operational purposes.57
using deadly force in defense of his life. The U.S. Department of
Justice, Civil Rights Division, which conducted its own investiga- Redaction Capabilities
tion, came to the same conclusion.53 However, in spite of the
Any camera system selected must have easy-to-use redaction soft-
overwhelming evidence to support these findings, there were
ware for both the video and the audio or be compatible for
many in the community who disputed the grand jury findings;
redaction with other software. It is very likely that many record-
thus, this is precisely the kind of case where a video recording
ings will be released to the public, for example, via each state’s
of the events would have been very useful to reconcile some of
open record law. At the same time, there may be certain sections
the conflicting accounts by eyewitnesses.54
of the released video or audio that the law requires to be redacted
Following the grand jury’s decision to exonerate Officer Wilson
or blocked out. Absent user-friendly software for redaction pur-
from any wrongdoing a riot erupted in Ferguson, Missouri, fol-
poses, the agency could experience significant complications.
lowed by major demonstrations in numerous cities throughout the
Demonstration visits from the vendors should include a thorough
United States (see Figure 4.9).
demonstration of the software’s redaction capability.58

Body-Worn Cameras (BWCs) Storage of Recordings

and Privacy Issues Digital recordings can consume a lot of space. An in-house anal-
Police officers routinely patrol their communities on a daily basis, ysis by one agency with 200 sworn officers indicated that 33
responding to calls for assistance as well as initiating citizen con- terabytes of storage would be needed each year, based on a
tacts. Completing their duties often takes police inside people’s conservative estimate of 1 hour of recording per officer work
homes and businesses, as well into alleys, fields, cars, and a wide shift.59 The amount of space needed will be contingent on three
variety of other locations. Additionally, what officers actually see primary variables: (1) the number of officers using the BWCs,
and hear on some of these calls can be very graphic and personal. (2) the policy requirement for recording, and (3) the retention
With these thoughts in mind, agencies implementing the use of requirements for the recordings. Smaller agencies will likely
BWCs should consult closely with their legal advisor to ensure need less storage capacity than medium and large agencies.
the operational protocol properly addresses privacy concerns.55 Continuous recording will result in a massive amount of stored
A second aspect of the privacy issue is states’ laws governing data, but recording only during citizen contacts will significantly
audio or video recording of parties involved in the communica- reduce the storage space required. How long the recordings
tion. States can be described as a one-party consent state or a must be saved will probably be determined by state laws govern-
two-party consent state. In one party state, only one party to the ing the retention of official records.60
communication has to consent for the recording to be legal.56 In In-house storage of video data requires significant expendi-
a two-party consent state, all parties to the communication must ture of resources, including servers, redundancy, proper physi-
consent for the recording to be legal. In those states, it stands to cal space, and IT personnel. Using cloud storage can reduce

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 130 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

the cost by as much as 30–50 percent and give the agency Officers often use the “pretext” or “suspicious vehicle stop”
access to cutting-edge technology and the best security avail- argument to justify their actions as legal (e.g., using a legal
able.61 Considerable preplanning for storage is critical for pretext, such as an illegal lane change or broken license plate
proper maintenance of the data.62 light, to stop the vehicle and then gain a basis to search for
illegal drugs).66 However, if a specific crime occurs (e.g., a
Costs rape, robbery, or a murder) and the suspect description by a
witness includes race, gender, or ethnicity, it is lawful for the
Agencies contemplating the use of BWCs should calculate the
police to stop a citizen on the basis of how closely the indi-
total costs of the implementation, including start-up costs and
vidual resembles the characteristics or description within the
maintenance costs. Start-up expenses, at a minimum, include
“profile” (see Figure 4.10).
the cameras, any accessories, policy development, data storage,
training, and related infrastructure or technical costs, such as
space requirements for equipment and technical training of Media Accounts of Profiling on Local
appropriate employee(s) to oversee the system. Maintenance and National Politics
costs, at a minimum, will include manpower associated with Starting in the late 1990s, racial profiling became a major race
managing and maintaining the equipment. Additionally, camera relations issue in U.S. politics, and the media played a promi-
replacement due to breakage (physical altercations with sus- nent role in bringing it to national attention. The media’s
pects) and technical malfunctions will need to be considered. account of illegal treatment of minority citizens led many state
The ongoing cost associated with storage of the data must be governments to enact legislation that would ban racial profiling
calculated, and the potential increase in open records requests and hold police organizations accountable for systematically
and the resultant workload increase must be considered. The targeting minority citizens. In addition to the legislation, in
personnel cost could increase substantially after factoring in 1999, Attorney General Janet Reno convened the Strengthening
redaction requirements.63 Police-Community Relations Conference held in Washington,
DC, with the purpose of assisting police organizations in col-
lecting data on this issue. By 2000, more than 4,000 law
RACIAL AND ETHNIC PROFILING enforcement agencies across the United States were involved
in data collection efforts. As early as 1999, several states—
Nothing has fueled the political fire between police and minor- including North Carolina—adopted legislation that required
ities more than the use of race and ethnicity as criteria in data collection on every police-initiated stop. In North Carolina,
police decision making during discretionary traffic and field Senate Bill 76 required all state law enforcement agencies to
interrogation stops, often described as “racial and ethnic profil- track the race and ethnic backgrounds of motorists stopped to
ing.”64 Weitzer and Tuch define racial profiling as “the use monitor officers who might be targeting minority drivers. Prior
of race as a key factor in police decisions to stop and inter- to Senate Bill 76, officers recorded the race/ethnicity of motor-
rogate citizens.”65 The term has several meanings, most of ists who were formally cited for a violation (e.g., citations and
which are associated with law enforcement officers making the written warnings). By 2015, the majority of states had passed
decision to stop an individual because of race or ethnicity. similar legislation.67

Figure 4.10 c Racial profiling in traffic stops

have become an increasingly controversial issue
in police procedure. (Steve Lehman/Corbis Saba)

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A d m inis t rat ion 131

The Role of the U.S. Department of Justice

in Investigating Allegations of Police Profiling

Earlier in this chapter, we briefly discussed the investigation enforcement of Ferguson’s municipal code, with insuffi-
conducted by the U.S. Department of Justice (DOJ), Civil cient thought being given to whether enforcement strate-
Rights Division of the shooting involving Officer Darren Wil- gies promote public safety or unnecessarily undermine
son of the Ferguson, Missouri, Police Department (FPD) community trust and co-operation. Officer evaluations
and Michael Brown, an unarmed African-American teen- and promotions depend to an inordinate degree on “pro-
ager. The investigation by the DOJ was to determine if the ductivity,” meaning the number of citations issued. Partly
shooting was justified. However, the DOJ investigators as a consequence of City and FPD priorities, many officers
expanded their investigation to examine the operations appear to see some residents, especially those who live
and practices of the FPD after serious allegations were in Ferguson’s predominantly African-American neighbor-
raised by members of the African-American community that
hoods, less as constituents to be protected than as poten-
racial profiling was being employed by this agency. The
tial offenders and sources of revenue.
DOJ released their very comprehensive report on March 4,
This culture within FPD influences officer activities in all
2015, and investigators determined that there were at least
five problem areas as it relates to the potential profiling of
areas of policing, beyond just ticketing. Officers expect and
African-Americans residing in the city of Ferguson. These demand compliance even when they lack legal authority.
categories were: They are inclined to interpret the exercise of free-speech
rights as unlawful disobedience, innocent movements as
• The Use of Enforcement for the Purpose of Generating physical threats, and indications of mental or physical ill-
Revenue ness as belligerence. Police supervisors and leadership do
• Police Practices too little to ensure that officers act in accordance with law
• Municipal Court Practices and policy and rarely respond meaningfully to civilian com-
• Racial Bias
plaints of officer misconduct. The result is a pattern of stops
without reasonable suspicion and arrests without probable
• Community Distrust68 cause in violation of the Fourth Amendment; infringement
on free expression, as well as retaliation for protected
expression, in violation of the First Amendment; and exces-
The Use of Enforcement for the Purpose
sive force in violation of the Fourth Amendment.
of Generating Revenue
The DOJ report said that Ferguson’s law enforcement Municipal Court Practices
practices were shaped by the City’s focus on revenue
Ferguson has allowed its focus on revenue generation to
rather than by public safety needs and that this emphasis
fundamentally compromise the role of Ferguson’s municipal
on revenue has compromised the institutional character
court. The municipal court does not act as a neutral arbiter
of Ferguson’s police department, thus, contributing to a
of the law or a check on unlawful police conduct. Instead,
pattern of unconstitutional policing. This has also shaped
the court primarily uses its judicial authority as the means
its municipal court and has led to procedures that have
to compel the payment of fines and fees that advance the
raised due process concerns and inflicted unnecessary
City’s financial interests. This has led to court practices that
harm on members of the Ferguson community. Further,
violate the Fourteenth Amendment’s due process and
Ferguson’s police and municipal court practices both
equal protection requirements. The court’s practices also
reflect and exacerbate existing racial bias, including racial
impose unnecessary harm, overwhelmingly on African-
stereotypes. Ferguson’s own data establish clear racial
American individuals, and run counter to public safety.
disparities that adversely impact African-Americans. This
Most strikingly, the court issues municipal arrest war-
evidence also showed that discriminatory intent is part of
rants not on the basis of public safety needs, but rather as
the reason for these disparities. Over time, Ferguson’s
a routine response to missed court appearances and
police and municipal court practices have sown deep mis-
required fine payments. In 2013 alone, the court issued
trust between parts of the community and the police
over 9,000 warrants on cases stemming in large part from
department, undermining law enforcement legitimacy
minor violations such as parking infractions, traffic tickets,
among African-Americans in particular.69
or housing code violations. Jail time would be considered
far too harsh a penalty for the great majority of these code
Police Practices violations, yet Ferguson’s municipal court routinely issues
The City’s emphasis on revenue generation has had a pro- warrants for people to be arrested and incarcerated for
found effect on FPD’s approach to law enforcement. Patrol failing to timely pay related fines and fees. Under state
assignments and schedules are geared toward aggressive law, a failure to appear in municipal court on a traffic
(continued )

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charge involving a moving violation also results in a license Municipal court practices likewise cause disproportion-
suspension. Ferguson has made this penalty even more ate harm to African-Americans. African-Americans are
onerous by only allowing the suspension to be lifted after 68 percent less likely than others to have their cases dis-
payment of an owed fine is made in full. Further, until missed by the court, and are more likely to have their
recently, Ferguson also added charges, fines, and fees for cases last longer and result in more required court encoun-
each missed appearance and payment. Many pending ters. African-Americans are at least 50 percent more likely
cases still include such charges that were imposed before to have their cases lead to an arrest warrant and accounted
the court recently eliminated them, making it as difficult for 92 percent of cases in which an arrest warrant was
as before for people to resolve these cases. issued by the Ferguson Municipal Court in 2013. Available
The court imposes these severe penalties for missed data show that, of those actually arrested by FPD only
appearances and payments even as several of the court’s because of an outstanding municipal warrant, 96 percent
practices create unnecessary barriers to resolving a munici- are African-American.
pal violation. The court often fails to provide clear and The DOJ investigation indicated that this disproportion-
accurate information regarding a person’s charges or court ate burden on African-Americans cannot be explained by
obligations. And the court’s fine assessment procedures do any difference in the rate at which people of different races
not adequately provide for a defendant to seek a fine violate the law. Rather, the investigation revealed that
reduction on account of financial incapacity or to seek alter- these disparities occur, at least in part, because of unlawful
natives to payment such as community service. City and bias against and stereotypes about African-Americans. It
court officials have adhered to these court practices despite found substantial evidence of racial bias among police and
acknowledging their needlessly harmful consequences. court staff in Ferguson. For example, the DOJ investigators
discovered emails circulated by police supervisors and
Racial Bias court staff that stereotype racial minorities as criminals,
including one email that joked about an abortion by an
Ferguson’s law enforcement practices overwhelmingly
African-American woman being a means of crime control.
impact African-Americans. Data collected by the FPD from
City officials have frequently asserted that the harsh
2012 to 2014 shows that African-Americans account for
and disparate results of Ferguson’s law enforcement sys-
85 percent of vehicle stops, 90 percent of citations, and
tem do not indicate problems with police or court prac-
93 percent of arrests made by FPD officers, despite com-
tices, but instead reflect a pervasive lack of “personal
prising only 67 percent of Ferguson’s population. African-
responsibility” among “certain segments” of the commu-
Americans are more than twice as likely as white drivers to
nity. The DOJ investigation found that the practices about
be searched during vehicle stops even after controlling for
which area residents have complained are in fact uncon-
non-race-based variables such as the reason the vehicle
stitutional and unduly harsh. But the City’s personal-
stop was initiated but are found in possession of contraband
responsibility refrain is telling: It reflects many of the same
26 percent less often than white drivers, suggesting that
racial stereotypes found in the emails between police and
officers are impermissibly considering race as a factor when
court supervisors. This evidence of bias and stereotyping,
determining whether to search. African-Americans are more
together with evidence that Ferguson has long recog-
likely to be cited and arrested following a stop regardless of
nized but failed to correct the consistent racial disparities
why the stop was initiated and are more likely to receive
caused by its police and court practices, demonstrates
multiple citations during a single incident. From 2012 to
that the discriminatory effects of Ferguson’s conduct are
2014, FPD issued four or more citations to African-­Americans
driven at least in part by discriminatory intent in violation
on 73 occasions but issued four or more citations to non-
of the Fourteenth Amendment.
African-Americans only twice. FPD appears to bring certain
offenses almost exclusively against African-Americans. For
example, from 2011 to 2013, African-­Americans accounted Community Distrust
for 95 percent of Manner of Walking in Roadway charges Since the August 2014 shooting death of Michael Brown,
and 94 percent of all Failure to Comply charges. Notably, the lack of trust between the FPD and a significant portion
with respect to speeding charges brought by FPD, the evi- of Ferguson’s residents, especially African-Americans, has
dence shows not only that African-Americans are repre- become undeniable. The causes of this distrust and divi-
sented at disproportionately high rates overall but also that sion, however, have been the subject of debate. Police
the disparate impact of FPD’s enforcement practices on and other City officials, as well as some Ferguson resi-
African-Americans is 48 percent larger when citations are dents, have insisted that the public outcry is attributable
issued not on the basis of radar or laser, but by some other to “outside agitators” who do not reflect the opinions of
method, such as the officer’s own visual assessment. “real Ferguson residents.” That view is at odds with the
These disparities are also present in FPD’s use of force. facts gathered during the investigation. The investigation
Nearly 90 percent of documented force used by FPD offi- has shown that distrust of the FPD is longstanding and
cers was used against African-Americans. In every canine largely attributable to Ferguson’s approach to law enforce-
bite incident for which racial information is available, the ment. This approach results in patterns of unnecessarily
person bitten was African-American. aggressive and at times unlawful policing; reinforces the

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A d m inis t rat ion 133

harm of discriminatory stereotypes; discourages a culture among many African-Americans. As a consequence of

of accountability; and neglects community engagement. these practices, law enforcement is seen as illegitimate,
In recent years, FPD has moved away from the modest and the partnerships necessary for public safety are, in
community policing efforts it previously had implemented, some areas, entirely absent.
reducing opportunities for positive police–community
interactions, and losing the little familiarity it had with
some African-American neighborhoods. The confluence DOJ Conclusion
of policing to raise revenue and racial bias thus has This investigation revealed a pattern or practice of unlaw-
resulted in practices that not only violate the Constitution ful conduct within the FPD that violated the First,70
and cause direct harm to the individuals whose rights are Fourth,71 and Fourteenth Amendments72 to the U.S.
violated but also undermines community trust, especially Constitution, and federal statutory law.

Political Fallout and Changes as a Result of the Ferguson,

Missouri Police Department Shooting Incident

• The Ferguson Police Department has agreed to overhaul • The enforcement of minor traffic violations and non-
its policies, training, and practices as a sweeping deal traffic city ordinance violations has been dramatically
with the Justice Department. reduced, with the hopes that it will result in fewer
• Thus far, three city officials have resigned. This includes negative contacts between FPD officers and African-
the city manager, a municipal court judge and the American citizens in the community.
police chief who was replaced by an African-American, • Ferguson officials have agreed to rewrite their municipal
Delrish Moss. code to limit the use of fines and jail time for petty
• The FPD has dramatically increased its efforts to recruit violations.
African-American males and females into the agency so • There is now a strong movement to emphasize a
that composition of its personnel more closely reflects community policing philosophy within the FPD.
the percentage of African-Americans living within the city • The FPD has purchased BWCs with microphones for all
of Ferguson, Missouri. patrol officers, supervisors, and jail personnel.73

Quick Facts: Minority Recruiting: An Uneven Trend

Nationwide, the total number of minority police officers has hundred officers, were substantially whiter than the popula-
risen, but they remain heavily concentrated in larger cities, tions they served. In these departments, the share of white
with the numbers falling off sharply in smaller ones. Data officers was greater than the share of white residents by
from a recent federal survey of police departments found more than 50 percentage points.74
that nearly 400 police departments, most with fewer than a

OTHER RECENT SIGNIFICANT scrutiny of law enforcement. Although each of the facts of these
situations has been quite different the political fallout has been
DEADLY ENCOUNTERS BETWEEN similar in that it has negatively impacted police–community rela-
tions. It remains to be seen whether these events represent a
THE POLICE AND AFRICAN- watershed moment in policing or a momentary disturbance,
AMERICAN MALES although the former seems more likely. Among the most highly
publicized string of police shootings are the following:
A series of recent citizen-generated cellphone video recordings
of deadly encounters between police officers and unarmed Afri- 1. On July 17, 2014, Mr. Eric Garner a 350 pound African-
can-American males which has been covered extensively by American man was on a street corner in New York City
social media and the news media has resulted in unprecedented selling “loosies,” which is the term used for selling one

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 134 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

cigarette at a time. While he was engaging in this act the Witnesses who were at the scene say they did not hear
price of a pack of cigarettes in New York City was the officers issue a warning.76 Seconds after the
approximately $13.00 a pack because of substantial city encounter, one officer shot and fatally wounded Rice,
taxes. A single “loosie” costs 75 cents, but two could be who died the next day. Tamir Rice could have been
purchased for a dollar. On the face of it, selling loosies mistaken for an adult, he was 5 feet 7 inches tall and
would appear to be a minor crime, except for the fact weighed approximately 195 lbs and looks like he was
that it deprives shop owners of the income from selling in his late teens or early 20s. An unidentified witness in
them and more importantly, the city loses substantial tax the police report is quoted as saying that he gave the
revenue from the practice. State-wide, loosies sales gun to Tamir and warned him someone might think it
deprive New York governments of $1.7 billion dollars in was a real gun.77
revenue, 6,700 jobs, and it is estimated that 60 percent of The Cuyahoga County Sheriff’s Office conducted the
the cigarettes smoked in the State of New York are investigation, producing a report of several hundred
illegally sold. Arguably, it was the motivation to fully pages. A Cleveland Police Union Official said the officers’
collect all legal tax dollars that contributed to Mr. Garner’s actions were “justified.” The Prosecutor presented all the
death and the police were the instrumentality to do so in evidence gathered from the shooting to a grand jury to
this July 17, 2014 encounter. consider whether rookie Officer Timothy Loehmann,
A police officer observing Mr. Garner engaged in who shot Tamir should face criminal prosecution along
selling these loosies approached him, determined he with his training partner, Officer Frank Garmback.78 The
was violating the law and advised him he was under grand jury concluded the shooting was justified and as a
arrest. When the officers tried to physically take him result the prosecutor decided not to file charges against
into custody he resisted. This officer, along with several either officer. However, recently the City of Cleveland
other officers at the scene, took him to the ground and settled the case with Rice family for $6 million.
placed him in handcuffs. One of the officers who 3. In Oklahoma on April 2, 2015, a White 73-year-old
wrestled Mr. Garner to the ground while holding him Tulsa County Reserve Deputy Sheriff assigned to the
around the neck claimed he was using an approved Violent Crimes Task Force pulled a gun and shot an
“take down” maneuver taught in the police academy. unarmed African-American man. The suspect, Eric
Others in the community claimed it was an illegal Harris, reportedly was on the ground struggling with
chokehold. While being held down on the pavement deputies trying to effect his arrest on charges related to
Mr. Garner complained several times that he could not the alleged sale of a 9 mm semiautomatic pistol and
breathe and subsequently died. 300 rounds of ammunition. The Reserve Deputy shot
All the officers, except the one holding Mr. Garner Mr. Harris, mistakenly thinking he had pulled his Taser
around the neck, were given immunity for their but in reality had pulled out his firearm.
testimony. However, the grand jury declined to indict Because the Reserve Deputy had 7 years’ experience
the officer who was holding him around the neck on and a strong training record, the mistake seemed
the pavement. This was also the same officer who had baffling. Some media outlets raised questions as to
made the initial contact with Mr. Garner and told him whether a 73-year-old man should even be a reserve
he was under arrest. As a result of the grand jury deputy and questions arose whether his training record
absolving this officer, several large demonstrations and was accurate. Questions were also raised about his
marches were held in NYC and around the country to contribution of equipment to the Sheriff’s Office,
demand justice for Mr. Garner.75 suggesting that this was at least part of the reason he
2. At approximately 3:22 p.m. on November 22, 2014, was granted special treatment. Following an
Cleveland (Ohio) Police Officers were responding to a investigation, the Reserve Deputy was charged with
911 call that someone had been taking a gun out of his second-degree Manslaughter.
waistband and pointing it at people in a local park. 4. On April 4, 2015, A North Charleston, South Carolina,
The dispatcher apparently did not pass on critical White Police Officer made a traffic stop of a vehicle
information that had been given by the person with a broken tail light. The driver, African-American
telephoning in the information that the “guy” was likely Mr. Walter Scott, ran from the Officer after a brief
a juvenile and the gun was “probably fake.” As the conversation. The two men ran into a park-like setting,
officers came to a stop and exited the car, an African- and Mr. Scott continued to run when he was reportedly
American juvenile later identified as 12-year-old Tamir ordered to stop by the Officer. A civilian passing by
Rice reached for, or pulled out a gun, which would used a cellphone to videotape the two men struggling
later be determined to be an air-soft pellet gun. and then Mr. Scott running away. The Officer fired eight
The orange tip on the gun, that would have alerted the times at the fleeing Mr. Scott, causing his death. The
officer it was not an actual weapon, was missing. autopsy report revealed that Mr. Scott had sustained
The police officers reported that they told Tamir to multiple gunshot wounds to his back. The video also
“Show your hands” three times before a shot was fired. depicts what appears to be the Officer moving one or

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more items at the scene closer to the body. ILLEGAL IMMIGRATION: THE
It is unclear why this was done but serious questions
can be raised whenever a crime scene is altered. The POLICE AND LOCAL POLITICS
officer claimed that during his initial encounter with Mr.
Scott he had to use a Taser and that Mr. Scott had In recent years, local police have become increasingly involved
initially tried to take his gun. The Officer was fired and in the identification and arrest of undocumented immigrants. The
charged with murder. In addition to the pending trial, a term “undocumented immigrant” generally includes several
federal civil rights investigation is on-going. Large categories of individuals who are subject to removal from the
demonstrations protested the shooting of Scott were United States for a variety of reasons defined by the federal
held across the nation, including in New York City Immigration and Nationality Act. In general, an individual may
where people marched to Times Square.79 be considered “removable” because he or she does not qualify
for admission in to the United States, has entered the country
illegally by crossing the border without formal inspection or has
violated the terms of a legal admission, for example, by entering
THE POLICE OPERATIONAL the country on a student visa and then dropping out of school.81
BACKLASH Enforcement action taken against this category of immigrants
is normally the province of federal agents of the Immigration
As one can see from the cases examined thus far, the past cou- and Customs Enforcement (ICE), a unit of the Department of
ple of years have garnered considerable negative publicity for Homeland Security. However, a federal program to train local
law enforcement. There is both anecdotal and objective e­ vidence police officers in such duties has existed since 1996. Florida, the
to suggest that some police officers have made an informal first state to join the federal program in the wake of the Septem-
­decision to avoid becoming involved in situations in those parts ber 11, 2001 terrorist attacks, tailored its version to help block
of their community which have the potential to result in serious possible terrorist infiltrators. Interest in the program has taken
clashes. This is being done in some cases by simply by-passing off recently as the national debate over illegal immigration has
individuals on the streets who are not committing crimes but heated up. Federal funds have been available to create a pro-
whose actions may be suspicious and who previously would gram to train local and state police officers in immigration duties
have been stopped and frisked. In other instances, some police (see Figure 4.11).
officers have made a decision to reduce their patrol time in these For example, Alabama decided to join the program because
areas in order to diminish the potential for conflict. These local officials believed ICE’s small staff in the state was unable to
reduced enforcement efforts by police officers are not resulting cope with the swelling numbers of undocumented immigrants.
from fear for their personal safety but rather from the fear of The Governor pledged to double the number of state troopers
becoming involved in those situations that could potentially trained to deal with undocumented immigrants, saying: “Alabama
result in their being fired, indicted, arrested, and imprisoned. welcomes those who enter the country legally, but we won’t stand
There is also some evidence from recent local crime statistics idly by when we catch illegal immigrants in our state.”
to suggest that this reduction in proactive patrolling has resulted Forty-four of the 650 Alabama state troopers in the state, a
in an increase in violent crimes in the cities of New York and figure that includes administrative and field officers, have taken
Baltimore.80 the 5-week training course and are now authorized to enforce

Figure 4.11 c An undocu-

mented immigrant being taken
into custody by Immigration
and Customs Enforcement (ICE)
special agents. (Photo courtesy
ICE)

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 136 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

federal immigration law. That training involves detecting false law—something they are typically not allowed to do. That is a
identification, understanding the details of federal immigration valuable tool in states where there are few ICE agents. The
law as well as the pitfalls of racial profiling and other possible trained officers usually do not participate in sweeps or actively
civil rights violations. search for undocumented immigrants; the emphasis is on human
The ICE partnership empowers local officers to temporarily smugglers and convicted felons that officers come across during
detain someone who has violated federal immigration the course of their duties.

Quick Facts: The Number of Undocumented Immigrants in

the United States by Ethnicity

As of 2012, the population of undocumented immigrants in in the country illegally reside in California. 53% of the undoc-
the United States illegally is estimated to be approximately umented immigrants in the United States illegally are male.
11.43 million, or roughly 3.7% of the entire US population, In 2008, approximately 31% of workers in the roofing industry
59% of the undocumented immigrants in the country illegally and 27% of maids/housekeepers were undocumented immi-
are from Mexico, and 25% of all undocumented immigrants grants living in the country illegally.82

Chapter Summary
Summary by Learning Objective of law enforcement is oriented toward the needs of
the citizens.
1. Explain the significance of the U.S. Supreme Court
decisions in each of the following cases: Mapp v. 3. Explain the legally defined roles of city
Ohio (1961), Gideon v. Wainwright (1963), Escobedo councils.
v. Illinois (1964), and Miranda v. Arizona (1966). It acts as the chief legislative and policymaking body.
Mapp v. Ohio (1961) banned the use of illegally seized Through its ordinance power, subject to constitutional
evidence in criminal cases in the states by applying and statutory provisions, including the city charter,
the Fourth Amendment guarantee against unreason- the council carries out its legislative function.
able searches and seizures. Escobedo v. ­Illinois
(1964) affirmed that a suspect is entitled to confer 4. Discuss the ways in which the tasks and roles of
with an attorney as soon as the focus of the police sheriff’s departments and police departments were
­investigation of the suspect shifts from investigatory historically different but have become similar in
to accusatory. Gideon v. Wainwright (1963) affirmed recent years.
that equal protection under the Fourteenth Amend- In the past, sheriff’s law enforcement functions have
ment requires that legal counsel be appointed for all often been relegated to jurisdictions of sparse pop-
indigent defendants in all criminal cases. ulations that cannot support municipal police agen-
Miranda v. Arizona (1966) required police officers, cies. Sheriffs are typically elected, as opposed to
before questioning suspects, to inform them of their their appointed counterpart police chiefs. In addi-
constitutional right to remain silent, their right to an tion, sheriffs routinely have a custodial role in the
attorney, and their right to have an attorney appointed detention of prisoners not common to municipal
if they cannot afford to hire one. police functions. This all changed somewhat after
World War II, when populations expanded into rural
2. Identify the three distinctly different styles of law areas that eventually became the suburbs. This elim-
enforcement discussed by James Q. Wilson. inated part of the distinction between sheriffs and
(1) The “watchman” style of law enforcement empha- chiefs when big-city problems came to these areas.
sizes maintenance of order and is found in economi-
cally declining cities with traditional political 5. Explain how the state prosecutor’s policies and
machines; (2) the “legalistic” style of law enforce- procedures can have an observable effect on
ment is found in cities with heterogeneous popula- police practices and procedures.
tions and reform-oriented, professional governments Police chiefs who perceive that the prosecutor con-
(law enforcement of both a reactive and proactive sistently reduces or fails to vigorously enforce certain
nature characterizes this style); and (3) in the homo- types of violations may very likely divert their
geneous suburban communities, the “service” style enforcement efforts and resources elsewhere.

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A d m inis t rat ion 137

6. Discuss the ways in which the judiciary impacts 9. What are the advantages for police officers wear-
police practices. ing body cameras that are cited by police
If judges consistently interject their personal biases administrators?
into the judicial process and make it very clear to the They can provide valuable evidence in court and pro-
police they will dismiss certain categories of viola- vide a clear and objective image of exactly what
tions, the police may discontinue enforcing that law. actions transpired between their officers and indi-
viduals who may be taken into custody. There is also
7. Understand the differences between the four
the implied suggestion that such devices will deter
existing forms of citizen oversight agencies.
those officers who might be inclined to engage in
Type 1: Citizens investigate allegations of misconduct
misconduct from doing so, as well as discouraging
and recommend findings to the chief or sheriff.
citizens inclined to make false allegations when they
Type 2: Police officers investigate allegations and
know the entire interaction is being recorded.
develop findings; citizens review and recommend that
the chief or sheriff approve or reject their findings. 10.Define racial profiling.
Type 3: Complainants may appeal findings estab- The term has several meanings, most of which are
lished by the police or sheriff’s department to citi- associated with law enforcement officers making the
zens, who review them and then recommend their decision to stop an individual because of race or eth-
own findings to the chief or sheriff. nicity. Officers often use the “pretext” or “suspicious
Type 4: An auditor investigates the process by which vehicle stop” argument to justify their actions as legal
the police or sheriff’s department accepts and inves- (e.g., using a legal pretext, such as an illegal lane
tigates the complaints and reports on the thorough- change or broken license plate light, to stop the vehi-
ness and fairness of the process to the department cle and then gain a basis to search for illegal drugs).
and the public.
11.Discuss the two major concerns state and local law
8. Identify and briefly discuss reasons for friction enforcement administrators have in becoming
between the news media and law enforcement. involved in immigration enforcement.
It frequently emanates from the events surrounding A key concern is that state and local enforcement
a major crime or an unusual occurrence. Often in the involvement in immigration can have a chilling
case of major crimes or incidents, police depart- effect on the relationship with the immigrant com-
ments do not want to release information that will munity in their jurisdiction and could lead immi-
jeopardize the safety of the public or its officers, grants to become reluctant to report crimes or
impair the right of a suspect to a fair and impartial cooperate with officers in investigating incident. In
trial, or impede the progress of an investigation. On addition, many police chiefs and sheriffs have also
the other hand, the news media have a different ori- expressed concerns about the additional numbers
entation and duty: to inform the public. Although of personnel it would take for these federal immi-
their goals are often compatible, the police and the gration laws to be enforced in their local
news media can sometimes disagree irreconcilably. communities.

Chapter Review Questions

1. What four local broad mandates do Police 6. Why do religious leaders and congregations of
Standards and Training Commissions (POSTs) churches in a community represent one of the most
have? potentially powerful pressure groups?
2. What are the major differences between the 7. What was the catalyst for the accelerated change
strong mayor form of government and the city in the decision by law enforcement administrators
manager form of government as they relate to to purchase body-BWCs for many of their officers
the appointment of the police chief? working on the street?
3. Why can police chiefs not objectively and 8. What conclusions did the US Department of
independently fulfill their responsibilities if they Justice reach in its investigation of the patterns
lack job protection? and practices of the Ferguson, Missouri Police
4. Describe the differences in the status between an Department?
elected county sheriff and an appointed police chief. 9. The term “undocumented immigrant” includes
5. What role do public interest organizations play in several categories of individuals. What are these
police accountability? categories?

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 138 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

Critical Thinking Exercises

1. The Use of Deadly Force. Within the past 3 years, 2. Undocumented Immigrants. Recently, there has
there has been a dramatic increase in the number of been a dramatic increase in the number of
deadly force encounters between white police officers undocumented immigrants moving into your
and young African-American males in your community. community. Some powerful local politicians and
local citizens of the city have been very critical of the
a. You know from personal experience that the
police department’s decision not to aggressively
police academy street survival unit of instruction
enforce immigration laws as it relates to
has been radically modified in recent years and
undocumented immigrants unless they are actively
has increasingly focused on the street violence
involved in the commission of crimes not related to
being directed toward police officers. You strongly
immigration issues.
suspect that some of this has resulted in police
officers becoming “hyper-vigilant” to potential a. The objective evidence available indicates that
dangers to their personal safety on the street and the vast majority of undocumented immigrants
this could possibly be leading them to over-react are law abiding and supporting themselves by
to situations they encounter, especially with those engaging in farm work, construction labor, and
involving young African-American males. domestic work. However, the few who have
b. Serious allegations have been raised that your committed serious crimes have gotten a
officers are profiling young African-American disproportionate amount of attention from both
males and stopping them on the streets without local and national media
reasonable suspicion or probable cause that they b. You also know that undocumented immigrants
have been involved in any type of criminal activity. are disproportionately targeted by criminals
c. There are serious allegations being raised by within their groups for financial exploitation but
members of the minority community that the they are reluctant to report this to the police
police department is incapable of investigating because they believe it might reveal their illegal
itself, especially as it relates police officers’ use of status and result in their deportation.
deadly force and have recommended the
Since you have made a conscious effort not to
creation of a citizen oversight committee to
evaluate police officer shootings. become involved in enforcing immigration laws, you
must provide local politicians, and local citizens
How would you go about addressing each of these expressing concern with the rationale for your decision
problems? to not enforce these laws.

Key Terms
citizen oversight Politics strong mayor
city council prosecutor tenure
city manager public interest organizations undocumented immigrant
judiciary racial profiling
politics sheriffs

Endnotes
1
W. H. Hudnut III, “The Police and the Polis: A Mayor’s Evans, Introduction to Criminal Justice (Santa Monica, CA:
Perspective,” in Police Leadership in America: Crisis and Goodyear, 1979), pp. 128–131.
5
Opportunity, ed. William A. Geller (Westport, CT: Praeger, In a legal sense, the Supreme Court opted for a piecemeal
1985), p. 20. application when it rejected the “shorthand doctrine”
2
N. G. Holten and M. E. Jones, The Systems of Criminal (i.e., making a blanket application of the federal Bill of
Justice (Boston: Little, Brown, 1978), p. 416. Rights provisions binding on the states) in its consideration
3
For a more detailed discussion on this topic see of Hurtado v. California, 110 U.S. 516 (1884); therefore, the
C.R. Swanson, N.C. Chamelin, L. Territo and R.W. Taylor, statement should be read in the context that the activist
Criminal Investigation, 11th edition (New York, NY: The role was a policy decision.
6
McGraw-Hill Companies, Inc., 2012), pp. 143–144. Fred P. Graham, The Self-Inflicted Wound (New York:
4
Treatment of the Supreme Court’s influence has been drawn Macmillan, 1970), p. 37. For a look at the police and due
from Thomas Phelps, Charles Swanson, and Kenneth process, see A. T. Quick, “Attitudinal Aspects of Police

M04_SWAN4056_09_SE_C04.indd 138 7/8/16 6:45 PM

 c h ap t e r 4 • P ol i t i c s an d P ol i c e A d m inis t rat ion 139
31
Compliance with Procedural Due Process,” American B. L. Garmire, ed., Local Police Management (Washington,
Journal of Criminal Law 6 (1978), pp. 25–56. DC: Institute for Training in Municipal Administration,
7
T. R. Dye, Politics in States and Communities (Englewood 1982, 2001).
32
Cliffs, N.J.: Prentice Hall, 1973), p. 214. D. R. Struckoff, The American Sheriff (Joliet, IL: Justice
8
Robert M. Fogelson, Big-City Police (Cambridge, MA: Research Institute, 1994), 43.
33
Harvard University Press, 1975), pp. 14–15. Ibid., pp. 44–45.
9 34
For a more detailed discussion of the cities that were taken D. B. Brammer and J. E. Hurley, A Study of the Office of
over by the states in the 1800s, see Robert M. Fogelson, Sheriff in the United States Southern Region (Oxford, MS:
Big-City Police (Cambridge, MA: Harvard University Press, University of Mississippi Bureau of Government Research,
1975), p. 14. 1968),pp. 1–2.
10 35
Information provided by the National Association of State R. N. Holden, Modern Police Management (Englewood Cliffs,
Directors of Law Enforcement Training. NJ: Prentice Hall Career and Technology, 1994), p. 13.
11 36
The National Advisory Commission on Criminal Justice Brian A. Reaves, “Census of State and Local Law Enforcement
Standards and Goals, A National Strategy to Reduce Agencies, 2008,” U. S. Department of Justice, Office of
Crime (Washington, DC: U.S. Government Printing Office, Justice Programs, Bureau of Justice Statistics, July 2011;
1972), p. 149. http://www.bjs.gov/content/pub/pdf/csllea08.pdf;
12
James Q. Wilson, Varieties of Police Behavior (New York: (accessed June 22, 2015).
37
Atheneum, 1973). One Voice for the Office of Sheriff, National Sheriffs’
13
The President’s Commission on Law Enforcement and Association; http://www.sheriffs.org/content/faq;
Administration of Justice, Task Force Report: The Police (accessed June 22, 2015).
38
(Washington, DC: U.S. Government Printing Office, 1967), The President’s Commission, Task Force Report, p. 30.
39
p. 127. Ibid., p. 31.
14 40
A. H. Andrews, Jr., “Structuring the Political Independence Ibid.
41
of the Police Chief,” in Police Leadership in America: Crisis Ibid.
42
and Opportunity, ed. William Geller (New York: Praeger, Samuel Walker and Charles M. Katz, The Police in America,
1985), pp. 9, 10. 7th ed. (New York: McGraw-Hill Companies, 2008),
15
V. A. Leonard and H. W. Moore, Police Organization and pp. 486–490.
43
Management (Mineola, NY: Foundation Press, 1971), p. 21. National Association for Civilian Oversight of Law Enforce-
16
G. E. Berkeley et al., Introduction to Criminal Justice ment (NACOLE); https://nacole.org/about-us/; (accessed
(Boston: Holbrook Press, 1976), p. 216. June 21, 2015).
17 44
Leonard and Moore, Police Organization and Management, Cassandra Fairbanks, “St. Louis Police Threaten to Quit or
p. 15. Slowdown If Civilian Oversight Passes,” The Free Thought
18
Leonard and Moore, Police Organization and Management, Project.com, January 31, 2015; http://thefreethoughtproject.
p. 15. com; (accessed June 28, 2015).
19 45
J. F. Ahern, Police in Trouble (New York: Hawthorn Books, National Association for Civilian Oversight of Law Enforcement.
46
1972), pp. 96–98. E. M. Davis, “Press Relations Guide for Peace Officers,”
20
J. J. Norton and G. G. Cowart, “Assaulting the Politics/ Police Chief 39, no. 3 (1972), p. 67.
47
Administration Dichotomy,” Police Chief 45, no. 11 (1978): 26. Application for Statement of Charges, District Court of
21
Interview with staff assistants at the International Association Maryland for Baltimore City, 5800 Wabash Ave, Baltimore,
of Chiefs of Police, Washington, DC. (December 8, 1995). MD 21215, DC Case No. 0B02294453.
22 48
One of the most comprehensive collections of articles and Scott Calvert, “What Baltimore Prosecutors Say Happened
essays focusing on the role of the chief of police is found to Freddie Gray on Van Ride,” The Wall Street Journal,
in Geller, Police Leadership in America. May 1, 2015; available at: http://www.wsj.com/articles/
23
Janet Ferris et al., “Present and Potential Legal Job Protec- what-baltimore-prosecutors-say-happened-to-freddie-
tions Available to Heads of Agencies,” Florida Police Chief gray-on-van-ride-1430515289.
49
14, no. 5 (1994), pp. 43–45. Alan Blinder and Richard Perez-Pena, “6 Baltimore Police
24
J. Ruiz, “The Return of the Ultimate Outsider: A Civilian Officers Charged in Freddie Gray Death,” The New York
Administrator as the Top Cop” (unpublished paper, 1997). Times (May 1, 2015).
25 50
Ibid. Rachel Weiner, “Police Body Cameras Spur Privacy
26
Ibid. Debate,” Washington Post, November 10, 2013; retrieved
27
Ibid. from: http://www.washingtonpost.com/local/crime/police-
28
See S. Walker, The Police in America (New York: McGraw- body-cameras-spur-privacy-debate/2013/11/10/7e9ee504-
Hill, 1992), 44, and B. A. Reaves, Sheriff’s Departments 2549-11e3-b75d-5b7f66349852_story.html; (accessed
1990 (Washington, DC: U.S. Department of Justice, Bureau February 17, 2014).
51
of Justice Statistics), p. 1. Stephanie Hayes, “USF to Study Police Officers Wearing
29
National Sheriff’s Association, County Law Enforcement: Body Cameras,” Tampa Bay Times, January 11, 2014;
Assessment of Capabilities and Needs (Washington, DC: retrieved from: http://www.tampabay.com/news/education/
National Sheriff’s Association, 1995), p. 1. college/usf-to-study-police-officers-wearing-body-­
30
Most of the following material has been excerpted from cameras/2160669; (accessed February 17, 2014).
52
Harry C. Guffardi, “History of the Office of Sheriff,” For a more detailed discussion of the Rialto Police
www.hostpc.com/Buffardi/htm. Department’s use of body-worn cameras see William

M04_SWAN4056_09_SE_C04.indd 139 7/8/16 6:45 PM

 140 cha pte r 4 • Po l itics a n d Po l i c e A d mi n i s t r at i on

72
Farrar, “Operation Candid Camera: The Rialto Police Four principles were asserted in the text of the 14th
Department’s Body-Worn Camera Experiment,” The amendment. They were: (1) State and federal citizenship
Police Chief (January 2014), pp. 20–25. for all persons regardless of race both born or
53
Department of Justice Report Regarding the Criminal ­naturalized in the United States was reaffirmed; (2) no
Investigation into the Shooting Death of Michael Brown by state would be allowed to abridge the “privileges and
Ferguson, Missouri Police Officer Darren Wilson, March 4, immunities” of citizens; (3) no person was allowed to be
2015; retrieved from: http://apps.washingtonpost.com/g/ deprived of life, liberty, or property without “due process
documents/national/department-of-justice-report-on-the- of law”; (4) no person could be denied “equal protection
michael-brown-shooting/1436/. of the laws.”
54 73
For a more detailed discussion of the facts of this case see Associated Press, “Ferguson, US Reach Tentative
the State of Missouri v. Darren Wilson, Grand Jury, Vol. 5, ­Agreement,“ Tampa Bay Times, (January, 28, 2016), 5A.
74
(September 15, 2014). Shaila Dewan, “In Many Cities, Police Struggle for Diver-
55
Larry E. Capps, “Police Body-Worn Cameras: An Overview,” sity,” The New York Times (September 10, 2014), p. A1.
75
Police Chief Magazine (February, 2015), pp. 53–54. J. David Goodman and Al Baker, “Wave of Protests After
56
Eugene P. Ramirez, A Report on Body Worn Cameras (Los Grand Jury Doesn’t Indict Officer in Eric Garner Choke-
Angeles, CA: Manning & Kass, Ellrod, Ramirez, Trester hold Case,” New York Times (December 3, 2014);
LLP), 14, http://www.parsac.org/parsac-www/pdf/Bulle- http://www.nytimes.com/2014/12/04/nyregion/
tins/14-005_Report_BODY_WORN_CAMERAS.pdf; grand-jury-said-to-bring-no-charges-in-staten-island-
(accessed September 8, 2014). chokehold-death-of-eric-garner.html?_r=0; (accessed
57
Capps, “Police Body-Worn Cameras,” p. 53. June 27, 2015).
58 76
Capps, “Police Body-Worn Cameras,” p. 53. Ida Lieszkovsky, “Tamir Rice Investigation Released: The Big
59
Vern Sallee, “Outsourcing the Evidence Room: Moving Digital Story,” Cleveland.com (June 13, 2015); http://www.cleveland.
Evidence to the Cloud,” The Police Chief 81, no. 4 (April com/metro/index.ssf/2015/06/tamir_rice_investigation_relea.
2014): 44, http://www.policechiefmagazine.org/magazine/ html; (accessed June 23, 2015).
77
index.cfm?Fuseaction=display&article_id=3319&issue_ Matthew Dolan, “Cleveland Police Officer Who Shot Tamir
id=42014; (accessed September 8, 2014). Rice Said He Had ‘No Choice,’ Probe Finds,” Wall Street
60
Capps, “Police Body-Worn Cameras,” p. 53. Journal, June 13, 2015; http://www.wsj.com/articles/
61
Ibid. sherrifs-report-doesnt-say-whether-cleveland-boys-death-­
62
Ibid. warrants-charges-against-police-1434224512; (accessed
63
Ibid., p. 54. June 27, 2015).
64 78
Special thanks to Brooke Nodeland for her assistance in Lieszkovsky,“Tamir Rice Investigation Released.”
79
developing this section on racial and ethnic profiling. See Denis Slattery, Edgar Sandoval, Laura Bult, and Tina Moore,
also Robin Engle, Jennifer Calnon, and Thomas Bernard, “More than 400 Anti-Police Brutality Demonstrators March
“Racial Profiling: Shortcomings and Future Directions in on Union Square to Protest Walter Scott Shooting,” New
Research,” Justice Quarterly 19, no. 2 (June 2002), York Daily News, Tuesday April 14, 2015; http://www.nydai-
pp. 249–273. lynews.com/new-york/nyc-crime/400-anti-police-brutality-
65
Ronald Weitzer and Steven Tuch, “Perceptions of Racial protestors-march-union-square-article-1.2185101;
Profiling: Race, Class, and Personal Experience,” (accessed June 23, 2015).
80
Criminology 40, no. 2 (2002). For more information on the issues addressed in this
66
See Whren v. United States, 517 U.S. 06 (1996). ­discussion of the police political backlash see the
67
Warren and Tomaskovi-Devey, “Racial Profiling and ­following news articles: The Editorial Board, “Crime and
Searches,” p. 349. Confusion in a Safer New York City,” The New York
68
U.S. Department of Justice, Civil Rights Division, Investiga- Times, June 5, 2015 ; http://www.nytimes.com/2015/
tion of the Ferguson Police Department, March 4, 2015, 06/06/opinion/crime-and-confusion-in-a-safer-new-york-
1–6; retrieved from: http://www.justice.gov/sites/default/ city.html?_r=0; Dave Evans; (accessed June 9, 2015);
files/opa/press-releases/attachments/2015/03/04/fergu- “Activists Bring Coffin to City Hall to Protest Rise in NYC
son_police_department_report.pdf. Violent Crime,” Eyewitness News ABC7-WABC-TV, New
69
Ibid., p. 2. York, June 3, 2015; Adam Marton and Greg Kohn,
70
The First Amendment guarantees freedoms concerning reli- “Graphic: Homicides and Shootings Spike While
gion, expression, assembly, and the right to petition. It for- Arrests Decline in Baltimore City,” Baltimore Sun, May 31,
bids Congress from both promoting one religion over 2015; http://www.baltimoresun.com/news/maryland/
others and also restricting an individual’s religious practices. baltimore-crime-beat/bal-homicides-and-shootings-hit
It guarantees freedom of expression by prohibiting Congress -record-highs-while-arrests-decline-in-baltimore-
from restricting the press or the rights of individuals to city-20150528-htmlstory.html; (accessed June 9, 2015);
speak freely. It also guarantees the right of citizens to Yvonne Wenger, “Baltimore’s Mayor: Spike in Crime
assemble peaceably and to petition their government. ‘­Disheartening,”’ Baltimore Sun, May 21, 2015; s/­maryland/
71
The Fourth Amendment prohibits the government from baltimore-crime-beat/bal-homicides-and-shootings-hit-
conducting unreasonable searches (intrusions on a per- record-highs-while-arrests-decline-in-baltimore-city-
son’s privacy) and seizures (control of the government over 20150528-htmlstory.html; (accessed June 9, 2015);
a person or a thing). Reasonableness here requires that the Justin George, “Mayor Believes City Will Rebound After
warrant be obtained before a search can be commenced. Record Month of Violence,” Baltimore Sun, June 1, 2015;

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 c h ap t e r 4 • P ol i t i c s an d P ol i c e A d m inis t rat ion 141
82
http://www.baltimoresun.com/news/maryland/crime/ Bryan Baker and Nancy Rytina, “Estimates of the Unauthorized
blog/bs-md-ci-safe-streets-20150601-story.html#page=1; Immigrant Population Residing in the United States: January
(accessed June 9, 2015); Josh Sanburn, “Rising Violence: 2012”; Michael Hoefer, Nancy Rytina, and Bryan C. Baker,
After Decades of Decline, Crime Ticks Back Up,” Time “Estimates of the Unauthorized Immigrant Population Resid-
Magazine, June 15, 2015 ; http://time.com/3908626/ ing in the United States: January 2008”; Michael Hoefer,
rising-­violence/; (accessed June 9, 2015). Nancy Rytina, and Christopher Campbell, “Estimates of the
81
Critical Issues in Policing Series: Police Chiefs and Unauthorized Immigrant Population Residing in the United
Sheriffs Speak Out on Local Immigration Enforcement States: January 2005”, August 2006; retrieved from http://
(Washington, DC: Police Executive Research Forum, immigration.procon.org/sourcefiles/illegal-immigration-­
2008), p. 3. population-2012.pdf.

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 Part 2 The Organization and the Leader
Chapter 5 | Organizational Theory
Chapter 6 | Organizational Design
Chapter 7 | Leadership
Chapter 8 | Planning and Decision Making
Chapter 9 | Human Resource Management

The five chapters in this section deal with broad aspects of law enforcement agencies,
including how to organize them from theoretical and practical perspectives, different
­approaches to leading departments and what research tells us about these approaches,
planning and decision-making models, and the legal and “hands-on” aspects of human
resource management in a law enforcement agency.
Chapter 5, “Organizational Theory,” is a longer chapter on a difficult and under-
appreciated subject. All organization structures reflect assumptions, one way or another,
about the people that work in them and reveal the leader’s preferences for one form over
another. This chapter provides the basis on which leaders can thoughtfully examine what
they implicitly or explicitly believe in with respect to how work is organized and authority
is distributed. Roughly over the past 35 years policing and governments have produced
reformatted/neo bureaucracies. While they retain some features of the bureaucratic model,
such as the hierarchical structure and chain of command, they have also implemented newer
philosophies, such as intelligence led policing, greater empowerment of employees, and
reassessing their relationships with other entities. This reassessment is also reflected in the
city/county sanctuary movement, which has led to conflict between cities/counties and the
federal government.
Chapter 6,“Organizational Design,” examines the practical choices faced by law en-
forcement administrators when they are modifying their organizations, e.g., to achieve their
missions. Such choices include determining to what degree they will be “flat” or “tall,” what
types of units will be grouped together or separated, and the extent of specialization that
will exist. Local law enforcement agencies share many of the same characteristics in their
organizational structures, such as placing line and staff functions in different groupings.
­Beyond these basic commonalities, subtle variations are seen. Some law enforcement exec-
utives may want the Intelligence and Professional Standards units reporting directly to their
office so they “can keep their finger on the department’s pulse,” while others may want to
place more distance between their office and these functions so “they can keep their eye
on the big picture.” Thus, some aspects of organizational structures reflect the idiosyncratic
personal preferences of the law enforcement executive and may not be inherently “right”
or “wrong.”
Chapter 7, “Leadership,” is a critical examination of that subject in law enforcement
agencies. It examines what leadership is and does, probes the leader-manager dichotomy,
scrutinizes why some police leaders are effective and others fail, and provides comprehensive
coverage of leadership theories and the research findings on them. The theories discussed
span the distance from “Great Man” explanations to the more recent work on transactional,
transformational, ethical, charismatic, servant, spiritual, and authentic leaders.
Chapter 8, “Planning and Decision Making,” joins these two topics because planning
is decision making for the future and these two subjects have some similarities. It covers
the importance of these topics, including types of plans, characteristics of effective plans,
Synoptic, Incremental, Transactive, and Radical (SITAR) plans, decision-making tools such as

142

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 Par t 2 • T h e Or g an i z at i o n and t h e Leader 143

Strengths, Weaknesses, Opportunities, and Threats (SWOT) Analysis and the Pugh Decision
Matrix. Also including are illuminating case studies of police planning and decision making
during the 2014 active shooter at the Navy Shipyard in Washington, DC, and the hosting of
the 2012 National Republican Convention in Tampa, Florida.
Mastery of Chapter 9, “Human Resource Management,” is a necessity. The larger a law
enforcement agency is, the more likely it has taken on some of the functions performed by
the unit of government’s central personnel office. An important aspect of human ­resource
(HR) management is understanding the applicable laws and regulations. Many local,
state, and federal laws create legal rights for officers and other employees and violations
of these can create unnecessary conflict and cause lingering labor relations problems.
This chapter examines the applicable federal laws prohibiting discrimination and provides
summaries of relevant legal decisions. It is generally thought that the preponderance of
personnel problems is created through a faulty selection process; Chapter 9 examines
this process in detail. Successive waves of generations hired into policing reveal important
­differences in their expectations, and law enforcement agencies must successfully craft
messages to attract and retain them,. Other areas covered by this wide-ranging chapter
include military call-ups of reservist officers, discipline, performance appraisal, and retire-
ment counseling. Promotional systems and testing also receive significant treatment.

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 c h a p t e r f i v e

O r gani zati o na l
Theo ry
Learning Objectives
1. Identify and define four types of organizations based on who benefits from each type.
2. Describe two sources of pressures for police departments.
3. Identify the three stems of traditional organization theory.
4. State the focus of scientific management.
5. Define functional supervision and the exception principle.
6. List the characteristics of Weber’s bureaucratic model.
7. Define street-level bureaucrats and the two modes out of which they operate.
8. Define administrative theory and its benchmark.
9. Explain why the human relations school developed.
10. Describe organizational humanism and how it differs from traditional organizational
theory and the human relations school.
11. List the levels of Maslow’s needs hierarchy.
12. Contrast McGregor’s Theory X and Theory Y assumptions at a broad level.
13. Differentiate between Herzberg’s motivation and hygiene factors.
14. Explain how force-field analysis works.
15. Describe the entropic process.
16. Critique open systems theory.
17. Give a generalized comparison of networked and virtual organizations.
18. Explain sense making.
19. Summarize chaos theory.
20. Describe self-organizing and the butterfly effect.

144

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 c h a p t er 5 • Org an i z at i ona l T h e ory 145

Introduction Burns and Stalker break organizations into a dichotomy:

mechanistic and organic6:
Organizational theory, which draws
1. Mechanistic organizational structures are set up to run
on many disciplines, is a tough subject. It is like a machine, tightly controlled, error free and
reasonable to ask why it is important to take time producing a sustained, unflawed output. They incorporate
many of the features of the bureaucratic structure, for
to become familiar with it. Knowledge of
example, a hierarchy, chain of command, and
organizational theory is important because it specialization. Much of the communication is top-down.
(1) makes organizations more understandable; Mechanistic organizations are also called “closed systems”
because their boundaries are regarded as being fairly
(2) reveals how authority is distributed across the
impermeable to outside influences.
organization; (3) explains why some police
Mechanistic organizations function well when faced with a
departments are less or more open to change and stable environment where there is no need to change and
innovation; (4) makes assumptions, one way or employees perform routine tasks. Tightly controlling their
another, about followers; (5) incorporates notions employees, mechanistic organizations are low on creativity
and innovation. As a consequence, they are slow to adapt
about the environments that the police department to new conditions. Many theorists use mechanistic, closed
faces (e.g., political and legal) and how these can system, and bureaucracies synonymously.
impinge on the department; and (6) provides an 2. Organic organizations recognize that they have
permeable boundaries and are therefore co-dependent
essential tool for leaders to decide where and how
with the larger environment in which they are
work will be done and the structure and embedded. Knowing they face an unstable environment,
relationship of the work units needed to do it. organic organizations are adaptable and “nimble on their
feet.” Organic and open systems are used synonymously.
Mechanistic and organic organizations can be thought of
as opposite ends of a continuum.
FORMAL ORGANIZATIONS
Blau and Scott identified four types of formal organizations
Formal organizations are not a recent innovation.1 Alexander by asking the question of cui bono, or who benefits: (1) mutual
the Great and Julius Caesar used them to conquer, the pharaohs benefit associations, such as police labor unions, where the
employed them to build pyramids, the emperors of China con- primary beneficiary is the membership; (2) business concerns,
structed great irrigation systems with them, and the first popes such as Lynn Peavey, which sells crime scene equipment and
created an organization to deliver religion on a worldwide basis.2 supplies, where the owner is the prime beneficiary; (3) service
The extent to which contemporary America is an organizational organizations, such as homeless shelters and community men-
society is such that: tal health centers, where a specific client group is the prime
beneficiary; and (4) commonweal organizations, such as the
We are born in organizations, educated by organizations, and
Department of Defense and law enforcement agencies, where
spend most of our lives working for organizations. We spend
the beneficiary is the public at large.7
much of our time . . . playing and praying in organizations.
Each of these four types of formal organizations has its own
Most of us will die in an organization and when the time
unique issues.8 Mutual benefit associations, such as police
comes for burial, the largest organization of all—the state—
unions, face the crucial problem of maintaining the internal
must grant official permission.3
democratic processes—providing for participation and control
The basic rationale for the existence of organizations is that by their membership (see Box 5.1). For businesses, the central
they do those things that people are unwilling or unable to do issue is maximizing profits in a competitive environment. Service
alone. Parsons notes that organizations are distinguished from organizations are faced with the conflict between restrictions
other human groupings or social units in that, to a much greater imposed by administrative regulations versus providing the ser-
degree, they are constructed and reconstructed to achieve spe- vices judged by the professional to be most appropriate. In the
cific goals; corporations, armies, hospitals, and police depart- case of a community mental health center, an illustration is that,
ments are included within this meaning, whereas families and following a reduction in funding, a regulation is placed into
friendship groups are not.4 Schein defines an organization as the effect that requires all clients to be treated in group sessions
rational coordination of the activities of a number of people for when the psychiatric social worker believes the only effective
the achievement of some common explicit purpose or goal, treatment for a particular client is to be seen individually.
through division of labor and function and a hierarchy of author- The key issue for law enforcement agencies and other types
ity and responsibility.5 of commonweal organizations is finding a way to accommodate

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 146 cha pte r 5 • O r g a n izatio n a l T h e o ry

Box 5.1 The Bridgeport, Connecticut, Police Union as a Mutual Benefit

Association

Bridgeport Police Union Local 1159 bargains for some medical coverage for retirees. The Chief lost his authority to
400 officers. In 2015, members voted 260–79 to accept a fire officers and his maximum disciplinary authority is a 30-day
four-year contract. As one officer put it, “It’s the best we’re suspension, beyond that a hearing before the Police Com-
gonna get.” Three of the four years of the contract were ret- mission is required. At the same time, the Chief got broader
roactive, so by mid-2016, management and labor were back authority to change work assignments and create or eliminate
at the bargaining table. Under the deal made, officers get a units. It may have been the best the union could get, but
2.5 percent raise for each of the four years, but agreed to lose there was some sentiment among union members that it was
five days’ pay in each year of the contract, which also ended a poor contract at a time when their job is getting harder.9

pressures from two sources: (1) external democratic control and

(2) internal control. The public expects to have external demo- Quick Facts: Taylor’s “One Best Way”
cratic control of its police department through its elected and Permeated His life
appointed representatives. This external democratic control fea-
ture also has the expectation that the internal workings of the
police department will be effective and efficient, but not also A Pennsylvanian born of Quaker–Puritan parents, Taylor
democratic. This is because democratic control by the members was so discontented with the “evils” of waste and slothful-
of a police department would inevitably lead to the department ness that he applied careful analysis to finding the best
being in conflict at various times with the will of the community way of playing croquet and of taking a cross-country walk
with the least fatigue that was to be the hallmark of his
(e.g., one favoring a hard-line approach to crime control versus
later work in factories.10
the other being in favor of a more moderate approach). Internally,
large numbers of officers at the lower levels of the police depart-
ment do not want to be treated like “cogs in a machine” and
desire some voice in how the department operates. Thus, the a theory of work organization, Taylor’s scientific management is
challenge for police managers is how to maintain an o ­ rganization also a theory of motivation in its belief that employees will be
that meets society’s needs and the needs of the officers who work guided in their actions by what is in their economic
in it. This requires an understanding of such things as the ­different self-interest.
ways of organizing and the contrasting assumptions that various From 1878 to 1890, Taylor worked at the Midvale Steel
organizational forms make about the nature of people. Such ­Company in Philadelphia, rising from the ranks of the laborers
knowledge is found within organizational theory. to chief engineer in just 6 years.11 Taylor’s experience at Midvale
gave him insight into the twin problems of productivity and
worker motivation. He saw workers as deliberately restricting
TRADITIONAL ORGANIZATIONAL productivity by “natural soldiering” and “systematic soldiering.”
Natural soldiering came from the natural inclination of
THEORY employees not to push themselves; systematic soldiering
came from workers not wanting to produce so much as to see
Traditional theory is associated with organizations described
their quotas raised or other workers thrown out of their jobs.12
as classical, mechanistic, and closed systems, which assume little
To correct these deficiencies, Taylor called for a “complete men-
influence from outside of the organization. Its underlying
tal revolution”13 on the part of both workers and managers,
assumption is that there is one best way to structure and operate
although it is certain that he faulted management more for its
an organization. This body of knowledge evolved over centuries
failure to design jobs properly and to give workers the proper
and crystallized between 1900 and the 1950s. The three branches
economic incentives to overcome soldiering than he did workers
or stems of traditional organizational theory are: (1) scientific
for not producing.14
management, (2) the bureaucratic model, and (3) administrative
Taylor’s scientific management is only loosely a theory of
or management, theory.
organization because its focus was largely on work at the bottom
part of the organization rather than being a general model.
Taylor: Scientific Management ­Scientific management’s method was to find the most physically
The father of scientific management is Frederick W. T ­ aylor and time-efficient way to sequence tasks and then to use rigor-
(1856–1915), and the thrust of his thinking was to find the “one ous and extensive controls to enforce the standards. Taylor’s
best way” to do work (see Figure 5.1). In addition to its status as conversation with “Schmidt” illustrates this:

M05_SWAN4056_09_SE_C05.indd 146 27/08/2018 13:18

 c h a p t er 5 • Org an i z at i ona l T h e ory 147

“Schmidt, you can keep making $1.15 a day like the rest of
these workers or you can be a high-price man and make
$1.85 each and every day. Do you want to be a high-price
man?”
“Vell yes, I vant to be a high-price man.”
“Good. When this man tells you to load pig iron on the
car, you walk, pick up the pig and load it exactly like he tells
you. Rest when he tells you to and never give him any back-
talk. That’s what a high-price man does.”
“I vant to be a high-price man and vill do what this man
tells me.”15
For Taylor, authority was based not on position in a hierarchy
but rather on knowledge; functional supervision meant that
people were responsible for directing certain tasks, despite the
fact that this meant the authority of the supervisor might cut
across organizational lines.16 The exception principle meant
that routine matters should be handled by lower-level managers
or by supervisors and that higher-level managers should only
receive reports of deviations above or below standard perfor-
mances.17 The integration of cost accounting into the planning
process became part of some budgeting practices discussed in
Chapter 12, Financial Management.
Despite the success of scientific management in raising pro-
ductivity and cutting costs, “Taylorism” was attacked from several
Figure 5.1 c Frederick W. Taylor’s meticulously combed directions. Union leaders saw it as a threat to their movement
hair and well-groomed appearance hint at his obsession with because it seemed to reduce, if not eliminate, the importance
details. (Library of Congress Prints and Photographs Division
[LC-USZ62-79079])

Box 5.2 Traffic Ticket Quotas or Performance Standards: The New Scientific

Management?

A recurring theme in law enforcement is traffic ticket Beverly Hills, observing, interviewing, and collecting data,
­quotas. Historically, pressure to “improve ticket p­ roductivity,” it’s not possible to reach a definitive conclusion regarding
comes from city hall, labeled as “performance standards.” the possibility of traffic enforcement being a pretext for rais-
Ostensibly, the quotas are established to ensure the safety ing revenue for the city. However, there is an inescapable
of pedestrians and the motoring public. As matter of reality, fact: 3,250 traffic citations18
the fines levied are sometimes an important part of small- Quotas are often resisted by officers, who maintain that
town budgets. In some states (e.g., Georgia), there is a no one really knows how many good cases they will see on
­presumption that if an agency writes speeding tickets for a daily or monthly basis. They argue that the number and
which the fines are more than 40 percent of the agency’s types of offenses vary by geographical area and demo-
annual operating budget, the detection devices are being graphic characteristics; for example, older people commit
used for something other than public safety. If it is deter- fewer driving violations than do younger operators. More-
mined that traffic enforcement is being used as a funding over, officers are also quick to point out that quotas force
mechanism by local units of government, the Georgia State them to make marginal cases in order to get good evalua-
Patrol may assume those duties until the issue is resolved. tions, thereby decreasing public goodwill and support.
With regard to traffic citations, the situation in Beverly The recession of 2007–2009 hit city and county budgets
Hills (Missouri) Police Department deserves thoughtful atten- hard in many places. In a few cities, writing a certain number
tion. The town’s population is 574, geographically it encom- of traffic citations was a performance measure within the
passes .09 square miles, and has traffic enforcement budget request. In Michigan and Illinois, it is a violation of
cameras. It also has 14 officers who wrote 3,250 traffic state law to have ticket quotas for law enforcement officers.
­citations in 2013. The Chief maintains the officers are crucial Whether called quotas or performance standards, the fact
to the community-oriented policing approach they use and remains that both terms refer to a mandated system of pro-
that the department also provides police services to neigh- duction. Moreover, in some jurisdictions officers are being
boring Velda Village Hills. Without actually being in disciplined for not meeting the “numbers” required.

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 148 cha p te r 5 • O r g a n izati o n a l T h e o ry

of unions. The management of Bethlehem Steel ultimately aban- Some international interest in scientific management also
doned task management, as Taylor liked to refer to his system remained after Taylor’s death; in 1918, France’s Ministry of War
because managers were uncomfortable with such an accurate called for its use, as did Russia’s Lenin in an article in Pravda.22
appraisal of their performance19 and some liberals saw it as an It is ironic that a communist society should call for the use of a
exploitation of workers. Upton Sinclair, one of the muckrakers management system based on the principle that economic self-
(see Chapter 1, Evolution of Police Administration), charged that interest guides the behavior of workers.
Taylor had given workers a 61 percent increase in wages while Although scientific management has long since ceased to be
getting a 362 percent increase in productivity.20 Taylor replied to a dominant force, it does not mean that it is now just history. In
this charge by saying that employees worked no harder, only addition to Gantt charts, many of the techniques associated with
more efficiently. In hearings before the U.S. House of Represen- scientific management remain in use. Time and motion studies
tatives in 1912, Taylor’s methods were attacked thoroughly, and have been used to analyze how detectives use their time, iden-
he died 3 years later a discouraged man. Nonetheless, Henry tifying wasteful activities such as waiting for a vehicle to become
Ford recast scientific management and used it to increase pro- available at the motor pool. Workflow analysis (depicted
duction and lower costs for the mass-produced model T Ford in Figure 5.3) remains used in industrial engineering. Other mod-
(1909–1927). ern successors to scientific management were developed during
Scientific management did not disappear with Taylor, how- World War II to support the war effort, and the refinement and
ever. There remained a core of people devoted to its practice, more general application of these techniques is a post-1945
including Henry L. Gantt (1861–1919); Watlington Emerson movement. The new techniques have alternatively been referred
(1853–1931), also a promoter of the staff concept; Frank to as management science and operations research (OR), and
(1868–1924) and Lillian (1878–1972) Gilbreth; and Morris Cooke their central orientation has been the application of quantitative
(1872–1960), who in Our Cities Awake (1918) called for the and technical analysis to decision making.23 Thus, the most
application of scientific management in municipal government. enduring contribution of Taylor is as a promoter of both ratio-
Gantt gained a measure of immortality by developing a basic nalization in organizations and management control systems.24
planning chart, illustrated in Figure 5.2, which remains in wide In 1997, Taylor’s The Principles of Scientific Management
use today and still bears his name. Developed during the sum- (1911) was re-released due to continuing interest in his methods
mer of 1917 while Gantt worked at the Frankford Arsenal, the and Kanigel wrote a balanced criticism of Taylor’s work,25 as did
Gantt chart contained the then-revolutionary idea that the key Caldari in 2007.26 Read together, they serve to essentially reha-
factor in planning production was not quantity but time.21 bilitate both Taylor’s work and his reputation.

State Police Testing Project

2017
Task Name Duration Start End
12/Sep 19/Sep 26/Sep 03/Oct 1
Order Project Equipment 18.0 d 13/Sep/17 06/Oct/17
Write Request for Computer 2.0 d 13/Sep/17 14/Sep/17
Printer, and Software
Obtain Administrative Approval 3.0 d 15/Sep/17 17/Sep/17
for Equipment Request
Order Equipment & Software 3.0 d 20/Sep/17 22/Sep/17
through Procurement
Equipment and Software 8.0 d 23/Sep/17 04/Oct/17
on Order
Receive and Configure 2.0 d 05/Oct/17 06/Oct/17
Equipment
Staff Project 14.0 d 13/Sep/17 30/Sep/17
Develop Job Descriptions 2.0 d 13/Sep/17 14/Sep/17
Announce Positions 3.0 d 15/Sep/17 17/Sep/17
Screen Applicants 3.0 d 20/Sep/17 22/Sep/17
Interview Finalists 2.0 d 23/Sep/17 24/Sep/17
Make Hiring Decisions 1.0 d 27/Sep/17 27/Sep/17
Train Staff 3.0 d 28/Sep/17 30/Sep/17

Figure 5.2 c A Portion of a Gantt Chart for a State Police Promotional testing project. Weekends are not
included in the count of days from “Start” to “End.”

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 c h a p t er 5 • Org an i z at i ona l T h e ory 149

Figure 5.3 c Workflow analysis of

Received from: Solicitor; DA; Probalion; Recorder’s Court; Pardon & Parole,
Gwinnett County PD, Other Countries/States
criminal warrants in a sheriff’s office.
Handcarried/mailed to Warrant Office

Work Basket

Review/Zone

Assign Warrant Number

Enter in Computer

Print Daybook

Attach Daybook to Warrant

Inspect for Local/Foreign

Mail out Foreign Warrant

Distribute Local Warrant to Zone

Zone Boxes

Reviewed by Zones

Handcarried to Vehicle

Serve/Arrest

Transport to ID
Legend
ID by GCPO
Origination
Transport to Jail
Operation
Separate Warrant/Daybook
Move
Leave warrant signed at Book-in
Delay
Handcarry Completed Daybook or Recalled Warrant to Warrant Office
Inspection

Return Warrant (Unable to Serve)

File

Work Basket

Separate Local/Foreign

Update Computer

Local Warrant Foreign Warrant

Daybook/Warrant in “Hot” Box Work Basket Print Updated Daybook

Update Computer Prepare File Folder Attach Daybook to Warrant

Annotate Computer Listing Hold Basket (awaiting ID Info) Work Basket

Return Recalled Warrant Enter on GCIC/NCIC Return Warrant by Mail

File Daybook File Warrant

Weber: The Bureaucratic Model the founder of modern sociology (see Figure 5.4). For Weber,
In popular use, bureaucracy has come to mean slow-performing the choice was “only between bureaucracy and dilettantism in
organizations using unnecessarily complicated procedures with the field of administration.”28 In this regard, Weber claimed
answers that don’t seem to quite meet our needs.27 This meaning that the pure bureaucratic model was superior to all other
is far from the image of the ideal or pure bureaucracy developed methods of organizing with respect to efficiency, control, and
by the towering German intellect Max Weber (1864–1920), stability.29

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 150 cha p te r 5 • O r g a n izati o n a l T h e o ry

amount of specialization in organizations, the more

organizations grow vertically/taller in order to
coordinate the different specialized units.
4. Official duties are created by a system of rational rules,
such as policies and procedures.
5. Administrative actions, decisions, and rules are
recorded in writing, creating an institutional memory.
6. The authority associated with a position is the property
of the office or job and not of the occupant of the
position.
7. Employees are appointed on the basis of qualifications,
and specialized training is necessary.
8. Organizational members do not own it.30
Although not all the characteristics of Weber’s bureaucratic
model can be revealed by an organizational chart, Figure 5.5
does depict two important features: (1) the principle of hierarchy
and (2) a division of labor that results in specialization.
Weber’s bureaucratic model rested on what he called rational-
legal authority. In a police context, rational legal authority rests
on the legal basis for the existence of the department. Authority
is granted to positions within the organization, such as sergeants,
lieutenants, and captains. The occupants or office holders of
those positions use that authority to fulfill their responsibilities
and to accomplish the goals of the department.31

The Reformatted Bureaucracy

Figure 5.4 c Max Weber. (Library of Congress Prints and
­Photographs Division [LC-USZ62-74580]) Although there may have been a few stray exceptions, police
departments for centuries have used the bureaucratic form of
organization and largely continue to do so. Like the majority of
With some added commentary, Weber’s pure bureaucratic other organizations in the world, policing clings to the bureau-
model of organizational structure included the following cratic organizational model for its “bones” or structure, but over
characteristics: the past 35 years or so have substantially dropped new philoso-
phies (e.g., community policing and intelligence-led policing)
1. The organization of offices follows the principle of over it to: (1) attract new generations of officers with expecta-
hierarchy; that is, each lower office is under the control tions different than their predecessors; (2) shift from a substantial
and supervision of a higher one. This also creates the focus on internal administration, that is control, to empowering
chain of command, creating an unbroken line of employees; (3) foster collaboration with constituents in the com-
authority and responsibility from the top to the bottom munity; (4) implement new philosophies (e.g., a shift from war-
of an organization. riors to guardians); (5) employ new models of leadership;
This arrangement of successively higher offices also (6) operate with greater transparency; (7) increase workforce
creates “layers” in a police department; the greater the diversity; (8) use new technologies (e.g., drones, texting, Face-
number of layers, the more vertical or “taller” it is. As book, and Twitter); and (9) be more nimble in responding to
organizations get taller, they become more complex emergent conditions and issues.
because there are more layers. Hierarchy also provides Many law enforcement agencies have also rapidly moved into
the “vertical highways” that establish reporting and e-government,32 facilitating the use of government services
communication channels. online. The Springfield (Missouri) Police Department’s website
2. There is a right of appeal and of statement of allows citizens to obtain crime maps of their neighborhoods,
grievances from the lower to the higher offices. search police reports, request copies of traffic accident and inci-
3. Specified areas of competence, meaning a division of dent reports, locate the residence of sexual offenders, and file a
labor, exist. This division of labor or specialization complaint against or extend recognition to officers.
increases the width and horizontal complexity of law The preceding two paragraphs illustrate a “reformatted
enforcement agencies because different units are bureaucracy” that is a shift from close adherence to traditional
created, such as investigations, public relations, records, organizational theory/closed system views to a neoclassical or
training and traffic enforcement. The greater the neo-Weberian view that incorporates open systems precepts.33

M05_SWAN4056_09_SE_C05.indd 150 7/8/16 8:13 PM

 City of Madison Police Chief

M05_SWAN4056_09_SE_C05.indd 151
Police Department
2015
Administrative Assistant Public Information Office

Administrative Assistant Professional Standards and Internal Affairs

Assistant Chief Field Operations Assistant Chief Field Operations Assistant Chief Support Operations

Investigative West Centralized Traffic and Central Training Community Outreach

Services District Patrol Specialized District
Services Services
• Training Staff • Mental Health Officers/Liaisons
• Safety Education • Crime Prevention
South North
• Specialized Training • Hospital Issues
District District
• Recruitment • Detox. Issues
• Hiring • CORE Team
*Midtown East • In-Service • Community Engagement/Svcs.
District District • PFC • Victim Services
• Promotional Process • Youth Academies
• Mentoring Program • Citizen Academy
• Respiratory Coord. • Amigos en Azul
• Use of Force • Explorers
• Website/Social Media
• MMSD Liaison
• ROAR
• TEST • Volunteer Coordinator
• DC Narcotics • OIC Group • Traffic Specialists
• Special Inv. Unit • Forensic Svcs. • K9
• Gang Unit • Property Unit • Mounted
• Burglary Unit • Radio Call #’s • PEO’s Records Finance
• Victim Crime Unit • Annual Vac. Picks • Crossing Guards
• Pawn Program • Patrol Staffing Analysis • Motorcycles • Self Report Unit • Budget
• Criminal Intel. Section • Daily Ops. Issues • Parade Permits • IMAT • Payroll
Personnel
• Crime Analysts • PSRC Rep. • Street Use • PRT • Grants
• Federal Liaison • Patrol Lt. Group • Special Duty • Records/Custodian • Purchasing
• Detective Lt. Group • LEAP Program • Taxi Licenses • Light Duty • Court Services • Telestaff
• Investigative Fund • Patrol Staffing Issues • Towing Admin. • Family Leave • Records Management System • Scheduling

* Midtown District Station in Development

Figure 5.5 c Madison (Wisconsin) Police Department organizational chart (Courtesy Madison, Wisconsin, Police Department, http://www.cityofmadison.com/police/
documents/orgChart.pdf)

151

7/8/16 8:13 PM
 152 cha p te r 5 • O r g a n izati o n a l T h e o ry

The practical meaning of this is that traditional practices and any past criminal behavior, why he/she will be deported, and a
views no longer are simply accepted; instead, they are chal- request to be notified 48 hours prior to any contemplated release
lenged and altered as needed. Illustratively, roughly paralleling of the person so ICE could assume custody. In many places,
this development and seemingly adding some fuel to it was the voluntary compliance with a detainer officially no longer exists.
articulation of the new public management (NPM), which People fleeing the vicious fighting in Central America during
began in the 1980s. At its core, NPM called for the use of private the 1980s escaped to several countries, including the United
sector approaches in public organizations (e.g., creating produc- States. Some number of them entered this country illegally and
tivity gains, getting citizens involved, and outsourcing services, some churches granted them sanctuary to avoid being
including police, if it can be done cheaper and as well or better). deported.36 That modest development ultimately grew into what
In tandem, the neoclassical/neo-Weberian and NPM develop- is presently a large political and religious sanctuary movement,
ments taught states, counties, and cities that long-held tenets and which takes sharp exception to the present immigration system
assumptions about governmental affairs needed to be closely and splitting families.
examined to determine their validity. The sanctuary movement also objected to what many juris-
This focus on challenging past practices is not just an intel- dictions were already struggling with: Detainers were issued by an
lectual exercise; it had profound practical manifestations. To administrative decision based on a person’s judgment and were
illustrate, a study of 304 California municipal law enforcement not a court-issued order or warrant. In that view, the process was
agencies in cities identified as immigrant destinations illustrates inherently flawed, violated the Fourth Amendment protection
the pervasiveness of the neoclassical bureaucratic organizational against unlawful seizures, and came under growing criticisms from
model.34 Immigration, a “hot button” issue, provides a backdrop pastors, activists, members of the immigration community, some
to contrast classical and neoclassical law enforcement agencies. immigration attorneys and politicians, local governments, demon-
American nativists are staunchly anti-immigration on any basis. strations, and the news media. In reaction to voices from the
In Arizona and other states sharing a border with Mexico, vol- sanctuary movement and some in the law enforcement community
unteers watch portions of the border and report illegal entries as well, four states and hundreds of jurisdictions have responded.
to the Border Patrol (see Figure 5.6). Others support immigration California and Connecticut enacted Trust Acts37 and the Governors
reform as long as there is no amnesty, while a liberal immigra- of Rhode Island and Illinois issued executive orders, all of which
tion reform law will have some support as well. limited state and local support of the federal Secure Communities
In past practice, when Immigration and Customs Enforcement Program (S-Comm). S-Comm was operated by ICE during 2008–
(ICE) learned undocumented aliens they wanted to take custody 2014. A detainer could be issued if (1) an individual had been
of were being held by a local agency, they issued a written charged with, but not yet convicted of a crime, (2) individuals with
detainer for them. A detainer is essentially an “immigration no criminal history, but for whom final orders of removal from the
hold” request.35 Honoring the detainer is voluntary, not manda- United States had been issued by an immigration judge, and (3) if
tory, although past practice has overwhelmingly been to do so. ICE determined an individual posed a significant risk to national
Included in a detainer is information about the person, such as security, border security, or public safety.38

Figure 5.6 c Thirty miles

from the U.S.-Mexican border on
a private ranch in the Altar Valley
of Arizona, a Minuteman volun-
teer watches for illegal crossers
making their North through the
rough terrain. Although Minute-
men carry guns they are under
strict orders not to pursue or try
to apprehend crossers and
to just call the Border Patrol.
Ironically, another volunteer
group, the Samaritans, place
caches of water and food for
crossers to ease the hardship of
their journey. (Andrew
­Lichtenstein/Corbis).

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 c h ap t e r 5 • Or g an i z at ional Th eory 153

The actions taken in the four previously named states, along detainers, which seems unlikely at this point. Democracy is a
with similar actions taken by the governing bodies in more than magnificent way to govern, but its meaning is always in the
270 local jurisdictions, obstructed S-Comm to the degree that in details. Under the First Amendment, hate groups have the right
2015 it was abandoned and replaced with ICE’s Priority Enforce- to say vile things in public and the Second Amendment contin-
ment Program (PEP).39 Under PEP, detainers will no longer be ues to frustrate gun control advocates who point to the Sandy
issued for individuals with a civil immigration offense alone or Hook massacre in 2012 and the more recent murders in 2015 of
those charged, but not convicted, of criminal offenses. As pro- reporter Alson Parker and cameraman Adam Ward of Roanoke,
vided for by PEP, ICE will seek to gain custody of those con- Virginia, WDBJ-TV as they were doing an on-the-air interview
victed of certain specific serious offenses, have intentionally as another example of the need for universal background checks
participated in gang activity, or pose a threat to national security. before weapons can be purchased. Detainers are another hard,
The new detainer form requires that a basis of “probable cause” unpleasant issue that will not be quietly or quickly resolved and
be recorded on it, such as: (1) there is a final order of removal, bears watching.
(2) removal proceedings are pending against the individual, or Although there is already a substantial number of jurisdictions
(3) statements to the immigration officer and/or other reliable which provide sanctuary, they are many more which have done
evidence.40 nothing. Thus, in many units of local government, what to do
However, there is a cost to the sanctuary movement that about undocumented aliens is an open question. Ideally, locally
protects undocumented aliens. In just the first eight months of elected officials would develop a policy statement in conjunction
2014, 8,811 ICE-issued detainers were not honored and after with their department heads and order its implementation. How-
satisfying the conditions of their local confinement the undocu- ever, a study found a low understanding of undocumented immi-
mented aliens were released from custody.41 Twenty-seven per- grant issues among elected officials and a lack or guidance from
cent of the targets of declined detainers (1,867 undocumented them to department heads. As an example, 72 percent of local
aliens) were later arrested 4,298 times on 7,491 new charges.42 elected officials did not know if their law enforcement agencies
The crimes committed by undocumented aliens released contacted federal authorities when undocumented immigrants
because of declined detainers, and in particular the death of were encountered.44 This results in some discretionary space for
Kate Steinle, are immediately incomprehensible to us and have law enforcement agencies, which then have the freedom to forge
caused great suffering. At its heart are questions such as: “What their own policies. For example, do we accept the matricula
is the role of local government in immigration control?” Should consular identification card issued by the Mexican government
a local government detain undocumented aliens without legal to its citizens? Do we contact federal Immigration and Customs
cause to do so? Will detainer request under the new PEP pro- Enforcement when such cards are presented?45
gram be recognized as sufficient authority? What duty is owed In a pure bureaucratic model, there would be little or no
to whom? A few members of Congress have suggested cutting discretion on immigration matters and they would be handled
off federal funds to state and local governments that don’t honor by “going by the book” strict enforcement. Undocumented aliens
would be arrested and all detainers would be honored, absent
any oversight from the city council or county commission. If
requested by ICE to help take undocumented aliens into custody,
Quick Facts: Declined Detainer the bureaucratic model police department might do so, perhaps
Leads to Woman’s Death almost as a reflex while a neoclassical police agency would
consider what if anything, the activity contributed to accomplish-
ing the agency’s mission.
“Joseph” is a foreign national who as an undocumented However, the new strategic law enforcement leadership
alien has been deported five times. He also has seven thinks in terms of the resources available, what should and
felony convictions on his record. Joseph was in the cus- should not be done in furtherance of a department’s mission.46
tody of the San Francisco Sheriff’s Department in 2015 Many law enforcement agencies surveyed have formulated poli-
and ICE made a detainer request for him. The Sheriff’s cies that may make undocumented immigrants’ encounters with
Department doesn’t recognize detainers as a legal cause police officers less stressful; 81 percent of the agencies consid-
to hold someone and he was released. The federal view
ered bilingualism as a favorable part of a police applicant’s back-
is that the Sheriff’s Department didn’t have to hold
Joseph past his scheduled release time; they could have
ground and 87 percent provided additional pay for language
just notified ICE that it was coming up. Subsequently, a skills.47 The largest number of agencies studied accepted the
gun was apparently stolen from a federal agent’s car. matricula consular identification card, did not inquire about
Joseph allegedly said he found it wrapped in a rag on the immigration status when it was presented, and did not contact
ground. Joseph maintains while he was handling the gun ICE when, during the course of a contact, immigration status was
it accidently went off. A bullet struck Kate Steinle, 31, in uncertain or undocumented.48 However, if a violent crime is
the chest as she walked with her father on San Francisco’s involved, law enforcement agencies checked immigration status
Pier 14, a tourist attraction, and she died shortly and/or contacted ICE nearly 90 percent of the time.49
thereafter.43 A national study confirmed that police departments often
act without guidance on undocumented immigrants from

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 154 cha p te r 5 • O r g a n izati o n a l T h e o ry

elected officials. Fifty-one percent of the agencies surveyed had Weber did not invent the bureaucratic model; it had existed
no guidance, 9 percent had informal direction, and 4 percent of for centuries; he only described it and didn’t like all that he
the communities chose to create a sanctuary for undocumented saw.58 Thus, whereas Weber spawned the formal study of orga-
immigrants, so long as they were law abiding.50 nizations, it scarcely seems fair to lay at his feet any real or
In developing their agencies’ immigration policies and prac- fancied inadequacies of the model or its operation. Moreover,
tices, some chiefs are faced with a rough calculation of what is although it would be difficult to overstate Weber’s contributions,
the greater good for their communities and have decided that it must be borne in mind that, although some people read him
strict enforcement is likely to alienate relationships with docu- in the original German,59 his work was not translated into Eng-
mented and undocumented immigrants, who are often mixed lish and therefore not generally available until 1947, long after
together as families, reducing their willingness to report crimes the bureaucratic model was well entrenched.
and to provide assistance to investigators. To some degree, these
policies reflect that 72 percent of chiefs believed immigration
was a federal enforcement responsibility.51 Unlike pure bureau- Administrative Theory
cracies, neoclassical reformatted law enforcement agencies are Administrative theory, also referred to as management theory
strategic, nimble, and practical-minded. and the principles approach, sought to identify generic or uni-
versal methods of administration. Its benchmark is the 1937 pub-
The Police as Street-Level Bureaucrats lication of Luther Gulick (1892–1993) and Lyndall Urwick’s
(1891–1983) edited Papers on the Science of Administration. In
Street-level bureaucrats, such as police officers working in
content, administrative theory is more compatible with the
the field, are the face of government, meeting with members of
bureaucratic model than with scientific management because it
the public and using their discretion on how to implement pub-
concentrates on broader principles (see Table 5.1). Administra-
lic policy.52 In doing so, officers operate out of two modes:
tive theory is distinguished from the bureaucratic model by its
(1) “state agents,” who believe in following the law and policies
“how-to” emphasis. At some risk of oversimplification, the prin-
and (2) “citizen agents,” who will bend or ignore them. 53
ciples both operationalize and reinforce features of the bureau-
Although some officers may operate largely out of one mode or
cratic model. Consequently, because of the continuing
the other, most use both of them. People enter their law enforce-
pervasiveness of the bureaucratic model, the principles either
ment careers with different genders, sexual preferences, educa-
explicitly or implicitly continue to play an important role in
tional levels, races, economic backgrounds, and life experiences.54
organizations, including police departments. Other key contribu-
By doctrine, police departments expect that through training and
tors to this school are Henri Fayol (1841–1925), James Mooney
supervision, officers will end up handling each similar call in the
(1884–1957), and Alan Reiley (1869–1947).
same manner, as a state agent, which clearly doesn’t happen.
Henri Fayol graduated as an engineer at the age of 19 from
After the academy and by the completion of 2 years of service,
France’s National School of Mines at St. Etienne and began
the sole or predominate orientation toward being a state agent
a 40-year career with the Commentary-Fourchambault Com-
fades under the weight of new experiences, the views of veteran
pany.60 His contributions are based on writings that were an
officers, and the policing street culture, which is often antitheti-
outgrowth of his experiences as a manager. Fayol’s fame rests
cal to the values espoused in the academy.55 In short, officers
chiefly on his General and Industrial Management (1916). The
go from “nobody who breaks the law deserves a break” to “you
first English edition of this appeared in Great Britain in 1923, and
have to approach things realistically, few situations are exactly
although his “Administrative Theory of the State” appeared in
the same, sometimes you need to cut somebody some slack.”
Papers on the Science of Administration (1937), his main work,
Several important observations flow from the balancing act
General and Industrial Management, was not widely available
officers do with state and citizen agent modes: (1) however
in this country until 1949. Fayol’s principles included the follow-
official-sounding the law and public policy are, their implemen-
ing: (1) a division of work or specialization; (2) authority, the
tation is to some extent idiosyncratic; (2) the latent power of
right to give orders and expect compliance; whoever issues an
personal experience on the street is somewhat of an antidote
to the expectations of doctrine; and (3) unaccounted for by
advocates for the uniform, and therefore theoretically equitable,
implementation of public policy is the personal circumstances
of street officers. For example, some officers who don’t have Quick Facts: Luther Gulick
any court cases scheduled, but are forced to make an arrest, will
say, “Well, if I have to go to court now, nobody catches a break.”
Born in Osaka, Japan, to missionary parents, Gulick later
Two dimensions to Weber’s work are often not considered.
taught at Columbia University where he founded the Insti-
First, he feared that the bureaucratic model’s efficiency consti- tute for Public Administration. He was an important adviser
tuted a threat to individual freedom by its impersonal nature and to President Franklin Delano Roosevelt (1882–1945) dur-
oppressive routine.56 Second, Weber deplored the career profes- ing World War II. During his remarkable career, he would
sional of moderate ambitions who craved security; Weber saw periodically leave the university to take a practitioners job,
this type of person as lacking spontaneity and inventiveness, the distinguishing himself as a first-rate scholar/practitioner.
modern-day “petty bureaucrat.”57

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 c h a p t er 5 • Org an i z at i ona l T h e ory 155

Table 5.1 G ulick ’ s PO SD CO R B

Activity Description
Planning Identifying the things that need to be done and the methods
for doing them to accomplish the goals of the agency.
Organizing The establishment of a formal structure of authority through
which work subdivisions are arranged, defined, and
coordinated.
Staffing Recruiting, screening, hiring, training, and evaluating officers.
Directing The continuous effort of making decisions, communicating
them, and seeing that they are properly implemented.
COordinating The all-important duty of interrelating the various parts
of the work.
Reporting Keeping those to whom the leader is responsible informed as
to what is going on and ensuring subordinates also stay
informed.
Budgeting The process of developing a plan stated in financial terms.

order or delegates a task is still personally responsible for its understood by reading the “small, stepping stone” publications
execution; (3) discipline, obedience to laws, policies, procedures, that led to his theory.63
and orders to further the accomplishment of the department’s Mooney and Reiley’s Onward Industry (1931) was generally
mission; (4) unity of command, on any assignment a subordinate consistent with the work of Fayol, as were the subsequent revi-
shall only be directed by a single supervisor; (5) unity of direc- sions of this publication, which appeared in 1939 and 1947 under
tion—leaders must establish a direction for the department; unity the title The Principles of Organization.64 In “Notes on the Theory
of command is meaningless without unity of direction; (6) sub- of Organization,” which was included in Papers on the Science of
ordination of personal interest to the interest of the department; Administration, Gulick coined the most familiar and enduring
(7) compensation must be fair and uniform to people with the acronym of administration, POSDCORB (see Table 5.1).65
same jobs, qualifications, and experience; (8) centralization, Gulick acknowledged that his POSDCORB was adapted from
which allows the active steering of the department in the direc- Fayol’s principles. Likewise, Urwick drew on the work of another
tion intended; (9) the scalar chain—authority and responsibility Frenchman, A. V. Graicunas, for his view on the span of control.
must flow in a clear and unbroken line from the top to the bot- Urwick asserted that no one should directly supervise five or at
tom of the department through the various ranks, often referred the most six subordinates whose work was unrelated.
to as the chain of command; (10) order is another manifestation Subsequent research on the maximum number of persons
of discipline; the building, equipment, records, and related mat- someone can supervise showed the figure of six is arbitrary and
ters must be properly maintained and accounted for; (11) equity, the actual number depends on such factors as the qualification
that quality of leadership and processes that combine kindness and experience of those supervised and their supervisor, the
and justice; (12) stability of personnel, which allows employees nature of the work, and it’s level of difficulty.
to become familiar with their jobs; (13) initiative at all levels of
the organization is a source of productivity; and (14) esprit de
corps, harmony, and union of personnel—these constitute a Critique of Traditional Theory
great strength, and efforts should be made to establish them.61 Scientific management is decried because of its “man as machine”
Fayol recognized that his scalar principle could produce orientation, and ample life is given to that argument by even a
disastrous consequences if it were followed strictly because it casual reading of the conversation between Taylor and the
would hamper swift action.62 He therefore developed Fayol’s legendary “Schmidt.” On balance, although Taylor’s emphasis
“gangplank,” or horizontal bridge, as a means of addressing this was on task, he was not totally indifferent to the human element,
problem. First-line supervisors and middle managers in different arguing that no system of management can be woodenly applied
units who interact regularly “cut across” the organization on the and all opinions of workers should be considered.66
gangplank, eliminating the time-consuming process of going up The pure bureaucratic model has no shortage of critics,
one hierarchy and down another. Inside of and between law although their arguments, when read in the context of today’s
enforcement agencies e-mail and texting have become modern neo-Weberian bureaucracies, are largely outdated. Nonetheless,
gangplanks (also see Chapter 10, Organizational and Interper- they are covered here to provide an understanding of how the
sonal Communication). In 2002, Wren, Bedian, and Breeze con- bureaucratic model has evolved. The reformatted or neoclassical
cluded that the richness of Fayol’s contributions can best be bureaucracy has taken us well beyond the Weber’s pure model.

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 156 cha pte r 5 • O r g a n izatio n a l T h e o ry

Organizational humanism called for a softening or elimina- more layers and greater vertical complexity, and that decreases
tion of many features of the pure bureaucratic model; perhaps efficiency because a matter going up the chain of command is
initially foremost among the humanists was Warren Bennis, who more time-consuming as each layer considers how to handle it.68
leveled the following specific criticisms of it (1966): (1) bureau- Less critical than both Bennis and Simon, Hage describes bureau-
cracy does not adequately allow for the personal growth and cracy in the mixed terms shown in Table 5.2.69 In Complex Organi-
development of mature personalities; (2) it develops conformity zations (1972), Perrow argues that the preoccupation with reforming,
and “group think”; (3) it does not take into account the “informal humanizing, and decentralizing bureaucracies diverts attention from
organization” and emerging and unanticipated problems; (4) its acknowledging how superior they are to other forms of organiza-
systems of control and authority are hopelessly outdated; (5) it tion. Goodsell, in The Case for Bureaucracy (1985), concludes that
has no adequate judicial process; (6) it does not possess adequate denunciations of bureaucracy may be fashionable, but not necessar-
means for resolving differences and conflicts between ranks and, ily solid.70 He asks the question: “How can we believe that all public
most particularly, between functional groups; (7) communication bureaucracies, all of the time, are inefficient, dysfunctional, rigid,
and innovative ideas are thwarted or distorted due to a tall hier- obstructionist, secretive, oligarchic, conservative, undemocratic,
archy; (8) the full human resources are not utilized due to mis- imperialist, oppressive, alienating, and discriminatory?”71 Gouldner
trust, fear of reprisals, and so on; (9) it cannot assimilate the influx is more blunt, declaring the unending criticisms as being qualitative
of new technology entering the organization; and (10) it modifies arguments devoid of any “empirical trimmings.”72
the personality structure such that each person becomes and
reflects the full, gray, conditioned “organization person.”67 These
criticisms started an important conversation, but for the most part
lack potency with the reformatted bureaucracy. HUMAN RELATIONS SCHOOL
In 1957, Robert Merton (1910–2003) noted that rigid enforce- The human relations school was developed in reaction to the
ment of rules can become dysfunctional. Originally intended to mechanistic orientation of traditional organizational theory,
promote efficiency and equity in dealing with clients, the inten- which was viewed as neglecting or ignoring the human element
tion of the rules can become lost and what is left is a slavish and helped set the stage for organizational humanism. This
devotion to enforcing them. Merton saw this as creating a school rests on the research of Elton Mayo (1880–1949) and
“bureaucratic virtuoso,” who never forgets a single rule, but may Fritz Roethlisberger (1898–1974). Originally started to study
not know what value or purpose it serves. worker fatigue, the research (1927–1932) was expanded several
Herbert Simon (1916–2001) took issue with administrative times and was carried out near Chicago at the Western Electric
theory. In 1945, he noted that if you narrow the span of control to Company’s Hawthorne Plant.73 The major contribution of the
five or six employees, you make the organization “taller,” creating ­Hawthorne Studies is the view that organizations are social sys-
tems. Two key studies were conducted: (1) the telephone relay
assembly study and (2) the telephone switchboard wiring study.74
Quick Facts: Warren Bennis, In the first study, five women assembling telephone relays
were put into a room and subjected to varying physical work
Infantry Leader conditions.75 Even when the conditions changed unfavorably,
production increased. Mayo and his associates were puzzled by
In 1944, Warren Bennis arrived in Europe as a 19-year-old these results. Ultimately, they decided that (1) when the experi-
Lieutenant, commanding a platoon, as the Battle of the menters took over many of the supervisory functions, the work
Bulge was ending. For subsequent action, Bennis received environment became less strict and less formal; (2) the women
a Purple Heart for a combat wound and a Bronze Star for behaved differently from what was expected because they were
Valor. His difficult early years did not diminish a fervor for receiving attention, creating the Hawthorne effect; and (3) by
organizational humanism or perhaps those years helped placing the women together in the relay assembling test room,
to produce it.
the researchers had provided the opportunity for them to
become a closely knit group. 76 On the basis of these

table 5.2 H a ge ’ s su m m a ry o f the m i xe d cha r a cte r i sti cs

o f the bu r e a u cr ati c m o d e l

High Low
Centralization Adaptability
Formality Job Satisfaction
Stratification Complexity
Production
Efficiency

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 c h a p t er 5 • Org an i z at i ona l T h e ory 157

observations, the researchers concluded that an important influ- contribute to the enduring problem of police corruption, such as
ence on productivity is the interpersonal relations and spirit of disillusionment and temptation, an informal group that supports
­co-­operation that had developed among the women and taking payoffs makes it more difficult to identify and prosecute
between the women and their supervisors. The influence of “bad cops.” In 1972, the Knapp Commission, investigating cor-
these “human relations” was believed to be every bit as impor- ruption in the New York City Police Department, distinguished
tant as physical work conditions and financial incentives.77 between “meat-eaters” (those who overtly pursued opportunities
In the telephone switchboard wiring study, 14 men were put to profit personally from their police power) and “grass-eaters”
on a reasonable piece rate; that is, without physically straining (those who simply accepted the payoffs that the happenstances
themselves, they could earn more if they produced more. The of police work brought their way).80 The behavior of the grass-
assumption was that the workers would behave as rational eco- eaters can be interpreted within the framework of the power that
nomic actors and produce more, because it was in their own best informal groups have. In its investigation of corruption in the New
interest. To insulate these men from the “systematic soldiering” York City Police Department, the Knapp Commission learned that
they knew to exist among the plant’s employees, the researchers the motive for grass-eaters taking petty graft was to be seen as
also placed these workers in a special room. The workers’ output “one of the boys” and therefore trusted by the meat-eaters.
did not increase, which contradicted scientific management’s view The foregoing discussion should not be interpreted to mean
that given the opportunity to earn more, workers will be more that informal groups always, or even frequently, engage in trou-
productive. The values of the informal group appeared to be more blesome or unethical behavior but rather is an illustration of the
powerful than the allure of financial betterment: (1) don’t be a “rate potency that such groups have. Astute law enforcement admin-
buster” and produce too much; (2) if you turn out too little work, istrators are always alert for opportunities to tap the energy of
you are a “chiseler”; (3) don’t be a “squealer” to supervisors; and informal groups to support departmental goals and programs.
(4) don’t be officious; if you are an inspector, don’t act like one.78
As a result of the Hawthorne Studies, it was concluded that (1)
the level of production is set by social norms, not by physiological Critique of the Human Relations School
capacities; (2) often workers react not as individuals but as mem- Mayo’s human relations school has been challenged on a num-
bers of a group; (3) the rewards and sanctions of the group ber of grounds:
­significantly affect the behavior of workers and limit the impact
of economic incentive plans; and (4) leadership has an important 1. The research methods were not rigorous and such
role in setting and enforcing group norms, and there is a differ- lapses may have tainted the findings.81
ence between formal and informal leadership.79 2. The human relations school claims conflicts between
When workers react as members of an informal group, they management and workers can be resolved by
become susceptible to the values of that group. Thus, the infor- “harmony” between them. This attributes too much
mal group can be a powerful force in organizations. Illustratively, potency to “harmony.” Moreover, it ignores the
a number of police unions started as an unorganized, small infor- possibility that properly handles conflict can be a
mal group of dissatisfied officers. Although many factors source of creativity and innovation.

Box 5. 3 F r a n ce s co “ F r a n k ” S e r p i co

Born in 1936, Frank Serpico joined the NYPD in 1959. breaking the “blue curtain of silence.” Serpico was belatedly
A “straight-arrow” officer, he gradually learned of significant promoted to detective and awarded the NYPD’s Medal of
corruption within the department. Illustratively, while some offi- Honor. Retired in 1972, he went to Europe for a decade and
cers would accept occasional, petty bribes not to issue sum- traveled widely before returning to the United States, living a
mons, the most serious corruption involved officers who were semi-reclusive life in a cabin he built. Serpico still occasionally
“on the pad,” getting regular payments to protect activities like speaks out on police issues, like excessive use of force.
prostitution, gambling, the numbers racket, and narcotics. In 1992, the Mollen Commission began looking into cor-
In 1970, Serpico reported it, but it appeared nothing was ruption in the NYPD and produced its report in 1994. It did
being done. He subsequently did a newspaper interview, not find the systemic selling and buying of protection corrup-
which appears to have been a contributing factor to Mayor tion of the Knapp Commission but did uncover pockets of
Lindsay appointing the Knapp Commission. “crew-based” corruption. However, substantial use of unde-
In 1971, Serpico was on a narcotics raid, got his head tected excessive force was identified, which the Mollen
slammed in the door and was shot in the face. His two backups report characterized as being justified by officers as morally
reportedly left the scene without calling for an ambulance, per- correct when a “guilty” person who would otherwise go
haps because he was already detested on the department for unpunished was the recipient.

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 158 cha p te r 5 • O r g a n izati o n a l T h e o ry

3. The single-mindedness with which advocates insisted people endure to make a living.91 Covered in this section are
on the importance of human relations was evangelistic. Maslow’s needs hierarchy; Argyris’s immaturity/maturity changes;
4. Entirely too much emphasis was placed on the McGregor’s Theory X–Theory Y; and Herzberg’s motivation-
informal side of organization to the neglect of the hygiene theory. Likert’s management systems, a four-step contin-
organization as a whole.82 uum from authoritarian to participative work environments, could
also fit here, although it is covered in Chapter 7, Leadership. These
Human relations is also criticized as having a pro-manage- organizational humanists must be read in the context of their
ment bias from several perspectives. First, it saw unions as pro- times; their views were written from 1943 (Maslow, the needs
moting conflict between management and labor, a condition hierarchy) until 1966 (Herzberg, motivation-hygiene theory). Pres-
antithetical to the values of human relations. Second, by focusing ently, some of their views are archaic; in fairness, they could not
on workers, the Hawthorne studies provided management with foresee the rise of neoclassical organizational theory and the
more sophisticated means of manipulating employees. Finally, neo-Weberian organizational processes. Nonetheless, organiza-
the goal of human relations is indistinguishable from that of tional humanism is an important milestone in helping to move
scientific management in that both aim for a more efficient thinking beyond traditional organizational theory and the human
organization: relations school and helped to set the stage for new styles of lead-
Scientific management assumed that the most efficient orga- ership and organizational processes (see Chapter 7, Leadership).
nization would also be the most satisfying one, since it would
maximize both productivity and workers’ pay . . . the Human
Relations approach was that the most personally satisfying
Maslow: The Needs Hierarchy
organization would be the most efficient.83 Abraham Maslow (1908–1970) was a psychologist who devel-
oped the needs hierarchy to explain individual motivation.
In 2010, job satisfaction in the United States hit a 20-year The model appeared first in a 1943 article92 and later received
low.84 Although the Hawthorne Studies never showed a clear-cut extended coverage in Maslow’s Motivation and Personality
relationship between satisfaction and job performance,85 the (1954); it is summarized in Figure 5.7.93
human relations “chant” that satisfied people are more produc-
tive has become a widely held and cherished belief. It is a logi-
cally appealing and commonsense position whose endless
repetition has accorded it the status of “fact.” There is, however,
no consistent research evidence to support that job satisfactions
causes or is correlated with productivity.
A 2008 study reviewed 70 years of research and concluded
that uncertainty remains as to whether happier workers are more Self
productive.86 The study essentially confirms the most scornful Actualization
dismissal of the human relations school as “contented cows give Needs
more milk” theory. In 2009, researchers found that in nonen- Testing one’s self,
gaining a sense
forcement situations with the public, officers had greater job of mastery
satisfaction when they perceived higher levels of public sup-
port.87 In a smaller study (2009), the best predictors of job sat- Self-Esteem
Needs
isfaction among police officers was job autonomy and regular Desire for reality-based
feedback.88 Job satisfaction can be decreased or increased by the positive image of one’s
velocity or speed at which a person is able to make progress self as evidenced by
toward important goals (2010).89 There is also some evidence compliments, commendations,
and promotions
(2008) that employer-provided support services, such as child
care and exercise opportunities, are a shield to job dissatisfaction Belongingness
and may decrease turnover.90 and Love Needs
Affection of parents,
spouse, children, and
acceptance in department

ORGANIZATIONAL HUMANISM Safety Needs

Organizational humanism (OH) shares the human relations Desire not to be harmed,
financial security, secure in one’s job
school’s distaste for traditional organizational theory. OH differs
from traditional organizational theory and the human relations
school in three fundamental ways: (1) the work intrinsically, in and Physiological Needs
Basic needs, shelter, food, water
of itself, should be satisfying and help to motivate workers;
(2) organizations must pay attention to the on- and off-the-job
needs of workers; and (3) work shouldn’t be just something that Figure 5.7 c Maslow’s needs hierarchy.

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 c h ap t e r 5 • Or g an i z at ional Th eory 159

The needs hierarchy is arranged, like the rungs on a ladder, 1966 with a mix model, asserting that organizations could reduce
from the lower-order to the higher-order needs. A person does some of their unintended, nonproductive employee practices to
not move from one level to the next-higher one until the majority free up more productive uses of their energy.99 He also noted that
of the prior level’s needs are met. Once those needs are met, having some unchallenging work was an asset because it allowed
they cease to motivate a person, and the needs at the next level recovery time for workers and routine tasks could get done.100
of the hierarchy predominate. For example, one does not attempt
to self-actualize until one has feelings of self-confidence, worth, McGregor: Theory X–Theory Y
strength, capability, adequacy, and mastery;94 these feelings are
Douglas McGregor (1904–1964) believed that many managerial
generated only with the meeting of the self-esteem needs. It is
acts rested on conscious or subconscious assumptions and beliefs
important to understanding the needs hierarchy that the charac-
about how workers behave.101 In The Human Side of Enterprise
ter of something does not necessarily determine what need is
(1960), McGregor stated two different sets of assumptions that
met but rather to what use it is put; money can be used to buy
managers make about people;102 his Theory X–Theory Y
food and satisfy a basic need, or it can be put in a savings
reflects two polar opposite characterizations of these assumptions
account to satisfy safety needs. Also, any progress up the hier-
and beliefs (see Table 5.3).103
archy can be reversed; a police officer who is fired or is given a
American police departments have historically been domi-
lengthy suspension may be thrust into a financial situation in
nated by Theory X assumptions. Even police departments with
which the physiological needs will predominate.
progressive national images can be experienced as tightly con-
Police agencies that are managed professionally attempt to
trolling environments by the people who actually work in them:
make appropriate use of theoretical constructs. For example, the
fourth level of Maslow’s needs hierarchy is self-esteem, which The person leading a training session with about 35 managers
includes the need for recognition as evidenced by compliments of a West Coast police department observed that we often
and commendations. The Ohio State Highway Patrol used this react to organizations as though they were living, breathing
need level to combat vehicle theft by creating the Blue Max things. The managers agreed with this and noted the use of
Award. Each time a state trooper arrests a suspect in a stolen car, such phrases as “the department promoted me this year” and
he or she receives a lightning bolt decal to place on the side of “the department hired me in 2000.” They also understood that
his or her patrol car. For five such arrests, a trooper receives a in fact someone, not the police department, had made those
license plate that reads “ACE” with a single lightning bolt next decisions. The managers were then divided into five groups
to it. Each additional five arrests results in an additional lightning and asked to make a list of what they thought the police
bolt on the license plate. The trooper with the most stolen car department would say about them if it could actually talk.
arrests at the end of the year receives a citation of merit, a uni- When the groups reported back, they identified a total of
form ribbon, and exclusive use of a new patrol car for a year. In 42 statements, some of which were duplicates of each other.
2014, the top trooper recovered 18 vehicles worth $68,288 and These managers, all of whom were college graduates and
resulted in the apprehension of 18 subjects.95 many of whom held advanced degrees, indicated the police
department would make some positive statements, but would
also say “They are idiots,” “They don’t have any sense,” “Watch
Argyris: Immaturity-Maturity Theory them or they’ll screw up royally.”
Chris Argyris (1923–2013) is a leading proponent of more open
Theory X assumptions are readily recognized as being those
and participative organizations. In Personality and Organiza-
that underpin traditional organizational theory. For example, we
tion: The Conflict between System and the Individual (1957), he
can relate a narrow span of control to Theory X’s first two propo-
states a theory of immaturity versus maturity. Argyris believes
sitions. In contrast, Theory Y is formed by a set of views that are
that as one moves from infancy toward adulthood in years of
supportive of Argyris’s mix model; they postulate that the inter-
age, the healthy individual also advances from immaturity to
ests of the individual and the organization need not be conflictual
maturity. Simultaneously, Argyris views formal organizations as
but can be integrated for mutual benefit. The principal task of
having certain properties that are barriers to the development of
management in a Theory X police department is control. In a
maturity: (1) specialization reduces worker initiative because
Theory Y department, it is supporting subordinates by giving
employees repeatedly perform unchallenging tasks and (2) the
them the resources to do their jobs and creating an environment
chain of command and narrow span of control make workers
where they can be self-controlling, mature, contributing, and self-
submissive, passive, and dependent.96
actualizing—within the context of the agency’s mission and goals.
Argyris believed that when the needs of a healthy, mature
worker collided with the properties of the formal organization,
dysfunctional things could happen, including the worker becom- Herzberg: Motivation-Hygiene Theory
ing frustrated, choosing to produce less, developing psychoso- Motivation-hygiene theory was developed from research
matic illnesses, and choosing to seek employment elsewhere.97 conducted by Frederick Herzberg (1923–2000), Bernard
He doubted that it was possible to have a relationship between Mausner, and Barbara Snyderman on job attitudes at 11 work
the individual and the organization that allowed the simultaneous sites in the Pittsburgh area and reported in The Motivation to
maximizing of the values of both.98 Argyris modified his theory in Work (1959). The major statement of the theory, which evolved

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 160 cha p te r 5 • O r g a n izati o n a l T h e o ry

Table 5.3 M c G regor ’ s T heory X–T heory Y assumptions about

workers

Theory X Theory Y
1. The average human has an inherent 1. The expenditure of physical and mental
dislike of work and will avoid it if effort in work is as natural as play or rest.
possible. 2. External control and the threat of
2. Most people must be coerced, punishment are not the only means
controlled, directed, and threatened for bringing about effort toward
with punishment to get them to organizational objectives. People will
put forth adequate effort toward the exercise self-direction and self-control
achievement of organizational in the service of objectives to which
objectives. they are committed.
3. The average human prefers to be 3. Commitment to objectives is a function
directed, wishes to avoid responsibility, of the rewards associated with their
has relatively little ambition, and wants achievement.
security above all. 4. The average human learns, under proper
conditions, not only to accept but also
to seek responsibility.
5. The capacity to exercise a relatively high
degree of imagination, ingenuity, and
creativity in the solution of organizational
problems is widely, not narrowly,
distributed in organizations.
6. Organizations only partially utilize the
abilities of their employees; unleashing
that energy leads to greater organizational
achievements and more fulfilled
employees.

out of this earlier research, is found in Herzberg’s Work and the Hygiene factors that are not treated properly are a source of dis-
Nature of Man (1966). satisfaction. However, even if all of them are provided, a police
Herzberg saw two sets of variables operating in the work set- department does not have motivated officers, just ones who are
ting: (1) hygiene factors, which he later came to call maintenance not dissatisfied. Hygiene factors and motivators operate indepen-
factors, and (2) motivators. Table 5.4 identifies Herzberg’s hygiene dently of each other; the police manager can motivate subordi-
factors and motivators. The hygiene factors relate to the work nates if they are somewhat dissatisfied with their salaries. However,
environment; the motivators relate to the work itself. Herzberg the greater the level of dissatisfaction, the more difficult it becomes
borrowed the term hygiene from the health-care field and used it to employ the motivators successfully.
to refer to factors that, if not treated properly, could lead to a Note that law enforcement leaders have more control over
deterioration in performance, creating an “unhealthy” organization. motivators than they do over basic hygiene factors. When leaders

Table 5.4 H erzberg ’ s M otivation -H ygiene T heory

Hygiene / Maintenance Factors Motivators
Supervisory practices Achievement
Policies and administration Recognition for accomplishments
Working conditions Challenging work
Interpersonal relationships with Increased responsibility
subordinates, peers, and superiors
Status Advancement possibilities
Effect of the job on personal life Opportunity for personal growth and development
Job security
Money

Source: “Herzberg’s motivation-hygiene theory” from Work and the Nature of Man by Frederick Herzberg
(Cleveland: World Publishing, 1966), pp. 95–96.

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 c h a p t er 5 • Org an i z at i ona l T h e ory 161

exercise control over hygiene factors, they can do a considerable The research support for Argyris’s immaturity-maturity theory is
amount of good in reducing dissatisfaction and facilitating the use generally weak. Heavily influenced by Maslow, Argyris’s own
of the motivators, or they can cause considerable unhappiness: research only used semi-structured interviews and the theory
assumes that workers’ needs are uniform109 A major test of the
The commander in charge of the uniformed division of a
theory, which included 800 respondents, did not find sufficient
100-officer department suddenly announced that officers were
evidence to support it.110
going to be placed on permanent shifts. Surprised and angered
by this move, the officers and their wives mobilized to oppose
the plan, and after a mass meeting with the commander, the
plan was abandoned. The legacy of this incident was a period
BEHAVIORAL SYSTEMS THEORY
of barely subdued hostility, distrust, and low morale. The successor to organizational humanism was behavioral
systems theory (BST), founded by Kurt Lewin (1890–1947), a
The nature of police work is challenging, and some motiva-
psychologist who fled from Germany in the early 1930s.111 The theo-
tional effect is thus naturally occurring. Police managers can
rists in this school saw organizations as being composed of the
build on this by varying assignments appropriately. Measures
behavior of individuals and groups and were interested in making
that employ various other motivators include an active awards
organizations more democratic and participative. The work of
system, the creation of a master patrol officer designation, an
some organizational humanists is sometimes included in BST.
annual police awards banquet, an active staff development pro-
Lewin was interested in group dynamics—how groups form
gram, and a career system with various specialization tracks.
and how their members relate to each other—and he also
Maslow’s needs hierarchy and Herzberg’s motivation-hygiene
developed a decision-making tool, force-field analysis (see
theory can be interrelated; the physiological, safety, and love and
Table 5.5).
belongingness needs of Maslow correspond to Herzberg’s hygiene
In force-field analysis, driving forces push for a new condition
factors; the top two levels of the needs hierarchy—esteem and
and restraining forces resist the change. If there are exactly oppos-
self-actualization—correlate with Herzberg’s motivators.
ing driving and restraining forces, the arrows of these opposing
forces meet at the vertical zero, or balance, line. In some instances,
Critique of Organizational Humanism there might not be an exactly opposite force, in which case an
In one way or another, organizational humanism (OH) theories arrow is simply drawn, as in Table 5.5, to the balance line. After
depend to some degree on open and honest communication all entries are made and the situation is summarized, the relative
between organizational members who respect and trust each power of the driving and restraining forces must be subjectively
other. An attractive theme, it gives insufficient weight to the evaluated. In this regard, the balance line should be regarded as
consequences that can occur when authenticity meets power. a spring that will be moved in one direction, suggesting the action
Illustratively, movie maker Samuel Goldwyn told his staff, “I want that needs to be taken or the decision that needs to be made.
you all to tell me what’s wrong with our operation even if it In the Human Group (1950), George Homans (1910–1989)
means losing your job.”104 advanced the idea that groups have both an internal and an exter-
An underlying assumption of OH is that people want more nal system.112 The internal system comprises factors that arise
rewards than just money from doing their work. Ignored is the within the group itself, such as the feelings that members of a
reality that some proportion of workers have a utilitarian involve- group develop about each other during the life of the group. In
ment with the job. It simply provides the money necessary to contrast, the external system consists of variables in the larger
live; they save their energies and obtain their rewards from their environment in which the group exists. Members of the same
families, operating their own on-line businesses, or other non- patrol shift may form one or more groups and these groups exist
job-related sources, such as hobbies. within the context of the law enforcement agency employing them.
Despite the lack of research and the fact that the few existing To illustrate, a chief suspends an officer for three days following a
studies do not support Maslow, there remains an almost meta- high-speed pursuit in which the officer had an a­ t-fault accident.
physical attraction to the needs hierarchy,105 a condition made The officers who work on the same shift as the suspended officer
even more perplexing by noting that Maslow’s work on motiva- viewed the discipline as unjust and agreed among themselves not
tion came from a small clinical study of neurotic people.106 In to write any traffic citations during the three-day suspension.
turn, Maslow points at Theory X–Theory Y and notes that a good Much of Warren Bennis’s (1925–2014) effort was in organi-
deal of what McGregor bases his conclusions on comes from my zational development (OD), a change management process.
research “. . . and above all people I know just how shaky that OD is used to “recalibrate” the work attitudes and values of
foundation is . . . I am concerned that enthusiastic people will employees with respect to the changes the organization wishes
swallow it whole.”107 to make and often involves surveying and training employees. It
In contrast to the lack of research on the needs hierarchy, is intended to take the chaos and uncertainty out of organiza-
there has been considerable research on Herzberg’s motivation- tional changes. When police departments plan and implement
hygiene theory; after reviewing this evidence, Gibson and community or intelligence-led policing or servant leadership (see
­Teasley concluded the range of findings run from general sup- Chapter 7, Leadership), they are engaged in organizational devel-
port to a vigorous condemnation of Herzberg’s methodology.108 opment change (see Chapter 15, Organizational Change).

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 162 cha p te r 5 • O r g a n izati o n a l T h e o ry

Table 5.5 F orce - field analysis of conflict involving a

police promotional system

Driving Forces Restraining Forces

Minority officers discontent with Majority and some minority

lack of minority promotions officers support present
promotional system
Several discrimination complaints
filed by minority officers Elected and appointed officials
willing to initiate change, but
wanted the fullest and fairest
Minority employees association competition to ensure public
formed and their attorney had confidence in those selected for
presented plan that would leadership positions
grant preferential treatment to
Majority officers association took
minorities temporarily
no official policy stand but
association’s President appeared
before Council to oppose
changing the current
promotional process
Elected and appointed community Ill-considered change could
officials want to respond to splinter the department badly
legitimate employee and along racial lines
community concerns
Possibility of litigation and court Fifty majority employees
intervention allegedly prepared to get $5,000
second mortgages on their homes
to raise $250,000 for filing a cross
suit
Officers with seniority and/or
higher education opposed to
reducing the importance of these
factors in any new police
promotional ordinance
Litigation could result in adverse
publicity, damaging the city’s
progressive reputation and
economic development

Critique of Behavioral Systems Theory theory (OST) by Katz and Khan in their The Social Psychology of
Organization (1966).
Although behavioral systems theory (BST) was relatively short-
A system is a grouping of separate but interrelated compo-
lived, its theorists helped sustain the movement away from
nents working together toward the achievement of a common
mechanistic views of organizations and toward the people in
objective (see Figure 5.8). Organizations can be characterized as
them. Homans’s work on internal and external systems served
closed or open systems. In actuality, there are no entirely closed
to set the stage for open systems theory.
or entirely open organizations; these are terms used only to
describe the extent to which an organization approximates one
or the other. Closed systems operate under assumptions that they
ORGANIZATIONS AS OPEN are rational, effective, efficient, substantially self-sufficient, can
SYSTEMS reasonably predict what is going to happen, and “know what’s
best.” This line of thinking is accompanied by, or breeds, an
Ludwig von Bertalanffy (1901–1972), a biologist, articulated gen- insensitivity to influences from the larger environment, which
eral systems theory (GST) in 1940. However, the application of reinforces the isolation of a closed system organization.
GST principles to organizational theory did not begin to gain Open systems theory views hierarchical organizations, such
prominence until the 1960s when it was recast as open systems as law enforcement agencies, as being comprised of multiple

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 c h ap t e r 5 • Or g an i z at ional Th eory 163

Larger Environment

Law Enforcement Agency

Inputs Outputs
Budget, recruits, Throughputs: Transformation of Inputs e-government services, zones
intelligence, views of patrolled, follow-up investigation,
community officials Equipment is purchased, recruits trained, suspects apprehended,
and citizens actionable intelligence produced, programs property recovered
initiated, modified, or cut

Feedback Loop

Figure 5.8 c A basic open system view of a law enforcement agency with illustrated processes.

subsystems interfacing with the larger environment. It both regards whatever is “outside of it” as being inconsequential. In
accommodates the hierarchical feature of traditional organiza- contrast, open systems:
tional theory and describes the organization’s functioning in an
1. Recognize that everything beyond their boundary/
open systems context. By doing so, the effect of factors in an
structure is part of their environment;113
organization’s environment can systematically be taken into
2. Know they have regular on-going relationships in the
account in explanations of its performance.
larger environment in which they are embedded; this is
Both traditional organizational theory and the early police
the quality of being interdependent; numerous factors
professionalism movement (see Chapter 1, The Evolution of
impinge on law enforcement agencies (see Table 5.6);
Police Administration) reinforced a closed system view, which

Table 5.6 I l l u s t r at ive e nvir o nm e ntal facto r s po te ntially im pac tin g law
e nf o r ce m e nt age ncie s

Illustrative Environmental Potential Impacts

Factors
Police Unions Oppose increased cost of health and pension benefits to their members; furloughs and
layoffs; wage concessions; freezing cost of living increases for their retirees; early release of
violent offenders; parole of “Cop Killers”; increases in hiring standards and some disciplinary
actions; support specific political candidates; usually gun control; some tax increases;
and legislation requiring the death penalty for those killing officers in the performance of
their duties.
Partners Multiagency single purpose and standing task forces may create friction about budgetary
support, credit for successes, and blame for failures; mutual aide compacts allow agencies
to share the use of special resources, aircraft, SWAT teams, and bomb disposal units.
Events Agency resources may be overrun by natural disasters, protests and riots, catastrophic
industrial accidents, terrorist attacks, and searching for children lost in wilderness areas.
Events may also be positive, e.g., gifts and grants.
Legal Framework New court rulings, federal, and state laws may require new expenses and procedures
and/or provide agencies with new authority. Some federal laws, e.g., Americans with
Disability Act (ADA) and Occupational Health and Safety Act (OSHA) provide protection
to officers (See Chapter 9, Human Resources).
Governing Body May slash budgets, impacting agency operations and keeping high-mileage cars in the
fleet; declare city a sanctuary for undocumented immigrants putting the agency between
official policy and public demands for strict enforcement; and approve take-home cars.
Special Interest May call for special unit to deal with the gay, lesbian, bisexual, and transgendered
Groups/Stakeholders communities; Washington DC has a GLBT Police Unit for this purpose; advocate for
more officers walking beats in business areas; and demand strict enforcement of
loitering, panhandling and noise ordinances.
Technology Can be used to make agency more transparent, as a recruiting tool, and to provide
e-government services.
Other Departments May see offers to engage in collaborative projects as an attempt by police to “build
empire” or use their resources; equipment and supplies selected by purchasing may
be seen by rank and file as substandard/inadequate.

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 164 cha pte r 5 • O r g a n izatio n a l T h e o ry

3. Have walls or boundaries that are permeable, allowing 8. Become double-loop learning organizations in order to
things, for example, information and information, in be adaptive: (1) single-loop learning allows
and out. Too many inputs will overwhelm an open organizations to make corrections and carry out their
system and threaten its homeostasis or balance; present efforts toward achieving objectives and
from the Greek, homeostasis literally means “standing (2) double-loop learning, articulated by Chris Argyris,
still”; goes deeper, enabling organizations to judge whether
4. Use coding to prevent being overwhelmed, which they are pursuing the right objectives, programs, and
functions like a priority system; important inputs get policies.115 Law enforcement practices associated with
through quickly: calls from a city manager will usually double-loop learning include after action reports, staff
be received by the chief, but citizens asking to talk to inspections, and program evaluation;
the chief often find themselves redirected and speaking 9. Follow the principle of equifinality, which means
to someone else; there are multiple ways to achieve goals; and
5. Have the tendency to become more complex and 10. Can never be more varied than the larger
specialized; as specialization proceeds, its fragmenting environment.116 Isomorphism, from the Greek
effect on the department is countered by the unifying meaning equal shape, dictates that the resource-
elements of its internal subsystems (see Table 5.7); dependent agencies tend to mirror the complexity and
6. Face the prospect of moving toward decline, demands of their environment and develop policies,
disorganization, and death—the entropic process. programs, and units that are signaled to be important
Only 13 of the businesses existing at the time of the by the environment.
American Revolution remain as autonomous entities,
and during a 20-year period, 46 percent of the Critique of Open Systems Theory
companies on the Fortune 500 list of America’s largest Some critics question whether GST, which originated in biology
and most powerful businesses disappeared from that and was applied to organizations as OST, can unequivocally be
list.114 Law enforcement agencies have no exemption used to explain contrived man-made organizations. 117 The
from the entropic process. In the current financial essence of this criticism is that using explanations of living sys-
environment, thousands of agencies have experienced tems to describe the behavior of artificially created, non-organic
hiring freezes, furloughs, layoffs, and being shut down organizations poses the danger of a misapplication of knowl-
(see Chapter 12, Financial Management). To fight edge and the creation of false, but persuasive, analogies. These
entropy, departments continuously import more inputs critics argue that the extension of GST into organizations as open
than they can use (e.g., gasoline), and store it to allow systems may fail to account for or understate crucial aspects of
operations to continue if supplies are interrupted. organizations. Finally, these critics maintain that organizations
“Buffering” describes this processing of storing some may be systems, but they are not natural systems that are subject
inputs and it allows the department to develop to immutable laws118 and do not invariably follow the birth,
negative entropy, or the capacity to resist decline. growth, maturity, and death cycle of biological systems.
7. Must evolve, in order to avoid decline, the quality of In more positive terms, open systems theory provides a frame-
adaptability; work and language for understanding how law enforcement is

table 5.7 T h e i nte r na l su bsyste m s o f a law e nfo r ce m e nt

a ge ncy

Subsystems Illustrative Functions

Managerial Sets direction for agency, controls, directs, coordinates, evaluates,
takes corrective action, empowers employees, sets budget priori-
ties and presents and defends operating budget
Supportive Acquires resources from larger environment and distributes them;
budget and grant preparation, recruits, obtains surplus government
property, promotes positive image of agency
Production Components that transform inputs into outputs, patrol, investiga-
tion, crime prevention, DUI checkpoints, e-government services
Maintenance Building, grounds, equipment, special emphasis on employees, fair
compensation and benefits, favorable work environment
Adaptive Scans environment, identifies problems, opportunities, and
challenges; develops response strategies and tactics

Source: These subsystems were identified in Danial Katz and Robert L. Kahn, The Social Psychology of
­Organizations. New York: Wiley, 2nd Edition, 1978.

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 c h a p t er 5 • Org an i z at i ona l T h e ory 165

loosely connected to and interacts with elected and appointed in the environment. RDT views organizational success as orga-
governmental leaders, prosecutors, the judiciary, federal depart- nizations maximizing their power. Organizations can do so by
ments, grant awarding agencies, clients, consultants, and other forming co-operative ventures with other organizations and by
entities, as well as how they handle inputs such as information. making resource providers view their contributions as crucial.
Population Ecology RDT and population ecology (PE)
share the same views on organization resource dependence and
OTHER PARADIGMS OF the power of the larger environment. However, they use different
levels of analysis; RDT focuses on agencies and PE focuses on
ADMINISTRATION the larger environment.122 PE, which fundamentally had a mid-
A paradigm is a coherent, internally consistent, and integrated to late-1970s start, seeks to discover why organizations compet-
approach to making sense of whatever is being studied. In ing in the same resource pool or ecological niche are more, and
essence, it is a model. If you are defining a problem in a con- others less, successful. Hannan and Freeman’s The Population
ventional, habitual, or customary way, you are “thinking inside Ecology of Organizations (1977) was a major development in
the box,” a condition created by “paradigm paralysis.” If trying this line of thinking.
to solve the problem by thinking “outside of the box,” you will Old Institutional Theory “Old” institutional theory (OIT) is
have some quirky, unconventional thoughts that may lead you associated with traditional organizational theory. In explaining
to important innovations or paradigm shifts. This section covers organizations, it tended to rely on historical justifications for
some theories that are not mainstream but are interesting ways structures and processes, OIT was the legal foundation for the
of looking at organizations. existence of public organizations, holding that the structure of
an organization dictated the behavior of its members. Therefore,
OIT was relatively uninterested on how organizations impacted
Environmental Theories individuals.123 The old institutional writings were descriptive and
This group of theories relates organizations to the broader environ- value laden, substantially lacking an empirical base. Nonetheless,
ments in which they are embedded: (1) environmental contingency along with traditional organizational theory, the old institutional-
theory, (2) resource dependency theory, (3) population ecology, ism was part of the progressive era/good government movement
(4) old institutional theory; and (5) neo institutional theory. that lasted from roughly 1890 into the 1920s (see Chapter 1, The
Environmental Contingency Theory Burns and Stalker Evolution of Police Administration).
(1961, 1968) maintain that there is no one best way to structure Neo Institutional Theory Neo-institutionalism was named
an organization.119 Instead, leaders must “read the environment” by March and Olsen (1984)124 and its beginning dates from the
and decide what type of structure is the best “fit” with the envi- late 1970s until the mid-1980s. There are a half-dozen or more
ronment being faced. For example, if the environment is stable varieties of neo-institutionalism; the political institutional frame-
and the tasks to be performed are routine, than a mechanistic work (PIF) is briefly described here.125 PIF’s view is that organi-
form of organization might be the best choice. Very successful zations are not simply acted upon by the larger/external political
organizations are able to find the best “fit.” system (e.g., inevitably pressured into the mandatory adoption
Organizations may still survive, with varying degrees of suc- of strategies, programs, and policies). Instead, organizations are
cess, with “adequate” or “good” fits, but they are unlikely to excel often themselves potent political forces that can resist pressures
and may even have to abandon a fit they have chosen. Around and shape part of their external political landscape.126 PIF rec-
1980, a few police departments tried to “flatten” the seven or ognized that politics is “done” both to, and by, organizations.
eight layers of their hierarchy, which made their structure grow
horizontally and shrink in height. These experiments were
quickly abandoned because others in the environment Networked and Virtual Organizations
(e.g., local, state, and federal agencies) didn’t know what unit or Networked and virtual organizations are goal directed and share
person they should contact about any matter. “Fit” is also being many characteristics. Advanced information technology is the
used to determine whether a person can be a p ­ roductive part of glue that allows them to function; geographic proximity may not
an organization or a work team; although ability is a key factor, be an issue; dispersion may provide some advantages; and hori-
emotional stability is proving to be even more important.120 zontal communication accounts for most message traffic. As a
Resource Dependency Theory The fullest expression of generalization, networked organizations (NOs) have relation-
resource dependency theory (RDT) was produced by Pfeffer and ships that are planned and stable, whereas virtual organiza-
Salancik (1978).121 The basic thrust of RDT is that all agencies tions (VOs) have relationships that often arise spontaneously
must get the resources they need to operate from the larger out of special needs and may be temporary.127
environment, creating resource dependency. The control of Networked organizations (NOs) date from the early 1980s
resource distribution by the larger environment is a source of when tall, hierarchical organizations faced a tough economy. They
power over agencies and makes them dependent. Failure to realized that there were some things other organizations or
capture resources makes an agency more vulnerable and moves ­individuals could do cheaper, faster, and better. The result was a
it toward entropy. RDT helps agency leaders identify the standing period of corporate downsizing as individual jobs and functions
of other agencies competing for resources and who has power were subcontracted out. The separate members of a networked

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 166 cha p te r 5 • O r g a n izati o n a l T h e o ry

organization are termed nodes and are simultaneously autono-

mous and collaborative, pooling their resources, and geographi-
cally dispersed to one degree or another. The relationships of the
nodes are spelled out in contracts. To illustrate, Firm A designs a
car; Firm B does the engineering; Firm C builds it with parts pro-
vided by supplier nodes; and Firm D markets the vehicle. NOs
flatten the organizational hierarchy and broaden the organiza-
tional structure horizontally. This requires continuing horizontal
communication, which results in personal relationship developing
between people in different nodes. These relationships are added
value; people go out of the way to help those they know. NOs
may use some overarching or meta-management to coordinate
functions (e.g., a board of directors). Although NOs can be used
for a single project, they tend to be ongoing enterprises with some
node members being replaced from time to time to achieve
greater efficiency or for other reasons.
Although NOs and VOs are sometimes used synonymously,
others describe VOs as being created more spontaneously, not
regulated by formal agreements, more informal, and driven by
the need to accomplish a single task. Node members, who can
withdraw at any point, participate voluntarily and leadership
may not be formally designated; the nodes can be self-directed
because of their mutuality of needs.
In 2002, a sniper went on a rampage in the Washington, DC,
area; victims were shot with a high-power rifle from a distance,
leaving no witnesses and few investigative leads for law enforce-
ment agencies (see Figure 5.9).128 By the time an arrest was
made, there were 14 shootings, 10 deaths, and thousands of
local, state, and federal law enforcement officers involved.129 A
total of five different task forces from different involved jurisdic-
tions were in operation and one had three co-equal leaders.130 Figure 5.9 c The sniper who terrorized the Washington,
The task forces were built “on the fly” and nobody had a chance DC, area for 3 weeks in 2002 shot from inside of his car’s
to step back and critically assess what was being done.131 Task closed trunk using a Bushmaster .223 rifle with a scope for
accuracy and a tripod for stability. Note the cut-out in the
force leaders said that they didn’t need more control over the
body of his car so he could take position and shoot without
other task forces; they needed more coordination.132 There was
anyone seeing him. (Mary Altaffer/AP Images)
no central hub to coordinate investigative priorities, use of
resources, and information sharing.
One of the situations requiring multiple jurisdiction involve-
The sniper case reflects the following elements, many of which
ment is serial murder investigations because such crimes may be
reflect virtual organizational theory: (1) there was a spontaneous
committed across several counties and states. To illustrate, Ted
need; (2) although some agency and personal relationships pre-
Bundy killed a number of young women during the 1970s. His
existed, other relationships were unplanned; (3) the law enforce-
method of operation was to kidnap a victim in one county and
ment agencies were geographically dispersed; (4) in the absence
leave the body in another one to complicate investigations by
of a central command and control hub, greater horizontal com-
involving several agencies, which he did in multiple states before
munication was needed; (5) co-operating agencies could withdraw
being apprehended, convicted, and executed in Florida (1989).
investigators at any point; (6) the enterprise was driven by a single
Law enforcement agencies should give some consideration
purpose: apprehension; and (8) it is not clear to what extent any
to evaluating the features of networked and virtual organizations,
of the task forces operated under memorandums of understanding
modifying them for off-the-shelf immediate use to meet sponta-
and those that did exist lacked written clarity and had obscure lines
neous demands.
of authority and information—handling procedures.
Task forces can be established for a single purpose, such as
the apprehension of a serial offender, or they can operate con- Sense Making
tinuously, as in the case of the FBI’s multijurisdictional Joint Sense making in organizations is how we process our experi-
Terrorism Task Forces (JTTF) that were developed in the wake ences and what we do with them. In addition to his other pub-
of 9/11. Mechanism of these types allows for a reasonable time lications, Weicke’s Sense Making in Organizations (1995) and
horizon to plan, organize, and implement them under well-­ Making Sense of Organizations (2001) mark him as an influential
considered written guidance. theorist on this topic.

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 c h a p t er 5 • Org an i z at i ona l T h e ory 167

When something happens in a law enforcement executive’s

“world,” the meaning may not be clear. Failure to resolve this
uncertainty keeps the executive in an unhealthy state of tension.
To resolve it, sense has to be made of the experience. Even if no
additional information can be gathered, the event still has to be
“processed.” The experience is relived, reflected on, interpreted,
analyzed, and meaning is assigned to it. From an internal per-
spective, the meaning just has to be plausible; it doesn’t have to
rise to the level of objective “truth.” Sense making can occur
within a single person or a group. These constructions often
become shared and some ultimately achieve the status of orga-
nizational lore. This process of sense making is not episodic, but
continuous, as experiences pile up. Like digital information, our
interpreted experiences can be stored and retrieved.
Accumulated sense making produces cognitive maps or
“mental understandings.” The term may have been coined by
Tolman (1948).133 These maps help us understand our “land-
scape” and navigate our “world” so we can do such things as
(1) understand the actions of commanding officers, (2) predict
what others may do in different situations, (3) know who to take
things to for swift handling, (4) decide who is like us, (5) identify
potential mentors, and (6) select career paths in the department
that match our interest and abilities.

Chaos Theory
Kiel’s Managing Chaos and Complexity in Government (1994) Figure 5.10 c Hurricane Katrina devastated New
was an early effort to apply chaos theory to the public s­ ector.134 Orleans on an unimaginable scale in 2005. Many residents
In organizational theory, chaos is a state of non-equilibrium. It were rescued from their rooftops by boats and others were
is precipitated by a crisis event(s) during which the everyday able to wade to safety through the floodwaters. (FEMA/Win
predictability and the usual order of things are disrupted, Henderson)
replaced at some level by a mix of factors, such as
(1) widespread uncertainty and fear; (2) the delivery of normal
services is not possible; (3) an initial lack of basic information volunteers from other communities pitch in with helpful acts;
about the event; (4) informational overload caused by inputs they rescue people and pets from debris, open their homes to
from political figures, inquiries from federal agencies or the news others, deliver food and water, set up temporary shelters and
media, offers of assistance, and urgent citizen appeals; (5) the rudimentary first aid clinics, stand guard, reunite family members,
realization that plans are inadequate or nonexistent for the event; and allow others to use their cell phones. These steps produce
(6) recognition that available resources and modes of operation the butterfly effect, which ripples across the community, energiz-
are insufficient or ineffective; and (7) the need to solve unfamil- ing people to help themselves and others. At the organization
iar problems whose magnitude, complexity, and durability level, self-organization, or perhaps more precisely, self-reorgani-
exceed anything we could imagine, a condition referred to as zation occurs on a continuous basis during a chaos event. Orga-
cosmology.135 Under these circumstances, maladaptive deci- nizations use sense making and, from their understanding of their
sions may increase the level of chaos, producing unintended experiences, use the quality of adaptability, developing new pri-
consequences. Bifurcation is the flash-point when chaos over- orities, standards, services, procedures, and alliances. In the wake
whelms normal conditions in an agency136 and compels the use of a chaos event, organizations evolve into something more com-
of innovative efforts and alliances to restore stability in the com- plex, with new goals, partnerships, structures, equipment, and
munity. The 9/11 attacks and Hurricane Katrina possessed the communication channels to accommodate what they have
qualities of cosmology and bifurcation (see Figure 5.10). learned.
Contrary to popular view, chaos theory does more than
describe under what conditions events spin out of control, and
total collapse seems both possible and imminent.137 Its ultimate
Critique of Other Paradigms
value is in how order is restored against seemingly insurmount- of Administration
able adversity. The way off the slippery slope of a chaos event is Environmental contingency theory assumes organizations that
through self-organization. Police and other agencies don’t have are a “misfit” with their operating environment will “shift gears”
to do everything; individuals, neighbors, ad hoc groups, and and move to a “good fit” but fails to provide details on how this

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occurs and at what velocity. One way to look at a misfit is when the proliferation of theories by academics seeking momentary
the number of risk factors in a community “overpower” the fame and diverting attention from studying more “worthy” theo-
ability of law enforcement agency to provide the desired level ries (i.e., contingency theory).140 Some theorists find Donald-
of public safety. A 2008 study of 133 local law enforcement risk son’s criticisms too severe and unrelenting.
factors (e.g., unemployment, the percent of housing that is There are numerous praises of networked and virtual organi-
renter-occupied, and percent of resident population ages 15–24, zations, but they may be overstated with respect to how well
and 25 or more) had a significant impact on resource allocation NOs and VOs actually function and their efficiency. The literature
and performance.138 is sparse about their failure rates and dysfunctionalities (e.g., the
Unsurprisingly, agencies, with higher per capita earning had consequences of lingering personality conflicts between node
lower levels of “risk factors,” were less crime prone, and also members who have continuing contacts).
better resourced.139 Such agencies were less cost-efficient than Chaos theory teaches us that crisis events that produce cos-
lower resourced agencies because they had lower demands for mology and bifurcation are not situations to be endured and
service and thus fewer outputs. resolved as much as they are the important aspects of organiza-
Donaldson, an advocate of environmental contingency the- tional life whereby a law enforcement agency can adapt to its
ory, is highly critical of resource dependency theory, population environment, maintain and renew itself, and ultimately adapt
ecology, and neo-institutionalism. He dismisses them as part of through self-organization and emerge stronger.

Chapter Summary
Summary by Learning Objective maintain an organization that meets society’s needs
and the needs of the officers who work in it.
1. Identify and define four types of organizations
based on who benefits from each type. 3. Identify the three stems of traditional organiza-
tion theory.
(1) Mutual benefit associations, such as police labor
unions, where the primary beneficiary is the mem- The three branches or stems of traditional organiza-
bership; (2) business concerns, such as Lynn Peavey, tional theory are (1) scientific management, (2) the
which sells crime scene equipment and supplies, bureaucratic model, and (3) administrative, or man-
where the owner is the prime beneficiary; (3) service agement, theory.
organizations, such as homeless shelters and com- 4. State the focus of scientific management.
munity mental health centers, where a specific client It is to find the “one best way” to do work.
group is the prime beneficiary; and (4) commonweal
organizations, such as the Department of Defense 5. Define functional supervision and the exception
and law enforcement agencies, where the benefi- principle.
ciary is the public at large. Functional supervision meant that people were
responsible for directing certain tasks, despite the fact
2. Describe two sources of pressures for police
that this meant the authority of the supervisor might
departments.
cut across organizational lines. The exception princi-
(1) External democratic control: The public expects ple meant that routine matters should be handled by
to have external democratic control of its police lower-level managers or by supervisors and that
department through its elected and appointed rep- higher-level managers should only receive reports of
resentatives. This external democratic control fea- deviations above or below standard performances.
ture also has the expectation that the internal
workings of the police department will be effective 6. List the characteristics of Weber’s bureaucratic
and efficient, but not also democratic. This is model.
because democratic control by the members of a i. The organization of offices follows the principle
police department would inevitably lead to the of hierarchy; that is, each lower office is under
department being in conflict at various times with the control and supervision of a higher one.
the will of the community (e.g., one favoring a hard- This also creates the chain of command. This
line approach to crime control versus the other arrangement of successively higher offices also
being in favor of a more moderate approach) and creates “layers” in a police department; the
(2) Internal Control: Internally, large numbers of offi- greater the number of layers, the more vertical
cers at the lower levels of the police department do complexity a department has. Hierarchy also
not want to be treated like “cogs in a machine” and provides the “vertical highways” that establish
desire some voice in how the department operates. reporting relationships, as well as formal com-
Thus, the challenge for police managers is how to munication channels.

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 c h a p t er 5 • Org an i z at i ona l T h e ory 169

ii. There is a right of appeal and of statement of (3) work shouldn’t be just something that people
grievances from the lower to the higher offices. endure to make a living.
iii. Specified areas of competence, meaning a
11. List the levels of Maslow’s needs hierarchy.
division of labor, exist. This division of labor Going from the bottom toward the top, the levels
or specialization increases the width and hori- are (1) physiological, (2) safety, (3) belongingness
zontal complexity of law enforcement agen- and love needs, (4) self-esteem needs, and
cies. The greater the amount of specialization (5) self-actualization.
in organizations, the more organizations grow
vertically to have the ability to coordinate the 12. Contrast McGregor’s Theory X and Theory Y
different units. assumptions at a broad level.
iv. Official duties are bound by a system of ratio- McGregor believed that many management acts
nal rules, such as policies and procedures. rested on their assumptions and beliefs about how
v. Administrative acts, decisions, and rules are workers behave. Theory X and Theory Y are polar
recorded in writing, creating an institutional opposite characterizations of those assumptions and
memory. beliefs. Theory X characterizations underpin tradi-
vi. The authority associated with a position is the tional organization theory while Theory Y character-
property of the office or job and not of the izations are more positive: The interests of the
occupant of the position. organization and the individual need not conflict but
can be integrated for their mutual benefit.
vii. Employees are appointed on the basis of qual-
ifications, and specialized training is necessary. 13. Differentiate between Herzberg’s motivation and
viii. Organizational members do not own it. hygiene factors.
Herzberg saw two sets of variables operating inde-
7. Define street-level bureaucrats and the two
pendently in the work setting: (1) hygiene factors
modes out of which they operate.
(which he later called maintenance factors) and
Police officers working in the field are the face of
motivators. Hygiene factors relate to the work envi-
government. They meet with members of the public
ronment and motivators to the work itself. If not
and decide how to implement public policy. In doing
properly attended to, hygiene factors could lead to
so, officers operate out of two modes of street-level
a deterioration of the department’s performance by
bureaucrats: (1) “state agents,” who believe in fol-
creating an unhealthy environment. Even if all
lowing the law and policies and (2) “citizen agents,”
hygiene factors are satisfied you do not have a moti-
who will bend or ignore them.
vated officers, just ones that are not dissatisfied. In
8. Define administrative theory and its benchmark. contrast, with fulfilled motivators, you have a work-
Administrative theory, also referred to as manage- force that is motivated. Even if hygiene factors are
ment theory and the principles approach, sought to creating some dissatisfaction, police leaders can still
identify generic or universal methods of administra- motivate their officers. However, the higher the
tion. Its benchmark is the 1937 publication of Luther level of dissatisfaction, the more difficult it is to
Gulick (1892–1993) and Lyndall Urwick’s (1891–1983) effectively use motivators.
edited Papers on the Science of Administration.
14. Explain how force-field analysis works.
9. Explain why the human relations school In force-field analysis, driving forces push for a new
developed. condition and restraining forces resist the change.
The human relations school developed in reaction If there are exactly opposing driving and restraining
to the mechanistic orientation of traditional organi- forces, the arrows of these opposing forces meet at
zational theory, which was viewed as neglecting or the vertical zero, or balance, line. In some instances,
ignoring the human element. there might not be an exactly opposite force, in
which case an arrow is simply drawn to the balance
10. Describe organizational humanism and how it dif-
line. After all entries are made and the situation is
fers from traditional organizational theory and
summarized, the relative power of the driving and
the human relations school.
restraining forces must be subjectively evaluated. In
Organizational humanism (OH) shares the human
this regard, the balance line should be regarded as
relations school’s distaste for traditional organiza-
a spring that will be moved in one direction, sug-
tional theory. OH differs from traditional organiza-
gesting the action that needs to be taken or the
tional theory and the human relations school in
decision that needs to be made.
three fundamental ways: (1) the work intrinsically, in
and of itself, should be satisfying and help to moti- 15. Describe the entropic process.
vate workers; (2) organizations must pay attention All organizations face the entropic process, moving
to the on- and off-the-job needs of workers; and toward decline. To fight entropy, departments

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 170 cha p te r 5 • O r g a n izati o n a l T h e o ry

continuously import more inputs than they can use normal services is not possible; (3) an initial lack
(e.g., gasoline), and store it to allow operations to of basic information about the event; (4) informa-
continue if supplies are interrupted. Buffering tional overload caused by inputs from political
describes this processing of storing, and it allows figures, inquiries from federal agencies or the
the department to develop negative entropy, the news media, offers of assistance, and urgent citi-
capacity to resist decline. zen appeals; (5) the realization that plans are inad-
16. Critique open systems theory. equate or nonexistent for the event; (6) recognition
Some critics wonder if open systems theory, which that available resources and modes of operation
originated in biology, can unequivocally be used to are insufficient or ineffective; and (7) the need to
explain contrived man-made organizations. Open solve unfamiliar problems whose magnitude,
systems theory may fail to account for or understate complexity, and durability exceed anything we
crucial aspects of organizations. Organizations can could imagine, a condition referred to as
be systems, but they are not natural systems that cosmology.
are subject to immutable laws. Organizations do Under these circumstances, maladaptive decisions
not invariably follow the birth, growth, maturity, and may increase the level of chaos, producing unin-
death cycle of biological systems. The definition of tended consequences. Bifurcation is the flash-
what is included in system theory is vague, does not point when chaos overwhelms normal conditions
account for variations in organizational complexity, in an agency and compels the use of innovative
and fails to provide guidance about handling con- efforts and alliances to restore stability in the com-
flict between components. munity. The 9/11 attacks and Hurricane Katrina
17. Give a generalized comparison of networked and possessed the qualities of cosmology and
bifurcation.
virtual organizations.
As a generalization, networked organizations have
20. Describe self-organizing and the butterfly
relationships that are planned and stable, whereas
effect.
virtual organizations have relationships that often
Contrary to popular view, chaos theory does more
arise spontaneously out of special needs and may
than describe under what conditions events spin
be temporary.
out of control and total collapse seems both pos-
18. Explain sense making. sible and imminent. Its ultimate value is in how
When something happens in a law enforcement order is restored against seemingly insurmount-
executive’s “world,” the meaning may not be able adversity. The way off the slippery slope of a
clear. Failure to resolve this uncertainty keeps the chaos event is through self-organization. Police
executive in an unhealthy state of tension. To and other agencies don’t have to do everything;
resolve it, sense has to be made of the experi- individuals, neighbors, ad hoc groups, and volun-
ence. Even if no additional information can be teers from other communities pitch in with helpful
gathered, the event still has to be “processed.” acts; they rescue people and pets from debris,
The experience is relived, reflected on, inter- open their homes to others, deliver food and
preted, analyzed, and meaning is assigned to it. water, set up temporary shelters and rudimentary
From an internal perspective, the meaning just has first aid clinics, stand guard, reunite family mem-
to be plausible; it doesn’t have to rise to the level bers, and allow others to use their cell phones.
of objective “truth.” Sense making occurs with a
These steps produce the butterfly effect, which
single person or in a group. These constructions
ripples across the community, energizing people
often become shared and some ultimately achieve
to help themselves and others. At the organiza-
the status of organizational lore. This process of
tion level, self-organization, or perhaps more
sense making is not episodic, but continuous, as
precisely, self-reorganization occurs on a con-
experiences pile up. Like digital information, our
tinuous basis during a chaos event. Organiza-
interpreted experiences can be stored and
tions use sense making and, from their
retrieved.
understanding of their experiences, use the qual-
19. Summarize chaos theory. ity of adaptability, developing new priorities,
In organizational theory, chaos is a state of non- standards, services, procedures, and alliances. In
equilibrium. It is precipitated by a crisis event(s) the wake of a chaos event, organizations evolve
during which the everyday predictability and the into something more complex, with new goals,
usual order of things are disrupted, replaced at partnerships, structures, equipment, and commu-
some level by a mix of factors, such as: (1) wide- nication channels to accommodate what they
spread uncertainty and fear; (2) the delivery of have learned.

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 c h ap t e r 5 • Or g an i z at ional Th eory 171

Chapter Review Questions

1. Why do organizations exist? 6. What did Merton mean by “bureaucratic virtuoso?”
2. At a general level, how are mechanistic and 7. What key question did Goodsell ask about the
organic organizations different? numerous denunciations of the bureaucratic
3. What are natural soldiering and systematic model?
soldiering? 8. The “Hawthorne effect” means what?
4. What is the most enduring image of F. W. Taylor? 9. To what belief does “Contented cows give more
5. What does “Reformatted bureaucracy” mean in milk” refer? Is that belief true?
policing? 10. What is organizational development?

Critical Thinking Exercises

1. Are sanctuaries and declined detainers a threat to department’s doctrine, that is, its operating
public safety? If so, why? What, if anything, should philosophy, rules, and regulations? If yes,
be done about it specifically? what, if anything, can and should be done
2. Is the power of an officer’s accumulated street about it? If no, state your reasons for believing
experience somewhat of an antidote to a police it is not an antidote.

Key Terms
administrative theory functional supervision new public management (NPM)
Argyris, Chris Gulick, Luther open systems theory
behavioral systems theory Hawthorne effect organizational development (OD)
bifurcation Herzberg, Frederick organizational humanism
buffering homeostasis organic organizations
bureaucratic model human relations school POSDCORB
business concerns immaturity versus maturity rational-legal authority
butterfly effect internal subsystems reformatted bureaucracy
chaos theory isomorphism sanctuary movement
coding Knapp Commission scientific management
cognitive maps Lewin, Kurt sense making
commonweal organizations Maslow, Abraham service organizations
cosmology McGregor, Douglas single-loop learning
detainer mechanistic organizational structure street-level bureaucrats
double-loop learning motivation-hygiene theory systematic soldiering
e-government mutual benefit association Taylor, F. W.
entropic process natural soldiering Theory X–Theory Y
equifinality needs hierarchy traditional organizational theory
exception principle negative entropy virtual organizations
force-field analysis networked organizations Weber, Max

Endnotes
1 6
Amitai Etzioni, Modern Organizations (Englewood Cliffs, NJ: See T. Burns and G. Stalker, The Management of Innovation
Prentice Hall, 1964), p. 1. (London: Tavistock, 1961), Chapter 6, Mechanistic and
2
Ibid., with some additions. Organic Systems of Management, pp. 96–125.
3 7
Ibid. Peter W. Blau and W. Richard Scott, Formal Organizations
4
Talcott Parsons, Structure and Process in Modern Societies (Scranton, PA: Chandler, 1962), p.43, with some changes.
8
(Glencoe, IL: Free Press, 1960), p.17. The treatment of the central issues of the four types of for-
5
Edgar H. Schein, Organizational Psychology (Englewood mal organizations is taken from Blau and Scott, Formal
Cliffs, NJ: Prentice Hall, 1965), p. 9. Organizations, pp. 43, 55, with some changes.

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 172 cha p te r 5 • O r g a n izati o n a l T h e o ry

9
Brian Lockhart, “Bridgeport Police Approve New Contract,” Phil Johnson, et.al., “The Rise of Post-Bureaucracy,” Inter-
Connecticut Post, March 25, 2015, 2 pp, http://www.ctpost. national Sociology, Vol. 24, No. 1, January 2009, pp. 37–61.
34
com/local/article/Bridgeport-police-approve-new- Paul G. Lewis and S. Karthick Ramakrishnan, “Police Prac-
contract-6159297.php, accessed August 21, 2015. tices in Immigrant Destination Cities,” Urban Affairs
10
Daniel A. Wren, The Evolution of Management Thought Review, Vol. 42 (2007), pp. 874–900.
35
(New York: Ronald Press, 1972), p. 112. No author, “Immigrant Detainers,” American Civil Liberties
11
Ibid., p. 114. Union, August 25, 2015, p. 1, https://www.aclu.org/issues/
12
Ibid., pp. 114–115. immigrants-rights/ice-and-border-patrol-abuses/immigra-
13
See the testimony of F. W. Taylor before the Special Com- tion-detainers (accessed August 26, 2015).
36
mittee of the House of Representatives Hearings to Inves- On this point see Miriam Jordan, “Churches Offer Immi-
tigate Taylor and Other Systems of Shop Management, grants Sanctuary,” Wall Street Journal, September 11,
January 25, 1912, p. 1387. 2014 and Puck Lo, “Inside the New Sanctuary Movement
14
Wren, Evolution of Management Thought, p. 115. That’s Protecting Immigrants from ICE,” The Nation, May
15
Frederick W. Taylor, Principles of Scientific Management 6, 2015, http://www.thenation.com/article/inside-new-
(New York: Harper & Row, 1911), pp. 44–47, with minor sanctuary-movement-thats-protecting-immigrants-ice,
restatement. accessed August 25, 2015.
16 37
See Frederick W. Taylor, Shop Management (New York: No author, Declined Detainer Outcome Report, Law
Harper & Brothers, 1911), for a discussion of this Enforcement Systems and Analysis, Department of Home-
concept. land Security, October 8, 2014, p. 1.
17 38
Ibid., p. 126. No author, “Comparison of Secure Communities and Prior-
18
Lisa Riordan Seville, “Why Does A City with 600 Residents ity Enforcement Program, U.S. Immigration and Customs
Need 14 Cops?” NBC News (September 7, 2014), pp. 1–2, Enforcement, 2015, p. 1, https://www.ice.gov/sites/default/
http://www.nbcnews.com/storyline/michael-brown-shoot- files/documents/Fact%20sheet/2015/pep_brochure.pdf,
ing/why-does-city-600-residents-need-14-cops-n197676 accessed August 28, 2015.
39
(accessed August 22, 2015). Declined Detainer Outcome Report, p. 1.
19 40
Wren, Evolution of Management Thought, p. 132. Not only Comparison of Secure Communities and Priority Enforce-
did Bethlehem Steel abandon the system, but it also fired ment Program, p. 1.
41
Taylor. Declined Detainer Outcome Report, p. 7.
20 42
Ibid., p. 131. Loc. cit.
21 43
L. P. Alford, Henry Lawrence Gantt (Easton-Hive Manage- This information is drawn with restatement from Dan Simon,
ment Series: No. 6, 1972; facsimile reprint of a 1934 edition Sara Sidner, and Ed Payne, “Gun in San Francisco Killing
by Harper and Brothers), pp. 207, 209. Stolen from Federal Agent’s Vehicle, Source Says,” CNN.
22
Sudhir Kakar, Frederick Taylor: A Study in Personality and com, July 8, 2015, http://cnnnewsource.com/gun-in-san-
Innovation (Cambridge, Mass.: MIT Press, 1973), p. 2. francisco-killing-stolen-from-federal-agents-vehicle-
23
Fremont E. Kast and James E. Rosenzweig, Contingency source-says (accessed August 27, 2015), Michael Pearson,
Views of Organization and Management (Chicago: Science “Suspect Tells TV Station He Killed San Francisco
Research Associates, 1973), p. 7. Woman,” CNN.con, July 7, 2015, http://www.cnn.
24
Mary Jo Hatch with Ann L. Cunliffe, Organization Theory com/2015/07/06/us/san-francisco-killing (accessed August
(New York: Oxford University Press, Second Edition, 2006), 28, 2015), and Steve AlmasayPamela Brown, and Augie
p. 33. Martin, “Suspect in Killing of San Francisco Woman Had
25
Robert Kanigel, The One Best Way: Frederick Winslow Tay- Been Deported Five Times,” CNN.com, July 4, 2015,
lor and the Enigma of Efficiency (New York: Viking Press, http://www.cnn.com/2015/07/03/us/san-francisco-killing-
1997). suspect-immigrant-deported, (accessed August 27, 2015).
26 44
Katia Caldari, “Alfred Marshall’s Critical Analysis of Scientific Ibid., Table 3, p. 888.
45
Management,” European Journal of the History of Eco- Ibid., pp. 886–887.
46
nomic Thought, Vol. 14, Issue 1, (March 2007), pp. 55–78. Ibid., p. 881.
27 47
Michael Crozier, The Bureaucratic Phenomenon (Chicago: Ibid., p. 885.
48
University of Chicago Press, 1964), p. 3. Ibid., pp. 886–887.
28 49
Max Weber, The Theory of Social and Economic Organi- Scott Decker, Paul Lewis, Doris Provine, and Monica
zation, trans. A. M. Henderson and Talcott Parsons Varsanyi, “Immigration and Local Policing: Results From a
(New York: Free Press, 1947), p. 337. National Survey of Law Enforcement Executives,” in The
29
Ibid. Role of Local Police: Striking a Balance Between Enforce-
30
Ibid., pp. 330–332, with limited restatement for clarity. ment and Civil Liberties (Washington, DC: Police Executive
31
Ibid., p. 328. Research Forum, 2009), p. 177.
32 50
On this point see Paul Henman, Governing Electronically: Ibid., p. 176.
51
E-Government and The Reconfiguration of Public Admin- Ibid., pp. 175–176.
52
istration, Policy, and Power (New York: Palgrave Macmillan, Zachary W. Oberfield, “Shaping the State: The Develop-
2010). ment of Street-Level Bureaucrats,” Midwestern Political
33
For example, see John P. Crank and Andrew Ciacomazzi, “A Science Association Annual Meeting, Washington, DC,
Sheriff ’s Office as a Learning Organization,” Police Quar- 2008, p. 1.
53
terly, Vol. 12, Issue 4, December 2009, pp. 351–369 and Ibid., pp. 3–4.

M05_SWAN4056_09_SE_C05.indd 172 7/8/16 8:14 PM

 c h a p t er 5 • Org an i z at i ona l T h e ory 173
54
Ibid., p. 6. Procedures,” Commission Report (New York, 1972), pp. 4,
55
Ibid., pp. 6, 16. 65; see also Herman Goldstein, Police Corruption
56
On this point, see Nicos P. Mouzelis, Organization and (Washington, DC: Police Foundation, 1975).
81
Bureaucracy (Chicago: Aldine, 1967), pp. 20–21 and foot- Also see H. W. Parsons, “What Caused the Hawthorne
note 29 of that work. Effect?” Administration and Society 10 (November 1978),
57
H. H. Gerth and C. Wright Mills, From Max Weber: Essays in pp. 259–283, and Henry Lansberger, Hawthorne Revisited
Sociology (New York: Oxford University Press, 1946), p. 50. (Ithaca, NY: Cornell University Press, 1958).
58 82
Christopher Hood, “The ‘New Public Management’ in the These points are drawn, with change, from William H.
1980s: variations on a theme,” Accounting, Organization, Knowles, “Human Relations in Industry: Research and
and Society, Vol. 20, No. 2/3 (1995), p. 94. Concepts,” California Management Review 2, no. 2 (fall
59
Wren, Evolution of Management Thought, p. 230. 1958), pp. 87–105.
60 83
Henri Fayol, General and Industrial Management, trans. Etzioni, Modern Organizations, p. 39.
84
Constance Storrs (London: Sir Isaac Pitman, 1949), p. vi. No author, “U.S. Job Satisfaction Rates Hit 20-Year Low,”
61
Ibid., pp. 19–41. Quality Progress, Vol. 43, Issue 2, (February 2010), p. 13.
62 85
Ibid., p. 34. Edward E. Lawler, Motivation in Work Organizations (Mon-
63
Danial A. Wren, Arthur G. Bedian, and John D. Breeze, “The terey, CA: Brooks/Cole, 1973), p. 62.
86
Foundations of Henri Fayol’s Administrative Theory,” Man- John M. Zelenski, Steven A. Murphy, and David A. Jenkins,
agement Decision, Vol. 40, No. 9 (2002), p. 917. “The Happy-Productive Worker Thesis Revisited,” Journal
64
The 1939 edition was coauthored, but the 1947 edition of Happiness Studies, Vol. 9, (2008), p. 521.
87
appeared under Mooney’s name. Youngyol Yim and Bryan D. Schafer, “Police and Their Per-
65
Luther Gulick, “Notes on the Theory of Organization,” in ceived Image: How Community Influences Officers’ Job
Papers on the Science of Administration, eds. Luther Satisfaction,” Police Practice and Research, Vol. 10, Issue
Gulick and L. Urwick (New York: August M. Kelley, a 1969 1, (February 2009), pp. 17–29.
88
reprint of the 1937 edition), p. 13. Holly A. Miller, Scott Mire, and Bitna Kim, “Predictors of Job
66
Taylor, Shop Management, p. 184. Satisfaction Among Police Officers; Does Personality Mat-
67
Warren Bennis, “Organizational Developments and the Fate ter?” Journal of Criminal Justice, Vol. 37, Issue 5, Septem-
of Bureaucracy,” Industrial Management Review 7, no. 2 ber 2009, pp. 419–426.
89
(spring 1966), pp. 41–55. Daisy Chu-Hsiiang Chang, Russell E. Johnson, and Robert
68
Herbert A. Simon, Administrative Behavior (New York: Free G. Lord, “Moving Beyond Discrepancies: The Importance
Press, 1945), p. 20. For additional criticism of the principles of Velocity as a Predictor of Satisfaction and Motivation,”
approach, see Dwight Waldo, The Administrative State Human Performance, Vol. 23, Issue 1, January/March 2010,
(New York: Ronald Press, 1948). pp. 58–80.
69 90
J. Hage, “An Axiomatic Theory of Organizations,” Adminis- Kathryn Wilkins and Magot Shields, “Employer-Provided
trative Science Quarterly 10 (1965–1966), p. 305, Table 4. Support Services and Job Dissatisfaction in Canadian Reg-
70
Charles Perrow, Complex Organizations (Glenview, IL: Scott, istered Nurses,” Nursing Research, Vol. 58, Issue 4, July/
Foresman, 1972), pp. 6–7. August 2009, pp. 255–263.
71 91
Ibid., pp. 11–12. Michael E. Milakovich and George J. Gordon, Public
72
Alvin W. Gouldner, “Metaphysical Pathos and the Theory of Administration in America (Belmont, CA: Wadsworth/
Bureaucracy,” American Political Science Review 49 (June Thomson, 2004), p. 165.
92
1955), 501, as quoted by Goodsell, The Case for Bureau- A. H. Maslow, “A Theory of Human Motivation,” Psycholog-
cracy, p. 12. ical Review 50 (July 1943), pp. 370–396.
73 93
As early as 1924, researchers from the National Academy of These five elements are identified in A. H. Maslow, Motiva-
Sciences had experiments underway; for present pur- tion and Personality (New York: Harper and Brothers,
poses, the work at the Hawthorne plant is described fol- 1954), pp. 80–92. Maslow later added a sixth category,
lowing the arrival of Mayo. “metamotivation,” but it never received substantial inter-
74
The designation of this study as the bank wiring study is est. See “A Theory of Metamotivation,” Humanitas 4
also found in the literature; banks were telephone (1969), pp. 301–343.
94
switchboards. Ibid., p. 91.
75 95
There were actually two relay assembly test room studies, No author, “Patrol Announces 2014 Leadership Awards”;
one following the other. The second involved a change in Ohio State Patrol Media Release, February 13, 2015,
the wage incentive and confirmed the importance of the http://statepatrol.ohio.gov/media/2015/15-019.html,
social group. accessed August 21, 2015.
76 96
Roethlisberger and Dickson, Management and the Worker, Chris Argyris, Personality and Organization: The Conflict
pp. 58–59, 180–183. between System and the Individual (New York: Harper and
77
Bertram M. Gross, The Managing of Organizations, Vol. 1 Brothers, 1957), pp. 58–66.
97
(New York: Free Press, 1964), p. 163. Ibid., pp. 76–122.
78 98
Roethlisberger and Dickson, Management and the Worker, Chris Argyris, Integrating the Individual and the Organiza-
p. 522. tion (New York: John Wiley & Sons, 1964), p. 3.
79 99
Etzioni, Modern Organizations, pp. 34–37. For extended treatment of this subject, see Ibid.,
80
Whitman Knapp, Chairman, “Commission to Investigate Alle- pp. 146–191.
100
gations of Police Corruption and the City’s Anti-Corruption Ibid., p. 147.

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 174 cha p te r 5 • O r g a n izati o n a l T h e o ry

101 111
Douglas McGregor, The Human Side of Enterprise (New York: Wren, Evolution of Management Thought, p. 324. Lewin
McGraw-Hill, 1960), p. 6. See also Louis A. Allen, “M for lived in this country for the 15 years preceding his death in
Management: Theory Y Updated,” Personnel Journal 52, 1947.
112
no. 12 (1973), pp. 1061–1067. George C. Homans, The Human Group (New York:
102
Ibid., p. 7. Harcourt Brace, 1950), pp. 81–130.
103 113
Ibid., pp. 33–57. Clint Fuhs, “Toward an Integral Approach to Organization
104
Bennis, Changing Organizations, p. 77. Theory,” unpublished paper, p. 6, by permission. Also see
105
Walter Nord, “Beyond the Teaching Machine: The ClintFuhs.com.
114
Neglected Area of Operant Conditioning in the Theory Michael T. Hannan and John Freeman, “The Population
and Practice of Management,” Organizational Behavior Ecology of Organizations,” American Sociological Review,
and Human Performance 4 (November 1969): 375–401; Vol. 82, No. 5, (March 1977), p.: 960. Some of the disap-
see also Lyman Porter, “Job Attitudes in Management,” pearances were from mergers and name changes.
115
Journal of Applied Psychology 46 (December 1962): Chris Argyris, “Double Loop Learning in Organizations,”
375–384; and Douglas Hall and Khalil Nougaim, “An Harvard Business Review, (September/October 1977),
Examination of Maslow’s Need Hierarchy in an Organiza- p. 116. Also see Crank and Giacomazzi, “A Sheriff’s Office
tional Setting,” Organizational Behavior and Human Per- as a Learning Organization.”
116
formance 3 (February 1968), pp. 12–35. Daniel Katz and Robert Kahn, The Social Psychology of
106
Maslow, Motivation and Personality, pp. 79–80. Also see, Organization, 2nd ed. (New York: John Wiley & Sons,
David L. Rennie, “Two Thoughts on Abraham Maslow,” 1978), pp. 23–30, with some change.
117
Journal of Humanistic Psychology, Vol. 48, Issue, 4, (October The thoughts in this paragraph are taken with restatement
2008), pp. 445–448. from Francis Amagoh, “Perspectives on Organizational
107
Abraham Maslow, Eupsychian Management: A Journal Change: Systems and Complexity Theories,” The Public
(Homewood, IL: Dorsey Press, 1965), pp. 55–56. Sector Innovation Journal, Vol. 13,
108
Gibson and Teasley, “The Humanistic Model,” p. 92. No. 3 (2008), pp. 1–7, an on-line peer-reviewed journal.
109 118
Ansfried B. Weinert, “Testing Argyris’ Theory of Organiza- Timothy L. Snellnow, Matthew W. Seeger, and Robert R.
tional Behavior,” Scandinavian Journal of Management Ulmer, “Chaos Theory, Informational Needs, and Natural
Studies, Vol. 3, Issue 1, (1986), 26–27. Disasters,” Journal of Applied Communication Research,
110
Ibid., p. 41. Vol. 30, No. 4, (November 2002), p. 276.

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 c h a p t er 5 • Org an i z at i ona l T h e ory 175
119 128
T. Burns and G. M. Stalker, The Management of Innovation Gerard R. Murphy and Chuck Wexler, with Heather J.
(London: Tavistock, 1968). Davies and Martha Plotkin, “Managing a Multijurisdic-
120
John R. Hollenback, et al., “Structural Contingency Theory tional Case,” Identifying the Lessons Learned from the
and Individual Differences,” Journal of Applied Psychol- Sniper Investigation (Washington, DC: Police Executive
ogy, Vol. 87, No. 3, (2002), p. 599. Research Forum, 2006), p. V.
121 129
J. Pfeffer and G. Salancik, The External Control of Organi- Ibid., p. 113.
130
zations (New York: Harper & Row, 1978). Ibid., pp. 20–21.
122 131
Hatch with Cunliffe, Organization Theory, p. 83. Ibid., p. 23.
123 132
Guy Peters, Institutional Theory in Political Science: The Ibid., p. 22.
133
New Institutionalism, 2nd ed (New York: Continuum, 2nd E. C. Tolman, “Cognitive Maps in Rats and Men,” Psycho-
Edition, 2005), pp. 6–10. logical Review, Vol. 55, No. 4, (1948), pp. 189–208.
124 134
James G. March and Johan P. Olsen, “The New Institution- L. Douglas Kiel, Managing Chaos and Complexity in Gov-
alism: Organizational Factors in Political Life,” American ernment (San Francisco: Jossey-Bass, 1994).
135
Political Science Review, Vol. 78, No. 3, (September 1984), Snellnow, Seeger, and Ulmer, “Chaos Theory, Informational
p. 734. Needs, and Natural Disasters,” p. 271.
125 136
James F. Wolf, “Public Administration’s Multiple Institution- Ibid.
137
alized Framework,” Public Organization Review: A Global Overman, “The New Science of Administration,” p. 487.
138
Journal, No. 5 (2005), p. 183. Jeffrey W. Goltz, “Determinants of Performance of
126
On this point see Seth Abrutyn, “Toward a General Theory Police Organizations in the State of Florida: An Evi-
of Institutional Authority,” Sociological Theory, Vol. 27, dence Based Confirmatory Approach,” International
Issue 4, (December 2009), pp. 449–465. Journal of Public Policy, Vol. 3, No. 5/6, (2008), Table 2,
127
Hans Jagers, Wendy Jansen, and Wichard Steebakkers, pp. 423 and 428.
139
“Characteristics of Virtual Organizations,” in Pascal Sieber Ibid.
140
and Joachim Griese, Editors, Organizational Virtualness Lex Donaldson, American Anti-Management Theories of
(Bern, Switzerland: Institute of Informational Systems, Organization: A Critique of Paradigm Proliferation
1998), p. 65. (New York: Cambridge University Press, 1995).

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 c h a p t e r s i x

O r gani zati o nal

De s i gn
Learning Objectives
1. Explain the principle of hierarchy as it relates to organizational design.
2. Describe the concept of span of management.
3. Distinguish between vertical and horizontal differentiation.
4. Discuss the differences between tall organizational structures and flat organizational
structures.
5. List and describe four basic types of police organizational design.
6. Discuss the major crime factors that impact investigative function; list the various
models of investigative style.
7. Identify the basic causes for tension between line and staff and suggest strategies to
be used as solutions.
8. Describe the characteristics of an informal organization.

176

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 c h ap t e r 6 • Or g an i z at i onal Des ign 177

Introduction concerns in organizing are (1) identifying what jobs need to be

done, such as conducting the initial investigation, performing the
In Chapter 5, Organizational Theory, latent or follow-up investigation, or providing for the custody of
we discussed the major theoretical concepts physical evidence seized at the scene of a crime; (2) determining
how to group the jobs, such as those responsible for patrol,
associated with organizations and the ways in investigation, and the operation of the property room; (3) form-
which they function. In this chapter, we will see how ing grades of authority, such as officer, detective, corporal, ser-
these theories are applied in police organizations. geant, lieutenant, and captain; and (4) equalizing responsibility
and authority, illustrated by the example that if a sergeant has
The topics we will be specifically discussing are the responsibility to supervise a team of detectives, that sergeant
(1) the ways in which police administrators can must have sufficient authority to discharge that responsibility
modify or design their organizations in order to properly or he or she cannot be held accountable for results1
(see Figure 6.1).
fulfill their missions; (2) the principle of hierarchy,
which requires each lower level within the
organization to be supervised by a higher level; SPECIALIZATION IN POLICE
(3) the differences between the span of control and
AGENCIES
span of management; (4) some of the more
Central to this process of organizing is determining the nature
common ways in which activities and personnel are
and extent of specialization. Some 2,300 years ago, Plato
grouped within a police department; (5) the impact observed that “each thing becomes . . . easier when one man,
of community policing and intelligence-led exempt from other tasks, does one thing.”2 Specialization, or
the division of labor, is also one of the basic features of tradi-
policing (ILP) philosophies on organizational
tional organizational theory.3 As discussed more fully later in this
structure; (6) the placement of the investigative chapter, specialization produces different groups of functional
function within the organizational design; (7) the responsibilities, and the jobs allocated to meet those different
responsibilities are staffed with people who are believed to be
organizational differences between municipal
especially qualified to perform those jobs, for example, by expe-
departments and sheriff’s departments; rience and training. Thus, specialization is crucial to effectiveness
(8) understanding the importance of line and staff and efficiency in large organizations. However, specialization
makes the organizational environment more complex by com-
relationships; why there are sometimes problems
plicating communication, by increasing the number of units from
and how they can be resolved; and (9) the which co-operation must be obtained, and by creating conflict
importance of understanding the informal among differing interests and loyalties. Also, specialization cre-
ates greater need for coordination and, therefore, additional hier-
organization and its potential impact on the formal
archy and can lead to the creation of narrow jobs that stifle the
organization. willingness or capacity of personnel to work energetically in
support of broader goals. Police departments are not insensitive
to the problems of specialization and attempt through various
ORGANIZING: AN OVERVIEW actions to keep the interest and motivation of employees at a
high level. Personnel can be rotated to different jobs, they can
Police administrators modify or design the structure of their orga- be given additional responsibilities that challenge them, they can
nization in order to fulfill the mission that has been assigned to be involved in organizational problem solving, and police
the police. An organizational chart reflects the formal structure departments can experiment with different forms of organiza-
of task and authority relationships determined to be most suited tional structures. Although specialization is an essential feature
to accomplishing the police mission. However, within the need of large-scale organizations, maintaining its positive impact
to accomplish the mission there can also be accommodations of requires thoughtful action.
a law enforcement executive’s preferences for the arrangements One of the first police executives to explore systematically
of units in a particular way. the relationship between specialization and the organizational
This reality explains both the similarities across law enforce- structure was O. W. Wilson.4 He noted that most small depart-
ment organizations of a similar type and their diversity. Stated ments do not need to be concerned with widely developed
more simply, while there are some underlying concepts, there is specialization because their patrol officer is a jack-of-all-trades.
also “more than one way to skin a cat.” Moreover, specialized assistance can be obtained from a neigh-
The process of determining this formal structure of task and boring large department or a state investigative agency. Con-
authority relationships is termed organizing. The major versely, in large departments, the volume of particular tasks, for

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 178 cha pte r 6 • O r g a n izati o n a l D es i g n

Figure 6.1 c Grades of authority are designated by rank, starting with the police
officer and following the chain of command up to Chief of Police. (Marmaduke St. John/
Alamy Stock Photo)

example, homicide investigation, virtually require specialized Specialization appears to be a sure path to operational effec-
units. Specialization presents a number of advantages for large tiveness. It allows each employee to acquire expertise in one area,
departments: so as to maximize his or her contribution to the overall depart-
ment. However, as noted earlier, specialization has also been asso-
Placement of responsibility—The responsibility for the
ciated with increased friction and conflict within police
performance of a given task can be placed on specific units
departments. As units such as traffic, detective, and SWAT teams
or individuals. For instance, a traffic division is responsible for
develop, an increase in job factionalism and competition also
the investigation of all traffic accidents, and a patrol division
develops. The result may be a decrease in a department’s overall
is responsible for all requests for general police assistance.
job performance as individuals within each group show loyalty
Development of expertise—A narrow field of interest, primarily or only to their unit. This traditional problem can be
attention, or skill can be the subject of a specialized unit. observed in the relationship between patrol officers and detec-
For instance, many police agencies have highly skilled tives. Patrol officers are sometimes reluctant to give information
special weapons and tactics (SWAT) teams that train to detectives because they feel detectives will take credit for their
regularly to respond to critical incidents, such as terrorist work. Specialization also increases the number of administrative
activities, hostage situations, or serving high-risk search/ and command relationships, complicating the overall organiza-
arrest warrants (see Figure 6.2). Advanced training in this tional structure. Additionally, each unit requires a competent
area yields increased officer safety and produces a high leader. In some instances, this competent leader must also be a
degree of expertise. Specialization is also helpful during the qualified specialist. A thorny problem here is when the specialist
investigation of narrowly defined, technical crimes, such as does not qualify for the rank usually needed to head a major unit.
computer fraud, arson, and bombings. An example of such a problem is observed in the staffing of an
Promotion of group esprit de corps—Any group of specially air patrol unit in which the commanding officer may be a lieuten-
trained individuals sharing similar job tasks and, to some ant or a sergeant because that individual is the highest-ranking
degree, depend on each other for success tends to form a officer with a pilot’s license. In this case, the level of expertise
highly cohesive unit with high morale. (high) does not coincide with the level of rank (lower), which may
Increased efficiency and effectiveness—Specialized units cause difficulties when the individual tries to deal with other com-
show a higher degree of proficiency in job task manding officers of units who hold the rank of captain or major.
responsibility. For instance, a white-collar fraud unit will Finally, specialization may hamper the development of a well-
ordinarily be more successful in investigating complex rounded police program. As specialization increases, the
computer fraud than a general detective division.5 resources available for general uniformed patrol invariably

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 c h ap t e r 6 • Or g an i z at i onal Des ign 179

Figure 6.2 c Specialization occurs when unique tasks require extensive and detailed
training, such as helicopter units, search and rescue units, and SWAT operations. (Peter
Casolino/Alamy Stock Photo)

decrease, often causing a lopsided structure wherein the need division commander or director, for example, may be a captain,
for general police services becomes second to the staffing of major, or colonel in terms of the rank hierarchy. Although some
specialized programs and units.6 When this happens, the great smaller departments have flattened or made the organizational
danger is that so many positions are siphoned off from patrol, structure less tall be eliminating one or two ranks, the complexity
which is the primary line unit, that its ability to provide services of large police agencies seemingly requires a taller hierarchy to
is crippled, and response times on calls and public dissatisfaction coordinate its many parts. For instance, several departments have
with the police increase. eliminated the rank of “captain” and placed more responsibility
on deputy chiefs and lieutenants. This is particularly true in
departments that have adopted a more “community-based”
approach to policing.10 Then too, over the last two decades,
THE PRINCIPLE OF HIERARCHY several large police departments have merged with the surround-
This discussion of the principle of hierarchy builds on its cover- ing county to become city-county consolidated govern-
age in Chapter 5, Organizational Theory. The principle of ments. Policing in these types of governmental structures reflects
hierarchy requirement that each lower level of organization be various ranks and structures. For instance, the county sheriff’s
supervised by a higher level results not only in the use of multiple rank and title names continue in the Las Vegas, Nevada Metro-
spans of control but also in different grades of authority that politan Police Department, whereas the chief executive of the
increase at each successively higher level of the organization. This police in the Louisville, Kentucky Metropolitan Police Department
authority flows downward in the organization as a formal grant is referred to as the Chief and Director of Police Services. In Kan-
of power from the chief of police to those selected for leadership sas City, Missouri, the consolidated police department maintained
positions. These different grades of authority produce the chain the more traditional rank and titles of a city department with the
of command.7 Although there are many similarities from one Chief of Police at the helm of that agency11 (refer to Table 6.1).
department to another, the American police service does not have
a uniform terminology for grades of authority and job titles.8 In
recent years, some police departments have moved away from
using traditional military-style ranks and have adopted, instead, SPAN OF CONTROL VS. SPAN
alternative titles as summarized in Table 6.1. However, in many
departments, there remains a distinction between rank and title.9
OF MANAGEMENT
In these, rank denotes one’s place in terms of grade of authority The term span of management instead of “span of control” is
or the rank hierarchy, whereas title indicates an assignment. used to describe the number of personnel a supervisor can per-
Where this distinction is made, a person holding the title of sonally manage effectively. The term “span of management” is

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 180 cha pte r 6 • O r g a n izati o n a l D es i g n

table 6.1 T raditional police ran k s vs . alternative titles

Traditional Ranks Alternative Titles (Including County Agencies)
Chief of police Commissioner/Director/Superintendent/Sheriff
Deputy chief Assistant director/Undersheriff/Chief Deputy Sheriff
Colonel Division director/Inspector/Commander
Major Inspector/Commander
Captain Commander
Lieutenant Manager
Sergeant Supervisor
Detective Investigator/Inspector
Corporal Senior officer/Master patrol officer
Officer Public safety officer/Agent/Deputy Sheriff

broader than “span of control” and encompasses factors relating ORGANIZATIONAL STRUCTURE
to an individual’s capacity to oversee the activities of others
directly, such as the police manager’s ability, experience, and AND DESIGN
level of energy.
“Span of management” more suitably describes the process Tansik and Elliot suggest that, when we consider the formal
of the number of personnel a supervisor can manage than does structure (or pattern of relationships) of an organization, we
the term “span of control.” Control is only one aspect of the typically focus on two areas:
management process. The term “span of management” encom- 1. The formal relationship and duties of personnel in the
passes more of the factors relating to the problem of an indi- organization, which include the organizational chart
vidual’s capacity to oversee the activities of others. and job descriptions; and
How wide a span of management is depends on many 2. The set of formal rules, policies, procedures, and
factors. Some state that the ideal number of subordinates report- controls that guide the behavior of organizational
ing to a supervisor is 8 to 12, but the number varies widely members within the framework of the formal
depending upon a number of factors12 (see Table 6.2). relationships and duties.14
Although many law enforcement agencies prefer lower spans
of management, with multiple layers of hierarchy, as indicated Organizational design focuses on two spatial levels of dif-
earlier, there is some movement toward flatter organizational ferentiation—vertical and horizontal—depicted in Figure 6.3.
structures with wider spans of management. Organizational Vertical differentiation is based on levels of authority, or
humanists argue that this type of structure can produce better positions holding formal power within the organization; Table 6.3
communication within the organization, increase the sense of reflects one range of vertical differentiation found in police
fiscal and personal responsibility, provide greater organizational agencies. Persons with vertical authority have the power to
flexibility, and increase delegation by supervisors. Humanists assign work and exercise control to ensure job performance.15
also hold that employees also favor flatter structures with higher In Figure 6.3, the deputy chief has a span of management of
spans of management because they receive less detailed and three, all of whom are captains and to whom he or she can give
micromanaged supervision. Arguably, when this occurs (1) per- assignments and expect performance.
sonnel have more authority and responsibility, (2) feel trusted by Horizontal differentiation, on the other hand, is usually
their supervisors, and (3) employees have a good environment based on activity. However, in some cases, horizontal differentia-
in which to grow, and therefore become more fulfilled and satis- tion is based on specific projects or even geographical distribu-
fied with their work.13 tion. For instance, many state police departments are responsible

Quick Facts: Organizational Structure Impacts Police Misconduct

A 2014 study of nearly 500 police departments nationwide officers and the number of sustained complaints
revealed that the existence of a full-time professional stan- against them. An organizational structure that provides
dards/internal affairs unit, and relevant in-service training closer supervision of officers may also produce similar
tends to reduce both the number of complaints against results.

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 c h ap t e r 6 • Or g an i z at i onal Des ign 181

table 6.2 Factors impacting the span of management

Factors Enabling an Increased Span of Management
Factor 1: The simplicity of the work
The simpler the task, the less need there is for supervision. The more diversified, complex tasks require more supervision.
Traditionally, the patrol function has a larger span of control since the work is similar on each beat, and one supervisor
can oversee the work conducted on several beats.
Factor 2: Efficient use of information technology
Readily available information technologies can obtain needed information to do the job as well as receive direction
from supervisor increases the span of control. In-car computers, cameras, and individual communication systems
enable officers to be in constant touch with supervisors.
Factor 3: The quality, skills, and capabilities of subordinates
Recruiting quality employees having the necessary education, training, and experience to be able to learn and do the
assigned work requires providing less supervision by the department. In contrast, hiring the less educated and unskilled
subordinates will require extensive coaching by the supervisors to teach these employees the job.
Factor 4: The skills and capabilities of the supervisor
Departments that invest in developing supervisors and managers find that the more knowledgeable and skillful the
supervisor—along with the ability to clearly communicate the work—the more people he or she can supervise.
Factor 5: The quality of the department’s training program
Subordinates fully knowledgeable of the laws, procedures, and administrative processes require less supervision.
Factor 6: The harmony of the workforce
When the subordinates are of like minds and working toward the same objectives in harmony, fewer incidents require
supervision intervention.
Factors Narrowing the Span of Management
Factor 1: Change taking place in the work environment
When the work is forever changing, and new procedures and processes are introduced into the work, the greater the
need for narrow supervision.
Factor 2: Dispersed workforce, either by time or geographically
The greater the geographic distances and the difference in time that the force works, the smaller the supervision ratio.
This is often observed in the investigative division, which frequently requires more supervisors in relation to the number
of investigators.
Factor 3: New and inexperienced workforce
Law enforcement in the next few years is experiencing significant retirement numbers in the supervisory and
management ranks. This requires promoting younger persons with lesser experience directing the work of others.
Factor 4: Administrative requirements
The greater the administrative burden on each level of management, the greater the need for a narrow span of control.
Jobs free of bureaucratic requirements can focus on the work.
Factor 5: The extent of coordination
When employees’ work must be coordinated and the subordinates depend upon each other to accomplish the work,
the narrower the supervision requirements. This relationship exists in many of the tactical and technical positions in a
police department.
Factor 6: Employees’ expectations
The higher the employees’ expectations for feedback, career and development coaching, and management interaction,
the narrower the requirement for supervision. Many observe that the new workforce entering policing today looks for
immediate feedback from management on their progress.

Source: Adapted from Troy Lane, “Span of Control for Law Enforcement Agencies,” The Police Chief, Volume 73, number 10 (October 2006).
Retrieved on July 15, 2015: http://policechiefmagazine.org/magazine/index.cfm?fuseaction=display&article_id=1022&issue_id=102006.

for large geographical areas. Their organizational structure often gang squad, and human trafficking unit. Each group focuses
reflects horizontal differentiation based on location rather than on the needs of a special clientele, which can be either
function. Some of the more common ways in which activities of temporary or permanent. In this manner, officers become
personnel are grouped within a police organization (on a hori- familiar with the specific enforcement problems and
zontal dimension) are as follows: patterns associated with different client populations.
Grouping by clientele—The simplest method of grouping Grouping by style of service—A police department usually
within a police department is by clientele. Personnel are has a patrol bureau and a detective bureau. The grouping
assigned by the type of client served, such as juvenile of uniformed patrol officers on the one hand and of
division, senior citizen crime detail, mayor’s security unit, plainclothes investigators on the other illustrates how the

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Figure 6.3 c Organizational chart showing vertical and horizontal levels of differentiation. In
some departments, especially large ones, a number of other ranks may be present within the chart.

former are grouped by the nature of their services operating problems of related units and to coordinate the
(conspicuous, preventive patrol, and preliminary various efforts by more direct and immediate control.
investigations) and how the latter are grouped also by this Grouping by time—This grouping occurs when the need to
same principle (follow-up investigations). This form of perform a certain function or service is greater than one
grouping also takes advantage of specialization of normal work period for a single shift, for example, the
knowledge and skill and permits the pinpointing of difference between one 8-hour shift of services versus
responsibility for results. grouping several shifts together to provide 24-hour patrol
Grouping by geography—Where activities are widespread services. Grouping by time tends to create problems of
over any given area, it may be beneficial or even necessary to coordination and unity of direction because top
provide local command. Instances of this type of operation administrators work normal day hours, whereas many of their
are large-city precincts or district-type operations and state officers perform their functions on the evening and midnight
police/patrol posts that are located throughout a state. An shifts. The need to delegate sufficient authority becomes
example of this appears in Figures 6.4A and 6.4B. Even in the critical under these circumstances. For example, police policy
headquarters building, activities that are related usually share manuals often or usually require the approval of a Lieutenant
the same floor. Instances of this arrangement are records, or Captain before a Sergeant can suspend an officer. In some
communications, and crime analysis in close proximity to exigencies, such as an officer getting drunk on duty and
each other. This permits supervisors to become familiar with becoming a danger to himself and others, a policy manual

table 6.3 L ine , au x iliary / support, and administrative

staff functions

Staff

Line Auxiliary/Support Administrative

• Uniformed patrol Crime laboratory Personnel
• Investigations Detention and jail Training
• Vice and narcotics Records Planning and research
• Traffic enforcement Identification Fiscal/budgeting
• Juvenile service Communications Legal services
Property maintenance, Media relations
transportation, and vehicle
maintenance

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 c h ap t e r 6 • Or g an i z at i onal Des ign 183

Figure 6.4A c Organizational chart for the California Highway Patrol (Field) with modification, showing five levels of
­control. Source: Courtesy of the California Highway Patrol, Sacramento, California.

may authorize a Sergeant to immediately suspend the officer The bottom-up, or synthesis, approach focuses on combining
and then notify their appropriate senior official. tasks into larger and larger sets of tasks (see Figure 6.5A). To
Grouping by process—This involves the placing of all illustrate, an officer’s task set may primarily be in the relatively
personnel who use a given type of equipment in one small geographical zone he or she patrols. The task set of
function. Examples include a word processing center, crime ­Sergeants is to supervise squads of patrol officers. Patrol
laboratory personnel placed in a section to handle certain ­Lieutenants may supervise a number of Patrol Sergeants, while
types of scientific equipment, and automotive maintenance a Captain often commands an entire shift city-wide. In turn, the
units. This type of grouping lends itself to expertise Major in charge of the Patrol Division leads all three Captains
involving a single process and makes the most efficient use and is responsible for all patrol services, 24 hours a day.
of costly equipment.16 The top-down, or analysis, approach looks at the overall
work of the organization at the top and splits this into increas-
ingly more specialized tasks as one moves from the top to the
Top-Down vs. Bottom-Up Approaches bottom of the organization (see Figure 6.5B). The top-down
The level of complexity within a police organization is largely approach considers the overall police mission—to protect and
determined by the amount of horizontal and vertical differentia- to serve the public.
tion that exists.17 Size is often, but not necessarily, related to At the top level of a police agency, this can be defined into
complexity. Some organizations, even relatively small police various administrative tasks, such as representing the department
departments, can be highly differentiated and quite complex in to the larger environment (e.g., elected and appointed officials
organizational design. and the public), envisioning goals, setting priorities, and present-
According to Hodge and Anthony,18 the differentiation pro- ing the department’s budget request. Middle management/lead-
cess can occur in two basic ways in police agencies: (1) bottom- ers perform activities such as setting goals with subordinates,
up or (2) top-down. conducting studies that improve the police department, writing

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Figure 6.4B c Geographical organization of area offices for the California Highway Patrol.
Source: Courtesy of the California Highway Patrol, Sacramento, California.

policies for the approval of the command staff, preparing unit of open air drug markets, analysis of crime patterns, patrol,
reports, implementing improvements within their domain, and investigate traffic and pedestrian accidents, and serve as field
writing performance appraisals. At the very bottom of a large training officers.
police department, tasks sets are illustrated by crime scene pro- Both approaches are commonly found in police organiza-
cessing, evidence intake and storage, examining tool marks in tions. The top-down analysis is often used in growing organiza-
the crime lab, follow-up investigation on burglaries, surveillance tions because it is easy to visualize the set of tasks to be

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 c h ap t e r 6 • Or g an i z at i onal Des ign 185

Quick Facts: Bottom-Up Approaches Improve Performance and Officer Morale

The organization of police departments along hierarchical, successful to organizational effectiveness and efficiency.
classical management lines makes it difficult to solve com- Bottom-up approaches tend to harness the experience of
mon internal problems in policing, such as performance individual officers, produce an often-needed team-oriented
improvement, complaints against officers, and low morale. environment with officer squads, reduce opposition to inno-
The main reason for this fact is that top-down reform invites vation in police strategies and operations, generally increase
resistance from rank-and-file officers who feel that their ideas overall officer morale, and most surprisingly, reduce the num-
are disregarded and not valuable to leadership. By contrast, ber of incidence of use of excessive force in metropolitan
individual approaches to officers from supervisors that police departments.19
reflected a more bottom-up perspective was much more

The policing style or philosophy can also impact top-down

or bottom-up approaches. This is exemplified in philosophical
changes from community and problem-oriented policing to ILP
over the past decade. Whereas community and problem-oriented
policing is a bottom-up philosophy that places street officers at
the forefront of problem identification and subsequent solution,
Compstat and ILP are much more hierarchical and emphasize
the top-down approach. Increasing accountability at supervisory
and command levels is an important element of Compstat, often
characterized by strong role definitions, tighter lines of control,
and smaller spans of management. And in ILP, criminal intelli-
gence flows up the organizational pyramid to executives who
set priorities and develop strategies aimed at prevention and
enforcement and then communicate these priorities back down
the organizational chain for operational tasking.20
Some organizations have narrow spans of management with
tall structures and many levels, whereas others reduce the num-
ber of levels by widening the span of management at each level.
Many narrower spans of control make a police department
“taller.” The California Highway Patrol (CHP) appears to have
five levels, as shown in Figure 6.4A. These levels are commis-
sioner, deputy commissioner, assistant commissioner, field divi-
sion chief, and area office commander. From a more functional
perspective, each area office also has a chain of command
consisting of four layers—captain, lieutenant, sergeant, and
­officer. Thus, when the rank layers in the area offices are
­considered, the CHP is a tall organization with a number of
different levels of authority. Seven to nine levels of rank are
fairly typical of large police organizations. Figure 6.4B displays
each CHP area office by geographical grouping, as described
earlier in this chapter.
The complexity of a police department is increased by the
Figure 6.5 c The bottom-up and top-down approaches proliferation of levels because they can negatively affect com-
to building structure around differentiation. Source: Organization
munication up and down the chain of command. For example,
Theory: A Strategic Approach, 6/e by Hodge/Anthony/ Gales. Reprinted by
permission of ­Pearson Education Inc., Upper Saddle River, NJ. during urban riots, police departments found that an initially
small incident grew rapidly beyond the ability of a small group
of officers to control it. The process of getting approval from
accomplished and then to break these sets down into specific senior police officials to send additional officers took so long
tasks and subtasks. The bottom-up approach is often used dur- that, by the time the officers arrived at the scene, the once-small
ing periods of retrenchment when organizational growth has incident had grown into an uncontrollable riot. Thus, most
declined because combining tasks such as those found in patrol departments shifted the authority to deploy large numbers of
and traffic bureaus can consolidate jobs or even units. police officers downward, in some cases all the way to the

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individual police officer at the scene. This example illustrates BASIC TYPES OF POLICE
several important principles:
ORGANIZATIONAL DESIGN
1. Narrow spans of control make police departments
taller. Four basic structural types of design can be found within police
organizations. They are line, line and staff, functional, and matrix.
2. Taller organizations are complex and may react slowly These types exist separately or in combination.
during crisis situations, as effective communication is
hampered by the number of different levels present Line Structure
within the chain of command.
The line structure is the oldest, simplest, and clearest form of
3. Successful tall departments must develop policies and organizational design. As illustrated in Figure 6.7, authority flows
procedures that overcome problems created by from the top to the bottom of the organization in a clear and
increased complexity. unbroken line, creating a set of superior–subordinate relations
Many police agencies, such as the Phoenix, Arizona Police in a hierarchy commonly called the chain of command. A pri-
Department, have redesigned their organizations to reflect larger mary emphasis is placed on accountability by close adherence
spans of control or management and, hence, flatter organiza- to the chain of command.
tional structures. Figure 6.6 shows only three major organiza- The term “line” originated with the military and was used to
tional levels—chief, division, and bureau. Although this structure refer to units that were to be used to engage the enemy in combat.
is flatter than that of the CHP, traditional grades of authority, such “Line” also refers to those elements of a police organization that
as commander, lieutenant, sergeant, and officer ranks, continue perform the work the agency was created to handle. Stated some-
to exist in the Phoenix Police Department. With higher educa- what differently, line units contribute directly to the accomplish-
tional standards for entry-level police officers and efforts toward ment of the police mission. Thus, the primary line elements of a
professionalism, police organizational structures may reflect addi- police department are uniformed patrol, criminal investigation, and
tional changes of this nature. Ultimately, however, the capacity traffic. Within police agencies, the line function can also be referred
to flatten out police organizational structures depends to no small to as “operations,” “field services,” or a similar designation.
degree on reducing the number of traditional ranks, a movement The pure line police organization does not have any support-
sure to be met with resistance from the rank and file and unions ing elements that are internal or part of it, such as personnel,
because it means less opportunity for upward mobility. media relations, training, or fiscal management. Instead, the line
McFarland21 argues that flat structures associated with wider police organization uses its total resources to provide services
spans of control offer numerous advantages over the more tra- directly to the public. Typically found only in small towns and
ditional tall structures. First, they shorten lines of communication small counties, the line is the most common type of police orga-
between the bottom and top levels. Communication in both nization because of the sheer frequency of small jurisdictions.
directions is more likely to be faster and more timely. Second, However, most police officers work in larger departments that
the route of communication is more simple, direct, and clear than retain the basic line elements but to which are added various
it is in tall organizations. Third, distortion in communication is types of support units. These larger police departments are often
minimized by a reduced number of people being involved. referred to as the line and staff form of organization.
Fourth, and probably most important, flat structures are generally
associated with employees with higher morale and job satisfac- Line and Staff Structure
tion as compared to employees in tall, structured organizations. As more demands for services are placed on police departments,
Flat structures do, however, place demanding pressures on there is a need to add internal support functions, so that the line
supervisors, require high-caliber managers, and work best in functions can continue to provide direct services to the public.
organizations in which employees are held strictly accountable The addition of support functions to the line elements produces
for measurable and objective results. Considering the role of the a distinct organizational form: the line and staff structure. The
police and the continuing problems associated with evaluating addition of a staff component to the line structure offers a number
police services, such a structure may cause inordinate stress on of advantages because such units are helpful in the following:
personnel. Top executives can attempt to direct the development
of police agencies in such a way as to maintain structural bal- 1. Providing expert advice to line units in special
ance. Some amount of hierarchy is needed for coordination, but knowledge areas as demonstrated by the opinions of
the extremely tall police organization should be carefully scruti- legal advisors;
nized. In balance, no major city has successfully flattened out 2. Relieving line managers from performing tasks they
both the numbers of organizational layers or units and the tra- least prefer to do or are least qualified to do, such as
ditional rank structure to any significant and continuing degree. financial management and providing legal guidance;
Thus, any substantial flattening of a police organization is likely 3. Achieving departmentwide conformity in activities that
to be an experiment in organizational design rather than an affect the entire organization, such as disciplinary
institutionalized reform. procedures; and

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M06_SWAN4056_09_SE_C06.indd 187
Police
Chief

Office of
Administration

Investigations Support Services Management Services Patrol Operational Support Legal and Professional Community Services
Division Division Division Division Division Standards Division Division

General Investigations Computer Services Planning & Research South Mountain North Resource Professional Standards Community Relations
Bureau Bureau Bureau Precinct Bureau Bureau Bureau

Drug Enforcement Communications Fiscal Management Central City South Resource Mayor’s Security Training
Bureau Bureau Bureau Precinct Bureau Detail Bureau

Organized Crime Records & Identification City Manager Desert Horizon Property Management Police Employment
Legal Advisor
Bureau Bureau Liaison Precinct Bureau Services Bureau

Media Relations Laboratory Services Squaw Peak

Labor Relations Tactical Support
Bureau Bureau Precinct

Maryvale
Precinct

Cactus Park
Precinct

Duty
Commanders

Figure 6.6 c Flat organizational structure. Source: Courtesy of the Phoenix Police Department, Phoenix, Arizona.
c h ap t e r 6 • Or g an i z at i onal Des ign
187

7/8/16 7:56 PM
 188 cha pte r 6 • O r g a n izati o n a l D es i g n

Figure 6.7 c Line organizational structure in a small police department.

4. Reducing or eliminating special problems, such as Bureau of Administrative Services and upper-echelon offices rep-
corruption, because of the greater expertise they bring resent staff functions within the organization. Note in Figure 6.8
to bear on the issue and the greater amount of time that two types of staff members report directly to the chief of
they have to devote to the problem.22 police: the generalist, illustrated by the chief of staff, and the
specialist, illustrated by the legal advisor and internal investiga-
Staff functions are sometimes further broken down into two tions office.
types: auxiliary or support and administrative staff.
Under this arrangement, auxiliary/support units, such as com-
munications and crime laboratory services, are charged with the Functional Structure
responsibility of giving immediate assistance to the operations The functional structure is one means by which the line
of line elements. In contrast, administrative staff units, such as authority structure of an organization can be modified. Hodge
personnel and training, provide services that are of less immedi- and Johnson23 state that functional structure “is a line and staff
ate assistance and are supportive of the entire police department. structure that has been modified by the delegation of manage-
Table 6.3 identifies typical line, auxiliary/support, and adminis- ment authority to personnel outside their normal spans of con-
trative staff functions. Depending on factors such as the history trol.” Figure 6.9 shows a police department in which the
of the police department and the chief’s preferences, there is intelligence unit is responsible to three captains whose main
some variation as to how these functions are categorized. Less responsibility is for other organizational units.
frequently, legislative enactments may establish the organiza- Some of the problems in police organizations can be reduced
tional structure, which is another source of variation in how by using functional design. By requiring specific units to be
functions are categorized. responsible to a variety of other unit commanders, critical infor-
Figure 6.8 shows a line and staff structure. In it, the Bureau mation is assured of reaching other line officers. Sharing is pro-
of Field Services (composed of the patrol districts) is the “heart” moted, while competing loyalties are diminished. Good examples
or primary line function of the organization and is highlighted of functional design can be observed in police departments mov-
to show that purpose. The investigative services bureau is also ing toward geographical responsibility for supervisors on a
a line function but smaller than the Bureau of Field Services. The 24-hour basis. A commander or shift (watch) supervisor (often

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 c h ap t e r 6 • Or g an i z at i onal Des ign 189

Police
Commissioner

Office of Office of
Chief Legal
Administrative Internal
of Staff Advisor
Hearings Investigations

Planning & Policy Informational Internal Auditing Anti-

Research Development Services Affairs & Review Corruption
Division Division Division

Bureau of Bureau of Bureau of

Administrative Field Investigative
Services Services Services

Labor Support Major Technical

Relations Services Night Investigations Services
Office Division Command Division Division

Training & Communications Drug Investigative

Education Management Area A Area B Control Planning
Division Division Districts Districts Division Division
1&7 2&3

Fleet Human Criminal

Management Resources Area C Area D
Investigation
Division Division Districts Districts Division
6 & 11 4 & 14

Facilities Central
Management Supply Area E Area G
Division Division Districts Operations
5 & 18 Division

Hackney Finance Area H Area I

Division Division
Special Special Police
Operations Division
Division

Figure 6.8 c Line and staff structure in a police department. Note that line functions are grouped in the
middle of the structure highlighted as “Bureau of Field Services.” Source: Courtesy of the Boston, Massachusetts, Police
Department.

a lieutenant or Captain) assigned to the day watch may be than a conflict between shift leaders because it causes confusion
responsible for solving violent street crimes (e.g., robberies) that and some stress with officers as to whose orders they should
occur in a specific area on all three shifts. However, officers on follow.
at the evening and night shifts get their overall supervision from Dallas and Fort Worth, Texas, as well as San Diego, California,
the Lieutenant or Captain assigned to their shifts, creating the are just a few departments that have noted these types of prob-
potential for conflict between the orders from the day shift Cap- lems stemming from the implementation of geographical respon-
tain on what strategies to use in combating violent crimes versus sibility for managers, resulting in a functional design. In some
the orders that officers on the evening and night shifts get on areas, this type of formalized geographically based, or “geo”
the same subject from their own shift leaders. This creates more policing is referred to as sector policing. While the name might

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Box 6.1 Factors Influencing Law Enforcement Organizational Design24

While there are many similarities across the nation in the committed by gangs. The distribution or redistribution
organizational structure of law enforcement agencies of of a portion of the population within an agency’s
roughly the same type and size, there is also an abundance geographic area of responsibility coupled with the
of variation. The factors listed below illustrate how some physical environment may require the establishment of
different factors influence the way police agencies are substations/precincts, relocating them, or eliminating
designed/organized. some. Actions that illustrate these possibilities include,
rehabilitation of old buildings in a business district for
1. The mission of the agency, for example, a municipal
sale as apartments, rezoning of property from one type
police department versus a sheriff’s office, port
of use to another, annexations by a municipality of a
authority, airport, or mass transit law enforcement
portion of the county, and major hazardous waste
agency.
contaminations all represent actions that could affect
2. The agency’s past experience with different the delivery of police services. Hinkley, California,
organizational designs. Past changes that have Gilman, Colorado, Picher, Oklahoma, and Niagara Falls,
succeeded or not achieved what was expected become New York discovered significant hazardous waste
part of the agency’s legacy. “We already tried that and it contamination that closed neighborhoods or large
didn’t turn out so good.” portions of the city.
3. The preferences of the Chief of Police, for example, 6. The number, types, and distribution of crimes, as well as
some chiefs want the intelligence unit to report to their the characteristics of the victims all impact the design of
office so they can “be on top of things.” police departments. Many years ago, a special unit to
Others want the number of units directly reporting to investigate crime against juveniles was a novelty. Now,
them kept them at an absolute minimum to allow them the principle that special populations may best be
to focus on “the big picture.” served by specialized units is well established.
4. The legal, political, social, and physical environment in The evolution of this concept has produced ­Domestic
which the agency operates. Violence Units and a few departments have formed
Some organizational structures are created by local units to investigate crimes against lesbian, gay, bi-
ordinances, largely as a means of giving elected officials sexual, and transgender (LGBT) persons and their
control over changes. allied ­communities. As specialization increases, it often
A very active ministers alliance in a town may cre- ­produces the need for the law enforcement agency to
ate pressure for the police to closely monitor strip grow vertically creating the need for one or more new
clubs, sex toy shops, and similar businesses, resulting layers/levels in the organizational structure.
in the creation of a Vice Control unit. A rural sheriff’s 7. The degree to which the police introduce and rely on
office in Montana where there are many opportuni- technology, such as automated license plate readers,
ties for year-round recreation in the backcountry must photo traffic enforcement, license plate scanners,
have a well-developed search and rescue c­ apability. thermal imaging—useful in searching for lost
The impact of the physical environment is also persons and marijuana investigations, gunshot
­illustrated by whether a city is primarily horizontal or detection systems, and handheld spectroscopy
vertical. Additionally, rivers, bridges, railroad tracks, devices that can identify powdery substances with
and other environment characteristics dictate the great accuracy.
boundaries of patrol zones. A technology that is on the near horizon for actual
5. The size of the population served and its demographics, use is RF Safe-Stop, which can electronically “confuse”
for example, policing a retirement community is the operating system of a fleeing car and cause it to
different than a city with a strong young demographic stop. In tests, it has been effective at 50 meters/164
from which many crimes spring, such as those feet.

be different, the approach is still focused on providing a proac- explore the use of the functional design but be ever cautious of
tive and geographically based structure for police strategies, per- the confusion that can result if the process is not properly moni-
sonnel deployment, and accountability.25 tored and controlled.
In conclusion, the major disadvantage of the functional
design is that it increases organizational complexity. In
Figure 6.9, members of the intelligence division receive instruc- Matrix Structure
tions from several superiors. This can result in conflicting direc- One interesting form of organizational design is variously
tions, and thus extensive functionalized structures are seldom referred to as the matrix (or grid) structure. In some cases,
found in police agencies. Law enforcement executives should the style has been inclusively part of “project” or “product”

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Figure 6.9 c Functional structure in a police organization.

management. The essence of matrix structure is in the assign- ORGANIZATIONAL STRUCTURE

ment of members from different functional areas (e.g., patrol,
detective, and support services) to specific projects (e.g., task TODAY
forces and crime-specific programs). The most typical situation
in which the matrix approach is used is when a community has The impact of community policing during the late 1990s had
had a series of sensationalized crimes and the local police a dramatic impact on organizational structure. It was most
department announces it has formed a task force to apprehend apparent in agencies that adopted decentralization strate-
the violator. One notable example of this occurred in East Los gies. The purpose behind such strategies was that police
Angeles in 2014, where a task force comprising over 800 ­federal, depart­ments could more effectively serve their communities
state, and local law enforcement officers arrested 25 members through an ­organizational design focused on individual areas
and indicted another 38 individuals of a multigenerational and neighborhoods rather than the entire city. Further, decen-
street gang name “Big Hazard” on charges of federal racketeer- tralization in organizational structure was seen as being much
ing and maintaining a criminal enterprise. The violent street more flexible and having a fluid design in which to provide
gang was linked to multiple murders, extortions, robberies, essential public and human services.27
drug trafficking, prostitution, and many other crimes in the Electing to compartmentalize the activities of the community
Boyle Heights area of Los Angeles over the last 70 years.26 The policing concept, some departments opted to provide such ser-
advantage of this type of organizational design is in the forma- vices solely through one unit or bureau. For instance, the
tion of specific groups of individuals, combining varied talents ­Anaheim Police Department in Anaheim, California, had a single
and levels of expertise in order to fulfill a designated mission bureau devoted to community policing. Through this one unit,
or goal. Quite often, the matrix structure is used for relatively the Community Policing Team developed strategies that
short periods of time when specific programs are conducted. employed a total community effort involving the police depart-
After the assignment is completed, individuals return to their ment, city and county government, schools, churches, and busi-
respective units. nesses. These alliances formed neighborhood partnerships. The
Figure 6.10 displays the matrix design applied to a police mission of the Community Policing Team was to develop, pro-
organization. This chart reflects the basic line and staff elements mote, and implement community-based partnerships aimed at
found in most police agencies. However, four specific projects addressing various criminal and social problems confronting the
have been initiated that require the use of personnel from five city of Anaheim.28 The important note here is that the entire
different units, which further requires each project to organize community policing effort was relatively confined to the one
along the lines suggested by Figure 6.11. unit—the Community Policing Team.
Because the matrix structure greatly increases organizational In contrast, other departments (e.g., those in Portland,
complexity, it has been successful only in the short-term delivery Oregon; Madison, Wisconsin; Charlotte-Mecklenburg, North
of police services. Carolina; and Minneapolis, Minnesota) opted to implement the

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Figure 6.10 c Matrix structure in a police organization.

community policing concept holistically; that is, community Traditional Design vs. Structural Change
policing was reflected in all aspects of the organization, and,
Although a number of community policing methods have been
therefore the organizational structure did not reflect a single
adopted across the country, several structural problems have been
unit devoted to community policing. Instead, the community
identified.29 To illustrate, community policing depends on grant-
policing philosophy was simply pervasive throughout the
ing officers’ greater authority and latitude in decision making,
organization. In these cases, the organizational chart was
particularly with respect to developing police strategies to impact
reflective of the philosophical changes imbued in community
on problems of concern to people in the area in which officers
policing.

Figure 6.11 c The detailed organization of projects.

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Box 6.2: Organizational Structure Impacted by Policing Philosophy

Organizational chart of the Houston Police Department reflecting an emphasis on service delivery
and support through a community-represented “executive board.” Source: Courtesy of the Houston, Texas,
Police Department.
Under the leadership of then-Chief Lee P. Brown (1990), the comprising police and community leaders. In this manner,
Houston Police Department acted as a model for community community policing made individual police officers account-
policing departments. Reflective of these philosophical able directly to the people of Houston. The chief of police
changes, the organizational chart of the department pro- acts more as a chairman of the board or a chief executive
vided a new and dynamic look. Note that the focus of the officer for a major corporation than as a traditional police
department was on service delivery and support rather than manager. Innovation in organizational structure has some-
the traditional modes of assignment, such as patrol and what waned in the last several years, as many departments
investigations. The police department was viewed more as have continued to use, or returned to some degree to a
a community organization than as a control agency. As such, more traditional, bureaucratic structure to cope with prob-
the organization was operated similarly to a service corpora- lems such as deep personnel cuts, local responsibilities for
tion that is fully responsible to an executive board combating terrorism, and other factors.

patrol. This practice conflicts with traditional bureaucratic theory’s will be less formalized, less specialized, and with less emphasis
desire to have close supervision of officers through narrow spans on bureaucratic rules. Cordner30 suggests that police agencies shift
of control/management, which in turn produces taller, multi-lay- from substantial reliance on traditional written rules and regula-
ered, organizational structures. In contrast, community policing tions to a straightforward situation-oriented approach. Some por-
requires a shorter and flatter organizational design. Services are tion of traditional rules and regulations, with their strong control
decentralized and community-based. Necessarily, such a design orientation, actually get in the way of community policing.

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Community policing advocates empowering the individual In contrast to community policing, Ratliff asserts that decentral-
officer with greater authority, responsibility, and discretion and ized structures (often stemming from community policing phi-
responsibility than does traditional policing. As a consequence, losophies) reflect a purpose rather than a geographic focus. This
direction from the organization must emphasize shared values, tends to produce stovepipes within the organization, separating
participatory decision making, and a collegial atmosphere. For police specialties from one another, and decreasing communica-
written rules and regulations to be fully useful in a community tion and information flow between units, a condition critically
policing context some number of them must be rewritten to important for the success of ILP.33
further that policing philosophy as opposed to retaining ones The need to employ intelligence activity at almost every level
which interfere with how officers do their jobs. of the organization requires a structure and design that highlights
Stated somewhat differently, the organization of community not only effective communication but also the sharing of infor-
policing is open and sensitive to the environment, with a built-in mation and other resources. The primary methodology, from a
need to frequently interact with members of the wider community structural perspective, to accomplish this task is to organize spe-
and to be responsive to its needs or “results-oriented” and therefore cialized units (such as organized crime units, gang units, terror-
accountable to it rather than being hampered by insufficient author- ism task forces, narcotics and vice squads, and the like) along
ity and rules and regulations that are a barrier to performance. The geographical hierarchies within the intelligence division—the
differences in organizational structure between traditional policing theme being to highlight intelligence operations within a police
and community policing are further outlined in Table 6.4. department as the central element to planned activities rather
Some argue that community policing calls for too radical a than haphazard reactions to crime and potential terrorist strikes.
change in organizational design—that such changes may be impos- Communication throughout the organization rests primarily on
sible under existing union and civil service constraints. Further, the dissemination of information via technology and planned
organizations tend to follow Michael’s “iron law of oligarchy,” which efforts directed from the highest decision makers in the depart-
indicates that modern, large-scale organizations tend toward spe- ment. This type of structure necessarily requires the develop-
cialization and centralization.31 However, these organizational traits ment of a strong fusion center that not only acts as the central
appear to be in conflict with other community policing or intelli- hub for intelligence analysis but also serves as the primary
gence-led structures. Large police departments require a certain “brain” for dissemination and feedback.
amount of specialization to handle diverse tasks efficiently, such as Quite frankly, few police agencies in the United States have
examining various types of physical evidence or handling unique attempted to structure around the ILP model (or the evidence-
situations, and the amount of hierarchy required to coordinate the based model) of policing. Moreover, many agencies have
various specialized parts produces a tendency toward centralization. reverted to more centralized and traditional organizational
As stated in Chapter 5, “Organizational Theory,” the prospects for structures with levels of command and spans of management
police agencies totally abandoning the bureaucratic structure are often observed prior to the community policing movement.
not strong. What is now being done is preserving the best features This may well be a movement away from community-based
of bureaucracy, such as having an organization that is responsive to approaches as well as a natural result of the ­Compstat move-
lawful orders, and supplementing or “dropping over” its processes, ment and the new demands on policing posed by the threat of
policies, procedures, rules, and regulations that blunt the worse terrorism. While the structures may be somewhat flatter, com-
features and support initiatives, such as community policing. munication within and between organizations continues to be
problematic, and the strategies aimed at relatively quick solu-
tions to very complex problems. Even Ratcliffe admits that the
Intelligence-Led Policing (ILP) and criteria for success of ILP is on the immediate detection, reduc-
Organizational Structure tion, and disruption of criminal and potential terrorist activities,
The Compstat movement during the early 2000s was credited and not on the long-term improvement of social conditions that
with significantly reducing crime in major cities across the United often encourage crime and disorder. As a result of such diffi-
States, but it had very little impact on the organizational structure culties, the continued implementation of ILP should provide a
or design of police agencies. However, the movement toward dynamic arena for police organizational structure in the future.
ILP has placed much more emphasis on the “functional struc-
ture” of organizations as previously described (see Figure 6.9).
Requiring police agencies to be much more proactive and pre-
ventative based, the focus is on integrating the intelligence func- ORGANIZATIONAL DESIGN AND
tion throughout the organization. ILP requires accurate and THE INVESTIGATIVE FUNCTION
timely information, the source of which is often through the
development of partnerships and problem-solving methodolo- Police agencies across the country have been reeling from bud-
gies employed with other departments and agencies. ILP also get cuts in an effort to be more streamlined, more efficient, and
requires energetic and competent analysts to communicate their more cost-effective.34 Many of these cuts have been targeted at
findings to decision makers, and much more importantly, that staff and support functions, particularly in investigative units in
decision makers then communicate their strategies to lower lev- an effort to increase the number of uniform officers on the street
els of the organization, again, much more “top-down” in style.32 and available for calls for service. Some departments, like

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table 6.4 D ifferences between traditional and community policing

Traditional Policing Community Policing
1. Bureaucratic and control based: characterized by detailed 1. Nonbureaucratic: based on the corporate model; more flex-
standard operating procedures and rigid written policies; ible and adaptive than traditional paramilitary structure; fo-
high formalization of the organizational pyramid cus on building teams within a more collegial environment
2. Centralized and hierarchical organizational structure: 2. Decentralization, shorter and flatter organizational
highly centralized with authority flowing from top to structure: authority and function is derived from
bottom, particularly in operations; characterized by tall community-based demands; characterized by
organizations with multiple ranks and levels; communi- decentralized services with multiple neighborhood
cation is slow and almost always downward storefronts and more service-oriented environments;
communication is open and free-flowing between ranks
both vertical and horizontal in the organization
3. Autocratic management style: leadership is based on 3. Democratic and participatory management style: lead-
rank with rights associated with the office; emphasis on ership is encouraged at all ranks with focus on challeng-
control-based methodologies in managing people ing the status quo, enabling and inspiring others;
within the organization; loss of individual leadership ennobling shared visions and possibilities, modeling eth-
capabilities within the organization ical and collaborative behavior, rewarding others, and
reflecting on self and individual service
4. High specialization and task orientation: police func- 4. Generalization: police officers act as generalists
tions performed by smaller units of highly trained and with specialized training in multiple areas; patrol
specialized personnel, often characterized by high often becomes the primary and emphasized police
esprit-de-corps and unique unit identification; function with all other units and divisions supporting
personnel loyalty is often observed to the unit versus the patrol function; officers embrace patrol as the
the larger department (e.g., SWAT-tactical teams, primary mechanism for neighborhood and community
homicide units, motor patrol, gang units) engagement
5. Emphasis on random patrol: the organization employs 5. Directed patrol based on crime and intelligence
traditional policing methodologies focused on random- analysis: the patrol function is directed for high impact,
moving patrol vehicles; little use of technology in the preventative-based activities as defined by detailed and
patrol function and crime analysis is limited to plotting real-time crime and intelligence analysis; wide use of
crime and activities after the fact technology and highly trained analysts often observed in
crime analysis and fusion centers
6. Large goal oriented: preoccupation with crime rates 6. Embraces multiple objectives, problem-solving and in-
and numbers; arrest orientation with focus on paramili- dividual successes: celebration of innovative strategies
tary structure and function of police to combat crime; that have a positive impact on the community; goals
individual tasks are quantity oriented and objectives are community/client driven; individual
tasks are quality oriented
7. Crime-fighting officer perspective within reactive orga- 7. Preventive-based approach to crime within a proactive
nization, emphasis on mediocrity: focus is primarily on organization, emphasis on quality: focus is on the preven-
crime detection, investigation, and arrest after the fact; tion of crime before the activity occurs, with emphasis on
orientation for the organization is based on the tradi- broader social issues as well as neighborhood problems;
tional “crime-fighting and order maintenance” model; crime prevention through environmental design; success
organizations focus on arrest, cases cleared, and similar is measured in numbers of interactions with the commu-
measures of success in traditional policing nity and the building of new relations and partnerships
8. Closed organization orientation: distinct from environ- 8. Open organization model: organization attempts to ef-
ment, resistant to environmental influence and change, fectively interact with the community, open to change,
internally defined agenda, justification of means over sensitive to environment; focused on long-term and
ends; stifling of innovation and creativity; loss of individ- results-oriented goals; emphasis placed on individual
ual worth for group think and organizational creativity
9. “Fear of crime” justifies existence and tactics: police 9. Uses evidence-based approaches to justify police func-
are responsible for fighting the “war” on crime; sym- tions: embraces on-going research to developed cost ef-
bols focused on the power of the police and control of fective “best practices” in police strategies and tactics;
the community emphasis on knowing contemporary research in policing
10. High individual and managerial accountability: organi- 10. Accountability and police focus is a reflection of com-
zational demand on accountability focused on numbers; munity demand: police functions and foci are devel-
reaction to increased crime rates result in increased tra- oped with the community at the neighborhood level;
ditional solutions such as more patrol, visible arrests, the community is actively engaged in measuring police
higher profile policing in specific neighborhoods; performance through shared meetings; emphasis is on
CompStat becomes a means to an end community engagement and partnerships

Source: Adapted by Robert W. Taylor (July 2015) from R. W. Taylor, E. J. Fritsch, and T. J. Caeti, “Core Challenges Facing Community Policing,”
ACJS Today, volume XVII, issue 1, May/June 1998 and C. Murphy, Contemporary Models of Urban Policing: Shaping the Future (Ontario: Ministry
of the Solicitor General, 1991), p. 2.

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­ akland, California have conducted massive overhauls of their

O organizational design were conducted by (1) President’s Com-
organizational structure to include the disbanding of the entire mission on Crime and Administration of Justice in 196738;
Criminal Investigations Division and traditional subunits such as (2) RAND Corporation in 197639; and (3) National Institute of
homicide, assault, robbery, burglary, sex crimes, vice, narcotics.35 Justice in 2001.40
Other agencies, particularly during the community policing era The President’s Commission examined the investigative prac-
(NYPD, Dallas Police Department, LAPD) moved to a more tices of the Los Angeles Police Department. The report, The
decentralized investigative structure, moving traditional detec- ­Challenge of Crime in a Free Society: Science and Technology
tives to neighborhood precincts and divisions. Interestingly, identified several factors that must be considered when creating
many agencies are now realizing that decentralization, especially or changing an organizational structure. The study found that the
popular during the community policing era, was inefficient and patrol force made a large portion (90 percent) of the arrests.
ineffective. Recent research reveals that traditional persons- About 25 percent of these were based on detective follow-ups
crimes such as homicide, robbery, and sex crime that are central- (warrants). Thus, detectives were directly or indirectly responsible
ized promoted an increased clearance rate by arrest and for about 35 percent of all arrests. About one-third of all arrests
decreased reported violent crime in most major cities.36 This new were made within 30 min of the commission of the offense while
research has caused many departments to “re-think” the concept nearly one-half of all arrests were made within 2 hours of the
of decentralization of police services. commission of the offense; presumably, uniformed patrol officers
There are only a few studies that have focused on organiza- were primarily responsible for these arrests. The research also
tional design and the criminal investigative function. 37 Plain- found two-thirds (66 percent) of all arrests being made within
clothes investigators, or detectives, in most city police one week of the commission of the offense; 94 ­percent of all
department, primarily perform the following tasks: arrests occurred within one month of the commission of the
offense. Investigative efforts expended over the next 11 months
1. Determine that a crime has been committed; raised that percentage by only 4.5. Thus, 98.5 percent of all
2. Identify the individual who committed it; offenders who would be arrested had been arrested within one
3. Locate and apprehend the individual; year of the crime coming to the attention of the police. Within
4. Collect evidence of guilt (or innocence) for courtroom this group, about half were arrested by patrol officers without
use; and extensive follow-up investigation. The study further reports that
5. Recover wrongfully held persons and property. 2.8 cases were cleared for each arrest made, indicating that single
perpetrators are responsible for multiple offenses. As to the work
The amount of effort that any individual investigator expends of the detectives, two-thirds of the cases they cleared involved
on each of the five tasks is a function of the complexity of the suspects whose identity was initially determined by responding
investigation and the specific assignment of the investigator. For patrol officers. The LAPD study leads to several conclusions. First,
example, in a burglary investigation, establishing that a crime in half of the arrests, the plainclothes investigator’s role was
has actually been committed consumes far less investigative largely case preparation not related to the identification of the
effort than identifying the offender. On the other hand, an inves- suspect. Further, the study reveals that investigative effort beyond
tigator visiting a pawnshop may recover a large amount of stolen one month after the commission of the offense, on average, pro-
property without ever determining the identity of the victim or duces only an incremental difference in arrest rates. Finally, reac-
offender. Then too, determining if a person met with an accident, tive investigation of criminal incidents is most successful when
committed suicide, or was murdered is often a very time-­ the identity of the offender is already known.
consuming and arduous task. The RAND study examined the investigative practices of
This combination of diversity of assignment and complexity 153 cities. Once again, the question of investigative division
of investigation prevents several problems for determining the staffing and placement was not directly addressed. However,
organizational role, staffing and structure of investigators within the study concluded that differences in staffing levels appeared
a police department. Unlike the patrol function where calls for to have no appreciable effect on crime, arrest, or clearance
service are largely evenly distributed and where essentially the rates. “In other words, if the total number of officers in a
same type of service is provided to the public regardless of department is kept fixed, switching some of them into or out
geographic deployment, investigative functions are diverse rela- of investigative units is not likely to have a substantial effect
tive to assignment and responsibility. on arrest or clearance rates.”41 As to investigative activity, the
While significant research has been conducted on the line RAND study found that, on average, investigators spent
function of uniform patrol (see Chapter 2), very little work has 45 ­percent of their time on non-case work, such as travel and
correspondingly studied the role and assignments of plain- administrative matters. More importantly, of the 55 percent of
clothes personnel in a police department. Most research on the time actually spent investigating, 40 percent of the time
the investigative function has examined either the nature of the (22 percent overall) was expended on investigating matters
investigative function in the abstract or the identification of that are never solved. Only 12 percent of the time (7 percent
“solvability factors” to assist in the efficient use of investigative overall) was expended on investigating matters that were
personnel. Three of the better known, albeit now relatively old, solved. Another 48 percent of the time (26 percent overall) was
studies on the nature of the investigative function relevant to spent on cleared cases after arrest.

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Twenty-five years after the RAND study, the National Institute investigative functionality is relegated primarily to detectives;
of Justice sponsored a study to examine police practice, policies, however in some agencies, investigative work is a functional
goals, and perspectives of the criminal investigation process. The assignment of officers. The problem becomes even more acute
grant was given to Michigan State University. The study marked when attempting to compare unionized departments with con-
the first nationally representative research endeavor of police tractual documents that treat investigative functions and assign-
criminal investigation practice in the United States. Generally, the ment with a promotional rank (e.g., New York Police Department,
study revealed that the criminal investigation process has Portland, OR., Phoenix, AZ., San Diego, CA., Seattle, WA.), or
remained relatively unchanged over the past 30 years, despite with those agencies that are not unionized under collective bar-
significant paradigm shift in policing. For instance, during this gaining, as is the case with most police departments.
same period of time, policing strategies and philosophies signifi- In the past 10 years, the ratio of investigators to total sworn
cantly changed with the advent of new technology, team polic- personnel has slightly increased to a national average of
ing, community policing, COMPSTAT, ILP, and evidence-based 20 ­percent, largely a reflection of federal grant money available
policing. Further, the study somewhat echoed the finding of to combat drug trafficking and terrorism.45
previous research in that the role of the individual police officer
in solving a crime was highlighted versus the role and function
of plainclothes detectives. These findings were supported in Crime Factors Impacting Investigation
2011, by a study that attempted to reason “why” the function of James Q. Wilson in his highly acclaimed book Varieties of Police
detectives remained relatively unchanged: Behavior noted that uniformed patrol officers could deliver
police services in one of several possible styles: law enforce-
dd Detectives spend an inordinate portion of time on clerical ment, order maintenance (watchman), or service.46 Similarly, it
and administrative duties; and this remains a significant may be hypothesized that investigative units in a police depart-
portion of their job task; ment carry out their respective responsibilities utilizing a variety
dd Activities that have been associated with the major of analogous responses. How police investigators respond to the
paradigm shifts in policing such as in community incidence of crime is a function of several factors. Depending on
policing (attending neighborhood meetings, school the nature of the incident, any particular factor may receive
policing, crime analysis, etc.) are largely performed by greater or lesser emphasis in the decision to investigate and,
officers and civilian support staff but not investigators or more importantly, the level of investigative energy devoted to
detectives; and the matter. The factors to be considered are as follows:
dd Detective work varies across investigative units that are dd The manner in which the crime comes to the
functionally differentiated.42 attention of the police—Is the crime reported by the
citizen-victim, such as a sexual assault or robbery? Is the
One other bit of research on the investigative function
response a result of a generic complaint of illegal activity,
bears mention. The Bureau of Justice Statistics’ Law Enforce-
for example, public drug market, solicitation of
ment Management and Administrative Statistics (LEMAS)
prostitution? Is the crime detected by proactive efforts of
reports that nationwide, on average, 16 percent of the sworn
the police, such as undercover drug sales or stolen
personnel in police departments are assigned to investigative
property stings? Is the crime detected by police
functions. The LEMAS study43 does not further disaggregate
administrative inspections, for example, review of
the data. Thus, national averages for the number of homicide
pawnshop tickets or automobile salvage yards?
detectives versus the number of undercover narcotics investi-
gators in agencies of varying size are not available. Corre- dd The severity of the crime—While, in theory, all victims
spondingly, the previously mentioned RAND study found that deserve a complete investigation of their criminal
over all respondents, 17.3 percent of their sworn force was complaints, scarce resources necessitate that priorities
assigned to investigative units. Over one-half of the participat- be established. Many departments employ differential
ing departments reported 14 to 20 percent of personnel response policies to address priority handling and time
assigned as investigators. Within this group of investigative allocation to more serious or aggravated crimes, while
personnel, 78 percent worked “reported crime” while others are simply addressed by telephone. Consequently,
22 ­percent worked in vice, narcotics, internal affairs, and other felony offenses tend to take precedence over
proactive investigative units.44 misdemeanors, crimes involving personal injury may take
Detailed research to compare one department to another in precedence over property offenses, and offenses
terms of investigator staffing and placement of the investigative involving large monetary amounts of loss receive greater
function within the organization has simply not been undertaken attention than events resulting in little monetary loss.
at the national level. This type of comparison would probably dd The historical experience in solving similar
not be valuable since the definition of investigator is speculative crimes—Clearance rates of Part I offenses nationwide
and widely varies with the internal policies defined by each give insight to this factor. While the clearance rate for
department. In addition, the concept of investigator as an officer murder is relatively high (64.1 percent in 2013), the
or detective also varies greatly. In most departments, solution rate for automobile theft is less than one in

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ten.47 Thus, certain types of offenses are by their very These factors, when considered together, produce several pos-
nature difficult to clear by arrest. Even within certain sible models of investigative style. Each style necessitates a dif-
crime classifications, such as burglary, investigators soon ferent staffing strategy, that is, a different way of computing
develop an ability to discern between cases for which workload, and more importantly, a new way of placing the unit(s)
expending investigative effort might prove worthwhile within the organizational framework of the police department.
and futile. Consider a residential burglary with no
witnesses, no latent fingerprints, and the owner cannot dd Style I—Reinforcing Patrol. Incident driven; staffing
provide a detailed description of the property taken. determined by number of incidents independent of
Such a case borders on unsolvable regardless of the complexity. A citizen complains, patrol initially responds,
amount of investigative effort that might be expended. but an investigator is subsequently assigned to the matter.
An experienced investigator will simply process the Domestic assaults are an illustration. Time spent on each
paperwork on this case and conduct little to no incident is approximately the same. Cases are quickly
investigation. Clearly, this is part of the reason that resolved and closed. Since the time spent on each incident
burglary is one of the least solved crimes in America with is roughly the same, the number of incidents, not time
less than 10 percent of the cases ever being cleared.48 spent, is the most important factor in determining staffing
levels. Where relevant, response time to the scene is
dd Legal considerations—As a matter of law, unattended examined for some categories of incidents. In some cases
deaths require reporting and a response by designated response time may not be relevant, for example, patrol
public officials, generally the police and/or medical makes a domestic assault arrest and refers the case to CID.
examiner. An investigation—sometimes simple, While response time levels would not be expected to fall
sometimes complex—is initiated to determine if the death within the same range as initial patrol response time, since
was a suicide, an accident, the result of natural causes, or these units supplement patrol, response times should be
a criminal homicide. Similarly, child abuse reports reasonably prompt. The slower the response time of the
necessitate a police response. Further, the local CID unit, the longer the patrol officer is tied to the scene.
prosecutor may choose not to prosecute certain cases or
not to take the case unless certain witnesses or evidence dd Style II—Standard Reactive. Incident and complexity
is available. These law-related issues affect the police driven. Requires response and follow-up a little or a lot
investigative effort, and their position within the depending on the particular case. Case may or may not
organizational design of the department. ever be solved. Cases may be closed or placed in inactive
status when all logical investigative leads have been
dd Department policies—The chief of a police agency may
exhausted. Robbery and burglary are illustrations.
adopt procedural rules that affect the investigative process.
For example, commonly, by policy, unsolved murder cases dd Style III—Major Cases. All incidents are thoroughly
are never placed in a closed status. Also, a policy of investigated and cases are not closed although reasonable
mandatory arrest at domestic disturbances generates cases investigative leads may diminish over time. Homicides and
for investigative follow-up. Perhaps most importantly, the unknown assailant sexual assaults are illustrations. Staffing
degree to which the responding uniformed officer follows of these units is determined similarly to Standard Reactive
up initial leads affects the amount of work the investigative units. However, allowance may need to be made for two
officer will perform on an individual case. Departmental forms of cases in the primary caseload—active and inactive
policy is even more apparent in proactive investigative matters. The latter would be those cases where leads no
functions such as intelligence, gang, vice, narcotics, and longer exist but are kept open because of policy. Likewise,
terrorist investigations where cases are not the result of because of the severity of the types of cases handled and
calls for service, but rather officer initiation or intelligence the likelihood that solved cases may result in a trial, the
reports presented fusion centers. How many officers are secondary caseload may demand more attention than with
assigned to these units are often the result of federal task other investigative styles. Actual caseload numbers in this
force grants and a rather obscure number derived from unit will likely be low. Units that investigate homicide and
history and perceived problems associated with these rape are traditionally Style III Units.
specific areas of enforcement. For instance, if the number dd Style IV—Regulatory Inspection. Primarily
of gang-related or narcotics-related aggravated assaults, inspection/regulatory work that uncovers the existence
robberies, and murders increase in a specific area or over of a crime. Actual follow-up investigation may be
a specific time period, investigative allocation relating to assigned to others. Pawn shop and auto salvage yard
these areas often increases. The same can be true when inspections fall into this category. Caseload is determined
federal grants are available to combat these same types of on the number of locations needed to be inspected. This
crime, or issues. This is certainly the case with the New is one area where average time spent at each site may
York Police Department after 9/11, when significant provide insight into the number of personnel needed. As
manpower and hence, an entirely new division focused on the number of bars and adult entertainment centers,
terrorism was added to the organizational chart. pawnshops, salvage yards, and the like change, it would

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be expected that the number of persons assigned to and vice enforcement), caseload should be calculated as the
these units would need to be altered. Interestingly, number of new cases per month. In this manner, conflicts
many departments are shifting the inspections and between patrol officer investigations versus specialized investiga-
investigations of these businesses to civilian personnel. tions are minimized.
These are excellent civilianization steps for cost savings
within a department.
dd Style V—Passive Notation. Primarily report-taking/
support functions with only selective investigative effort.
SOME UNIQUE ORGANIZATIONAL
Routine stolen property reports and bad check cases are FEATURES OF Sheriff’s OFFICES
illustrations. Since little follow-up exists to these reports,
the number of complaints determine workload. A detailed discussion of “politics and the county sheriff” was
Investigators are expected to carry a large secondary addressed in Chapter 4, Politics and Police Administration. How-
caseload and a relatively small primary caseload. Many of ever, in addition to some of the unique political features dis-
the traditional investigative roles in this style, such as those cussed therein, there are also some organizational differences
observed and associated with Sex Offender Registration that typically exist between municipal police departments and
and Tracking, are also commonly staffed by civilians. sheriff’s offices. For example, most police departments do not
have a single commanding officer positioned between the police
dd Style VI—Discovery Enforcement. Largely proactive
chief and all of the operating and administrative bureaus. How-
investigations where covert police officers detect the
ever, this is not true of sheriff’s offices. Most sheriff’s offices have
occurrence of crime and identify suspects, usually at
a chief deputy/undersheriff and, with the blessing of the sheriff,
about the same time. Individual officer effort largely
this person typically assumes considerable operational command
determines the size of the caseload. The number of
over the entire organization (see Figure 6.12). The position exists
investigators assigned to these units is primarily a policy
because, although the elected sheriff is the chief law enforce-
decision. Since investigations are largely proactive in
ment officer of the agency, the sheriff must devote a consider-
nature, additional officers or investigators will likely be
able amount of time addressing the political needs of the sheriff’s
able to make cases at a rate similar to existing staff. In
office within the community to assure that a positive image is
theory, staffing could exceed its marginal utility—an
created and maintained and public support is maximized. In
additional officer or detective adds only incrementally to
addition, if the sheriff should decide to run for re-election, he or
the number of crimes detected. This is particularly true in
she must devote considerable time and effort to this endeavor.
geographical areas of high vice and drug activity.
In many respects, the role of the chief deputy/undersheriff is
Three key elements exist in the above models. First, is the very similar to that of the police chief in a municipal police
recognition that investigative units vary in the manner in which department, in that the person occupying this position assumes
they operate; thus, organizational models likewise need to differ. direct operational command over the entire organization. How-
Unlike patrol, which is the primary line function of all police ever, it is also important to note that, because sheriff’s offices
departments, there is no universal mathematical model that can typically are responsible for supervising the operation of county
be constructed to determine appropriate staffing levels, or jails, the chief deputy/undersheriff should also ideally have a
exactly “where” the investigative unit should be placed. Second, good background in jail administration (see Figure 6.13). This is
historical data should be used to determine baseline staffing, and so because jails consume a substantial portion of the agency’s
organizational placement of the investigative function. And third, resources for both personnel and operating expenses. Although
for all but the specialized investigations units within a criminal the position of sheriff, like that of police chief, has traditionally
investigative, representing Style VI-Discovery Enforcement Units been held by men, this has changed and now women are
(e.g., terrorist investigations, intelligence, gang officers, narcotics, increasingly being elected as sheriff.

Quick Facts: Sheriffs in the United States

There are 3,080 sheriff’s departments in the United States. 2. Connecticut. Sheriff’s departments have been replaced
A Sheriff is generally (but not always) elected to office and by a State Marshal System; and
represents the highest law enforcement officer of a county. 3. Hawaii. While there are no sheriffs in Hawaii, there are
In contrast, a Chief of Police is usually appointed and serves “deputy sheriffs” that serve as part of the Sheriff’s
as the head of a municipal or city department. Interestingly, Division of the Hawaii Department of Public Safety, a
three states do not have sheriffs. They include: unique merging of traditional county functionality with
1. Alaska. There are no county governments in the state; state police.50

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Figure 6.12 c Hillsborough County Sheriff’s Office (organizational chart showing the
office of the chief deputy in charge of the entire organization, but subordinated to the Sheriff).
Source: Courtesy of the Hillsborough County Sheriff’s Office, Tampa, Florida.

LINE AND STAFF RELATIONSHIPS which occurs in all police departments except those that are a
IN POLICE AGENCIES pure line form of organization, is sometimes fraught with diffi-
culty and dissension. If left uncorrected, these conditions will
The rapid growth in size of many police agencies has been have a serious negative effect on both the quality and the quan-
accompanied by a corresponding rapid growth in specialization tity of service a police agency is able to deliver to its citizens.
and a need for the expansion of staff services to provide support The following represent some of the major causes of conflict
for operating units. This expansion and division of responsibility, between line and staff.

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Figure 6.13 c Sheriff’s departments are often responsible for the county jail, as well
as more traditional law enforcement duties. (Image Source/Getty Images)

The Line Point of View the worst in four years. The chief placed the blame at his pre-
One of the basic causes of organizational difficulties, as line cinct commanders’ doors. They, in turn, blamed staff for poor
operations view them, is that staff personnel attempt to assume preparation and lack of coordination.
authority over line elements instead of supporting and advising Line commanders frequently claim that staff personnel take
them.49 Line commanders feel that the chief looks to them for credit for successful operations and point the finger of blame
accountability of the operation; therefore, staff personnel should at the line commander when programs fail, reflecting the adage
not try to control their operation because they are not ultimately that failure is an orphan and success has many fathers. In one
responsible for handling line problems. Another commonly department, a new report-writing program was installed under
heard complaint is that staff personnel sometimes fail to give staff auspices. This program was designed to improve the sta-
sound advice because their ideas are not fully thought out, not tistical data that the staff group would use in preparing the
tested, or “too academic.” This attitude is easy for line command- various departmental reports and to help the patrol commander
ers to develop because of the belief that staff personnel are not to evaluate patrol personnel. During the first year of the pro-
responsible for the ultimate results of their product and therefore gram, several flaws showed up that prompted staff to write a
propose new ideas too quickly. report that stated the patrol supervisors were not checking the
Communications problems sometimes emerge between the reports carefully, and as a result erroneous information was
staff specialist and line commanders. Staff personnel on occasion appearing that made evaluation impossible. A retraining pro-
fail to explain new plans or procedures and do not give line gram was instituted, and the defects were ironed out. The per-
commanders sufficient time to propose changes. For example, a sonnel assigned to do the training then wrote a report taking
major staff project with an ambitious time line for completion full credit for the improvement. The commander of the patrol
was initiated in a patrol division after only a very brief period of division took a rather dim view of this self-congratulatory
time had passed from its announcement until the starting date. report because he, along with some of his subordinates, worked
Some attempts were made to prepare the personnel for the very closely with the training section in formulating the retrain-
project by the use of memos, but this task was largely left to line ing program.
supervisors to do, and they did not have enough information to Operational commanders sometimes express the concern
fully explain the new program. This resulted in confusion. Indi- that staff personnel do not see the “big picture” because they
vidual officers were unsure of what they were to do, so they did have only limited objectives that reflect their own nonopera-
little. It took several weeks to recognize the problem and several tional specialties. For example, the personnel unit of one police
more weeks to explain, train, and guide the personnel to operate department developed a test for the rank of lieutenant. Most of
under the new plan. After a three-month delay, the plan began the sergeants who took the examination did poorly. Many
to show results. However, the crime picture for this period was became frustrated and angry because they had built up fine

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work records and believed that the examination procedure If the patrol commander disagrees with staff findings, then an
failed to measure their potential ability for the rank of lieutenant opportunity for reply and review by a higher authority should
accurately. The members of the personnel unit who developed be available.
the examination procedure were not sympathetic and suggested Staff exist to help line elements accomplish the objectives of
that the department just did not have the caliber of personnel the department. To do this effectively, staff must know what the
who could pass a valid examination. The line commanders line elements are doing. Illustratively, the personnel officer who
claimed that the personnel unit did not know enough about the does not know what tasks police officers must perform cannot
department’s needs, and if they would put more effort into help- effectively prepare selection standards for the hiring of person-
ing instead of “figuring out reasons why we’re no good, then nel. Both staff and line must exert effort to ensure that staff stay
we’d be better off.” in contact with what is going on in line units.
Line personnel are concerned primarily with day-to-day oper-
The Staff Point of View ating objectives within the framework of departmental goals.
Staff can perform a valuable task for them by thinking ahead
Staff personnel contend that line commanders do not know how
toward future problems and operations before they arise. The
to use staff. Instead of using their analytic skills, staff personnel
possibility of a plane crash in a community that has an airport
feel that line commanders simply want to use them as research-
is a subject that staff, in co-operation with line commanders, can
ers and writers. As an example, in one medium-sized depart-
anticipate. Thus, staff can accomplish time-consuming planning
ment, the robbery caseload for detectives was increasing at an
and the development of orders and procedures well before they
alarming rate. When staff were approached to work on the prob-
are needed.
lem, the chief of detectives told them how he saw the problem,
Line commanders should know what the various staff func-
asked them to prepare an order for his signature setting out the
tions are and what they can contribute to the improvement of
changes as he saw them, and refused any staff personnel the
the line units. In some departments, this can be done at meetings
opportunity to contact the operating field units to determine
by allowing the staff heads to explain what they can do for the
what the problems were as they saw them.
line commanders. At the same time, line commanders can make
Many staff personnel also feel that line officers are short-
known their expectations about staff support. Such discussions
sighted and resist new ideas. As an example, a department had
lead to closer coordination and improved personal relationships
expanded, and numerous personnel were promoted, but some
that are essential for effectiveness. Staff’s ideas will be more
of the personnel promoted to administrative and executive posi-
readily accepted if they demonstrate an understanding of line
tions could not function effectively because they had not been
operations.
properly trained to assume their new roles and responsibilities.
Staff activity deals primarily with change. However, people
The results were inefficiency and personal conflict. The planning
tend to resist change and ideas that threaten the status quo.
and research officer had much earlier wanted to install a training
Change by itself indicates the possibility that the old way is no
program for career development for the ranks of lieutenant and
longer acceptable. Staff should anticipate and dispel resistance
above, so that there would be a trained group to choose from
to change by doing the following:
when needed. The planning and research officer blamed the line
commanders for being shortsighted and not cooperating earlier 1. Determining to what extent the change proposed will
to develop career development programs. affect the personal relationships of the people involved.
Is the change a major one that will affect the social
Solutions patterns established in the formal and informal
The problems of line and staff relationships can be corrected. organizations discussed later in this chapter? Can the
What is needed is a thorough indoctrination and training pro- change be broken down into a series of small moves
gram and clear definitions as to the tasks of each. that will have less negative impact than a single, large
The line is principally responsible for successful operations change? The single big change versus a succession of
of the department, and therefore, line employees must be smaller steps toward completing the change should be
responsible for operational decisions affecting them. Staff, on the carefully considered: A boy had a dog with a long tail,
other hand, exists to assist the line in reaching objectives by but wanted him to have a short one. The boy didn’t
providing advice and information when requested to do so. This want to hurt the dog by chopping the tail all off at
does not, however, prohibit staff from volunteering advice they once, so he cut it off in sections. Massive change all at
believe is needed. once can be detrimental to morale and operations.
The use of staff assistance is usually at the option of line However, we should not underestimate the importance
commanders, but they must recognize that the chief can decide of fully preparing the police department for change—
to use staff services to review any operation and that this deci- whether it’s large or small—by giving officers a chance
sion is binding. As an example, the chief may order a planning for input throughout the process.
and research officer to determine if patrol officers are being 2. It is at least arrogant, if not reckless, to impose change
properly used. The patrol commander is responsible for making without meaningful involvement of those who will be
effective use of advice received under such circumstances. most affected by it. “Meaningful involvement” means

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Box 6.3: Front-End Engagement of the State Patrol Troopers

A State Patrol hired a consultant to develop a new promo- recommend that because it would be in conflict with Equal
tional system. After making the necessary appointments and Opportunity Commission guidelines” and (2) “Whatever I
sharing all of the available information, the consultant went tell you today, I believe it to be factually correct. If that
around the state meeting with a group of officers from each changes or turns out not to be the case, I’ll send message
of the Patrol’s 50 posts. Some important ideas were contrib- of correction to all Posts.” In the end, a system was devel-
uted, such as closing off making promotions for favored oped and implemented in 1998 without opposition from
troopers by making exceptions to the competitive examina- troopers or their association and is still in place. The consul-
tion promotional roster. tant believes this was due to the high involvement of the
The consultant told the groups two things which proved rank and file in the actual development of the promotional
to be important: (1) Occasionally he would react to a troop- policy as opposed to giving the troopers a policy and asking
er’s suggestion by saying something like, “I won’t them for their input.

the genuine opportunity to shape decisions effecting possible with the individual’s personal goals and
the change being contemplated. While some changes interests—job, family, future); (b) the personnel have
may be mandated by law, changes in FBI Uniform an opportunity to offer suggestions, ideas, and
Crime Reporting guidelines, Supreme Court decisions, comments concerning the change as it affects them—
or other entities, even under such mandates, the details provided these suggestions are sincerely wanted and
about the change should involve those most affected. are given serious consideration; and (c) they are kept
Excluding them communicates the belief that they informed of the results of the change (see Chapter 15,
could not possibly have important insights and Organizational Change).
recommendations to contribute. Also, it implicitly To achieve organizational objectives, a line commander
suggests that only staff members and senior should know how to use staff assistance. The specialized skills
commanders are capable of having cogent thoughts. of staff people can be used to help achieve these goals more
Although it may not be possible for everyone to efficiently and economically. By involving staff in the problems
participate, the use of representative groups of of the line, staff personnel can become more effective by learn-
employees is often effective in helping to facilitate ing the line commanders’ way of thinking. Line commanders
change (see Box 6.3). must be able to identify their problems precisely before seeking
3. Communicating throughout the entire planning stage. assistance. They must not vaguely define a problem and then
The personnel who will be affected by the change will expect the staff unit to do all the work. It is also important for
accept it better if (a) they believe it will benefit them staff to keep other staff informed of decisions that will affect
personally—that it will make their work easier, faster, them. Keeping others involved and informed before taking
or safer (the change should be tied in as closely as action also applies to chiefs (see Box 6.4).

Box 6.4: A Lack of Coordination on a Command Staff

A police department received budget authority to hire and The result was a higher than usual attrition for students in
train 160 new officers. This represented about four normal- the academy and during the six-month probationary period
sized recruit classes. The Chief issued a memo calling for two that followed their graduation: (1) In the third week of the
“super-sized” recruit classes and set their dates. Although academy, a recruit was fired for pulling a few books off of the
the Majors commanding the personnel and training divisions shelf at a public library and fondling himself as he watched
had previously discussed the new hirings in general with the young girls and (2) A probationary officer was dismissed
Chief several times, they were surprised that he had acted because he forged a doctor’s note to cover his use of a sick
without hearing their specific recommendations. When the day to go play blackjack at a casino. Other problems were
Chief refused to alter the academy dates, the personnel and also encountered during the first academy, the most serious
training division commanders tried hard to make them work. of which was that some of the best outside instructors had
However, there were too many people marginally qualified other commitments or family plans and could not partici-
and a few who had a more thorough background check pate. While similar problems were also encountered in the
would have excluded. second academy, the overall attrition was marginally less.

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Quick Facts: Transition Training Is Crucial

A roughly 100-officer police department near Atlanta had multiple shots. Confused about how many shots he had
finished the transition training to Glocks. An officer from that fired, the officer followed his transition training, released the
department had an off-duty job providing security in uniform magazine from his pistol and seated a new one, just in time
at a popular local restaurant. Several days after finishing the to hear one of the robbers yell, “He’s fired six shots. No
transition training, he reported to his extra job through the more rounds. Let’s rush him.” The flaw in their thinking was
restaurant’s rear door, which led to the large cooking area. the officer had a revolver and to the officer’s credit he had
At the same time, two robbers came into it from the main followed his transition training. Both robbers leaped from
restaurant area, seeking to flee out the back. They both fired behind the steel encased table and charged the officer, who
shots at the officer and ducked behind a steel encased table. wounded both of them in an exchange of gunfire. However,
The officer also found cover and the three men exchanged the officer was not injured.

One thing that people working staff functions typically have the chief or sheriff. If a leader actively opposes the informal
is necessary time and research skills to delve into operational organization it strengthens the bond among its members and
problems. As an example, when many police departments were obviates the opportunity to court its support for departmental
transitioning from revolvers to semi-automatics, a common staff activities, for example, new programs. Continuing active opposi-
function was to make and support a recommendation to the tion to the informal organization sometimes, perhaps often, has
Chief about which semi-automatic to select. Factors normally an unpleasant ending (see Box 6.5).
considered included the caliber, acquisition cost, reliability, Police leaders must communicate clearly to all employees
experiences of test shooters from the department, any gender what the department’s goals are and how each of them contrib-
shooting disparities, and the amount and cost of transition train- utes to achieving them. When this is done properly several
ing to the firearm selected. things are accomplished: (1) employees understand their role in
The steps taken by a staff when asked to recommend other the department, (2) they feel valued, and (3) contributing to the
equipment would parallel those used to develop a recommenda- department’s achievement of goals becomes attractive, and per-
tion for the semi-automatic. Researching such potential changes haps reduces the likelihood of the informal organization becom-
is more complex than immediately meets the eye. Gathering the ing oppositional.
information includes such activities as (1) gathering any research The informal organization has several important
findings, (2) requesting the applicable policies from departments characteristics:
already using the equipment, (3) tabulating surveys of other
agencies’ practices, (4) making telephone calls to obtain informa- Naturalness—The informal organization is natural and
tion, (4) sending e-mails to agencies asking them to complete spontaneous; it does not ordinarily take on the
the survey, and other detailed work. characteristics of a social group because a commanding
officer ordered it to develop.
Instead, the informal group evolves and develops in
THE INFORMAL ORGANIZATION response to conditions and needs of people in the
organization.
The informal organization does not appear on organizational Interactions (or group dynamics)—Group members interact
charts, but it does exist in every organization because people are with each other because they want to; they have a natural,
not simply objects in boxes connected by lines. Officers have spontaneous desire to do so.
needs, attitudes, and emotions and informal organizations are
built on the friendships that spring up around them. Informal Empathy—Members of a social group have a high degree of
organization members have views and goals that may or may not attraction and empathy for each other, which comes out of
coincide or support those of the police department. The informal shared attitudes and values. They like to be with each other
organization has its own communications and behavior patterns, and know they are safe expressing their true feelings about
as well as a system of rewards and punishments to assure things at work. While some members of a social group are
conformity.51 attracted to each other more than others, the general level
An important attribute for police leaders is to recognize the of mutual attraction is high.
existence of the informal organization and to inculcate its sup- Social distance—Members of a social group do not feel too
port of the department as opportunities permit. Sometimes, the much social distance. That is, they do not feel that there are
informal organization is regarded as a threat to the established status or other types of barriers (e.g., ethnic, gender, and
authority of the department or to one or more leaders, such as racial) between themselves and other members. Social

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Box 6.5 The Sheriff and the “Disloyal” Deputies

“Joe” was a first term Sheriff in a Southern state, an area the sheriff’s antics and two “disloyals” were fired for thin
where Sheriffs have historically been very politically power- reasons. These actions galvanized the remaining deputies,
ful. He made erratic decisions, some of which played havoc even those whom theretofore been neutral, and support for
with the deputies’ assignments and their family life. Eleven the challenger increased substantially.
months before the next election, Joe began hearing that The challenger defeated Joe and went right to work.
some unidentified deputies were opposed to his re-election Among the newly elected sheriff’s initial priorities was
and aligning themselves with the challenger in the next elec- offering to rehire deputies that had left for other employ-
tion. He told his command staff those deputies were “dis- ment. Several of them took the offer, one because he
loyal piss-ants” and he would deal with them. Subsequently, needed a few more years as a deputy to be vested in the
Joe went on a “witch hunt” trying to find out who these pension system. The new sheriff also worked with
deputies were. Deputies suspected of “disloyalty” were the Peace Officers Standards and Training Council to
covertly followed on- and off-duty to see where they went clear the records of the two fired “disloyals.” One
and with whom they might be meeting. On mere suspicion, ­s ubsequently came back into law enforcement with a
some deputies were reassigned to less desirable duties and municipality and the other continued to work in his family-
subject to strict discipline for even minor infractions. A hand- owned business. The former sheriff started a private
ful of deputies were left for other employment because of ­security firm that failed in its third year.

distance is the reason that uninhibited interaction often fails more than others and they are usually attractive to a large
to take place in management meetings attended by number of people. These are the natural leaders, but they
personnel from several rank levels. may not necessarily also be designated as hierarchical
Democratic orientation—The social group has a strongly leaders.
democratic orientation. The very essence of social group Group pressures—One aspect of the social group is the
action is the attraction that members have for each other, pressure exerted to get the members to conform to group
supplemented by uninhibited communication and self- standards in thought and action. The phenomenon can be
expression. Naturalness and freedom characterize effective used either to thwart the goals of management or to
social groups. facilitate their achievement.
Leadership—Leaders tend to emerge naturally from the Cohesiveness and unity—In order to endure, a social group
group. This does not mean, however, that social groups must have a certain amount of cohesiveness. Members must
cannot exist where leaders have been designated from the have sufficient desire to belong, to keep the group together
outside. Much depends on the characteristics and behavior and in continued existence. In short, there must be enough
of the leader. When an aggregation of people begins to attractiveness in group goals and associations to ensure
become a social group, some people initiate interaction their observance as a means of maintaining the group.52

Chapter Summary
Summary by Learning Objectives police to those selected for leadership positions.
These different grades of authority produce the chain
1. Explain the principle of hierarchy as it relates to of command. Although there are many similarities
organizational design. from one department to another, the American
The principle of hierarchy states that each lower level police service does not have a uniform terminology
of an organization be supervised by a higher level. for grades of authority and job titles. In recent years,
This principle results not only in the use of multiple some police departments have moved away from
spans of control but also in different grades of author- using traditional military-style ranks (such as com-
ity that increase at each successively higher level of mander, captain, lieutenant, and sergeant) and have
the organization. According to the principle of hier- adopted, instead, alternative titles (such as director,
archy, this authority flows downward in the organiza- manager, and supervisor) reflecting changes in both
tion as a formal grant of power from the chief of organizational structure and policing philosophy.

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2. Describe the concept of span of management. directions is more likely to be faster and more timely.
The term span of management instead of “span of Second, the route of communication is more simple,
control” is used to describe the number of personnel direct, and clear than it is in tall organizations. Third,
a supervisor can personally manage effectively. The distortion in communication is minimized by a
term “span of management” is broader than “span reduced number of people being involved. Fourth,
of control” and encompasses factors relating to an and probably most important, flat structures are gen-
individual’s capacity to oversee the activities of oth- erally associated with employees with higher morale
ers directly, such as the police manager’s ability, and job satisfaction as compared to employees in
experience, and level of energy. The term “span of tall-structured organizations.
management” encompasses more of the factors
5. List and describe four basic types of police orga-
relating to the problem of an individual’s capacity to
nizational design.
oversee the activities of others. How wide a span of
There are four basic structural types of design that
management is depends on many factors. Some
can be found within police organizations. They are as
scholars argue that the ideal number of subordinates
follows:
reporting to a supervisor is 8 to 12 but that number
varies widely in practice. Line Structure: This is the oldest, simplest, and clear-
est form of organizational design. Authority flows
3. Distinguish between vertical and horizontal from the top to the bottom of the organization in a
differentiation. clear and unbroken line, creating a set of superior–
Vertical differentiation is based on levels of authority, subordinate relations in a hierarchy commonly called
or positions holding formal power within the organi- the chain of command. A primary emphasis is placed
zation. Persons with vertical authority have the power on accountability by close adherence to the chain of
to assign work and to exercise control to ensure job command.
performance. Horizontal differentiation, on the other Line and Staff Structure: As more demands for ser-
hand, is usually based on activity. However, in some vices are placed on police departments, there is a
cases, horizontal differentiation is based on specific need to add internal support functions, so that the
projects or even geographical distribution. For line functions can continue to provide direct services
instance, many state police departments are respon- to the public. The addition of support functions to
sible for large geographical areas. Their organiza- the line elements produces a distinct organizational
tional structure often reflects horizontal differentiation form: the line and staff structure. The addition of a
based on location rather than function. staff component to the line structure offers a number
4. Discuss the differences between tall organizational of advantages such as (1) providing expert advice to
structures and flat organizational structures. line units in special knowledge areas as demon-
The complexity of a police department is increased strated by the opinions of legal advisors; (2) relieving
by the proliferation of levels because they can nega- line managers from performing tasks they least prefer
tively affect communication up and down the chain to do or are least qualified to do, such as training and
of command. Tall organizational structures have scientific analysis of physical evidence; (3) achieving
many levels with narrow spans of control. Taller orga- departmentwide conformity in activities that affect
nizations are complex and may react slowly during the entire organization, such as disciplinary proce-
crisis situations, as effective communication is ham- dures; and (4) reducing or eliminating special prob-
pered by the number of different levels present lems, such as corruption, because of the greater
within the chain of command. Successful tall depart- expertise they bring to bear on the issue and the
ments must develop policies and procedures that greater amount of time they have to devote to the
overcome problems created by increased complex- problem.
ity. Larger spans of management or control yield flat- Functional Structure: The functional structure is one
ter organizational structures. However, the capacity means by which the line authority structure of an
to flatten out police organizational structures organization can be modified. The functional struc-
depends to no small degree on reducing the number ture is a line and staff structure that has been modi-
of traditional ranks, a movement often met with resis- fied by the delegation of management authority to
tance because it means less opportunity for upward personnel outside their normal spans of control. By
mobility. Thus, flatter structures are associated with requiring specific units to be responsible to a variety
wider spans of control that offer numerous advan- of other unit commanders, critical information is
tages over the more traditional tall structures. First, assured of reaching other line officers. Sharing is pro-
they shorten lines of communication between the moted, while competing loyalties are diminished.
bottom and top levels. Communication in both Good examples of functional design can be observed

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 c h ap t e r 6 • Or g an i z at i onal Des ign 207

in police departments moving toward geographical Actual follow-up investigation may be assigned to others.
responsibility for supervisors on a 24-hour basis. Pawn shop and auto salvage yard inspections fall into this
A commander or shift (watch) supervisor (normally a category.
lieutenant) assigned to the day watch may be respon- Style V—Passive Notation. Primarily report-taking/support
sible for solving violent street crimes (e.g., robberies) functions with only selective investigative effort. Routine
that occur in a specific area on all three shifts; how- stolen property reports and bad check cases are
ever, officers on at least two of the shifts (evenings illustrations.
and nights) are not directly assigned to that Style VI—Discovery Enforcement. Largely proactive
supervisor. investigations where covert police officers detect the
Matrix Structure: One interesting form of organiza- occurrence of crime and identify suspects, usually at
tional design is variously referred to as matrix (or about the same time. Individual officer effort largely
grid) structure. In some cases, the style has been determines the size of the caseload. Terrorism,
inclusively part of “project” or “product” manage- narcotics, and vice operations are examples of
ment. The essence of matrix structure is in the assign- discovery enforcement.
ment of members of functional areas (e.g., patrol,
detective, and support services) to specific projects 7. Identify the basic causes for tension between line
(e.g., task forces and crime-specific programs). and staff and suggest strategies to be used as
solutions.
6. Discuss the major crime factors that impact inves- The rapid growth in size of many police agencies has
tigative function; list the various models of inves- been accompanied by a corresponding rapid growth
tigative style. in specialization and a need for the expansion of staff
Investigative units in a police department carry out services to provide support for operating units. This
their respective responsibilities utilizing a variety of expansion and division of responsibility, which occurs
responses. How police investigators respond to the in all police departments except those that are a pure
incidence of crime is a function of several factors. line form of organization, is sometimes fraught with
Depending on the nature of the incident, any particu- difficulty and dissension. If left uncorrected, these
lar factor may receive greater or lesser emphasis in conditions will have a serious negative effect on both
the decision to investigate and, more importantly, the quality and the quantity of service a police agency
the level of investigative energy devoted to the mat- is able to deliver to its citizens. One of the basic
ter. The factors to be considered are as follows: (1) causes of organizational difficulties, as line operations
The manner in which the crime comes to the atten- view them, is that staff personnel attempt to assume
tion of the police; (2) The severity of the crime; authority over line elements instead of supporting
(3) The historical experience in solving similar crimes; and advising them. Another commonly heard com-
(4) Legal considerations; and (5) Department policies. plaint is that staff personnel sometimes fail to give
These factors, when considered together, produce sound advice because their ideas are not fully thought
several possible models of investigative style: out, not tested, or “too academic.” Communications
problems sometimes emerge as well between the
Style I—Reinforcing Patrol. Incident driven; staffing
staff specialist and line commanders. Staff personnel
determined by number of incidents independent of
on occasion fail to explain new plans or procedures
complexity. A citizen complains, patrol initially responds,
and do not give line commanders sufficient time to
but an investigator is subsequently assigned to the matter.
propose changes. Line commanders frequently claim
Domestic assaults are an illustration.
that staff personnel take credit for successful opera-
Style II—Standard Reactive. Incident and complexity tions and point the finger of blame at the line com-
driven. Requires response and follow-up a little or a lot mander when programs fail. Further, operational
depending on the particular case. Case may or may not commanders sometimes express the concern that
ever be solved. Cases may be closed or placed in inactive staff personnel do not see the “big picture” because
status when all logical investigative leads have been they have only limited objectives that reflect their
exhausted. Robbery and burglary are illustrations. own nonoperational specialties. On the other hand,
Style III—Major Cases. All incidents are thoroughly staff personnel contend that line commanders do not
investigated and cases are not closed although know how to use staff. Instead of using their analytic
reasonable investigative leads may diminish over time. skills, staff personnel feel that line commanders sim-
Homicides and unknown assailant sexual assaults are ply want to use them as researchers and writers. Many
illustrations. staff personnel also feel that line officers are short-
Style IV—Regulatory Inspection. Primarily inspection/ sighted and resist new ideas. The problems of line
regulatory work that uncovers the existence of a crime. and staff relationships can be corrected. What is

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 208 cha pte r 6 • O r g a n izati o n a l D es i g n

needed is a thorough indoctrination and training pro- Interactions (or group dynamics)—Group members
gram and clear definitions as to the tasks of each. The interact with each other because they want to; they have a
line is principally responsible for successful operations natural, spontaneous desire to do so.
of the department, and therefore line employees Empathy—Members of a social group have a high
must be responsible for operational decisions affect- degree of attraction and sympathy for each other. They
ing them. Staff, on the other hand, exist to assist the like to be with each other. Their social inhibitions are at
line in reaching objectives by providing advice and a minimum and they feel a lack of the type of restraint
information when requested to do so. This does not, that results from expected disapproval of one’s
however, prohibit staff from volunteering advice they associates.
believe is needed. Staff exist to help line elements
accomplish the objectives of the department. To do Social distance—Members of a social group do not feel
this effectively, staff must know what the line ele- too much social distance. That is, they do not feel that
ments are doing. Both staff and line must exert effort there are status or other types of barriers (ethnic,
to ensure that staff stay in contact with what is going gender, and racial) between themselves and other
on in line units. Line personnel are concerned primar- members.
ily with day-to-day operating objectives within the Democratic orientation—The social group has a strongly
framework of departmental goals. Staff can perform democratic orientation. The very essence of social group
a valuable task for them by thinking ahead toward action is the attraction that members have for each other,
future problems and operations before they arise. supplemented by uninhibited communication and self-
expression. Naturalness and freedom characterize
8. Describe the characteristics of an informal
effective social groups.
organization.
The informal organization is built on friendships and Leadership—Leaders tend to emerge naturally from the
common desires. It, too, may have goals that may or group.
may not coincide with the formal organization’s Group pressures—One aspect of the social group is the
goals. The informal organization has its own com- pressure exerted to get the members to conform to group
munications and behavior patterns, as well as a sys- standards in thought and action. The phenomenon can be
tem of rewards and punishments to assure conformity. used either to thwart the goals of management or to
The informal organization has several important facilitate their achievement.
characteristics:
Cohesiveness and unity—In order to endure, a social
Naturalness—The informal organization is natural and group must have a certain amount of cohesiveness.
spontaneous; it does not ordinarily take on the Members must have sufficient desire to belong, to keep
characteristics of a social group as a result of an order the group together and in continued existence. In short,
or edict from higher authority. Instead, the informal there must be enough attractiveness in group goals and
group evolves and develops in response to conditions associations to ensure their observance as a means of
and needs of people in the organization. maintaining the group.

Chapter Review Questions

1. What is the principle of hierarchy? 8. Why have the functions of detectives remained
2. What is the distinction between rank and title? relatively unchanged over the history of policing?
3. What six factors will affect the span of management? 9. What are the crime factors that impact
4. Distinguish between vertical and horizontal investigation?
differentiation. 10. Identify and discuss the six models of investigative
5. What are some of the more common ways in which style commonly observed within the investigative
activities and personnel are grouped within police function.
organizations? 11. Identify major organizational differences between
6. Discuss the differences between tall sheriff’s offices and municipal police departments.
organizational structures and flat organizational 12. Identify the basic causes of tension between line
structures. and staff.
7. List and discuss four basic types of structural 13. Describe the characteristics of the informal
designs within police departments. organization.

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 c h ap t e r 6 • Or g an i z at ional Des ign 209

Critical Thinking Exercises

1. Learn from individual police officers. Contact your find any similarities? What do you think are the
local police department and if possible, arrange for advantages and/or disadvantages of each
a ride-along. Interview the officer and inquire about organizational structure?
his or her attitudes toward supervision, 3. Visit the web page of the New York Police
management, and leadership within the Department at: http://www.nyc.gov/html/nypd/html/
department. What statements can you make about home/home.shtml.
the informal organization within the police 4. How did the events of 9/11 impact the structure of
department versus the formal structure of the the NYPD? Who is the head of the Intelligence and
department? Counterterrorism Division of the NYPD? Do research
2. Compare and contrast the organizational structure on this person and describe his background and
of a major police department versus a major private specific qualifications for this position. Do you think
corporation in the United States. What differences he is qualified to hold such a controversial position?
exist between the two types of structure? Can you Why or why not?

Key Terms
city-county consolidated governments line and staff structure sector policing
decentralization line structure span of management
functional structure matrix (or grid) structure specialization
horizontal differentiation organizing structure
informal organization principle of hierarchy vertical differentiation

Endnotes
1 14
S. P. Robbins, The Administration Process (Englewood Cliffs, D. A. Tansik and J. F. Elliot, Managing Police Organizations
NJ: Prentice Hall, 1976), pp. 17–18. (Monterey, CA: Duxbury Press, 1981), p. 81.
2 15
The Republic of Plato, trans. A. Bloom (New York: Basic Ibid.
16
Books, 1968), p. 47. B. J. Hodge and W. P. Anthony, Organizational Theory: An
3
For example, see Luther Gulick and L. Urwick, eds., Papers Environmental Approach (Boston: Allyn & Bacon, 1979),
on the Science of Administration (New York: August p. 240.
17
M. Kelley, a 1969 reprint of the 1937 edition). Richard Hall, Organizations: Structure and Process
4
O. W. Wilson and R. C. McLaren, Police Administration, (Englewood Cliffs, NJ: Prentice Hall, 1972), p. 143.
18
3rd ed. (New York: McGraw-Hill, 1972), p. 79. This Section Is a Synopsis of the “Nature and Process of
5
Ibid., p. 81. ­Differentiation” found in Hodge and Anthony, Organiza-
6
Ibid., p. 83. tional Theory, p. 249.
7 19
N. C. Kassoff, Organizational Concepts (Washington, DC: Hans Toch, “Police Officers as Change Agents in Police
International Association of Chiefs of Police, 1967), p. 22. Reform,” Policing and Society, Vol. 18, No. 1 (March 2008),
8
Wilson and McLaren, Police Administration, p. 56. pp. 60–71.
9 20
Ibid. Ronald Wells, “Intelligence-Led Policing: A New Paradigm
10
Gary W. Cordner, “Community Policing: Elements and in Law Enforcement” PATC Bulletin (Indianapolis, IA: PATC
Effects,” in Roger G. Dunham and Geoffrey P. Alpert, Law Enforcement Training Council, September 2009).
21
­Critical Issues in Policing, 6th ed. (Long Grove, IL: Darlton E. McFarland, Management: Foundations and Prac-
­Waveland Press, 2010), pp. 432–449. tices, 5th ed. (New York: Macmillan, 1979), p. 316.
11 22
“City and County to Unify,” The Kansas City Star (November Ibid., p. 309.
23
11, 2007), p. 1. B. J. Hodge and H. J. Johnson, Management and Organiza-
12
Troy Lane, “Span of Control for Law Enforcement Agen- tional Behavior (New York: John Wiley & Sons, 1970), p. 163.
24
cies,” Police Chief Magazine 73 (October 2006), p. 10. Modified by Robert W. Taylor (July 2015). See: Edward
Retrieved from http://policechiefmagazine.org/magazine/ R. Maguire and Craig D. Uchida, “Measurement and
index.cfm?fuseaction=print_display&article_id=1 Explanation in the Comparative Study of American
(June 25, 2010). Police,” in Measurement and Analysis of Crime and
13
Troy Lane, “Span of Control for Law Enforcement Agen- ­Justice, Criminal Justice 2000, Vol. 4 (2000). See also
cies,” Police Chief Magazine. Edward R. Maguire, Organizational Structures in American

M06_SWAN4056_09_SE_C06.indd 209 27/08/2018 13:20

 210 cha pte r 6 • O r g a n izati o n a l D es i g n

Police Agencies: Context, Complexity and Control Mastrofski, “Police Agency ­Accreditation: The Prospects
(Albany, NY: SUNY Press, 2003). of Reform,” American Journal of Police (May 15, 1986),
25
W. Michael Phibbs, “Should Sector Policing Be in Your pp. 45–81.
30
Organization’s Future?” FBI Law Enforcement Bulletin Gary W. Cordner, “Written Rules and Regulations: Are They
(April 2010), pp. 1–2, 7. Necessary?” FBI Law Enforcement Bulletin 58 (July 1989),
26
U.S. Department of Justice, Press Release, “Multi-Agency pp. 17–21.
31
Investigation into East LA Gang Results in Federal RICO See Robert Michaels, Political Parties (New York: Dover,
Indictment that Charges 38 Gangsters,”(December 10, 1959).
32
2014). Jerry H. Ratcliffe, “Intelligence-Led Policing,” in R. Worley,
27
Richard Kitaeff, “The Great Debate: Centralized vs. Decen- L. Mazerolle and S. Rombouts (eds.), Environmental
tralized Marketing Research Function,” Marketing ­Criminology and Crime Analysis (Portland, OR: Willan
Research: A Magazine of Management and Applications 6 ­Publishing, 2008).
33
(Winter 1993), p. 59. Jerry H. Ratcliffe and Ray Guidetti, “State Police Investiga-
28
Anaheim Police Department (Anaheim, CA), “Community tive Structure and the Adoption of Intelligence-Led
Policing Team Annual Report,” 1994. ­Policing,” Policing: An International Journal of Police
29
Several critiques of experimental police methods have Strategies and Management, Vol. 31 (2008), p. 1.
34
been noted in the literature. See Robert W. Taylor and The current fiscal crisis confronting many police depart-
Dennis J. Kenney, “The Problems with Problem Oriented ments, especially in California, over the past decade has
Policing” (paper presented at the Academy of Criminal prompted considerable effort in maximizing the effi-
Justice Sciences Annual Meeting, Nashville, Tennessee, ciency of police agencies in general, and the investiga-
March 1991); Kenneth W. Findley and Robert W. Taylor, tive function more specifically. Many departments have
“Re-Thinking Neighborhood Policing,” Journal of conducted evaluations of staff and workload studies to
­Contemporary Criminal Justice 6 (May 1990), pp. 70–78; meet this demand. Much of this section has been used in
Jerome Skolnick and D. Bayley, Community Policing: evaluation studies conducted by the author, Robert W.
Issues and Practices around the World (Washington, DC: Taylor first originated with Dr. Jerry Dowling, Chief Marlin
National Institute of Justice, 1988); Jack Greene and Ralph Price, and Dr. Larry Hoover, An Evaluation of the Fort
Taylor, “Community Based Policing and Foot Patrol: Issues Worth, Texas Police Department—Staffing of the Investi-
of Theory and Evaluation,” in Jack Greene and Stephen gative Function (January 2002) and Final Executive
Mastrofski (eds.), Community Policing: Rhetoric or Reality? Report (March 2002) (Huntsville, TX: JUSTEX Systems,
(New York: Praeger, 1988), pp. 216–219; Stephen Inc.).

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 c h ap t e r 6 • Or g an i z at i onal Des ign 211
35 41
Steve Fainaru, “Oakland Police Force Restructuring Could See Peter Greenwood, Jan Chaiken, and Joan Petersilia,
Hinder Murder Investigations and More,” The New York The Criminal Investigation Process (D.C. Heath & Co.,
Times (May 15, 2011). Lexington, MA, 1977), p. 228.
36 42
John D. McCluskey, Jefferey M. Cancino, Marie Skubak ­Tillyer, John Liederbach, Eric Fritsch, and Charissa Womack,
and Rob Tillyer, “ Does Organizational Structure Matter? “Detective Workload and Opportunities for Increased
Investigation Centralization, Case Clearances and Robber- Productivity in Criminal Investigations,” Police Practice
ies,” Police Quarterly, Vol. 17, No. 3 (September 2014). and Research: An International Journal, Vol. 1, No. 1
37
Much of the early scholarly work on detective staffing, func- (December 2011), p. 60.
43
tion and relationship within the organizational design of a See U.S. Department of Justice, Data Collection: Law
police agency has been conducted during consulting proj- Enforcement Management and Administrative Statistics
ects. Foremost in this area of study is the work of our good (LEMAS) Report: Local Police, 2013. See: http://www.bjs.
friend, Dr. Jerry L. Dowling, Sam Houston State University. gov/index.cfm?ty=tp&tid=71.
44
The only published work presented in this area by Jerry is Ibid.
45
as follows: “Analysis of Detective Staffing Patterns in Law Ibid.
46
Enforcement Agencies,” paper presented to 41st Annual James Q. Wilson, Varieties of Police Behavior: The Manage-
Meeting of the Academy of Criminal Justice Sciences, Las ment of Law and Order in Eight Communities (Boston,
Vegas, Nevada, March 2004. MA: Harvard University Press, 1968).
38 47
President’s Commission on Law Enforcement and Administra- Martin Kaste, “Open Cases: Why One-Third of Murders in
tion of Justice, Challenge of Crime in a Free Society: ­Science America Go Unresolved,” National Public Radio, March 30,
and Technology Report, (USGPO: 1967). See: https://www. 2015. See: http://www.npr.org/2015/03/30/395799413/how-
ncjrs.gov/App/Publications/abstract.aspx?ID=42. many-crimes-do-your-police-clear-now-you-can-find-out,
39
Peter W. Greenwood, The RAND Criminal Investigation and http://www.npr.org/2015/03/30/395069137/open-cases-
Study: Its Findings and Impacts to Date (Santa Monica, why-one-third-of-murders-in-america-go-unresolved.
48
CA: RAND Corporation, 1979). See: http://www.rand.org/ Ibid.
49
pubs/papers/P6352. Kassoff, Organizational Concepts, pp. 31–38.
40 50
Frank Horvath, Robert T. Meesig, and Yung Hyeock Lee, National Sheriffs’ Association. See: http://www.sheriffs.org/
National Survey of Police Policies and Practices Regarding content/faq.
51
the Criminal Investigations Process: Twenty-Five Years after Ibid., pp. 22–26.
52
RAND (East Lansing, MI: Michigan State University, 2001). John M. Pfiffner and Frank P. Sherwood, Administrative Organi-
See: https://www.ncjrs.gov/pdffiles1/nij/grants/202902.pdf. zation (Englewood Cliffs, NJ: Prentice Hall, 1965), pp. 43–44.

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 c h a p t e r s e v e n

L E ADE R SHI P
Learning Objectives
1. Give two definitions of leadership.
2. Explain and elaborate on “leading and managing are co-dependent skill sets.”
3. Provide four key characteristics and three key activities of effective senior police
leaders.
4. Distinguish between authority and power.
5. Compare socialized and personalized power needs.
6. Identify and describe the three components of the leadership skill mix.
7. State two Great Man theories.
8. Define the Big Five.
9. Briefly describe “organizational citizenship behavior.”
10. Distinguish among authoritarian, democratic, and laissez-faire leadership.
11. Describe Downs’s four leader styles.
12. Contrast station house sergeants and street sergeants.
13. State the three organizational forces from Tannenbaum and Schmidt’s contingency
theory.
14. State the “central thought” or the “essence” of House’s Path-Goal Theory.
15. Define the “merit” of a police officer in Leader-Member-Exchange Theory.
16. Compare leadership substitutes and neutralizers.
17. Contrast transactional leaders and transformational leaders.
18. Complete the following statement: The common characteristics shared by “new
leadership” theories attempt to explain how leaders:

212

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 c h ap t e r 7 • L EA D ER S H IP 213

INTRODUCTION innovation that comes along has diverted attention from

­developing a passion about leadership excellence. Some of the
Knowledge of leadership is important barriers to such excellence include: (1) insufficient effort and
because: (1) officers deserve serious and funding are devoted to leadership development at every level of
our agencies, although our chief resource is people (see
competent leadership; (2) leadership weakness ­Chapter 12, Financial Management); (2) We need more strong
can reduce unit effectiveness and be a precursor leadership role models in law enforcement agencies. Perhaps the
to conduct problems by officers due to a lack of most potent way to change behavior in organizations is “wear it”
consistently; (3) Law enforcement generally fails to identify
corrective action; (3) leadership failures can result potential leaders ­earlier in their careers. A modest start would
in civil liability problems (see Chapter 14, Legal be to give them small projects to showcase their abilities, staying
Aspect of Police Administration); (4) personnel out of their way as they grapple with their assignments, and giv-
ing them honest critiques; and (4) Ineffective police leaders are
costs, including fringe benefits, may account for seldom demoted nor are they thoughtfully retrained; We manage
80 or more percent of the police budget (see around their shortcomings or transfer them to minor duties for
Chapter 12, Financial Management); (5) leadership which they are often over-ranked, wasting valuable resources
and allowing the continuation of a poor role model.4 It is a
style communicates what commanders think about practice that is simultaneously humane and costly.
the people they lead; (6) while some people might Developing police leadership is not a one-time investment;
be “born leaders,” everyone else has to learn like the maintenance on police vehicles, it should be conceived
of as a continuing expenditure. To help keep our eyes on the
about it and integrate that knowledge with their ball, the cost of leadership should not be aggregated under train-
behavior in small steps; and (7) leadership ing. It must be a separate line in the budget supported by an
mistakes can result in injuries and deaths to those abundance of individual staff development plans. If leadership
is really dispersed in our departments, then it must find its reality
who are led, as well as to members of the public. in the commitment of dollars.
Pearson-Goff and Herrington did a systematic review of the
police leadership literature published in journals between 1990 and
POLICE LEADERSHIP 2012, which identified 9,624 records.5 After applying filters such as
only including empirical studies with a large sample size and using
Although effective leadership is desired within police depart- only reports written in English, they were left with 66 studies.
ments and there is an abundance of training programs to help ­Several of these were eliminated because of low r­ elevance or other
provide it, there is a curious lack of substantial depth in the reasons, leaving 57 studies to be closely examined.6
empirical research on effective police leadership processes.1 These studies were mostly published between 2002 and 2012
Schafer argues that much of what is known is from small case in the United States and largely are derived from perceptions of
studies, descriptive accounts, and anecdotal reports from senior police leaders by officers.7 Analysis of seven key charac-
“celebrity chiefs.”2 The police profession is a consumer of teristics of effective senior police leaders and five key activities
leadership theory. The theories relied upon are overwhelm- in which they engaged (see Table 7.1).8 Unifying these two fac-
ingly developed by academics as general propositions and tors was the observation that senior police leaders are focused
then researched almost entirely in non-police settings. When on providing a vision for the future and the mission.9
the theories are tested in police settings, the studies often Implicitly, leadership is often thought of being positive—a
involve small sample sizes that are largely unreplicated. good thing, uplifting and guiding toward some important accom-
­Moreover, leadership studies conducted by observation that plishment. That is the major thrust of this chapter, although the
departments may consist of a cursory analysis lacking rigor “dark side” of leadership is also covered.
and focusing only on the short-term impact.3
At least often, leadership theories or portions of them work
in law enforcement agencies. From this we can conclude that
many aspects of leadership are universal, such as integrity and
LEADER AND MANAGER
fostering meaningful participation. However, we are left to There are many definitions of leadership, each reflecting certain
­wonder if theories generated specifically from studies of law perspectives, but all incorporate the notion that the essence of
enforcement leadership would merely confirm what we know leadership is interacting with and influencing others. For exam-
or identify subtle, but important differences, such as policing ple, leadership can be simply defined as the difference between
uses skills with the same names, but define and enact them pushing a string and pulling it or being a “difference maker.”
­differently than in general theories. More completely, leadership has external and internal compo-
Our preoccupation with crime, homeland security, and the nents; it is the process of (1) relating the police department to
need to be seen as “current” by adopting each operational the larger environment, such as city council, the news media,

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 214 cha pte r 7 • L E A D E R SHIP

Table 7.1 P earson -G of f and H errington: K ey C haracteristics and A ctivities

o f E f f ecti v e S enior P olice L eaders*

Seven Key Characteristics of Effective Senior Police Five Key Activities

Leadership
1. Ethical behavior, a genuine sense of integrity and honesty that 1. Creating a shared vision that helps police department members know
encourages subordinates to do likewise with each other. where they are going.
2. Trustworthy, being viewed within the law enforcement agency, in 2. Engendering organizational commitment by strategies such as provid-
government, and across the community as a “straight arrow.” ing a system of rewards and power sharing, e.g., giving members a
3. Legitimacy, perceived as someone who still knows how to work voice in some decisions or creating committees on which they can have
the street as opposed to being desk bound and out of touch with input to policies and other matters.
the daily realities of policing. 3. Caring for subordinates involves a cluster of actions, illustrated by
4. Being a role model, serving as an example of the behavior coaching, mentoring, training opportunities, engaging assignments,
expected from subordinates. and participating on committees and projects that both challenge them
and provide an opportunity to demonstrate their abilities.
5. Communication, the capacity to share ideas, explain decisions,
create support, and respond to criticism within the police depart- 4. D
 riving and managing change without which the status quo is perpetu-
ment, across agencies, with stakeholders, and as a voice in gov- ated. Announcing change doesn’t produce it. Change requires champi-
ernment policy making. ons and senior police leaders are one important source of energy to
help propel change from a plan to a reality. As an aside, lower ranking
6. Decision making, a competency in making decisions that move
officers are more likely to cling to the status quo than quickly embrace
the agency forward, e.g., obtaining resources, removing perfor-
change.10
mance barriers, and achieving goals.
5. P
 roblem solving by senior leaders ordinarily does not involve easily
7. Critical, creative/innovative, and strategic thinking ability, which
resolved “garden variety problems.” The less thorny problems have
entails looking to the future and determining what conditions need
already been handled by mid-level or lower leaders. The more intracta-
to be met or created to be successful then.
ble problems end up on the desks of senior police leaders.11
* The present authors have added comments in both columns intended to be consistent with Pearson-Goff and Herrington’s and to amplify
their views. No reformulation of the original work is intended.

civic organizations, and the general public and (2) influencing Others maintain that a person can be a leader, a manager, both, or
officers to use their energies willingly and appropriately to facili- neither15 and the mix of those skill sets and the responsibilities
tate the achievement of the department’s goals. Perhaps more involved can vary over situations and time. Another line of thought
than any other local government department head, police chiefs maintains effective administrators must be both leaders and man-
become very public figures and they and their families lose a agers. In this assessment leading and managing are co-dependent
great deal of privacy. skill sets.
Leadership occurs in dyads (e.g., a chief and an assistant Leader and manager can also be examined using three con-
chief); small face-to-face groups, such as a command staff meet- trasting lens: (1) placement in hierarchy, (2) organizational the-
ing; at the entire police department level; and externally as a ory, and (3) role enactment:
symbol of the department. Some argue that individual officers
can provide leadership to themselves by monitoring their own 1. In this view, whether you are a leader or a manager
behavior and learning from their mistakes so they are not sub- depends on where you are placed in the organization’s
sequently repeated. In this view self-leadership leads to enhanced hierarchy senior leaders are clustered at the top of an
performance. This line of thinking seems thin: Leaders need one
or more followers. However, in a different way, ­Anderson’s Every
Officer Is a Leader effectively argues that officers must lead busi-
ness owners, neighborhood associations, planning and zoning
employees, and others outside of their agency to make commu- Quick Facts: Leadership and
nity policing work12 (see Figure 7.1). Management
There are diverse definitions of the terms leader and ­manager.
Those terms are also used imprecisely sometimes.13 Occasionally, Peter Drucker (1909–2005) was among the preeminent
they are erroneously employed to mean the same thing and some- thinkers of his generation on these subjects, publishing 41
times synonymously with leadership and managing. ­Alimo-Metcalfe books. In Essential Drucker: Management, the Individual,
and Alimo-Metcalfe argue that many models of leadership are and Society (2001), he viewed leadership as doing the
­better regarded as management styles; they maintain management right thing and management as doing things right.
is the content of a job and leadership is how it is carried out.14

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 c h ap t e r 7 • LEA DERS HIP 215

Figure 7.1 c A Citizen

Potawatomi Nation (CPN) com-
munity policing officer visits with
senior citizens to learn of any
needs or problems. The CPN is
located on their reservation in
Oklahoma with some 29,000
Native American members. The
federal government has sup-
ported the development of
community policing for local
state, and tribal governments.
(Courtesy of Citizen Potawatomi Nation)

organization while managers are in non-line units chart can be drawn. At the top of the pyramid is a lone
“further down” the organizational chart and “off to one figure, the police chief. By custom, people refer to the
side” with responsibility for staff functions, fewer occupant of that office not only as “Chief” but also as
people to supervise, and less flexibility and perhaps “The Leader.” Can there be other leaders in a police
less discretionary authority than line commanders. department? How would we know whether the
Illustrations of staff activities include strategic planning, commanders of various units on an organizational
quality control, crime analysis, professional standards, chart are leaders or managers? Arbitrarily, are those
records, and public information/affairs (see Table 7.2). commanding line units “leaders,” and staff commanders
2. Drawing from organizational theory, Weber notes that “managers”? Should job descriptions be scrutinized to
in the bureaucracy model, each subordinate person see which ones specify “leads” versus “manages”?
and unit is under the direction/command of a higher Other than identifying “The Leader,” the bureaucratic
office. It is from this arrangement that an organizational model is not very illuminating on this issue.

table 7.2 Us i ng th e vi e w th at yo ur p lace me nt i n th e law

e n fo rce me nt age ncy’s h i e rarch y d e te rmi ne s
w h e th e r yo u are a le ad e r o r a manage r re sults
i n th e se typ e s o f d i sti ncti o ns

Leaders Managers
1. Are at or near the top 1. Occupy the middle ground between
leaders and first-line supervisors
2. Have wide responsibilities. 2. Have narrower responsibilities.
3. Work on a broad stage, both outside 3. Are primarily directed toward those in
and within the organization. their units.
4. Have both followers and subordinates. 4. Have subordinates.
5. Elevate how others do their jobs. 5. Make sure subordinates do their jobs.
6. Envision the future and are change 6. Are oriented toward shorter time frame,
oriented. create agendas, maintain status quo.
7. Think strategically. 7. Think tactically.

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 216 cha pte r 7 • L E A D E R SHIP

3. Role enactment may be the surest way of determining Police chiefs have multiple roles, such as preserving the trust
who is acting out of a leadership skill set and who and confidence of the public in the department, modeling and
does so out of a management skill set. However, this communicating values, envisioning the future, determining the
delineation of skills is not precise; some skills, such operational philosophy, being a change agent and a budget
as decision making, overlap. Role enactment is gladiator, allocating resources, resolving conflicts, solving prob-
revealed by observing how a person with authority lems, recognizing and celebrating the achievements of officers
over the performance of others behaves. For example, (see Figure 7.2) and civilian staff, and being a spokesperson. In
those who are acting out of their leadership skill set state police, state patrol, larger county, and municipal depart-
tend to be visionaries who want to improve on the ments, sheriffs and chiefs have the additional task of leading
status quo whenever possible and will also unleash personnel at district stations/precincts “remotely.”17 These tough
energy and creativity by trusting and empowering roles and other factors lead to an average tenure for police chiefs
subordinates to come up with better ideas for doing of about 2.5 to 4.5 years.18
things. Leaders know that they do not have a lock on Some of this turnover is due to chiefs deciding that leading
good ideas and create the environment in which police departments simply takes too much out of them and their
energy can be released and ideas generated. While families. The exiting chiefs often dealt with multiple issues, many
those acting out of a management skill set may also of which occurred repetitively:
do this, but in the main they have a bias toward
dd fiscal constraints
maintaining the status quo, for example, refining or
developing policies and the procedures supporting dd escalating service demands
them and work within the established agency dd new roles for local and state law enforcement in
boundaries. One skill set is often restless with the homeland security programs
status quo and the other tends to embrace it. dd homeless encampments
Of necessity, the challenge of leading and managing the activi- dd political skirmishes
ties of the department must be widely distributed.16 Police depart- dd long hours
ments, except for very small ones, cannot function without dd unions
distributed authority. The extension of this reality is that law dd domestic violence by police officers
enforcement agencies need individuals who possess both leader- dd achieving diversity
ship and managerial skill sets. Leadership and management skills
are not mutually exclusive, but are usually not co-equal. It is per-
dd monitoring racial profiling
haps inevitable that subconsciously or through introspection, offi- dd escalation in human trafficking
cers recognize the mix of aptitudes they have and gravitate toward dd the push for more transparency and community
assignments that are a good match for their strongest skill set. engagement

Figure 7.2 c Kitsap County,

Washington, Deputy Sheriff Krista
McDonald received a Public
Safety Officer Medal of Valor from
Vice President Joe Biden (R) and
Attorney General Eric Holder (L)
in 2013. Two deputies had been
wounded by a gunman. Respond-
ing as a backup, Deputy
­McDonald directed fire from the
cover of her patrol car. Quickly
recognizing the danger her
downed colleagues were in, she
advanced under fire to protect
them. She wounded the gunman,
who committed suicide shortly
afterward. (Charles Dharapak/AP/Corbis)

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 c h ap t e r 7 • LEA DERS HIP 217

Figure 7.3 c After the Grand

Jury declined to indict the
­Ferguson, Missouri police officer
who shot and killed unarmed
18-year-old Michael Brown,
­demonstrations erupted across
the country and in Europe as well.
This November 25, 2014 San
Francisco demonstration marched
to a police station as part of their
protest against both the shooting
and the Grand Jury’s decision
(Steve Rhodes/Demotix/Corbis).

dd demonstrations arising out of officers’ use of deadly force by their: 1) commission, doing things they shouldn’t and 2) omis-
(see Figure 7.3) sion, the lack of needed skills and/or the inability to recognize
dd being named in lawsuits, or lack of willpower to do what is needed26
dd illegal/undocumented immigrants 1. These five points are the acts of commission by police
dd sanctuary cities leaders: (a) focusing on themselves over others, a “me
dd drugs, violent gangs first mindset”; (b) displays of ego/arrogance beyond the
dd transnational crime realm of healthy confidence and self-assurance; (c) a
closed mindedness demonstrated by the failure to listen
To this list New Jersey State Police Superintendent Rick Fuentes to, and value, the ideas of others; (d) micromanaging,
adds that in the post-9/11 environment there has been a blurring reflecting a lack of trust in subordinates. In this regard,
of hometown and homeland security.19 a sergeant from a small municipal agency noted that
The multiple roles and tough problems also affect recruiting micromanagers failed to delegate when appropriate;
to fill vacant chiefs jobs; in some areas of the country, there are and (e) being arbitrary and capricious, represented by
roughly 50 percent fewer candidates seeking them.20 inconsistent decision making and a lack of a systematic
approach. Being able to anticipate likely decisions
allows subordinates to take actions and make decisions
that support their Chief. Absent that, it makes
THE FALL OF POLICE LEADERS subordinates use of their discretionary authority
Police leaders may be compelled to resign or are terminated for tentative and difficult. Capricious leaders also put
reasons beyond their control. Some of these dismissals are unfair personal relationships ahead of what is right, just, and
because of a politically based, almost compulsive, need to have consistent with past practices.27
somebody to blame: Former Los Angeles Police Chief Bill B ­ ratton 2. Ineffective leaders can also be characterized by five
believes that if you are going to mobilize support, you must points of omission: (a) a poor work ethic, revealed by
innovate, and that involves taking risks. In Bratton’s view, that laziness, doing the minimal necessary work, and
means setting goals that can be measured, which is both a neces- essentially “retiring in place” (RIP). Police leaders with a
sity21 and some chiefs’ undoing. Chiefs also act as change agents. poor work ethic are frequently late in their careers and
When you make changes you make some people mad and a have lost their enthusiasm and commitment.
portion of them may become adversarial, that is, “enemies.”22 Concurrently, they display a negativity; (b) failing to take
Sooner or later your enemies become 51 percent, leading to a action and make decisions in a variety of circumstances;
shortened shelf life for chiefs.23 (c) ineffective communicating, but not because they
“Leadership is considered a set of positive traits; those lacking have weak written and verbal skills. Instead, they are
them are not true leaders”24 and they fail because of their own unable or unwilling to have two-way conversations,
inadequacies. 25 Schafer’s survey of 304 leaders attending don’t explain their actions or decisions, and don’t accept
the FBI’s National Academy identified ineffective “leaders” input; (d) lacking appropriate interpersonal skills,

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 218 cha pte r 7 • L E A D E R SHIP

Box 7.1 The Police Chief and His Internet Videos

During 2013, the Gilberton, Pennsylvania, Police Chief of Gilberton and it was used without authorization. The Chief
gained national notoriety for internet videos during which claimed his videos were protected by free speech and he
he shot rifles and shouted vulgarities against liberals, Secre- had been a good Chief, asserting that if he had done some-
tary of State John Kerry, and the United Nations, which he thing wrong he’d be in handcuffs. Nonetheless, the Chief
dared to come and take his weapons. The Associated Press was suspended and in 2014, Gilberton disbanded the one-
described the Chief as being active in “gun circles” and who person police department.28 The Chief later claimed he
began an armed group critics characterized as a “private made the videos to attract “sickos” as part of his role as an
militia.” The city council sidestepped those issues and con- FBI informant, but neither the FBI nor the Pennsylvania State
cluded that the weapon used in the videos was the property Police comment on people claiming to be informants.29

considered as impoverished basic human relations skills. do willingly. The result is a smaller zone of effectiveness. Occa-
One survey respondent, an investigations supervisor sionally, the public posturing of Chiefs calls their leadership into
from a small state agency, summarized this omission as question and when examined they are dismissed, or their con-
“they fail to realize they are leading people”30; and tract is not renewed, or their position is abolished (see Box 7.1
(e) integrity and forthrightness are among the bedrock and Figure 7.4).
values of policing; the lack of integrity erodes public Misjudgments and character flaws by some police chiefs
respect and support. Inside of law enforcement agencies reveal themselves in a variety of activities. Among these are mak-
leaders who are seen by subordinates as being weak, ing personal use of items entered into the evidence room, for
lacking, or may have tarnished or lost their reputation example, big-screen televisions and jewelry; sexually harassing
for being trustworthy will not be able to lead for very or having sex or affairs with subordinates or members of the
long.31 public (see Box 7.2); becoming aloof and remote, reducing the
communications sent to them, which chokes off their effective-
Some police leaders, often unknowingly, set in motion events ness; their drinking gets out of control; and they irritate subor-
that will lead to their forced resignation or dismissal, or they may dinates by their maladaptive leadership styles, for example,
simply fall immediately. They may develop or have personality “seagull chiefs” who don’t give guidance on the front end,
quirks or defects that result in them wounding or harming those swoop in and poop on everyone when a problem arises, and fly
they are supposed to be leading, creating lingering problems, away without providing any solutions.32 All of these examples
damaging morale, and reducing what they can get others to lead to the quick path out of the department.

Box 7.2 A Tale of Two Police Chiefs: One Resigns and the Other Fired

The Casselberry Police Department (CPD) consists of 52 to determine if the former chief’s certification should be
sworn officers and 11 civilians. In 2014, the Police Chief of ­subject to a disciplinary procedure.33
Casselberry, Florida, resigned from 26 years of service on The Chief of the four-officer Maypearl, Texas, Police
the department amidst sexual misconduct charges. A 2015 Department (MPD) was fired in 2015 after surrendering on
report revealed nearly 800 pages of sworn statements from four felony charges involving a sexual relationship with a
police officers and employees describing the former Chief 14-year-old girl. Over video chat the man asked the victim
as having sexually harassed female workers, repeatedly ask- to perform naked sexual acts and exposed himself to her
ing female employees out on dates, made unprofessional multiple times. When they met in person, sometimes in the
comments about their appearance and perfume, and sent Chief’s office, he would insert his hand inside of her under-
them romantic poems. The most sensational allegations pants. According to the MPD’s website, the Chief was a certi-
involve a female officer to whom the former chief sent some- fied sexual assault investigator.34
thing in the order of 100 photographs and 50 videos, some If the Casselberry suit and the four felony charges are
of which showed his sex organ. In other images, he was substantiated, they would represent aberrant conduct
manipulating it. He also described as having “vulgar temper that departs from the high-professional standards held by
tantrums” during meetings and degrading people in front the men and women who serve law enforcement at the
of others. At least six people have filed a suit against the city local, state, and federal levels. These case studies are
and its former chief for creating a hostile work environment. presented as a cautionary tale that humans can be frail
At some point, a report has or will be submitted to the and without disciplined conduct a fall could be on the
­Florida Criminal Justice Standards and Training Commission horizon.

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 c h ap t e r 7 • L EA D ER S H IP 219

Leaders also fail because they are toxic. They pit followers
against each other, lie to subordinates, undermine anyone who
is seen as a threat, take credit for the ideas and accomplishments
of others, create an image that they are defending the depart-
ment from outside forces to distract followers, stifle constructive
criticism, and make others scapegoats for their own failures.35
They lack integrity, are incapable of introspection, are blind to
their own shortcomings, shrink from hard decisions, and have a
reckless disregard of how their actions affect others.36 In the end,
they are found out and lose their jobs, but they leave a legacy
that the incoming chief must work hard to overcome (e.g.,
regaining the trust of the rank-and-file).
Law enforcement leadership doesn’t just mean occupying a
position; reduced to its simplest, it means being a “difference
maker.” Leadership success depends on exhibiting positive
leadership behaviors and avoiding a catastrophic error37 (see
Box 7.3).
The absence or presence of competent leadership can often
be gauged by simply observing:
dd Police officers, operating a dirty patrol vehicle,
approached a motorist they had stopped for a traffic
violation. The officers’ interaction with the driver was
superficially correct but had a definite underlying tone of
arrogance.
dd The chief of police of a medium-sized city chronically
complained to anyone who would listen that his
commanders “aren’t worth anything” and that he was
“carrying the whole department on his back.”
dd A visitor to a city approached an officer walking a beat
and asked where the nearest car rental agency could be
found; he replied, “What the hell do I look like, an
information booth?” and walked away.
Figure 7.4 c The former Gilberton police chief who dd A woman asked an officer standing on a street corner
gained national attention with his internet video rants against where the First National Bank Building was. The officer
government and government officials. (Frank Andruscavage/Potts- took the woman’s arm, escorted her across the street, and
ville Republican Herald/AP Images) said, “Lady, you see that big building on the corner where

Box.7.3 “Chief Herbert’s” Career Ending Mistake

A single statement produced a self-inflicted and fatal career to the newspaper and officers raged at “the betrayal.”
wound. Herbert led a 38-officer department. A popular chief, ­ fficers began making secretive end runs around Herbert to
O
he was asked to meet in closed session with the mayor and some members of council, giving them inside information
city council to discuss a raise for the police department. on the department. The council gradually sharpened its
Council members initiated the meeting because they questioning of Herbert’s decisions.
wanted to do something extra for the officers. They pro- As the Fall election drew closer, two candidates for coun-
posed a 10 percent increase, to which Herbert, for reasons cil made “things in the police department” a campaign
he couldn’t later articulate, replied the officers would be well issue. The rank-and-file waited until the tide was turning
pleased with 6 percent, which is what they got. One council against Herbert before giving him a no-confidence vote.
member felt Herbert had sold out the welfare of officers’ Faced with strong internal opposition and dwindling political
families to curry favor with the council. The story was leaked support, Herbert retired.

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Quick Facts: Authority, But Not Power

Officer Murphy was among 50 officers to be promoted by Brooklyn Narcotics Tactical Team—had mistreated prison-
the New York City Police Commissioner. Instead of accept- ers and lied about evidence to shore up shaky arrests. Offi-
ing a handshake and his gold detective’s shield, Officer cer Murphy was not believed to be a target of this
Murphy placed it on the dais, and walked out of the cer- investigation. A ranking police official with 40 years of ser-
emony. Officer Murphy took this action to protest the vice said he had never seen anything like Murphy’s actions
department’s investigation of allegations that his unit—the before.39

we were just standing? Well, if it had fallen, we’d have to compensate others for their compliance; (4) coercive, the
both been killed by the First National Bank” expectation that you will be disciplined for your failure to con-
dd Based on limited new information, the commander of an form to legitimate expectations; and (5) referent, to become liked
investigations bureau reopened the case file on a or respected to such a degree that subordinates willingly follow
convicted “no-good” who had already served 14 months orders.40 Whatever the source of a leader’s authority, power is a
for the offense in question. Subsequently, new evidence separate concept.
and a confession resulted in his release and the The fact that a formal grant of authority has been made does
conviction of the actual perpetrator. not mean that the person receiving it is also automatically able
to influence others to perform at all, let alone willingly (see
Quick Facts: Authority, But Not Power).
This incident illustrates that, while the commissioner had
LEADERSHIP, AUTHORITY, the authority to promote Officer Murphy, he did not have the
AND POWER power to make him accept it. Some power to affect an offi-
cer’s performance is inherent in positions of formal authority.
Weber identified three sources of authority: (1) charismatic, But to a significant degree, power, as suggested by Barnard,
resting on the exceptional heroism, exemplary character, or is a grant made by the led to the leader.41 A police leader
sanctity of a person, such as Medal of Honor recipients, Mahatma whose subordinates refuse to follow orders is not without
Gandhi, and the Pope; (2) traditional authority, illustrated by power; subordinate officers may be given verbal or written
kings and queens; and (3) rational-legal, a grant of authority reprimands, reassigned, suspended, or terminated. 42 The use
made by the formal organization to a position, the incumbent of of this type of power must be considered carefully; failure to
which wields it in fulfilling his or her responsibilities (e.g., a invoke it may contribute to a breakdown in discipline and
chief of police).38 French and Raven concluded that there were organizational performance; the clumsy use of it may con-
five types of power: (1) legitimate, the belief that someone has tribute to morale problems or have other negative side
the right to make demands on how you do your job; (2) expert, effects, including calling into question the abilities of the
derived from a person’s expertise and skill; (3) reward, the ability leader (see Box 7.4).

Box 7.4 The Water Cooler Commando

A uniformed officer riding alone informed the dispatcher drinks, he was not impaired. The sergeant accused him of
that he was stopping a motorist who may have been dereliction of duty for not charging a “fellow Marine” with
­drinking. His sergeant, who had only been promoted and DUI.
assigned to the squad two weeks previously, heard the The officer received a mild letter of reprimand; the “slap
transmission and came to the scene as a backup. on the wrist” was widely viewed as the platoon commander
When the sergeant, a nine-year veteran, but who had not reluctantly supporting a green sergeant. The squad saw
served in any “street” assignment for the past six years, the sergeant as a “water cooler commando” and didn’t
arrived a Marine corporal had just gotten into a taxicab. The trust him. Another misstep several months later resulted in
sergeant talked briefly with the corporal and walked back to the sergeant being transferred to a minor staff position,
the officer. Unseen, the cab eased away. When questioned, where he oversaw several functions, but supervised
the officer told the sergeant that while the Marine had a few nobody.

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 c h ap t e r 7 • L EA D ER S H IP 221

Leadership also arises, as demonstrated by the Hawthorne the term “power motivation” refers to the reasons, intentions,
Studies, out of the informal side of an organization. In police and objectives that underlie the use of power.44
departments, officers “give” power to more-seasoned or deco- McClelland and his associates studied the motivations of lead-
rated colleagues, listening carefully to their opinions and sug- ers extensively and concluded there were three types of power:
gestions. In some cases, informal leaders take exception to new (1) a high achievement or a socialized power motivation—the
policies and procedures and have the potential to disrupt a unit’s need to have a positive impact on a police department’s admin-
harmony. A related problem is when younger officers make ser- istration and operations; (2) a high power or personalized
geant, passing veteran officers. Dismissing them as “test takers,” power needs—the need to be in control for selfish, self-
the more experienced officers may quietly “compete” with the aggrandizing reasons (see Table 7.3); and (3) affiliation
new supervisor to influence the attitudes and actions of the unit. needs—the desire to be liked and accepted. Affiliation needs
If, however, informal leaders support the police department’s and aspirations are not true power needs because they reflect a
goals, they can be a significant additive and even help compen- greater preoccupation with being accepted and liked than with
sate for mediocre formal leadership. having an impact on events. Affiliation needs can mediate some
degree of personalized power needs. The contexts for these
motivations may also be important; there is limited evidence that
in conflict situations, socialized power leaders may make better
THE POWER MOTIVATION OF decisions than those with personalized power needs.45
POLICE LEADERS The difference between personalized power and socialized
power has practical implications. A police leader with personal-
Power is an indispensable dimension of police departments; it ized power needs will tend toward being authoritarian, making
requires that a person have a desire to play a key role in influ- most decisions and tightly controlling work. An authoritarian
encing the outcome of activities. Former Richmond, California, chief believes that officers will not work without close supervi-
Police Chief Chris Magnus says about power, “I think being a sion. This style of leadership ultimately leads to problems because
chief is very seductive in terms of power and influence. It’s hard the lack of trust becomes apparent, officers chafe at the tight
not to get caught up in this racket. You sort of lose focus.”43 control, morale suffers, and departmental performance declines,
As we have seen, power is both a grant from the formal orga- often accompanied by a spike in turnover by officers seeking a
nization to a position, as well as a grant from the led to the better work environment. A study of the department may be
leader. Power, however, is not always used for the same purpose; called for and the report used as the basis for firing the chief.

Table 7.3 P ersonalized and sociali z ed pow er needs

Police Leaders with Personalized Power Police Leaders with Socialized Power
Tend to Be Tend to Be
• Impulsive and erratic in their use • Inhibited and self-controlled in their use
of power of power
• Rude and overbearing • Respectful of others’ rights
• Exploitative of others • Concerned with fairness
• Oriented toward strength • Oriented toward justice
• Committed to the value of efficiency • Committed to the value of working per se
• Proud • Egalitarian
• Self-reliant; individualists • Organization-minded; joiners
• Excited by the certitudes of power • Ambivalent about power
• Competitive • Collaborative
• Concerned with exceptionally high goals • Concerned with realistic goals
• Defensive—protective of own sense of • Non-defensive—willing to seek help
importance • Builders of systems and people
• Inspirational leaders • Replaceable by other managers—leave a
• Difficult to replace—leaves behind a system intact and self-sustaining
group of officers who were dependent on • Sources of strength for others
the leader; does little to develop officers
• Sources of direction, expertise, and control

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 222 cha pte r 7 • L E A D E R SHIP

Figure 7.5 c The leadership skill

mix. The distribution of the skills across
organization levels is for illustration. It is
not intended to represent a mathemati-
cal distribution and may vary across law
enforcement agencies.

In contrast, chiefs with socialized power tend to help people vary depending on departmental size and other factors. Addition-
around them and have a stabilizing effect, are restrained in their ally, in the discussion of these skills that follows, it is possible to
use of power, share some of their power with subordinates, and include only a few of the many examples available.47
are restrained and polite, helping people to achieve their poten-
tial. Leadership styles are discussed in greater detail later in this Human Relations Skills
chapter.
Human relations skills involve the capacity to interact posi-
tively with other people and are used at all levels of a police
department (see Figure 7.6) and also externally. Examples
THE LEADERSHIP SKILL MIX include motivation, conflict resolution, and interpersonal com-
munication skills. The single, most important human relations
Skill is how knowledge is translated into action. As depicted in skill is communication; without it, nothing can be set in motion,
Figure 7.5, a police department can be divided into three levels and programs underway cannot be guided.
with various mixes of three broad categories of skills associated As officers progress up the rank hierarchy of a police depart-
with them.46 The ranks indicated at each of the three levels of the ment, they typically become responsible for more people but have
organization identified in the figure are illustrative only and will fewer people reporting directly to them. The human relations

Figure 7.6 c At a
$4.5 ­million mansion in
­Washington DC one or more
­suspects beat and murdered a
family of three and their
­housekeeper. At this 2015 press
conference Mayor Muriel Bowser
(L) and Police Commissioner
Cathy Lanier (R) appealed to the
public to help locate an identi-
fied suspect. Cathy Lanier was
appointed Commissioner in
2007, in part because of her
“people skills.” (Win McNamee/Getty
Images).

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skills of a police department’s top managers remain important, A survey of the 20 best run companies in America revealed that
however, as they are used to win political support for the agency’s in 2009, the most important leadership skill was execution; in
programs and to obtain the resources necessary to operate them. 2010, it shifted to strategic thinking—envisioning the future of
In particular, the chief’s human relations skills are critical, as this the enterprise in a fiscally constrained, uncertain, and highly
person is the department’s key representative to the larger envi- competitive environment.48 In 2020, sense making, the ability to
ronment. The way in which he or she “comes across” is, to a determine the deeper meaning or significance of what is being
certain degree, the way in which some significant others—such expressed is expected to be the most important work skill; other
as the city manager and members of city council—will regard the top 10 work skills for 2020 include novel and adaptive thinking,
police department. The question of the fairness of that fact aside, finding responses and solutions that are not simply based on
the practical implication is that the chief must be aware of and routines or resolved by applying rules; cross-cultural literacy, the
fulfill the symbolic leadership role. capacity in a global economy and connected world to work effec-
Within the department, top management must communicate tive across cultures; and being transdisciplinary, understanding
its goals and policies downward and be willing to receive feed- and employing concepts from multiple disciplines.49
back about them. As mid-level managers, lieutenants and cap-
tains play an important linking function, passing downward in
implementable forms the communications they receive from top THEORIES OF LEADERSHIP
management and passing upward certain communications
received from first-line supervisors. Because sergeants ordinarily Theories of leadership attempt to explain the factors associated
supervise directly the greatest number of people, they use with the emergence of leadership or the nature of leadership. This
human relations with great frequency, often focusing on issues chapter examines leadership under the following headings:
such as resolving interpersonal problems, communicating the (1) traditional leadership theory, (2) behavior and leadership styles
department’s vision, and providing guidance. theory, (3) contingency and situational theory, (4) transactional
and transformational theories, (5) comparison of charismatic and
Conceptual Skills transformational leadership, and (6) the “new leadership”: servant,
spiritual, authentic, and ethical leadership.
Conceptual skills include the ability to understand and to inter-
relate various parcels of information that may seem unrelated,
or those for which the meaning or importance is not immediately Traditional Leadership Theory
apparent. Although this skill is used at all levels of the police There are two branches to traditional leadership theory: (1) great
department, the standards for handling the information become man and (2) the traits approach.
less certain and the level of abstraction necessary to handle the
parcels becomes greater as one moves upward. Illustrative is Great Man Theories
the difference between a sergeant helping a detective evaluate “Great man” theories were advanced by Thomas Carlyle
the legal significance of evidence and a chief envisioning a (1795–1881) and George Hegel (1770–1831).50 Carlyle (see
future for the department and how to create and maintain a ­Figure 7.7) believed that leaders were unusually gifted individuals
culture that will support the innovations being considered. who made history. He may not have been entirely wrong—there
is preliminary evidence that approximately 30 percent of the vari-
Technical Skills ation in leadership styles is accounted for by heredity, the balance
being environmental influences, including leadership develop-
Technical skills vary by level within a police department. Uni-
ment opportunities and roles.51 Reversing the direction of
formed sergeants assigned to field duties must be able to help
­causality, Hegel argued that it was events that produced the “great
develop and maintain the skills of subordinates in areas such as
man.” As an illustration of this, Dwight Eisenhower (1890–1969)
handling domestic violence calls. As one progresses upward toward
was an obscure Army Colonel in 1941, three years into World
middle and top management, the range of technical skills narrows
War II he was a five star General and later President. The “born
and conceptual skills come to predominate. In that upward progres-
leader” concept is associated with Francis Galton (1822–1911),
sion, the character of the technical skills also changes from being
who espoused that leaders were the product of genetics,52 trans-
operations oriented to management oriented and gradually includes
new elements, such as budgeting, planning, and the kind of deci- mitted from one generation to the next one. If Galton is correct—
sion making that increasingly requires the use of conceptual skills. that leaders are born—then arguably police departments may be
To elaborate further, one may not be able to tell by the generic label wasting money on leadership development (see Table 7.4).
whether a particular skill is, for example, technical or conceptual.
To illustrate this point, an understanding of the many aspects of THE TRAITS APPROACH
financial management (see Chapter 12, Financial Management) is a The traits approach is a natural extension of great man theory. Traits
conceptual skill, but the actual preparation of the budget is a techni- are relatively stable predispositions to behave in certain ways; exam-
cal skill required of middle managers and those more senior. ples include being energetic, emotionally stable, and extroverted.53
Factors both inside and outside of a police department will Field Marshal Montgomery, one of England’s great World War II
impact on the skills that are most important at any particular time. commanders,54 believed that leaders were made, not born; however,

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they had certain traits, such as an infectious optimism, confidence,

intellect, and the ability to be a good judge of character.
Beginning around 1910 and continuing through the 1950s,
research on traits dominated the thinking about leadership. The
research was so substantial that Allport and Odbert (1936),55
Stogdill (1948),56 and Goode (1951)57 attempted to consolidate
hundreds of studies and still ended up with lengthy lists of traits.
The earlier traits research suffered from several deficiencies:
(1) traits such as loyalty, diligence, and perseverance were dif-
ficult to define and hard to measure; (2) some traits aren’t por-
table from one setting to another; (3) traits are variable in their
importance; and (4) situational factors can diminish the impor-
tance of traits or cause others to be needed (e.g., creating a
police department for a newly incorporated city).
The traits approach was re-energized beginning in the 1970s
as new methodological and statistical techniques were developed
and older ones improved. Meta-analysis, first used in 1904 and
since greatly enhanced, allows the results from many comparable
studies to be analyzed; its use led to the “Big Five” model of traits.
The Big Five is the result of efforts to find a small number of
broad trait categories into which many specific traits can be fitted
(Table 7.5); it continues to be an important classification system
for traits research.58 In 2010, Erdle and colleagues confirmed the
existence of a Big Two within the Big Five: (1) stability, consisting
of emotional stability, agreeableness, and conscientiousness; and
(2) plasticity, composed of extraversion and being open minded.59
Figure 7.7 c Thomas Carlyle: unusually gifted people Zaccaro, after examining research findings, concluded that
make history. (Library of Congress Prints and Photographs Division there is mounting evidence that some traits are “precursors” of
[LC-USZ62-134797])

Table 7.4 A Sample of P rivate, State , and Federal

LE AD E RSH I P Training O pportunities

FBI
• National Academy (NA): improves administration of agencies, nomination process,
by invitation.
• National Executive Institute (NEI): agency heads of departments with 500 or more sworn.
• Law Enforcement Executive Development Seminar (LEEDS): mid-sized agency heads.
• Regional Command Colleges: 22 nationally, agency heads, seconds in command,
departments with fewer than 25 officers.
Federal Law Enforcement Training Center (FLETC): Law Enforcement Leadership
Institute (LELI): Seminars
Harvard University National Preparedness Leadership Initiative (NPLI): increases the
number of leaders who can optimally deal with homeland security preparedness and
response activities
International Association of Chiefs of Police, Center for Police Leadership: early
proponent of Leadership in Police Organizations (LPO), based on the West Point
Leadership Program (WPLP) and adapted for the needs of law enforcement. Core
concept: leadership is distributed in a police department and qualities of leadership are
expected from all officers. Illustrative users include the Delaware and New Mexico State
Police, the Los Angeles and Tulsa Police Departments, and the Minnesota State Patrol
and Bureau of Criminal Apprehension.
National Highway Transportation Safety Administration/National Sheriff’s Association
(NHSTA/NSA) Leadership Program: develops leaders for state of the art highway safety
initiatives
University of Louisville, Southern Police Institute, Administrative Officers Course:
develops informed, effective, ethically and technically competent police managers

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table 7.5 The correspondence bet w een the “ Big Fi ve”

and speci fic traits
Big Five Personality Traits Specific Traits
Surgency Extroversion/Outgoing
Energy/Activity level
Need for power/Assertive
Conscientiousness Dependability
Personal integrity
Need for achievement
Agreeableness Cheerful/Optimistic
Nurturing/Sympathetic/Helpful
Need for affiliation
Adjustment Emotional stability
Self-esteem
Self-control
Intellectance Curious/Inquisitive
Open-minded
Learning oriented

Source: Courtesy of Gary Yukl, Leadership in Organizations, Upper Saddle River, NJ: Prentice Hall, 7th Edition,
2010.

leadership effectiveness.60 Emotional intelligence (EI) and social ES and SS are associated with being (1) more favorably
intelligence (SI) appear to be among them. EI and SI have been viewed in social situations; (2) more confident; (3) a better pub-
examined both as single traits and combined. Bar-On used a lic speaker; (4) more physically attractive; (5) more upwardly
combined Emotional Social Intelligence (ESI) measure to help mobile in one’s career; (6) seen as more effective by followers;
the Air Force identify potential recruiters who could be high and (7) savoir-faire, or seemingly able to know just what to do.71
performers. The use of ESI data resulted in nearly a 300 percent Police officers have also weighed in on leadership traits.
increase in selecting high-performance recruiters.61 While they have some preference for leaders with greater field
EI is positively associated with the quality of peer relationships,62 experience, the characteristics they most prefer in command,
and may account for a lack of progress among intelligent people in middle managers, and first-line supervisors are honesty, depend-
psychotherapy,63 and helps manage stress. Units with higher levels ability, competency, and being broad minded.72
of EI experience less task and relationship conflict, and when it Organizational citizenship behavior (OCB) is composed
occurs, it is less intense.64 A study of EI in Nigerian police officers of subtle things that employees do voluntarily and are not required
2008 revealed that it was not related to gender, marital status, length or expected but contribute to overall organizational effective-
of service, or age.65,66 In an earlier study, Barbera et al. (2002) found ness.73 Examples include police officers officially at the end of
evidence to the contrary, suggesting that the emotional and social their tour of duty volunteering to back up a unit on a traffic stop
intelligence may develop over time.67 In 2010, Bar-On called for or giving words of encouragement or suggestions to another
more research into emotional intelligence, particularly with respect detective who is working a tough, high-profile case. Several stud-
to a sense of well-being; happiness; raising and educating well- ies have found that overall, the Big Five personality traits are posi-
adjusted, productive, healthy children; and the search for a more tively associated with OCB. Although OCB continues to be
meaningful life.68 Ultimately, researchers may find that the amounts researched as a separate topic, by 2008, researchers were increas-
of EI and SI are less important than what combinations of them are ingly interested in a broader concept, positive organizational
related to effective leadership. behavior (POB). In at least some studies, POB included OCB as
Riggio and Reichard (2008) concluded that another way to a component factor. Presently, POB lacks anything approaching a
approach EI and SI was through the skills related to them. They consensus definition, but it has the potential to do for current
developed a taxonomy—a classification system—for emotional leadership interests what the Big Five did for traits research.
skills (ES) and social skills (SS) (Table 7.6). ES as the ability to Counterproductive work behavior (CWB) also com-
accurately perceive and appraise your own emotions and those mands research interest. CWB is behavior that has a detrimental
of others, to regulate your own emotions, and to do so while effect on relationships with other commanders and officers
adapting and responding to the needs of others.69 Social skills and/or on the efficiency of operations.74 Examples include being
are closely related to emotional skills and are defined as the verbally aggressive or rude to coworkers, emotional outbursts,
ability to express one’s self in social situations; the ability to engaging in anger-producing behavior, refusing to help a
“read” social situations, recognizing different social roles and coworker, using demeaning language, and maintaining interper-
expected behavior; and interpersonal problem solving.70 sonal conflicts with others.75

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table 7.6 E mo ti o nal and so ci al ski lls

Skill Example Purpose
EI Skills
Emotional Chief communicates nonverbally, Communicates place in hierarchy; approval and
Expressiveness e.g., command presence, selection of seat disapproval to subordinate commanders
at table, facial expression, posture, or
gesture
Emotional Chief receives and accurately interprets Gains understanding of others needs and
Sensitivity nonverbal (e.g., body language) expressions emotional states, enhances ability to establish
of members of command staff rapport
Emotional Chief controls the display of his/her emotions Eliminates the immediate display of anger or
Control other strong emotional responses, requires a high
degree of self-monitoring. A self-indulgent
display of anger may impair relationships and
impede goal achievement. A premeditated
display may be useful in reinforcing the Chief’s
priorities, policies, and programs.
SI Skills
Social Chief has command of language, evoking Increases Chief’s effectiveness within the
Expressiveness powerful images through well-crafted department, at external meetings, and before
articulation audiences, enhances performance as mentor
and coach
Social Chief accurately interprets verbal Chief tailors comments and interaction to the
Sensitivity communications from others and conversation or situation at hand, is “smooth”
monitors social situation
Social Control Chief manages how he/she presents him/ Represents him/herself and department well,
herself to others; is tactful, but doing so creates new opportunities, and responses to
doesn’t reduce impact of message; conveys criticisms are seen as reasonable, thoughtful
ability to “get things done”

Source: Adapted with restatement into a police framework and some re-organization from Ronald E. Riggio and Rebecca J. Reichard,
“The Emotional and Social Intelligences of Effective Leadership,” Journal of Managerial Psychology, Vol. 23, No. 2, 2008, p. 172, Table 1.

Quick Facts: The Perfect Chief Who Couldn’t Get an Important Thing Done

Even if chiefs have all of the important traits, their efforts may The second officer replied that he knew the chief didn’t do it
amount to nothing. “Willow City,” with 102 nonunionized “but would’ve if he thought he could get away with it.” Even
officers, hired its first outside chief since the department was when “innocent,” the chief was “guilty.” The negligible staff
established in the early 1800s. Although “Chief Henry” had support, rank-and-file carping, and evaporating political sup-
a strong task orientation, his relational skills were also excel- port became powerful leadership neutralizers,76 negating
lent. He had impeccable education and training credentials “Chief Henry’s” efforts. Recognizing he had been rendered
and, on the basis of having led his former department to ineffectual, the chief resigned; his outstanding background
accreditation by the Commission on Accreditation of Law produced nothing because he lacked the most essential trait
Enforcement Agencies (CALEA), Willow City hired him with of all: being an insider.
the understanding he would do likewise with its department. The assistant chief, a life-long local resident, was pro-
However, it never happened. moted to replace him and the department relaxed. As of
His staff dragged their heels on assignments and other- 2015, 22 years after “Chief Henry” left, “Willow City” had
wise thwarted “Chief Henry’s” efforts. Rank-and-file officers still not been accredited. Speculatively, the process may
were irrational in their opposition to him. For example, one have become tainted by being deeply associated with
officer told another something the chief had allegedly done. the outsider.

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Behavior and Leadership Style Theories leader, autocracy could generate hostility and aggression. The
­democratically controlled groups were about as efficient as the
Whereas trait theories attempt to explain leadership on the basis
autocratically controlled ones, but the continuation of work in
of what the leader is, behavioral theories try to do the same thing
the former did not depend on the presence of the leader. Under
by concentrating on what the leader does.77 These behaviors are
the laissez-faire leader, less work was produced, the work qual-
often described in terms of leadership styles, meaning the con-
ity was poorer, and the work was less organized and less satis-
tinuing patterns of behavior as perceived and experienced by
fying to members of the group.80 A study of leader styles and
others that they use to characterize the leader. The behavior and
follower attitudes in a mid-sized New England police agency
leadership style theories were the main focus of researchers dur-
confirmed the much earlier findings of Lewin, Lippitt, and
ing the 1950s and 1960s.
White.81
LEWIN, LIPPITT, AND WHITE: AUTHORITARIAN,
DEMOCRATIC, AND LAISSEZ-FAIRE LIKERT: MANAGEMENT SYSTEMS
Although the three leadership styles these researchers studied In New Patterns of Management (1961) and The Human Orga-
had been previously identified, it was their 1939 study that sys- nization (1967), Rensis Likert (1903–1981) echoed and extended
tematized thinking about them.78 The authoritarian/auto- Lewin, Lippitt, and White’s work by specifying four different
cratic leader (“My way or the highway”) makes all decisions, management systems (see Table 7.7). The names of these sys-
closely controls work, and is a micromanager; the democratic tems are also used to describe leadership styles and, for that
leader (“Let’s talk about it”) encourages individual or reason, Likert’s work is included in this section. Likert believed
group participation in matters affecting the organization; and most people worked in a System 2 organization.
the laissez-faire leader (LFL) (“Whatever”) takes a passive, Authoritarian/autocratic police leaders, associated with
“hands-off” posture. Only reluctantly do LFLs use the authority ­Likert’s Systems 1 and 2, have largely gone the way of the dino-
of their position; they do not make necessary decisions and saurs. The demise of the authoritarians is due to the world
delay taking any kind of action. This has the effect of provid- around them changing, becoming more liberal, as well as the
ing subordinates with substantial autonomy.79 LFLs provide perspectives and experiences associated with each new genera-
only episodic leadership and that may be ineffectual. The tion of workers entering law enforcement agencies. The charac-
larger the stakes, the more invisible LFLs become. terization of these generations and their attributes vary somewhat
Lewin, Lippitt, and White concluded that although the in the research literature and are discussed in Chapter 9, Human
­quantity of work was somewhat greater under the autocratic Resource Management.

table 7.7 Likert’ s management systems

Organizational Variable System 1 System 2 System 3 System 4
Leadership Processes Used
Extent to which superiors Have no confidence Have condescending Substantial but not Complete
have confidence and and trust in confidence and trust, complete confidence confidence and
trust in subordinates subordinates such as master and trust; still wishes trust in all matters
has to servant to keep control of
decisions

Extent to which Subordinates do Subordinates do Subordinates feel Subordinates feel

superiors behave so not feel at all free not feel very free rather free to completely free
that subordinates feel to discuss things to discuss things discuss things about to discuss things
free to discuss important about the job with about the job with the job with their about the job
things about their their superior their superior superior with their
jobs with their superior
immediate superior

Extent to which Seldom gets ideas Sometimes gets ideas Usually gets ideas Always gets ideas
immediate superior in and opinions of and opinions of and opinions and and opinions
solving job problems subordinates in subordinates in usually tries to make and always tries
generally tries to get solving job solving job problems constructive use to make
subordinates’ ideas problems of them constructive
and opinions and use of them
make constructive
use of them

Source: The Human Organization by Rensis Likert. Copyright © 1967 McGraw-Hill Book Company. Used with permission of McGraw-Hill Book
Company.

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BLAKE AND MOUTON: THE MANAGERIAL GRID According to the grid, one moves from the “best” to the “worst”
82
Developed by Robert Blake and Jane Mouton, the Manage- styles as one moves from 9,9 through 5,5; 9,1; 1,9; and 1,1. The
rial Grid has received a great deal of attention since its appear- most desirable combination of a primary and backup style is the
ance in 1962 in the Journal of the American Society of Training 9,9 with a 5,5 backup.
Directors. The grid is part of the survey research feedback stem A difficulty in using the grid questionnaire is that the data pro-
of organizational development and draws on earlier work done duced are no more accurate than the self-perceptions of the person
at Ohio State University and the University of Michigan.83 completing the instrument. When consulting with law enforcement
Depicted in Figure 7.8, the grid has two dimensions: concern agencies, one way to overcome this is to have each commander
for production and concern for people. Each axis, or dimension, is complete the instrument and then have each of his or her subor-
numbered from 1, meaning low concern, to 9, indicating high con- dinates fill one out on how they experience the commander. Com-
cern. The way in which a person combines these two dimensions paring these two sets of data provides useful information. Typically,
establishes a leadership style in terms of one of the five principal more weight is given to the subordinate’s combined data because
styles identified on the grid. The numbers associated with each of they reflect how the leader is “coming across.”
the styles reflect the level of concern for each of the two dimen-
sions of the grid. For example, 9,1 indicates a maximum concern DOWNS: LEADERSHIP STYLES IN
for production or the needs of the organization and a minimum BUREAUCRATIC STRUCTURES
orientation toward the needs of people in the organization. The first Downs84 described four types of leader behavior in bureau-
style number is always read off the production axis. cratic structures: (1) climbers, (2) conservers, (3) zealots, and
Some of the leadership styles identified previously can be (4) advocates.
related readily to the grid. Authoritarian leaders are represented Climbers are strongly motivated by power and prestige needs
by the 9,1 style; laissez-faire leaders by the 1,1; and democratic to invent new functions to be performed by their unit, particularly
leaders by the 5,5. Additionally, the 9,1 and 9,9 styles are con- functions not performed elsewhere. If climbers can expand their
sistent, respectively, with the streams of thought summarized in functions only by moving into areas already controlled by others,
Chapter 5 under the headings of “Traditional Organizational they are likely to choose ones in which they expect low resis-
Theory” and “Open Systems Theory.” tance. To protect their “turf,” climbers tend to economize only
The leadership style of an individual can be identified by when the resultant savings can be used to finance an expansion
using a questionnaire based on the work of Blake and Mouton. of their functions.85 An example of a climber is a newly promoted

Figure 7.8 c The Managerial Grid.

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major commanding the Patrol Division who argues that the Traffic
Division should be “folded” into the Patrol Division.
The bias of conservers is toward maintaining things as
they are. The longer a person is in the same job and the older
one becomes, the lower one assesses any chances for advance-
ment and the stronger one becomes attached to job security,
all of which are associated with the tendency to become a
conserver. Climbers can become conservers when they assess
their probability for advancement and expansion to be low.
Desiring to make their organizational lives comfortable, con-
servers dislike and resist change.86 A Lieutenant with 19 years
of service and no promotions in the last seven years would
tend to be a conserver.
The peculiarities of the behavior of zealots stem from two
sources: their narrow interest and the missionary-like energy,
which they focus almost solely on their special interest. As a
consequence, zealots do not attend to all of their duties and
often antagonize other administrators by their lack of impartiality
and their willingness to trample over all obstacles to further their
special interest. Zealots rarely succeed to high-level positions
because of their narrowness and are consequently poor admin-
istrators. An exception is when their interest comes into favor
and they are catapulted into high office.87 Some Commanders of
Special Weapons and Tactics (SWAT) units may fall into the
zealot category.
Unlike zealots, advocates promote everything under their
jurisdiction. To those outside their units, they appear highly par-
tisan, but within their units they are impartial and fair, developing
well-rounded programs. Loyal to their organizations, advocates
favor innovation. They are also simultaneously more radical and Figure 7.9 c A street sergeant on Staten Island, New
more conservative than climbers. They are more radical in that York. Note his numerous decorations and five “hash marks”
they are willing to promote programs and views that may antago- on his lower sleeve, each one denoting the completion of
nize politicians, superiors, and other powerful groups, such as five years of service. (Robert Essel NYC/Corbis)
the news media, if doing so helps their departments. They are
more conservative because they are willing to oppose changes
from which they might benefit but which would not be in the they had a distaste for office procedures and had a strong action
overall interest of their agencies.88 Advocates may spring up orientation, as suggested by such nicknames as “Shooter McGee”
anywhere in a police agency, confident and focused they are and “Walker the Stalker.” Moreover, their concern was not with
sometimes unaware of how others see them or simply don’t care. conformity but with “not letting the assholes take over the city.”
In addition to the distinct differences already noted, station
VAN MAANEN: STATION HOUSE SERGEANTS house sergeants and street sergeants were thought of differently
AND STREET SERGEANTS by those whom they supervised: station house sergeants “stood
In a study of a 1,000-officer police department, Van Maanen89 behind their officers,” whereas street sergeants “stood beside their
identified two contrasting types of police sergeants: “station house” officers.” Each of these two different styles of working as a ser-
and “street.” Station house sergeants had been out of the “bag” geant also has its drawbacks and strengths. Station house sergeants
(uniform) before their promotions to sergeant and preferred to might not have been readily available to officers working in the
work in an office environment once they won their stripes; this field; however, they could always be located when a signature was
preference was clearly indicated by the nickname of “Edwards, the needed and were able to secure more favors for officers than street
Olympic Torch who never goes out” given to one such sergeant. sergeants were. Although immediately available in the field when
Station house sergeants immersed themselves in the management needed, street sergeants occasionally interfered with the autonomy
culture of the police department, keeping busy with paperwork, of their subordinates; unrequested, they responded to calls for
planning, record keeping, press relations, and fine points of law. service assigned to subordinates and handled them or, otherwise,
Their strong orientation to conformity also gave rise to nicknames at least in the eyes of their officers, “interfered.”
as suggested by the use of “by-the-book Brubaker.” A consideration of Van Maanen’s work leads to some gener-
In contrast, street sergeants (see Figure 7.9) were serving alizations about the future careers of station house sergeants
in the field when they received their promotions. Consequently, versus street sergeants. Station house sergeants are learning

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routines, policies, procedures, and polishing skills that will the followers, and the situation, the theory stops short of specify-
improve future promotional opportunities. Their promotional ing how the variables are combined and translated into leader-
opportunities are further enhanced by contacts with senior ship behavior.91
police commanders who can give them important assignments
and who may, if favorably impressed, influence future promo- FIEDLER: LEAST PREFERRED COWORKER (LPC)
tions. In contrast, street sergeants may gain some favorable pub- Fiedler, a clinical psychologist, was originally interested in the
licity and awards for their exploits, but they are also more likely relationship between psychotherapists and patients, later shifting
to have citizen complaints filed against them, more likely to be his focus to leader–follower relationships.92 His A Theory of
investigated by internal affairs, and more likely to be sued. Leadership Effectiveness (1967) attracted wide attention and has
­Consequently, very aggressive street sergeants are regarded by been subsequently modified several times. According to Fiedler,
their superiors as “good cops” but difficult people to supervise. group effectiveness is a function of the interaction between the
In short, the action-oriented street sergeant who does not “mel- leader’s esteem for his least preferred coworker (LPC) and three
low out” may not go beyond a middle manager’s position in a situational variables: (1) the task structure, (2) leader–follower
line unit, such as patrol or investigation. relations, and (3) the power position of the leader.93 Fiedler’s use
of “power” should be read to mean “authority” in the sense that
Contingency and Situational Leadership Weber uses rational-legal authority; we have substituted “fol-
Theories lower” for his “member.” Although Fiedler provides scales to
Contingency leadership and situational leadership are similar; determine the level of each of these three variables, only their
both postulate that there are no approaches that are always short definitions are shown below:
right. Contingency theory is somewhat broader, considering 1. Task structure refers to the degree a task is or is not
both leader capabilities and other factors in any given circum- clearly spelled out as to goals, methods of handling,
stance; situational leadership focuses more on what leaders and standards of performance. Arresting a motorist for
should do. drunk driving has high structure; by policy, there are a
series of things that officers must do to properly
TANNENBAUM AND SCHMIDT: FROM LEADER
perform the task. In contrast, the police reaction to a
STYLES TO A CONTINGENCY MODEL
terrorist’s detonation of a nuclear device in one of our
In 1958, Tannenbaum and Schmidt published “How to major ports has low-task structure. There are no or
Choose a Leadership Pattern,” which was the first situational only very general guidelines; there are many ways to
leadership theory, subsequently revising it in 1973 (see approach the task; and there may be more than one
Table 7.8).90 They asserted that the societal environment and acceptable solution. In the most extreme situations, the
­organizational forces interplayed to form situations in which one actual outcome of any solution may not be clearly
leadership style would be more effective than other styles and foreseeable.
leaders had to find that “good fit.” Although we would presently 2. Leader–follower relations are characterized by the
substitute other societal environment examples, Tannenbaum extent to which commanders enjoy the confidence and
and Schmidt identified: (1) the younger generation’s distrust of goodwill of the officers they lead and relations are
“establishment” organizations; (2) the civil rights movement with cordial. Good relations make many things both
its call for more participation and influence for all people; and possible and easier; poor relations render all things
(3) a growing desire for workers to have a higher quality of life more difficult and if not corrected can become
within the organizations that employ them. The organizational leadership neutralizers.
forces, stated here in a police context, are as follows:
3. The leader’s position power is the degree to which
1. Forces in the police leader, such as his or her value the commander has, or is perceived to possess by
system, confidence in subordinate officers, leadership officers, the authority to reward or punish them for
inclinations, and need for security in uncertain their performance.94
situations (e.g., “I can afford to be wrong on this one”);
The LPC is a single individual with whom the leader presently
2. Forces in subordinate officers, including their
works or another individual with whom he or she has worked
knowledge, skills, and experience; more can
in a different unit; someone who might be described in terms
reasonably be expected from a veteran squad than one
such as difficult, unpleasant, or uncooperative. Underlining LPC
that is light on experience; and
theory is the assumption that how leaders regard the person they
3. Forces in the department, formal and informal (e.g., a least like is an indicator of their leadership preference. To deter-
policy not to participate in federal immigration mine whether leaders have a task or relationship orientation,
roundups or the practice of not arresting nonpersistent they complete the LPC scale using pairs of descriptors (see
panhandlers). Table 7.9).
The most common criticism of Tannenbaum and Schmidt’s The LPC score determines whether a leader is task moti-
theory is that while it discusses variables, including the leader, vated (low LPC) versus being relationship oriented (high LPC).

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 c h ap t e r 7 • L EA D ER S H IP 231

table 7.8 A continuum of police leadership st yles and impacts on subordinates

Chiefs/Supervisors Orientation Characteristic Leadership Behavior Impact on Subordinates
Overt Authoritarian/Autocratic Authoritarian/Autocratic (AA) Authoritarian/Autocratic Leadership Level 1
Leadership Level 1 Rank-and-file (RF) participation in the key
AAs are not open minded and value their own processes of the department, e.g., planning,
thoughts/opinions over those of others. AAs policy formulation, and decision ­making, is
tend to discourage dissenting views and often negligible to non-existent. Officers are careful
surround themselves with “Yes People.” As a with whom they talk about job conditions out of
result, AAs forfeit growth opportunities and fear of retribution, e.g., “Well, dinosaurs once
movement toward greater competency ruled the world, but they’re gone. Maybe soon
because Yes People don’t give genuine this chief will be too.”
feedback. Strict discipline contributes to a high turnover
AAs are decisive and make quick decisions, as evidenced by comments such as “You rarely
leading some subordinates to regard them as get an ‘attaboy’ around here, but slip-up just a
“often wrong, but never in doubt.” If AAs make little and they stick it to you.”
the right decisions in crisis and tactical situations Some officers who remain may not be of high
their decisive style is an asset. caliber and/or have no or few other options for
Although AAs crave total control of their other careers. Others accept working for AAs
departments, they, like other police leaders, because of the salary, fringe benefits, pension,
can never achieve it because their control is and civil service job security. A third group of
diluted by: 1) federal and state investigative officers remain for only as long as it takes to
agencies and laws; 2) grand jury indictments achieve personal goals, such as finishing a
and reports, court decisions, and consent degree or completing some family or other
decrees; 3) the actions of elected and important personal obligation.
appointed governmental officials and their In states where it is authorized, the collective
legislative bodies; 4) local government bargaining process is a force that mediates AA
­charters and ordinances; and 5) any collective leadership. Moreover, team policing,
­bargaining agreements. community policing, compstat, intelligence-led
Communication between AAs and subordi- and strategic policing require participation by
nates are usually one-way, telling them how to officers, which tends to blunt, but not
do their jobs. Real social interactions are lim- eliminate, AA behavior.
ited and more often are superficial, e.g.,
“Who do you think is going to win the
game?”
The overt authoritarian approach may be rooted
in a need to be in control for self-aggrandizing
reasons. The Chief's motto is “My way or the
highway.”
Softer Authoritarian/Autocratic Authoritarian/Autocratic Leadership Authoritarian/Autocratic Leadership Level 2
Level 2 Away from participation, but others are curious
The core dynamics of Level 1 still prevail, but about it and become engaged with the
less overtly. Infrequently, to occasionally, department in a new way. AAs watch these
AAs will “toss a bone” to the RF and reactions and the quality of their input closely.
informally or formally solicit its input by
appointing a temporary committee and its
chairperson to do so.
The greater the importance of a topic to
AAs, the less likely that RF input will be
encouraged or solicited. AAs especially want
their way on issues that are important to
them. Input could jeopardize AAs preferred
solutions.

(continued )

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 232 cha pte r 7 • L E A D E R SHIP

table 7.8 (Co n clusi o n)

Chiefs/Supervisors Orientation Characteristic Leadership Behavior Impact on Subordinates
Democratic Leadership Emerges Transitional Leadership Level 1 Transitional Leadership Level 1
Agencies are in the initial stage of moving Important decisions are still made at the
toward democratic leadership (DL), which is a highest level. Most department members have
precursor for the emergence of participatory not yet served on any committee. Still, there
leadership. are slowly increasing opportunities for wider
A shift to DL may occur due to current or new RF input because leadership recognizes it is
chiefs concluding that input from department getting fresh information and some worthy
members, including the RF, could lead to recommendations.
improved decision making and generate Some leaders in the department don’t see any
higher levels of organizational commitment. value to getting RF input, but are not overtly
The chief appoints more temporary resistant to doing so. Still, among trusted
committees and names the chairperson for friends, they express doubt about the process:
each one. By memo, the authority of each “I’ve been on the job 12 years and some
committee is carefully limited to making a rookie knows more than me what the
recommendation and the topic to be department needs to do?”
evaluated is carefully defined to prevent the The real issue: a handful of leaders are not
committee from exceeding its role. sure they can or want to change and fear
Chiefs unsure what RF input might be and their job will become less important. The
worry that it could create opposition to their jobs of police leaders actually become more
own preferred course of action. They are also important because they make a shift from
unsure of how and how far to proceed with the simply telling others what to do, to coaching
DL model. Sheriffs may be looking for them to achieve high performances.
something new to showcase in their re-election
campaign and may be open to change they
believe they can control.
Democratic Leadership Maturing Transitional Leadership Level 2 Transitional Leadership Level 2
From lessons learned in Transitional A paradigm shift in leadership style is
Leadership 1, there is a broadening of the underway. Although not yet fully developed,
issues for which the input of subordinates RF participation in organizational processes
is solicited. To some extent the movement and decisions is no longer considered novel.
toward more involvement of officers is The RF is unsure of where participation will
driven by new generations of officers who lead and how much of it they will be allotted,
have an expectation they will be involved but the future seems to hold new and
with the department’s important interesting possibilities.
processes. Existing unions may be suspicious, skeptical,
Leadership’s acceptance of some or threatened by the budding changes. They
recommendations in Transitional Leadership may fear that growing participation could
Level 1 from the temporary committees has make the union less important. Historically,
made a positive impression on the RF. police unions have been likely to support
Committee work is no longer considered aggressive enforcement programs.
“busy work” or “show and tell.”
Participative Leadership Emerges Participative Leadership Level 1 Participative Leadership Level 1
From lessons learned at Transitional First-line supervisors feel they are in a bind.
Leadership Levels 1 and 2, the involvement of Their department is moving toward
subordinates continues to be cautiously participative leadership, but their work in the
expanded. A few standing committees are field often requires quick action that doesn’t
appointed on “safe” subjects, such as training allow for it. Supervisors are trained to use
and equipment. The chief continues to select participatory leadership as a core model and
committee members, who can only make situational leadership as needed.
recommendations, but the committees elect
their chairpersons.

(continued )

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 c h ap t e r 7 • L EA D ER S H IP 233

table 7.8 (Co n clusi o n)

Chiefs/Supervisors Orientation Characteristic Leadership Behavior Impact on Subordinates
Involvement of community stakeholders Situational leadership is an adaptive
begins or is expanded as the police response where supervisors choose an
department moves toward more appropriate leadership style for the
departmental transparency. Departmental demands of the situation and in
leaders have learned that some policy shifts, consideration of the capabilities of
such as community engagement, must be subordinates and other resources, e.g.,
treated as an organizational change unilaterally directing subordinates to
intervention, and training to provide the new contain a just developed hostage situation
skills needed is provided. while waiting for hostage negotiators to
Some decisions normally made by mid-level arrive.
and even senior leaders are being pushed to The new grants of authority and expanded role
the lowest level in the department that they of first-line supervisors have a positive effect
can be made effectively. on them. Middle managers do not feel
disenfranchised because they have their own
new authority and roles.
Participative Leadership Maturing Participative Leadership Level 2 Participative Leadership Level 2
The chief seeks further opportunities Officers acting jointly develop outreach
to engage officers, e.g. establishes an programs to serve special populations, such
electronic suggestion box on the as teaching the elderly how to be less
department’s intranet. More standing vulnerable to victimization and develop
committees appear, such as awards alcohol safety programs for bars and
and decorations, ethics, off-duty restaurants to reduce their liability for drunk
work, accident review, and homeland drivers and to reduce the frequency of
security. related arrests, accidents, and injuries.
The departments issues or broadens its Some agencies employ 360 degree
committee policy. While some ad hoc evaluations of officers and leaders, where
committees may still be appointed, the each individual receives feedback from
emphasis is on standing committees and their subordinates, peers, and their supervisors.
authority. Units elect their own Organizational citizenship is widespread with
representatives to committees and those officers taking individual initiatives to help the
members elect their respective chairpersons. department forward in small ways that may go
The use of committees is now well unnoticed and larger ways such as
institutionalized. volunteering to help with specific projects.
Community engagement has evolved into a
key focus and is accomplished by
interactive websites, town hall meetings,
and other mechanisms. Stakeholders
participate in key organizational processes,
such as serving on promotional boards and
strategic planning groups. The use of
civilian volunteers expands into increasingly
important responsibilities. A volunteer
coordinates the recruitment of people with
special capabilities, e.g., conducting an
annual survey of satisfaction with police
services.

(continued )

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 234 cha pte r 7 • L E A D E R SHIP

table 7.8 (Co n clusi o n)

Chiefs/Supervisors Orientation Characteristic Leadership Behavior Impact on Subordinates

Ad hoc committees/task forces are appointed
in special circumstances. In 2014 and 2015, a
series of police use of force cases prompted
nation-wide reviews of policies, equipment,
and training. Ad hoc committees were
appointed and included a cross section of the
department, as well as stakeholders, e.g.,
government officials, community members,
mental health professionals, and private sec-
tor representatives.
Many of these developments are associated
with the use of community policing, raising a
chicken and egg question: Did community
policing produce participative leadership or
did that style of leadership foster it?
Although Table 7.8 was referenced in the discussion of Tannenbaum and Schmidt’s work, it was prepared by Charles R. Swanson, Leonard Territo, and Robert
Taylor prepared their own similar table to illustrate the concepts using police examples.

A third group, the middle-LPC scorers, do not have a distinct reached the same conclusion.98 Middle LPCers are less involved
preference for task or relationship approaches to leadership with both tasks and relationships and approach their jobs less
and have been somewhat ignored. 95 Low LPCs get their emotionally than the other two LPC preferences.99 In 1982,
­p sychological subsistence from completing their assigned ­Kennedy found that the middle-LPCers’ leadership performance
tasks and are less concerned about how their drive to com- was higher than the other two leadership preferences within the
plete assignments impacts their followers. Conversely, high parameters described by Fiedler’s model.100
LPCs derive their sense of well-being in the workplace by
creating and maintaining satisfying interpersonal relation- HOUSE: PATH-GOAL THEORY 
ships. Further differences in these two types of leadership Although there was an earlier version of path-goal theory
approaches are shown in Table 7.10. Fiedler considered (PGT) by Evans in 1970, it is more closely associated with
leader behavior fairly stable and difficult to change. The inter- House, who built on Evan’s work by formulating a more elabo-
play among task structure, leader–follower relations, and the rate version that included situational variables (1971); it has
power position of the leader produced situations that were been revised several times.101 The central thought of PGT is that
more or less favorable to high- and low-LPC leadership prefer- leaders should remove the obstacles that inhibit, make more
ences (see Table 7.11.) difficult, or prevent individual followers from doing a good
LPC has been studied extensively; Vecchio’s test of the model job.102 Originally, PGT was not about leadership of groups or
(1977) concluded that factors other than those specified in the work units; it was a dyadic supervisor to an individual subordi-
model or different combinations of them were responsible for nate theory.103
group performance.96 Rice (1978) reviewed 25 years of research In 1996, House’s early work was reformulated as both an indi-
on it and found general support for the low-LPC and high-LPC vidual and work unit performance theory, stated here in law
leadership preferences.97 Peters, Hartke, and Pohlmann (1985) enforcement terms, that incorporates five notions: (1) the behavior

table 7.9 A portion o f Fiedler LP C scale

Descriptor Scale Descriptor
Unfriendly 1 2 3 4 5 6 7 8 Friendly
Considerate 8 7 6 5 4 3 2 1 Inconsiderate
Insincere 1 2 3 4 5 6 7 8 Sincere
Warm 8 7 6 5 4 3 2 1 Cold
Backbiter 1 2 3 4 5 6 7 8 Loyal

Source: Fred E. Fiedler and Joseph E. Garcia, New Approaches to Effective Leadership (New York: John Wiley &
Sons, 1987), extracted from Figure 7.1, p. 71.

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 c h ap t e r 7 • L EA D ER S H IP 235

table 7.10 Differences bet w een Fiedler’ s task and

relationship moti vated leaders

Task Motivated (Low LPC) Relationship Motivated (High LPC)

• Accomplishing tasks is paramount and • The leader's self-esteem comes from
the source of self-esteem having satisfying relationships with
subordinates.
• Highly critical of subordinates who don’t • A pleaser, the leader is reluctant to
contribute to task completion; may call criticize, overlooks followers deficits and
them "slugs," “worthless” or “despicable” focuses on good attributes
; blinds them to leader's to subordinates
good characteristics.
• Leader is courteous and ingratiating when • The leaders is consistently courteous and
needs co-operation of subordinates. friendly
• Primary focus is completing tasks, but when • The leader's primary focus is people, but
accomplished the leader may turn to may become more directive around
repairing relationships. assignments they feel competent about
• Subordinate expertise is important • To the leader, loyalty from subordinates
concern. is an important concern.

of commanders is acceptable to subordinates to the extent to which In his revised work unit model (1996), House specifies eight
it is seen as an immediate source of gratification or as a pathway types of leadership behavior that is acceptable, satisfying, facilita-
to future satisfaction; (2) commanders can enhance subordinates’ tive, and motivational to subordinates. The essence of PGT is that
focus on goals to the extent that the commander’s behavior for leaders to be effective, they must engage in leader behaviors
increases motivation, builds task relevant skills, provides useful (see Table 7.12) that compensate for the deficiencies of subordi-
guidance, reduces obstacles to performance and organizational nates, enhances their performance, and is instrumental to their
rewards, and provides the resources that subordinates need to do individual and work unit performance and satisfaction.105 It is
their job effectively; (3) commanders can increase subordinates’ unlikely that any single commander will have the ability to engage
motivation by providing psychological support and linking their in the eight leadership behaviors all or even most of the time;
subordinates satisfaction of personal needs to job performance; effective leaders are likely to select the behaviors with which they
(4) commanders must be role models. A study of 2,130 officers, are most comfortable, based on their personality and abilities.106
police leaders modeling ethical behavior was found to be signifi-
cant in limiting unethical conduct when the modeling occurred in DANSEREAU, GRAEN, AND HAGA: LEADER-
an interpersonal, as opposed to a more distant context;104 and MEMBER EXCHANGE (LMX)
(5) work unit performance is enhanced by a commander encourag- Police officers know that their leaders treat subordinates differ-
ing ­collaborative support among subordinates, maintaining a good ently, as do practitioners in other settings. Researchers, until LMX
relationship between the work unit and the larger organization in (1975),107 made two wrong assumptions about leader behavior:
which it is embedded and demonstrating to the larger department (1) its effect on followers was homogenous or “averaged out,”
the importance of the work performed by the unit. affecting their behavior “on average equally” or (2) leaders

table 7.11 Mix of situational variables and favorableness

to high- and lo w -LP C preferences

Situation Favor-
Leader–Follower Leader’s Position able to Leader
Task Structure Relations Power Preference
High Good Strong Low LPC
High Good Low Low LPC
Low Good Strong Low LPC
Low Good Low High LPC
High Weak Strong High LPC
High Weak Low High LPC
Low Weak Strong High LPC
Low Weak Low Low LPC

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table 7.12 H ouse’s eight leadership beha viors

Leader Behavior Descriptions
Path-Goal Clarifying Clarifies subordinates’ performance goals; the means to be used; the standards by which
they will be evaluated; discusses the expectations about job performance which others
may hold, e.g., merchants for an officer walking a beat, which should and shouldn’t be
honored; and judiciously uses rewards and discipline to shape performance.
Achievement Oriented Achievement motivation is an individual’s usually non-conscious desire to measure
one’s self against some standard of excellence or unique achievement. The ability
of the leader to foster an achievement-oriented work unit will vary by the individuals
assigned to it. Some officers are innately achievement oriented and motivated,
“self-starters.” Officers with lesser achievement motivation require more effort.
In these officers, leaders must identify and arouse the subordinates’ needs that will
lead to a higher achievement motivation.
Work Facilitation Consists of planning, scheduling, and organizing work; coordinating the work of
subordinates; coaching, guiding, counseling, providing feedback, and mentoring them;
reducing obstacles to their performance; eliminating bottlenecks to the resources they
need; and authorizing them to take actions requiring the leader’s prior approval.
Supportive Supportive behavior provides psychological support to subordinates, especially
when the task or incident is distressing, e.g., investigating child abuse and working
the murder of another officer; supportive relationships reduce stress and make the
leaders–subordinate relationship more satisfying; conversely, when work is satisfying
and not dangerous or stressful, supportive behavior has little or no influence on
subordinate’s behavior.
Interaction Facilitation Resolving disputes; facilitating communication; giving those in the minority the
opportunity to voice their opinion; interaction facilitation may reduce voluntary
absenteeism and attrition.
Group-Oriented Involves the way in which decisions that affect the group are made; group oriented
Decision Process decision making increases both the quality and acceptance of the decision; leader
encourages full participation, inhibits domination by one subordinate or a faction,
allows full search for alternatives, facilitates discussion of alternatives, and the
group makes the decision.
Representation and Some work units have a high status and an easier time getting the resources they
Networking need from other units. Other units do not enjoy such a favorable situation. Leaders
must be able to increase their unit’s standing and perceived value to the larger
organization and therefore their legitimacy to make claims on resources which
will be honored.
Value Based Value-based leaders receive extraordinary commitment from followers, tapping into
their cherished beliefs, their identification with the leader, their support of
organizational goals, and their self-worth and identities. Value-based leaders
articulate the vision of a better future; display self-confidence and self-sacrifice in
the interest of the vision; take risks to further the vision; communicate high-
performance expectations for subordinates; and express confidence in their ability to
meet those expectations.

treated all subordinates in the same manner. The core of LMX is

that leaders develop different types of relationships with their
subordinates. Exchange relationships can be thought of as the
unique quality of the interpersonal relationship between the Leader
leader and a follower, which also has practical consequences for
the leader, follower, and the department. The “merit” of an offi-
Try-
cer is contingent on how well he or she fits with the values, Out
attitudes, preferences, and outlook of the leader. In- Out-
An LMX police leader divides officers into two different Group Group
groups: in-group and out-group, with a small holding category,
“try-out” (see Figure 7.10). Through one-on-one encounters, the Figure 7.10 c The LMX in-group and out-group model.

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 c h ap t e r 7 • L EA D ER S H IP 237

leader forms opinions about each officer, sometimes in as little faster career progression, a high level of organizational citizen-
as two weeks. Where the leader and an officer are “simpatico,” ship behavior (OCB), reduced turnover, and more diverse work
like-minded, congenial, and develop trust and respect in each assignments. Out-group members are given accurate perfor-
other, the officer goes to the in-group. Where the “fit” is not mance appraisals and their characteristics are essentially the “flip
good, the officer goes to the out-group. On rare occasions, a side” of the in-groupers.108
leader will move an officer from the out-group to the in-group, In 1995, Graen and Uhl-Bien moved away from the in- and
but this requires potent new evidence, such as clearing a string out-group model, re-conceptualizing it as a continuum of leader
of burglaries or apprehending a serial killer. Newly hired officers and follower relationships (see Table 7.13).109 In it, the pur-
always go to the try-out category. Experienced officers trans- pose of the leaders is to form individual relationships with offi-
ferred into the unit usually have a reputation of some sort. Still, cers that will help them grow into the Mature Partnership stage
unless the leader has had prior personal experience with them, to the betterment of leaders, subordinates, and the performance
they go to “the try-out bin.” The new hires and transfers do not of the organization.
know they are in the try-out bin; in time, they will come to In Table 7.13, the progress from the Stranger stage to the
notice the difference between being an in-group and out-group Mature Partnership stage is not assured. Leadership methods may
member. Ultimately, they will figure out which group they are in be ineffective and some officers might simply want to do their
by the way the leader treats them. job and go home, seeking nothing more than doing an honest
In-group members receive more leader attention, have per- day’s work for a fair wage. Such officers may see policing not as
formance appraisals greater than merited, high-job satisfaction, a profession, just where they work to make a living. Their lack

table 7.13 L ife cycle LMX leadership

Stages of Relationship

1 2 3
Characteristic Stranger Stage Acquaintance Stage Mature Partnership Stage
Phase of Relationship Although roles understood Some sharing of personal Relationship is at mature
Building and shaped by rules, leader and work information; stage; mutual roles
and follower feel each other relationship evolving; understood and well
out; e.g., “How are we going “putting meat on the accepted
to relate to each other?” bones of their relationship”
At some point, the leader
or the follower must create
opening to move the
relationship forward on
a career interest basis
Type of Reciprocity Formal and limited; leader Some formalities of the Full reciprocity; relationship
expects follower to do job relationship fade as leader has been tested and is
and follower does it, but and the follower explore dependable
no more reciprocity; e.g., leader offers
new challenge in which
follower has an interest
Reciprocity Occurs Immediately, but only within Some delay involved as the On-going, comfortable;
the job context dynamics of reciprocity with dynamics have been
the relationship are figured worked out
out; e.g., is immediacy of
reciprocity most important or
is an equivalent reciprocity
received later acceptable?
Leader–Follower Leaders provide only Followers may have access Highly developed; emo-
Exchange resources needed to to additional benefits, e.g., tional component becomes
do job; followers meet being assigned to patrol a more prominent: mutual
basic job requirements particular area, sent to respect, trust, loyalty, sense
special training classes of mutual obligation
Mutual Influence Mostly one-way, leader Still mostly one-way, but Bi-directional; genuine
directing follower’s job some limited mutual feedback can be provided
performance influence without damage to
relationship

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 238 cha pte r 7 • L E A D E R SHIP

of a richer involvement might signal that their family is the first officer mentally has “one foot out the door.” However, the
priority or that they want to put their energy into a family busi- department does hold one important card: the letter of recom-
ness, hobbies, or recreational pursuits. Thus, some officers are mendations leaders may be requested to write. Even going out
content to remain in the Stranger stage. Regression is possible the door, most officers do not want to “soil their nests.” A few
also; officers in the Acquaintance stage and the Mature Partner- officers leaving an agency will tell one or more supervisors what
ship stage may return to an earlier stage if they become discour- “assholes” they are. Later, when these officers want a letter of
aged with their career or have catastrophic losses that adversely recommendation or are seeking reinstatement to the department,
affect their job performance. they come to regret indulging themselves that way.
Beyond the three stages identified in Table 7.13, Graen and Officers who have a misperception of their own abilities and
Uhl-Bien identify a fourth stage. This involves dropping an over- experience and think they don’t need any supervision are neutral-
lay of relevant Mature Partnership stage dyads over the task izers; they are a bad mix of arrogance and faulty perception. The
structure of the police department to maximize the use of talent. more consistently a leader and followers are separated by location,
Developing a research framework to test this fourth stage has the greater the likelihood is that without special leader measures,
proven troublesome and therefore made it resistant to empirical his or her leadership will be seen as less important over time.
study. Otherwise, the existing research for both the 1975 and Thus, chiefs with precincts need to do more than use technology
1995 iterations of LMX has generally been favorable. Much of to communicate with dispersed officers; they must also establish
the research on LMX since the 1970s has been on how it a personal presence by visiting those precincts. Other neutralizers
­correlates with other characteristics, such as OCB, intelligence, include officers who are indifferent to the award system, a percep-
gender, and cross-cultural implementation. tion that leaders occupy a low status in the “food chain”; inflexible
work guidelines that create unnecessary work; and leaders who
KERR AND JERMIER: LEADERSHIP SUBSTITUTES one way or another inflict “wounds” on themselves, which lowers
AND NEUTRALIZERS the regard in which their officers hold them.
In 1978, Kerr and Jermier observed that in some situations, hier- Researchers have only found mixed support for this theory.112
archical leadership didn’t seem to make much of a difference in However, it still has practical significance in that it identifies fac-
what subordinates did, and under other circumstances, it even tors leaders should consider when they ask themselves “How am
appeared to be irrelevant. Stopping well short of Miner’s 1975 I doing?” Perhaps the most important contribution of this theory
proclamation that the concept of leadership had outlived its is that it spawned interest in learning more about the role of trust
usefulness,110 they asked a startling question: “Are there vari- in organizations. Lewicki, Wiethoff, and Tomlinson identified two
ables in the work setting that can substitute for, or even neutral- types of trust in organizations: (1) calculus-based trust (CBT), in
ize, leader behavior?”111 Earlier in this chapter the Willow City which the parties to a relationship must determine the costs of
case study established that leadership can be neutralized. Kerr maintaining or severing it; and (2) identification-based trust (IBT),
and Jermier’s work gives us a broader understanding of substi- based on a mutual understanding of each other’s needs and
tutes and neutralizers; it was conducted with reference to two wants.113
styles of leadership: task oriented and relationship oriented. The
model explores how the impact of leadership is contingent upon HERSEY AND BLANCHARD: SITUATIONAL
specific variables in the workplace. LEADERSHIP THEORY 
Leadership substitutes are variables or factors that dimin- Although many situational variables are important to leader-
ish the importance of leadership behavior or take its place ship—such as the demands of time, the leader, the led, superiors,
entirely. Examples of substitutes include: (1) Officers, who accu- the organization, and job demands—Hersey and Blanchard
rately perceive that they require little or no personal supervision (1977) emphasize what they regard as the two key variables:
by virtue of their training, job experience, knowledge, and job (1) the behavior of the leader in relationship to (2) the maturity
commitment—moreover, they may rankle under it. (2) Officers of followers.114 Maturity is defined in situational leadership as
with a professional orientation may be heavily influenced by an the capacity to set high but attainable goals, the willingness to
external organization, such as the National Tactical Officers take responsibility, and the education and/or experience of the
Association (NTOA) and the opinions of qualified peers. individual or the group.115 Age may be a factor, but it is not
(3) ­Sergeants are unlikely to find success trying to motivate offi- related directly to maturity as used in situational leadership
cers who find police work intrinsically satisfying. (4) Close-knit ­theory.116 An individual or group is not mature or immature in
peer groups may provide sufficient approval needs to diminish a total sense but only in relation to the specific task to be per-
the efficacy of a sergeant using a relationship approach. formed.117 This task-relevant maturity involves two factors: job
Neutralizers are variables that make task and relationship maturity, or the ability and technical knowledge to do the task,
leadership approaches ineffective or impossible. An officer seri- and psychological maturity, or feelings of self-confidence and
ously considering leaving the department to work full-time on a self-respect about oneself as an individual.118
graduate degree, attend law school, start a business, or with Table 7.14 summarizes the Hersey–Blanchard model, which
multiple external job opportunities is outwardly directed, away includes references to task and relationship dimensions in the
from the department. Guidance, support, or threats from a super- same manner as the Managerial Grid. Although it is easier said
visor may have little saliency, no real importance, because the than done, the effective use of Hersey–Blanchard model depends

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 c h ap t e r 7 • L EA D ER S H IP 239

table 7.14 H erse y and B lanchard’s situational leadership

Subordinates’ (S) Capabilities Hersey and Blanchard’s Best Leadership Corresponding Managerial Grid Style
Style
Ss are insecure, may be rookies, and/or have Telling: Relies on one-way communication with 9/1, Authority/Obedience
lower levels of experience. Ss are not willing to the unstated stance of “I have authority and In authoritarian approach, task has high
perform the task and/or resist taking you will obey.” importance, but there is low concern for
responsibility for it. Gives them very specific directions and people. Work always comes first. Deviations
supervises Ss closely. usually result in discipline.
Ss are willing, but unable to accept Selling: Need to engage Ss in a constructive 9/9, Team Management
responsibility for the task. conversation. Begin with emphasizing, “We High concern for both work and people, tries
are a team . . . what we do reflects on all of to find ways to create “win” strategies for both
us.” Provide step-by-step directions about tasks and people.
how to execute the task and the importance
of their role to the success of the
department. Elicit and respond to questions.
Engaging Ss in two-way communication is a
key dynamic.
Ss know how the task should be performed, Participating: Superficially, leadership 1/9 Country Club Management
but refuse to accept responsibility for doing it. appears to be democratic with give and Wants relaxed atmosphere. Tries to protect Ss
take in discussing the task and decision from censure by persons superior to supervisor
making about the task. However, it is always for task not being performed.
people first and task second. Makes appeals
to their relationship to encourage accepting
the task.

on police leaders developing or having a diagnostic ability and Transactional and Transformational
the flexibility to adapt their leadership styles to given situa-
tions.119 Research on the model has been mixed; Cairns and
Leaders
colleagues (1998) found it intuitively appealing and empirically Burns (1978) contrasted transactional and transformational lead-
contradictory.120 Perhaps, like several other theorists, Hersey– ers, thinking of them as polar opposites.123 Most leader–follower
Blanchard model could be beneficially reformulated, employing relationships are transaction based. Transactional leaders give
emotional intelligence (EI) and social intelligence (SI) something to get something. They motivate followers by appeal-
concepts. ing to their self-interest; contingent upon a follower doing a
good job, the leader will provide favorable evaluations, raises,
VROOM, YETTON, AND JAGO: NORMATIVE and desired assignments. Each party to the transaction, or “bar-
DECISION-MAKING THEORY  gain,” is at least implicitly aware of the resources of the other,
Collaborative work between Vroom and Yetton (1973) and and the purposes of both are entwined.124 To function, both
Vroom and Jago (1988) resulted in this theory, which is narrow parties to a bargain must have certain values, such as reliability,
in its focus—decision making—and not a general leadership honesty, fairness, and reciprocity.125 Commanders using a trans-
model. It is “normative,” stipulating under what conditions one actional leadership style clearly state their expectations for what
leadership approach to decision making is more likely to be subordinates need to do to fulfill their part of the bargain and
successful than another. Table 7.15 summarizes three leader- monitor the performance of followers.
ship approaches to decision making: authoritarian, consulta- Essentially, transformational leadership emphasizes the
tive, and group. Table 7.16 identifies eight contingency factors upper levels of Maslow’s needs hierarchy—esteem and self-
and the corresponding key questions/concerns leaders should actualization—to motivate followers 126 (see Chapter 5,
consider. Research evidence for the initial model (1973) was ­Organizational Theory). These two levels of need include such
adequate, but there were criticisms of it. The reformulation of factors as the need to test yourself against challenging work
the model (1988) responded to those criticisms and there was and standards, the quest for self-esteem and confidence, and
an impressive increase in research evidence supporting it. In autonomy in problem solving. Transformational leadership
one study, effective decisions were made 68 percent of the consists of several factors, referred to as the “Four Is” (see
time using the normative model as compared to 32 percent Table 7.17). The use of the “Four Is” was studied in a Royal
using other methods.121 Yukl (2010) concludes that it is Canadian Mounted Police (RCMP) detachment. It concluded
­“probably the best supported of the contingency theories of that transformational leadership increased commitment, work
leadership.”122 satisfaction, and motivation.127

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table 7.15 V r o o m-Ye tto n-Jago no rmati ve d e ci si o n-maki ng

mo del

Leader Approach Description Decision Maker

Authoritarian A1: Chief uses all information immediately Chief
available
A2: Chief obtains any necessary information Chief
from staff members, may not disclose why the
information is needed
Consultative C1: Chief shares problem/situation/opportunity Chief
with relevant staff members individually; decision
may or may not reflect input received
C2: Chief convenes command staff or other Chief
group; gets their input, decision may or may not
include any signs of influence from group
Group GI: Chief and one subordinate work to solve a Group
limited problem.
GII: Chief briefs group on situation without Group
attempting to influence them as to the preferred
solution. Chief may act as an equal to group
members, careful not to use his/her status to
influence the group or Chief may loosely
"manage" the process with a light hand. The
consensus decision of the group is accepted.

As conceived of by Burns (1978) and Bass (1985),128 trans- aligning their interests and the goals with the leader, the unit,
formational leaders are inspirational; they motivate followers to and the department. This results in the followers’ commitment
“elevate their game,” to go beyond their own self-interests for to work “now,” a well-articulated vision of the future, and strong
the good of the unit or department, making more and larger organizational citizenship behavior.131 While accommodating the
contributions than they had expected to make (see Table 7.16)129; needs of officers, transformational leaders “send the same mes-
in this process, police transformational leaders help subordinates sage” about their vision and the challenging goals ahead to
grow personally and to develop their own capacity for leader- everyone.132 “Even when a chief has a vision, implementation is
ship.130 This help takes the form of individual attention to offi- not always easy.”133 In many cases, the chief’s vision may clash
cers, empowering them, appealing to their ideals and values, and with that of other entities that do not relate directly with the

table 7.16 C o nti nge ncy facto rs i n th e no rmati ve

d e ci si o n-maki ng mo d e l

Contingency Factors Key Questions/Concerns

Quality of Decision How important is the quality of this decision, e.g., “just good
enough” versus optimum
Leader Information Does the chief have enough information to make a high-
quality decision?
Follower Information Do others have enough information to make a high-quality
decision?
Structure of the Clear, action needed well known versus structure unclear,
Problem ill-defined, unfamiliar, alternatives need to be identified and
evaluated
Goal Congruence Are followers and organizational goals aligned, a “win-win”
situation or in conflict, “win-lose”
Follower Conflict Are followers divided on what the outcome should be? Failure
to build consensus may lead to a lack of commitment/support
Commitment Probability If an authoritarian decision made, will it matter to followers?
Commitment Required How important is it to the Chief that follower commitment
to the decision be substantial?

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 c h ap t e r 7 • L EA D ER S H IP 241

table 7.17 The Four “ Is” of trans formational leadership

1. Idealized Influence (IL): Transformational leaders serve as role models, generating
respect, trust, and admiration. They can be counted on to do the right thing and followers
identify with them and emulate them. Chiefs who do not “walk the talk” cannot be
transformational because followers quickly discount them.
2. Inspirational Motivation (IM): In a genuine manner, Chiefs behave in ways that motivate
and inspire those around them. They manage the meaning of events, display optimism
and enthusiasm, work hard, and actively demonstrate their own personal commitment to
the vision of the future. The ability to communicate ideas nonverbally, verbally, symbolically,
and in written form is an essential part of “winning hearts and minds.”
3. Intellectual Stimulation (IS): Transformational Chiefs supportively probe their followers’
progress toward creativity and innovation by questioning their assumptions, line of
reasoning, and approach to solving persistent and new problems. This helps followers
reframe problems and see new possibilities for their solution. Challenging assignments
also stimulate growth. Ideas that are different from the Chief’s are not just tolerated; they
are encouraged.
4. Individualized Consideration (IC): The needs of individual followers for growth and
accomplishment are attended to by coaching and mentoring, moving them to successively
higher levels. Interactions with followers are personalized, e.g., the transformational Chief
recalls past conversations about families and work, sees follower as whole person.

police department’s mission,134 for example, indigent and low- organizational citizenship behavior, and commitment; moreover,
income health-care agencies not only serve local needs but also it may establish the foundation from which transformational lead-
attract more homeless from afar, creating more order mainte- ership can develop.139 Transformational leadership increases fol-
nance needs. lowers’ job satisfaction140; its individual support of followers may
Ideals and values are powerful forces; our Declaration of help protect them from depression,141 builds committed, cohesive
Independence (1776) rings with them: “All men are created work teams,142 and produces organizational innovations, such as
equal . . . with unalienable rights . . . life, liberty, and the pursuit new approaches to doing the work.143 Women are slightly more
of happiness.” Although not the sole contributor to gaining our likely than men to use transformational leadership.144
independence from what was then the most powerful nation in A study of Texas police chiefs found there were slightly more
the world, the words resonated and took deep root in the minds transactional than transformational leaders.145 A study of the “Four
of our populace, evoking passion about them. Mohandas Gandhi Is” in the Royal Canadian Mounted Police (RCMP) found support
(1869–1948), the Bapu, or Father of India, led his country to for them. Officers said that the first and foremost aspect of ideal-
independence from England by advocating non-co-operation ized influence (IF) was when commanders knew their “true
and mass civil disobedience, tactics used by Dr. Martin Luther north,” leading their personal and professional lives consistent
King, Jr., in the civil rights movement (see Chapter 1, Evolution with the values of the RCMP.146 The RCMP respondents said that
of Police Administration). Ironically, both men, who advocated inspirational motivation (IM) was not complete with respect to
peaceful resistance, were assassinated. However, their lives dem- the use of community policing because while there was no active
onstrate how transformational leaders can use ideals and values resistance to it, “buy-in” by officers wasn’t 100 percent. A RCMP
to achieve enormous political and social change. commander reported that one of his approaches to intellectual
“Charismatic” and “transformational leadership” are used inter- stimulation (IS) was to assign unusual cases to a very experienced
changeably by some theorists, largely because the first two of the investigator and then team that person with someone who would
“Four Is,” “idealized influence” and “inspirational motivation” learn and grow from being involved. As to individualized consid-
were often combined together in early research as “charismatic eration (IC), another commander stated that the most effective
leadership.”135 Indeed, some theorists maintain that there can be tool was simply getting the right person in the right job. The larg-
no transformational leadership without a charismatic leader. How- est study of transformational leadership in a police setting was
ever, if the “Four Is” are studied individually, with no combining conducted in England by the Home Office (see Table 7.1). Over-
of the four factors, charismatic leadership becomes one of the all, 70 percent of the 1,066 officers surveyed agreed with 10 state-
styles that works with a transformational approach.136 For exam- ments reflecting a transformational approach. The remaining
ple, a leader can be inspirational without being charismatic.137 30 percent raises interesting questions: (1) How many of that
Followers can be drawn to the purposes, goals, and vision of an portion might change their opinions? (2) Over a period of time
inspirational leader, without being drawn to the person per se as will the majority experiencing transformational leadership remain
in charismatic leaders,138 a pivotal and profound difference. stable? (3) For transformational leadership, as well as other theo-
There is ample evidence supporting transactional and trans- ries, is there a saturation point (e.g., 70 percent) beyond which
formational leadership. Like transformational leadership, properly you simply are not going to get more “converts”? and (4) Is there
executed transactional leadership can result in trusting the leader, always some “loyal opposition,” albeit it muted?

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 242 cha pte r 7 • L E A D E R SHIP

table 7.18 British Police Officers’ (N 5 1,066) Perceptions of Their Leaders

Element Percent Disagree Percent Agree Total Percent
Behaves in a way that increases
23 77 100
my motivation to achieve
Manages and leads in a way that
30 70 100
I find very satisfying
Behaves in a way that has a
­positive effect on my job 25 75 100
commitment
Behaves in a manner that has a
positive effect on my 23 77 100
self-confidence
Behaves in a manner that
raises my sense of fulfillment 22 78 100
for the job
Reduces my stress level by his/her
37 63 100
approach to leadership
Leads and behaves in such a way
that it increases my job 32 68 100
satisfaction
Manages and behaves in a
manner that increases my 32 68 100
self-esteem
Has a leadership style that
increases my organizational 32 67 100
commitment
Acts in a manner that enables me
to achieve beyond my 35 65 100
expectations

Source: John Dobby, Jane Anscombe, and Rachel Tuffin, “Police Leadership: Expectations and Support,” (Home Office: London, England, 2004). Table 4.2,
p. 25. The six columns of data in Table 4.2’s 6-point Likert Scale were collapsed into “Disagree” and “Agree” categories and then converted to percentages.

These traits are the “ideal version” of a charismatic leader;

Comparison of Charismatic and however, charisma also has a “dark side” (e.g., Hitler and
Transformational Leadership ­Stalin). On a smaller scale, Charles Manson gathered a “family”
Historically, charisma was thought to be a divine gift, bestowed of followers and in 1969 dispatched them to commit gruesome
on one who was favored by the “gods,” an early characteriza- murders, including fatally stabbing actress Sharon Tate, who
tion of the born leader. Leaders cannot declare that they are was nearly nine months pregnant.
charismatic, nor can they be such if they are not successful It may not be possible to immediately differentiate whether
(Figure 7.11). “Charisma” is a label that can only be authenti- charisma is positive or good; even charismatics who help their
cally applied by followers. Charismatic leaders have certain department and followers to substantial achievements may also
traits: (1) their vision is a significant shift from the present do some damage to some officers along the way. Without
status quo but still acceptable to followers; (2) they use new, ­dismissing the matter lightly, it is somewhat like breaking a few
unconventional strategies to implement the vision; (3) they take eggs to make an omelet, except the stakes are much higher: The
risks and self-sacrifice to achieve the vision (e.g., possible loss impact on the lives of officers negatively affected can be cata-
of the chief’s position); (4) they are less motivated by self- strophic. Other aspects of charismatic leadership that are prob-
interest than by concern for followers; (5) they radiate a con- lematic include: (1) the desire of officers to be “in good standing”
tagious confidence and enthusiasm; (6) they rely more on might inhibit useful criticisms from them; (2) widespread
emotional appeals to followers than on the use of authority to approval by officers can breed a dangerous sense of infallibility
get performance; and (7) they select a vision that is innovative, in chiefs; (3) excessive confidence by charismatic chiefs can lead
relevant to followers, and timely in its implementation. 147 them into dangerous mistakes; and (4) charismatic behavior

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 c h ap t e r 7 • L EA D ER S H IP 243

Figure 7.11 c Three of the

most successful allied leaders of
World War II. England’s Prime
Minister Churchill (L) was ener-
getic and inspirational. American
General Eisenhower (C) was a
strong administrator, building the
allied coalition; although decisive
he often relied on persuasion as
opposed to simply giving orders.
Field Marshal Montgomery (R)
was an effective, but tempera-
mental combat commander who
made harsh criticisms of
­Eisenhower and other allied
­leaders after WW II.
(Manchester Daily Express/SSPL/Getty
Images)

inevitably breeds believers but also determined enemies who SERVANT LEADERSHIP
prefer to cling to more familiar ways and will opportunistically Greenleaf (1904–1990) articulated the core notion of servant
look for ways to discredit or remove the leader from office.148 leadership (1977): The servant leader is servant first . . . mak-
Charismatic and transformational leadership has been used ing sure that other people’s highest priority needs are met.152
synonymously, described as overlapping, and sharply differenti- The idea is consistent with many of the teachings of the world’s
ated; earlier charismatic leadership theories have been revised, religions. Servant leadership (SL) includes the concepts of nur-
causing some convergence with transformational leadership.149 turing, defending, and empowering followers; helping them to
Not all charismatic leaders are transformational. While there are be more complete persons, healthier, wiser, and more willing to
some similarities between charismatics and transformationals, accept their responsibilities; listening to their aspirations and
there are also some important distinctions: (1) transformationals, frustrations; keeping actions consistent with their own values;
by developing followers’ abilities and eliminating unnecessary and preparing people to lead when their opportunity comes.153
controls, make followers less dependent on them; (2) transfor- Law enforcement agencies using SL include Boone, North
mational leaders are more common, whereas charismatics are ­Carolina; Casper, Wyoming, Hartford, Vermont, Coppell, Texas,
rare and their emergence depends upon circumstances being and Peachtree City, Georgia.
favorable for their leadership approach; (3) charismatics, as A principal difference between transformational leadership
described earlier, elicit more diverse and extreme reactions; and and SL is that ultimately, the former focuses on organizational
(4) charismatics are much more attuned to managing their outcomes, whereas the latter’s “wheelhouse” is followers.154
image.150 Spears identifies 10 characteristics of SL:

The “New Leadership” Theories: Servant, 1. Listening—SLers have a deep commitment to listen to
Spiritual, Authentic, and Ethical others, apprehending both what is said and what is
omitted. They are alert to emotional states and
Because these theories share some common characteristics, nonverbal cues;
and for ease of reference, theorists have labeled them “neo-
charismatic” or the “new leadership,” independent from when 2. Empathy—Empathy is the ability to vicariously
they were actually initially formulated. In some fashion, they all understand and perhaps even experience (e.g., grief)
attempt to explain how leaders: (1) take organizations on an what another person is feeling or a situation.
upward trajectory to outstanding accomplishments; (2) engender Empathy approximates emotional intelligence and
extraordinary levels of follower motivation, trust, dedication, and social intelligence, discussed earlier in this chapter;
loyalty; (3) use symbolic and emotionally appealing behaviors, 3. Healing—Many relationships become strained or
such as envisioning, empowering, and supporting, to rally fol- fractured. Uncomfortable, we avoid the other person
lowers to their vision; and (4) employ leadership to increase involved and worry about what will happen. If we feel
followers’ self-esteem, job satisfaction, and performance.151 They misunderstood, disappointed, injured, wounded, or
also fall short of being full leadership theories in that the linkage betrayed, moving forward can be a difficult task. The
between leader behavior—the resulting follower behavior—and longer we remain in that state, the more we reduce the
organizational outcomes are neither fully explained nor quality of what our personal and organizational lives can
demonstrated. be. The healing brought about by a kind gesture, “closing

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 244 cha pte r 7 • L E A D E R SHIP

the distance,” a forthright, thoughtful, “air clearing” 10. Sense of community—Our lives are dominated by large-
discussion, forgiveness, or similar action has enormous scale organizations (e.g., employers, banks, health care,
restorative powers for us and those with whom we are in and school systems). In large part, the movement of
some sort of a conflict. SLers heal themselves and families to villages and small towns is an attempt to live
followers. As a practical matter, many people make a life differently, to create a sense of intimate belonging.
habit of “never letting the sun go down on their anger”; City dwellers do the same thing without moving,
they know lingering anger is destructive. Disciplina was creating their own, typically multiple, “communities” to
a minor Roman deity; from her identity, we derive which they can belong and from which they can derive
disciplina, the Latin root word for discipline, meaning to meaning and psychological sustenance. SLers make
teach and to learn. Properly conducted discipline can organizations viable “communities.”155
also be a healing act, correcting a situation and putting it
Welsh conceptualized the role of police officers as “Warrior Ser-
into the past. The Biblical basis for this is the forgiveness
vants.” “Werreieor” was 13th century French word and also an
of our sins: As far as the east is from the west so far has
old English word during the second half of that century denoting
He removed our transgressions from us (Psalm 103:12).
someone who is skilled in warfare or engaged in it. In modern
The “Bibles” of other world religions, such as the Torah
English, the word is recognized as warrior. The police have been
and Koran, contain very parallel statements.
described as “fighting the war on crime” and “crime fighters.” In
4. Awareness—This capacity strengthens SLers, helping 2014, Welsh proposed the “hybrid” Warrior-Servant-Leader Code
them to stay in touch with themselves and their values (see Box 7.5).156 Had this existed in the 1960s, 1970s, 1980s and
and ethics; even into the 1990s, it may have been an easier “sell.” Community
5. Persuasion—SLers rely less on authority and more on policing took root as a national movement in the 1990s and
persuasion and consensus, seeking others to join rather subsequent ideas have also flourished. However, if the critics of
than telling them to perform; police militarization and the proponents of the Guardian model
6. Conceptualization—Whereas traditional leaders are make inroads in policing, the warrior-servant code may not flour-
often captured by the daily “tyranny of events” and focus ish simply because of the warrior part of its name. American
on short-term operational needs, SLers look beyond day- policing seems perched on the edge of a paradigm shift. The
to-day realities, further into the future, and see new current demand for more community engagement by the police
opportunities, delicately balancing both time frames; may not be quickly achievable in light of budget cuts and some
communities wondering if they can really afford the policing they
7. Foresight—Little has been written about the role of
used to have, as well as wondering if they even need it.
foresight in leadership; it is less like tactical and
The deaths of unarmed African-Americans by police during
strategic planning and more akin both to awareness
2014–2015 appalled many ­Americans and there have been many
and intuitiveness. It allows SLers to draw upon past
calls for reforms. The call for body cameras is reasonable, but
lessons, factors and situations in the present, and the
puts jurisdictions in the role of providing evidence for civil
likely consequences of decisions about the future;
suits when there is police misconduct but also exonerating
8. Stewardship—This characteristic means the responsible ­officers who have been falsely accused. Largely ignored in all of
care of something entrusted to your care. In SL, the this is an important, but disturbing fact: some officers don’t
“prime directive” for stewardship is always the deserve to wear a badge and need to be removed from the
commitment to serve others; ­profession because they unfortunately shape the public’s view of
9. Commitment to the growth of people—SLers are deeply those that remain.
committed to the personal, professional, and spiritual Much of the evidence about SL is from case studies and anec-
growth of each person in the organization; and dotal accounts; although researchers are developing reliable

Box 7.5 The Warrior-Servant-Leader Code

• I am a Warrior-Servant-Leader. • At the right time?

• It is my duty in all that I do to Protect, Serve and Lead • In the right way?
others with all my heart, mind and soul. • For the right reasons?
• I will Protect with courage. • I will always strive to live up to my duty and not blame
• I will Serve with humility. others when I fail.
• I will Lead with compassion. • I will always strive to grow in my knowledge,
• In all my thoughts, words and actions I will ask myself: understanding and skills of being a true
Warrior-Servant-Leader.
• Am I doing the right thing?

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 c h ap t e r 7 • L EA D ER S H IP 245

scales to measure its concepts.157 The sparse evidence on SL Because of his beliefs, that business—whether company owned
correlates with increased organizational citizen behavior, follower or operated as a franchise—is always closed on Sundays so peo-
trust in the leader and the organization, job satisfaction, and some ple can go to church. Likewise, the Supreme Court exempted a
organizational effectiveness.158 Some critics of SL believe that by closely held business, Hobby Lobby, from providing employees
definition the spiritual leader is so occupied with the needs of with certain types of birth control under “Obama Care” because
followers that legitimate, short-term, organizational needs become of the company’s religious beliefs. In what seems like a contradic-
secondary in importance. Women, ethnic minorities, and others tion, Hobby Lobby does provide both Viagra and vasectomies.
who have traditionally been held to lesser roles may find the idea 2) Although spiritual leadership shares some values with
of SL unappealing.159 More critically, Eicher-Catt believes it accen- ­theology and religion, those ideals are also found in many lands
tuates gender bias.160 The theory also fails to take into account and times as well, including ancient Egypt, Greece, and Rome.
how SLers behave when the needs of the organization and the In Western Europe, the Code of Chivalry for Knights and in Japan
followers are in conflict (e.g., the downsizing seen in police the Code of Bushido for samurai warriors espoused values such
departments during an economic downturn), as well as the as honesty, hope, diligence, mercy, and politeness. It appears
­possibility that the SLers’ emphasis on humility, equality, and there was not a Code of Chivalry per se, but a set of shared and
empowerment may be seen as weaknesses.161 commonly understood values which are also acknowledged in
literature. The Code of Bushido was much like that of chivalry’s
SPIRITUAL LEADERSHIP and evolved over hundreds of years beginning in the 8th century.
There are two major views about spiritual leadership: In the remainder of this section workplace spiritual leadership is
1) Firstly, it is based on theology or religion based. This belief examined in its non-theological and non-religious context.
may produce an immediate visceral reaction so strong that the Spirit is drawn from the Latin word for breath (spiritus) and in
concept is quickly dismissed by some without taking the time to spiritual leadership refers to an abstract power which keeps peo-
examine what it actually entails. Every time this happens, spiritual ple self-aware, invigorated, and connected to their vocational call-
leadership loses another opportunity to flourish. Books authored ing, workplace, and others.162 Fry maintains that workplace
by leadership gurus with titles like Jesus, CEO (1996), What Would spirituality meets an essential need of people, to have meaning in
Buddha Do at Work? (2002), and Prophet Muhammad: The their lives and particularly in the workplace where they spend so
­Hallmark of Leadership, (2015) seemingly imply that spiritual lead- much time.163 More particularly, their calling to a vocation must
ership is rooted in theological or religious beliefs. This may con- provide a belief their lives are making a difference. As an illustra-
tribute to some headwind for wider use of spiritual leadership. tion of the importance of work in our lives, when people ask us
Thomas Jefferson (1743–1826) and other finding founding who we are, often our response is to tell people what we do, e.g.,
fathers were successful in creating Constitutional barriers that “I’m a police officer.” Spirituality connects us with higher values
formed a wall between church and state. The Supreme Court has that otherwise may not be routinely accessible by us, giving
consistently upheld that position. For that reason, there can be meaning, purpose, and providing inner sustenance to our lives.164
no reasonable concern of a theological or religious based leader- Spiritual leadership emerges from the interaction of vision,
ship existing in public sector organizations. altruistic love, and hope/faith; Table 7.19 summarizes the quali-
However, in the private sector, religious beliefs may legally ties of spiritual leadership identified by Fry.165 “Vision” refers to
affect business policies and practices. Illustratively, Truett Cathy a future state which appeals to a police department’s members
(1921–2014), founder of Chick-Fil-A (1964), was deeply religious. in a way that makes them want to achieve it.166 The short version

Table 7.19 Q ualities of Spiritual L eadership

Vision Altruistic Love Hope/Faith
• Broad Appeal to Key Stakeholders • Trust/Loyalty • Endurance
• Defines the Destination and Journey • Forgiveness/Acceptance/Gratitude • Perseverance
• Reflects High Ideals • Integrity • Do Stretch Goals
• Encourages Hope/Faith • Honesty • Excellence
• Establishes Standard of Excellence • Courage • Expectation of reward/victory
• Humility • Do what it Takes
• Kindness
• Compassion
• Patience/Meekness/Endurance
• Excellence
• Fun/Work should be pleasurable/Not endured
Source: ©Louis W. Fry, “What is Spiritual Leadership?” International Institute for Spiritual Relations, 2016.

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of “altruistic love” is that is produced by a sense of harmony, agencies adopting spiritual leadership are sparse. However, it
wholeness, and well-being that springs from care, concern, and seems more likely than not that at least pieces of spiritual leader-
appreciation for ourselves and others.167 ship have made their way into policing.
“Hope/Faith” is a belief rooted in values, attitudes, and
behaviors that reveal officers are certain of reaching their AUTHENTIC LEADERSHIP
goals.168 It allows them to endure doubters, criticisms, setbacks, Partially in response to the mismanagement and “ethical melt-
hardships, and even suffering to do so. Suffering may seem like downs” of Fortune 500 companies172 that wreaked so much havoc
an unusual word choice. However, officers who have stood on the lives of employees and investors, substantial interest in
in 30” or more of water directing traffic at an intersection flooded authentic leadership (AL) began by the early 2000s. AL is more
by a hurricane for many hours without relief know a degree of than being “real” or “genuine”—you can be a “real bastard” and
suffering. For spiritual leadership to flourish, leaders must model “genuinely insensitive.” AL is defined as: (1) being deeply aware of
these qualities, officers must respond to them, and they will how you think, behave, and are seen by others; (2) being aware
ultimately define an organization’s culture.169 of your own and others’ values/moral perspectives, knowledge,
There is evidence that spiritual leadership can produce benefits and strengths; (3) understanding the context in which you and
important to officers and organizational performance, including others operate; and (4) being grounded by confidence, hopeful-
increased senses of satisfaction, self-fulfillment, creativity, morale, ness, optimism, resiliency, and high-moral character.173 While
and commitment, as well as mutual honesty and trust leading to aware of the opinions of others, ALers are not driven by their
greater cooperation between organizational members and work expectations, and moral character separates them from those who
becoming an intrinsic motivator: the work itself motivates employ- are merely “real” or “genuine.” Chief Seabrooks is an advocate of
ees, instead of being something to just be endured.170 authentic leadership, avowing that “I am about the truth and that
Police departments have long maintained associations with does not change.”
chaplains from one or several faiths. The traditional role of Avolio and Gardner (2005) argue that AL is the “root con-
­chaplains has been to tend to the needs of officers, e.g., as a struct” that underlies transformational, charismatic, servant, spiri-
pastor or visiting them when hospitalized, accompany officers tual, and ethical theories.174 ALers can incorporate elements of
when they deliver death messages or other unpleasant news if all of these theories into their behavior. For example, an ALer
a family’s pastor cannot be identified or is unavailable, serve as may use a charismatic approach but may or may not be per-
a member of a crisis response team, be a link to a community’s ceived as such by followers; likewise, when employing a trans-
clerics, offer prayers at police functions, such as academy gradu- formational style, little or no emphasis may be placed on the
ations and awards ceremonies, and related activities. proactive development of followers, although they may have a
In the wake of controversial shootings during 2014–2015, law positive impact by modeling important behaviors.175
enforcement agencies have also been more inclusive of religious AL suffers from some of the same deficits that other leader-
leaders to help calm situations or otherwise involved them in ship theories do: (1) there is an absence of a consensus defini-
departmental activities, such as community walks in support of, tion; (2) the conceptual distinction between it and other “new”
or against, various situations. leadership theories is not developed; (3) the claim of being a
While there have been articles in the FBI Law Enforcement “root construct” is undemonstrated; (4) how long it will take
Bulletin, The Police Chief, and other journals on workplace spiri- before the effects of AL can be seen is unknown; (5) whether
tual leadership and the topic is also included in some leadership people can be trained to be authentic is questionable; (6) it fails
courses, including those for police executives at the prestigious to explain how authentic leaders should behave when dealing
FBI National Academy (NA), accounts of law enforcement with authentically difficult followers; and (7) it is unknown how

Quick Facts: Antidotes to Destructive Leadership

Servant, Spiritual, and other forms of altruistic leadership depressed moods, and various guilt feelings that lead to self-
have the potential to prevent the development of destruc- destruction; and 4. Pride which is dysfunctional, including
tive emotions or mediate their impact on organizational prejudice, selfishness, and conceit.171
members. Such emotions can also hamper the performance Altruistic leadership approaches can be an antidote to
of the organization itself. Destructive emotions may stem destructive emotions. It can ferment joy, peace, and seren-
from a lack of positive core convictions about yourself, not ity. Joy is a sense of gladness, delight, and lively pleasure
getting what you want or think you deserve, and the loss of about a past, present, or anticipated event. Peace is the
something valued, such as a relationship or job. condition of our minds when they are free of disturbance,
The four broad categories of destructive emotions are: agitation, or strife, sometimes described as “feeling
1. fear, including anxiety, worry, and apprehension; 2. anger, ­balanced” or “in tune with the world.” Serenity is that inner
including, hostility, resentment, envy, jealousy, and hatred; sense that all is well, giving rise to calmness, awareness, and
3. sense of failure, including such things as discouragement, clarity.

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 c h ap t e r 7 • L EA D ER S H IP 247

many “slips” authentic leaders can make before followers dismiss At one level or another, transformational, servant, spiritual,
them as “unauthentic.”176 Until these difficulties are resolved, it authentic, and ethical leadership are concerned with being a
is hard to imagine that large-scale studies can be usefully good role model, integrity, and altruism or care for others. While
undertaken.177 ethical leaders keep their eye on modeling, communicating, and
reinforcing moral values, the other “new” leadership styles have
Ethical Leadership  different preoccupations: (1) ultimately, transformational leaders
Ethical Leadership is the consistent demonstration of moral are concerned about organizational outcomes or results; (2) ser-
values through personal actions, in interpersonal relationships, vant leaders look to the needs of others; (3) spiritual leaders are
and the communication of those values to followers through interested in their own and their followers’ spiritual survival; and
two-way communication, reinforcement, and decision making.178 (4) authentic leaders are keenly aware of how they think,
Researchers have identified two components to ethical leader- behave, and are seen by others.
ship: (1) the moral person, a fair and principled decision Ethical leadership matters because it influences what follow-
maker, who is altruistic, cares about people and the broader ers do. Ethical leaders are attractive role models who followers
society and (2) the moral manager, who proactively strives to want to emulate—to be like. This increases ethical reasoning and
reinforce followers’ ethical behavior. Moral managers explicitly action, even if the leader is not immediately present, stimulates
make ethics part of their leadership agenda by frequently com- organizational citizenship behavior, increases job satisfaction and
municating about it, modeling it, and using discipline to hold trust in the leader, and reduces counterproductive follower
followers accountable for ethical lapses.179 Discipline provides behavior181 (e.g., abuse of sick leave, being quarrelsome, and
important learning to organizational members, who by the failing to complete assignments on a timely basis). Despite the
actions taken are able to reliably distinguish between what is interest in ethical leadership, Yukl notes (2010) that much of the
acceptable behavior and what is not.180 research done has been superficial.182

Conclusion
Leadership is a slippery concept. It can be the traits surprising because researchers attempt to determine
exhibited by a leader, the manner or style in which if the theories produce a fairly standard set of impacts
the leader behaves, the way in which subordinates on subordinates and organizational outcomes (e.g.,
perceive the leader, how the leader affects the increased trust and organizational commitment). This
behavior and growth of subordinates, and the orga- chapter describes “pure” or idealized models that
nizational performance leadership produces and sus- rarely have a counterpart in the “real world.” Ulti-
tains. In almost every situation, one or more mately, leadership is often a hybrid of things leaders
leadership approaches will work. Many of the theo- do that are within their comfort zone.
ries discussed produce similar affects; this fact is not

Chapter Summary
Summary by Learning Objectives 2. Explain and elaborate on “leading and managing
are co-dependent skill sits.”
1. Give two definitions of leadership. Effective administrators must be both leaders and
There are many definitions of leadership, each managers. Leadership and management skills sets
reflecting certain perspectives, but all incorporate are usually not co-equal. Instead they represent a
the notion that the essence of leadership is interact- mix. It seems perhaps inevitable that leaders sub-
ing with and influencing others. For example, lead- consciously or through introspection gravitate
ership can be simply defined as the difference toward assignments that are a good match with
between pushing a string and pulling it or being a their skill set.
“difference maker.” More completely, leadership
has external and internal components; it is the pro- 3. Provide four key characteristics and three key
cess of: (1) relating the police department to the activities of effective senior police leaders.
larger environment, such as city council, the news The four key characteristics can be drawn from any
media, civic organizations, and the general public of the following: (1) ethical behavior, (2) trustworthy,
and (2) influencing officers to use their energies will- (3) legitimacy, (4) being a role model, (5) communi-
ingly and appropriately to facilitate the achieve- cation, (6) decision making, and (7) critical, creative/
ment of the department’s goals. innovative, and strategic thinking ability. Likewise,

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 248 cha pte r 7 • L E A D E R SHIP

the three key activities can be drawn from any of the micromanager. A democratic leader (Let’s talk about
following: (1) create a shared vision, (2) engender- it) encourages individual or group participation in
ing organizational commitment, (3) caring for sub- matters affecting the organization. The laissez-faire
ordinates, (4) driving and managing change, and leader (Whatever) takes a passive, hands-off pos-
(5) problem solving. ture. Only reluctantly do LFLs use the authority of
their position. They do not make necessary deci-
4. Distinguish between rational-legal authority and
sions and delay taking any kind of action, allowing
power.
subordinates substantial autonomy.
Rational-legal authority is a grant of authority made
by an organization to a position, the incumbent of 11. Describe Downs’s four leader styles.
which uses it for fulfilling his/her job responsibilities. Found in bureaucratic organizational structures,
Some power accompanies a grant of authority, for these four leader styles are: (1) climbers, who are
example, to give a verbal or written reprimand, but strongly motivated by power and prestige needs to
to a large extent power is a grant made by the led invent new functions for their unit, especially if they
to the leader. Authority and power are related but have not already performed elsewhere; (2) conserv-
separate concepts. ers, who have a bias of maintaining things as they
are. The longer someone is in a job and the lower
5. Compare socialized and personalized power needs. one assesses chances for advancement, the stronger
Socialized power can be defined as wanting/need- one becomes attached to job security, all of which
ing to have a positive impact on a police depart- are associated with the tendency to become a con-
ment’s administration and operations. In contrast, server; (3) zealots’ behavior stems from two sources,
personalized power needs include the need to be their narrow interest and the missionary-like energy
in control for selfish, self-aggrandizing reasons. they focus almost exclusively on their special interest;
6. Identify and briefly describe the three compo- and (4) unlike zealots, advocates promote everything
nents of the leadership skill mix. under their command. They appear highly partisan
Human relations: the capacity to interrelate posi- to outsiders, but within their units they are fair and
tively with other people who are at all levels of the impartial, developing well-rounded programs. They
police department. Conceptual Skills: include the are loyal to their organization, favor innovation and
ability to understand and interrelate various parcels are simultaneously more radical and more conserva-
of information that seem unrelated or those for tive than climbers. Advocates are more radical in that
which the meaning or importance is not immedi- to promote their program and views they may antag-
ately apparent. Technical Skills: These skills vary by onize politicians, superiors, other powerful groups,
level within the police department. A patrol ser- and the news media if it helps their department. They
geant must be able to help subordinates develop are more conservative because they are willing to
skills in handling domestic violence and other calls. oppose changes that might help their interests but is
As one progresses up toward middle and top man- not in the best overall interest of their agency.
agement, the character of technical skills changes 12. Contrast station house sergeants and street
also, for example, budgeting skills. sergeants.
7. State two Great Man theories. Station house sergeants had been out of the “bag”
Carlyle believed unusually gifted people made his- (uniform) before their promotions to sergeant and
tory, while Hegel believed that it was events that preferred to work in an office environment once they
produced the “great man.” won their stripes. Station house sergeants immerse
themselves in the management culture of the police
8. Define the Big Five. department, keeping busy with paperwork, plan-
The Big Five was the result of efforts to find a small ning, record keeping, press relations, and fine points
number of broad traits into which many specific of law. Their strong orientation to conformity also
traits can be placed. gave rise to nicknames like “by-the-book Brubaker.”
In contrast, street sergeants were serving in the field
9. Briefly describe “organizational citizenship
when they received their promotions. Consequently,
behavior.”
they have a distaste for office procedures and have a
OCB consists of subtle things employees do volun-
strong action orientation, as suggested by such nick-
tarily and are not required to do or expected but
names as “Shooter McGee” and “Walker the Stalker.”
contribute to overall organizational effectiveness.
Moreover, their concern is not with conformity but
10. Distinguish among authoritarian, democratic, with “not letting the assholes take over the city.”
and laissez-faire leadership. Station house sergeants and street sergeants were
An authoritarian leader (My way or the highway) thought of differently by those whom they super-
makes all decisions, closely controls work, and is a vised: station house sergeants “stood behind their

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 c h ap t e r 7 • L EA D ER S H IP 249

officers,” whereas street sergeants “stood beside performance, and is instrumental to their individual
their officers.” Each of these two different styles of and work unit performance and satisfaction.
working as a sergeant also has its drawbacks and
15. Define the “merit” of a police officer in Leader-
strengths. Station house sergeants might not be
Member-Exchange Theory.
readily available to officers working in the field; how-
The merit of an officer is contingent on how well he
ever, they can always be located when a signature
or she fits with the values, attitudes, preferences,
is needed and are able to secure more favors for
and outlook of the leader.
officers than street sergeants are. Although imme-
diately available in the field when needed, street 16. Compare leadership substitutes and
sergeants occasionally interfered with the autonomy neutralizers.
of their subordinates; unrequested, they responded Leadership substitutes are variables or factors that
to calls for service assigned to subordinates and diminish the importance of leadership behavior or
handled them or, otherwise, at least in the eyes of take its place entirely. In contrast, Neutralizers are
their officers, “interfered.” variables that make task and relationship leadership
A consideration of Van Maanen’s work leads to approaches ineffective or impossible.
some generalizations about the future careers of
17. Contrast transactional leaders and transforma-
station house sergeants versus street sergeants.
tional leaders.
Station house sergeants are learning routines, poli-
These two types of leaders are polar opposites.
cies, procedures, and polishing skills that will
Transactional leaders give something to get some-
improve future promotional opportunities. Their
thing. They motivate followers by appealing to their
promotional opportunities are further enhanced by
self-interest; contingent upon a follower doing a
contacts with senior police commanders who can
good job, the leader will provide favorable evalua-
give them important assignments and who may, if
tions, raises, and desired assignments. Each party to
favorably impressed, influence future promotions.
the transaction, or “bargain,” is at least implicitly
In contrast, street sergeants may gain some favor-
aware of the resources of the other, and the pur-
able publicity and awards for their exploits, but they
poses of both are entwined. Essentially, transforma-
are also more likely to have citizen complaints filed
tional leadership emphasizes the upper levels of
against them, more likely to be investigated by
Maslow’s needs hierarchy—esteem and self-actual-
internal affairs, and more likely to be sued. Conse-
ization—to motivate followers. These two levels of
quently, very aggressive street sergeants are
need include such factors as the need to test your-
regarded by their superiors as “good cops” but dif-
self against challenging work and standards, the
ficult people to supervise. In short, the action-ori-
quest for self-esteem and confidence, and auton-
ented street sergeant who does not “mellow out”
omy in problem solving. Transformational leadership
may not go beyond a middle manager’s position in
consists of several factors called the “Four Is:” ideal-
a line unit, such as patrol or investigation.
ized influence, inspirational motivation, intellectual
13. State the three organizational forces from stimulation, and individual consideration. Transfor-
­Tannenbaum and Schmidt’s contingency theory. mational leaders are inspirational; they motivate fol-
These three forces are: (1) forces in the leader, lowers to “elevate their game,” to go beyond their
such as his/her value system; (2) forces in subordi- own self-interests for the good of the unit or organi-
nate officers, like their knowledge, skills, and zation, making more and larger contributions than
experience; and (3) forces in the department, for they had expected to make. In this process, transfor-
example, a practice of not arresting non-persistent mational leaders help followers to grow personally
panhandlers. and to develop their own capacity for leadership.
14. State the “central thought” or the “essence” 18. Complete the following statement, the common
of House’s Path-Goal Theory characteristics shared by “new leadership” theo-
The central thought and the essence of PGT are ries attempt to explain: how leaders:
statements that basically express the same thought These common characteristics attempt to explain
in slightly different terms. They differ in that the for- how leaders: (1) take organizations on an upward
mer term is associated with the original model and trajectory to outstanding accomplishments;
the latter with a revised model in 1996. The central (2) engender extraordinary levels of follower moti-
thought of PGT is leaders should remove the obsta- vation, trust, dedication, and loyalty; (3) use sym-
cles that inhibit, make more difficult, or prevent bolic and emotionally appealing behaviors, such as
individual followers from doing a good job. In a envisioning, empowering, and supporting, to rally
similar vein, the essence of PGT is to be leaders followers to their vision; and (4) employ leadership
must engage in behaviors that compensate for the to increase followers’ self-esteem, job satisfaction,
deficiencies of subordinates, enhances their and performance.

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Chapter Review Questions

1. What are the seven key characteristics of effective 3. What are the five things that toxic leaders do that
senior police leadership? “poisons” the work environment?
2. Schafer’s study identified five things that ineffective 4. In a single sentence, what is servant leadership?
police leaders do. What are they? 5. How is authentic leadership defined?

Critical Thinking Exercises

1. Reread the Casselberry case study in Box 7.1. police services within 12 months. You have been
For what reasons do you think the City of hired as the first Chief of Police. The Flower Creek
Casselberry allowed the Police Chief to resign Police Department does not yet exist. You have to
instead of firing him and charging him with any design and staff it. For now, your only support is an
applicable crimes? administrative secretary. You have authorization to
2. Assume that an area in a county with a population of hire four people for your command staff. When
about 78,000 was dissatisfied with services by the interviewing applicants for those positions what are
Sheriff’s Office and incorporated as a totally new city the most important things about your leadership
of Flower Creek with a deadline to have its own beliefs to communicate to those applicants?

Key Terms
advocates important thing positive organizational behavior (POB)
affiliation needs laissez-faire power
authentic leadership leader power motivation
authoritarian/autocratic leader member exchange (LMX) servant leadership
authority leadership situational leadership
big five leadership neutralizers skill
big two leadership substitutes social skills (SS)
charismatic leadership least preferred coworker (LPC) socialized power needs
climbers management systems spiritual leadership
conceptual skills manager spiritual survival
conservers managerial grid station house sergeants
counterproductive work behavior moral manager street sergeants
(CWB) moral person Tannenbaum and Schmidt
democratic normative decision-making theory technical skills
emotional skills (ES) organizational citizenship behavior traits approach
ethical leadership (OCB) transactional leadership
“great man” theories path-goal theory (PGT) transformational leadership
human relations skills personalized power needs zealots

Endnotes
1
Joseph A. Schafer, “Developing Effective Leadership in Partial Fulfillment of the Requirements for the Doctor of
Policing: Perils, Pitfalls, and Paths Forward,” Policing: An Education Degree, Seton Hall University, 2007.
4
International Journal of Police Strategies and Manage- Developing Effective Leadership in Policing, pp. 247–250.
ment, Vol. 32, No. 2 (2009), p. 239. The authors have extended some of Schafer’s cogent
2
Ibid., p. 239. points; any distortion or dilution is unintended.
3 5
Among the exceptions to this is Joseph A. Devine, An Analy- Mitchell Pearson-Goff and Victoria Herrington, “Police Leader-
sis of the West Point Leadership and Command Program’s ship: A Systematic Review of the Literature,” Policing: A
Impact Upon Law Enforcement Leadership, Dissertation in Journal of Policy and Practice, Vol. 8, No. 1 (2014), pp. 2–3.

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 c h ap t e r 7 • L EA D ER S H IP 251
6
Ibid., pp. 3–4. sections/thetwo-way/2013/09/20/224462040/pennsylvania-
7
Loc. Cit and p. 7. police-chief-fired-months-after-video-rants (accessed
8
Ibid., pp. 4–5 and pp. 6–7. July 26, 2015).
9 29
Ibid., p. 5. No author, “Mark Kessler Claims Video Rants Aimed to
10
Loc. Cit. Snare Militia Members,” LeighValleyLive.com, December
11
Ibid., pp. 6–7 22, 2014, pp. 1–2, http://www.lehighvalleylive.com/
12
Terry D. Anderson et al., Every Officer Is a Leader (Boca breaking-news/index.ssf/2014/12/mark_kessler_claims_
Raton: St. Lucie Press, 2000), p. viii. video_rant.html.
13 30
J. Gregory Reynolds and Walter H. Warfield, “Discerning Ibid., p. 743.
31
the Differences Between Managers and Leaders,” Educa- Schafer, “The Ineffective Police Leader: Acts of Commission and
tional Digest, Vol. 75, No. 7 (March 2010), pp. 26–29. Omission,” pp. 742–743 with restatement.
14 32
Beverly Alimo Metcalfe and John Alimo-Metcalfe, “The Kenneth Blanchard, DreaZigarmi, and Patricia Zigarma,
Myths and Morality of Leadership in the NHS,” Clinician in Leadership and the One-Minute Manager: Increasing
Management, Vol. 12 (2004), p. 49. Effectiveness Through Situational Leadership (New York:
15
John P. Kotter, “What Leaders Really Do,” Harvard Business William Morrow, 1999), p. 38.
33
Review (May/June 1990), pp. 103–111. This account is drawn with restatement from Martin E.
16
See Brigitte Steinheider and Todd Wuestewald, “From the Comas, “Employees Tell Investigators That Ex-Cassel-
Bottom Up: Sharing Leadership in a Police Agency,” berry Police Chief McNeil Bullied, Harassed Them for
Police Practice and Research, Vol. 9, No. 2, (May 2008), Years,” Orlando Sentinel, July 26, 2015, 3 pp., http://
pp. 145–163. www.orlandosentinel.com/news/breaking-news/os-
17
On this point see Derrick J. Neufeld, Zeying Wan, and Yulin casselberry-police-harassment-documents-20150226-story.
Fang, “Remote Leadership, Communication Effectiveness html (accessed July 26, 2015) and Steven Lemongello and
and Leader Performance,” Group Decision and Negotia- Gal TzipermanLotan, “Casselberry Police Chief Bill McNeil
tion, Vol. 19, No. 3 (May 2010), pp. 227–246. For more Resigns Amid Sexual Misconduct Allegations,” Orlando
extended information see Suzanne Weisband, Leadership Sentinel, October 30, 2014, 2 pp, http://www.orlandosentinel.
at a Distance (New York: Lawrence Erlbaum Associates, com/news/seminole/os-casselberry-police-chief-resigns-
2008). 20141030-story.html (accessed July 26, 2015).
18 34
On the low end, see Fred W. Rainguet and Mary Dodge, Drawn with restatement from Elise Schmelzer, “Maypearl
“The Problems of Police Chiefs: An Examination of Police Chief Fired After Surrendering on Four Felony
the Issues in Tenure and Turnover,” Police Quarterly, Charges Alleging Sexual Relationship with Teen,” The
Vol. 4, No. 3 (September 2001), p. 269 and on the high ­Dallas Morning News, July 22, 2015, 3 pp., http://crime-
side, Steve Krull, California Police Chief Demographic blog.dallasnews.com/2015/07/maypearl-police-chief-sur-
Study (Sacramento: California Police Chiefs Association, renders-on-four-felony-charges-alleging-sexual-relation-
2004), p. 2. with-teen.html (accessed July 26, 2015) and Jason Whitely
19
Jim Isenberg, Police Leadership in a Democracy: Conversa- and Monica Hernandez, “Former Maypearl Police Chief
tions with America’s Police Chiefs (Boca Raton: CRC Press, Surrenders on Child Sex Charges,” WFAA8 ABC, July 23,
2010), p. 28. 2015, 3 pp, http://www.wfaa.com/story/news/
20
Phil Coleman, “New Ideas for Solving the Police Chief crime/2015/07/22/maypearl-police-chief-surrenders-
Recruitment Crisis” (Sacramento: League of California on-five-felony-charges/30519815 (accessed July 26, 2015).
35
­Cities, October, 2007), p. 1. Jean Lipman-Blumen, The Allure of Toxic Leaders (New
21
Isenberg, Police Leadership in a Democracy: Conversations York: Oxford University Press, 2005), pp. 19–20.
36
with America’s Police Chiefs, p. 42. Ibid., pp. 21–22.
22 37
Jill Leovy, “Little Job Security in Being a Police Chief,” Los Melissa Horner, “Leadership Theory: Past, Present, and
Angeles Times, May 5, 2002, p.1, http://articles.latimes. Future,” Team Performance Management, Vol. 3, No. 4,
com/2002/may/05/local/me-dance5 (accessed July 27, 2015). (1997), p. 276.
23 38
Loc. Cit. Max Weber, The Theory of Social and Economic Organiza-
24
Joseph A. Schafer, “The Ineffective Police Leader: Acts of tions, translated by A. M. Henderson and Talcott Parsons,
Commission and Omission,” Journal of Criminal Justice, (New York: Free Press, 1947), p. 328.
39
Vol. 38, No. 4 (2010), p. 737. Jacques Steinberg, “Police Officer Rejects Promotion,” The
25
Paul B. Thornton, “While Some Leaders Succeed and Oth- New York Times (June 2, 1991). Although an older exam-
ers Fail,” Leader to Leader 2011, no. 60, pp. 17–21, the ple, it is a perfect illustration of the point made in the text.
40
police language was added by the authors, http:// J. R. French and B. Raven, “The Bases of Social Power,” in
web.b.ebscohost.com/ehost/pdfviewer/ D. Cartwright (ed.) Studies in Social Power (Ann Arbor:
pdfviewer?sid=f78f7e9f-d762-4092-8e57-90b636995817%4 University of Michigan, Institute for Social Research, 1959),
0sessionmgr112&vid=8&hid=102 (accessed July 27, 2015). pp. 150–167.
26 41
Schafer, “The Ineffective Police Leader: Acts of Commission Chester Barnard also wrote on organizations as an open sys-
and Omission,” p. 739. tem. See The Functions of the Executive (Cambridge,
27
Ibid., pp. 741–742 with restatement. MA: Harvard University Press, 15th ed., 1962). Functions was
28
Restated from Scott Neumann, “Pennsylvania Police Chief originally published in 1938. On many points he must be
Fired Months after Video Rants,” NPR (National Public read in the context of his own time. See Steven M. ­Dunphy
Radio), September 20, 2013, p.1, http://www.npr.org/ and James Hoopes, “Chester Barnard: Member of

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57
the Elite?” Management Decision, Vol. 40, No. 10 (2002), Cecil Goode, “Significant Research on Leadership,” Person-
pp. 1024–1028. nel 25, No. 5 (1951), p. 349.
42 58
The flip side of the coin is the question “Under what condi- For example, see Robert J. Allio, “Leadership—The Five Big
tions do organizational members voluntarily elect to leave, Ideas,” Strategy and Leadership, Vol. 37, No. 2 (2009), p. 412.
59
stay and protest, or simply stay?” An important book Stephen Erdle et al., “The General Factor of Personality and
addressing these issues is Albert O. Hirschman, Exit, Its Relation to Self-Esteem,” Personality and Individual
Voice, and Loyalty (Cambridge, MA: Harvard University ­Differences, Vol. 48 (2010), p. 344.
60
Press, 1970). Stephen J. Zaccaro, “Trait-Based Perspectives of Leader-
43
Isenberg, Police Leadership in a Democracy: Conversations ship,” American Psychologist, Vol. 62, No. 1 (January
with America’s Police Chiefs, p. 119. 2007), p. 14, on-line access.
44 61
The description of power motivation styles is drawn, Reuven Bar-On, “The Bar-On Model of Emotional-Social
with restatement into a police context, from Jay Hall and Intelligence,” in P. Berrocal and N. Extremera, Guest Edi-
James Hawker, “Interpreting Your Scores from the Power tors, Special Issue on Emotional Intelligence, Psicothema,
Management Inventory” (The Woodlands, Texas: Vol. 17 (2005), p. 15.
62
­Teleometrics International, 2000). Lynda, Jiwen Song et al., “The Differential Effects of Gen-
45
See Joe C. Magee and Carrie A. Langer, “How Personalized eral Mental Ability and Emotional Intelligence on
and Socialized Power Motivation Facilitate Antisocial and ­Academic Performance and Social Interactions,”
Prosocial Decision Making,” Journal of Research in ­Intelligence, Vol. 38, No. 1 (January 2010), pp. 137–143.
63
­Personality 42, No. 6 (December 2008), pp. 1547–1559. Melanie B. Malterer, Samantha Glass, and Joseph Newman,
46
The basic model is drawn from Robert Katz, “Skills of an “Psychotherapy and Trait Emotional Intelligence,” Person-
Effective Administrator,” Harvard Business Review, Vol. 33, ality and Individual Differences, Vol. 44, No. 3 (February
No. 1 (1955), pp. 33–42. It continues to draw attention; see 2008), pp. 733–743.
64
Robert L. Katz, “Skills of an Effective Administrator” Oluremi Ayoko, Victor Callan, and Charmine Hartel, “The
­(Cambridge, MA: Harvard Business Review, 2005). Influence of Emotional Intelligence Climate on Conflict
47
There is no shortage of skill models. For example, see Troy and Team Members’ Reactions to Conflict,” Small Group
V. Mumford, Michael A. Campion, and Frederick P. Research, Vol. 39, No. 2 (April 2008), pp. 121–149.
65
­Morgeson,“ The Leadership Skills Strataplex: Leadership A. Oyesoji Aremu and T. Oluwayemisi, “Assessment of Emo-
Skill Requirements Across Organizational Levels, The tional Intelligence Among Nigerian Police,” Journal of
Leadership Quarterly, Vol. 18 (2007), pp. 154–166. The Social Science, Vol. 16, No. 3 (2008), p. 275.
66
model uses four skills: factors: cognitive, interpersonal, OluremiAyoko, Victor Callan, and CharmineHartel, “The
business, and strategic. See p. 156. Influence of Emotional Intelligence Climate on Conflict
48
No author, “Leadership Trends for 2010,” Business Week and Team Members’ Reactions to Conflict,” Small
Online (February 17, 2010), p. 1k. Group Research, Vol. 39, Issue 2, (April 2008),
49
Anna Davies, Devin Fidler, Marina Gorbis, Future Work Skills pp. 121–149.
67
2020 (Palo Alto, California, Institute for the University of Kathryn L. Barbera et al., “Relating Emotional and Social
Phoenix Research Institute, 2011), pp. 5,6, and 9. Intelligence to Sex and Age,” Nevada State Psychological
50
Thomas Carlyle, Heroes, Hero-Worship and the Heroic in Association Meeting, Las Vegas, May 17, 2003, p. 3.
68
History (New York: A. L. Burt, 1902) and G. W. F. Hegel, The Reuven Bar-On, “Emotional Intelligence: An Integral Part of
Philosophy of History (Indianapolis: Bobbs-Merrill, 1952). Positive Psychology,” South African Journal of Psychology,
51
See R. D. Avery et al., “Developmental and Genetic Deter- Vol. 40, No. 1 (April 2010), p. 46.
69
minants of Leadership Role Occupancy among Women,” Ronald E. Riggio and Rebecca J. Reichard, “The Emotional
Journal of Applied Psychology, Vol. 92, No. 3 (2007), and Social Intelligences of Effective Leadership,” Journal
pp. 693–706. of Managerial Psychology, Vol. 23, No. 2 (2008), p. 171.
52 70
Francis Galton, Hereditary Genius: An Inquiry into Its Laws Ibid., pp. 172–173, 175–176.
71
and Consequences (New York: D. Appleton, revised with John D. Mayer and Peter Salovey, “What Is Emotional Intel-
an American preface, 1887). ligence?” in Peter Salovey and D. Sluyter (eds.), Emotional
53
Gary Yukl, Leadership in Organizations (Upper Saddle River, Development and Emotional Intelligence (New York: Basic
NJ: Prentice Hall, 2010), p. 190. Books, 1997), p. 10.
54 72
Field Marshal Montgomery, The Path to Leadership (New FatihTepe, Leadership Characteristics Among Command,
York: Putnam, 1961), pp. 10–19. To some extent, Middle, and Line Level Police Department Personnel in
­Montgomery also holds with Carlyle in that the former the Era of Terrorism, Dissertation Abstracts International,
asserted that the leader must be able to dominate and The Humanities and Social Sciences, Vol. 69, No. 7 (2002),
master the surrounding events. p. 2564, 2009.
55 73
W. Allport and H. S. Odbert, “Trait-Names: A Psycholexical Kuldeep et al. “Linking the Big Five Personality Domains to
Study,” Psychological Monographs, 47, No. 211 (1936). Organizational Citizenship Behavior,” International Journal of
56
Ralph M. Stogdill, Handbook of Leadership: A Survey of Psychological Studies, Vol. 1, No. 2 (December 2009), p. 73.
74
Theory and Research (New York: Free Press, 1974), p. 81 Suzy Fox, Paul E. Spector, and Don Miles, “Counter Produc-
and “Personality Factors Associated with Leadership: A tive Work Behavior in Response to Job Stressors and
Survey of the Literature,” Journal of Psychology, pp. 25–26 Organizational Justice,” Journal of Vocational Behavior,
(January 1948), pp. 35–71. Vol. 59 (2001), p. 292.

M07_SWAN4056_09_SE_C07.indd 252 7/8/16 6:48 PM

 c h ap t e r 7 • L EA D ER S H IP 253
75 94
Ibid., p. 297. Fred E. Fiedler and Joseph E. Garcia, New Approaches to
76
Jennifer M. George and Garth R. Jones, Organizational Effective Leadership (New York: John Wiley & Sons, 1987),
Behavior (Addison-Wesley Publishing Company, 1999), p. 41. pp. 52–61.
77 95
Gary Dessler, Organization and Management: A Contin- Afsaneh Nahavandi and Ali R. Malekzadeh, Organizational
gency Approach (Englewood Cliffs, NJ: Prentice Hall, Behavior (Upper Saddle River, NJ: Prentice Hall, 1999),
1976), p. 158. pp. 305–306.
78 96
See K. Lewin, R. Lippitt, and R. White, “Patterns of Robert P. Vecchio, “An Empirical Examination of the Validity
Aggressive Behavior in Experimentally Created Social of Fiedler’s Model of Leadership Effectiveness,” Organiza-
Climates,” Journal of Social Psychology 10 (May 1939), tional Behavior and Human Performance, Vol. 19, No. 1
pp. 271–299; R. Lippitt and R. K. White, “The Social (June 1977), p. 203.
97
­Climate of Children’s Groups,” in R. G. Baker, K. S. Kounin, R. W. Rice, “Construct Validity of the Least Preferred
and H. F. Wright (eds.), Child Behavior and Development Coworker Scale,” Psychological Bulletin, Vol. 85, No. 6
(New York: McGraw-Hill, 1943), pp. 485–508; Ralph White (November 1978), pp. 1199–1237.
98
and Ronald Lippitt, “Leader Behavior and Member Reac- Lawrence H. Peters, Darrell D. Hartke, and John T.
tion in Three Social Climates,” in Dorwin Cartwright and ­Pohlmann, “Fiedler’s Contingency Model,” Psychological
Alvin Zander (eds.), Group Dynamics: Research and Bulletin, Vol. 95, No. 2 (March 1985), pp. 274–285.
99
­Theory, 2nd ed. (New York: Harper & Row, 1960), New Approaches to Effective Leadership, pp. 76–77.
100
pp. 552–553; and Ronald Lippitt, “An Experimental John K. Kennedy, Jr., “Middle LPC Leaders and the Con-
Study of the Effect of Democratic and Authoritarian tingency Model of Leadership Effectiveness,” Organiza-
Group Atmospheres,” University of Iowa Studies in Child tional Behavior and Human Performance, Vol. 30, No. 1
Welfare 16 (January 1940), pp. 43–195. (August 1982), pp. 1–14.
79 101
Bernard M. Bass and Ronald E. Riggio, Transformational Yukl, Leadership in Organizations, p. 228.
102
Leadership (Mahwah, NJ: Lawrence Erlbaum Associates, R. J. House, “A Path Goal Theory of Leadership Effective-
2nd ed., 2006), pp. 8–9. ness,” Administrative Science Quarterly, Vol. 16 (1971),
80
White and Lippitt, “Leader Behavior,” pp. 539–545, 552–553. pp. 321–329.
81 103
Stephen A. Morreale, “Perceived Leader Styles in Law Robert J. House, “Path-Goal Theory of Leadership:
Enforcement,” Master’s Thesis, Nova Southeastern Univer- ­Lessons, Legacy, and a Reformulated Theory,” The Lead-
sity, 2002, p. 12, on-line access to abstract. ership Quarterly, Vol. 7, No. 3 (Autumn 1996), p. 325.
82 104
Robert R. Blake and Jane Mouton, “The Development L. Huberts, M. Kaptein, and K. Lasthuizen, “A Study of the
Revolution in Management Practices,” Journal of the Impact of Three Leadership Styles on Integrity Violations
American Society of Training Directors, Vol. 16, No. 7 by Police Officers,” Policing, Vol. 30, No. 4 (November
(1962), pp. 29–52. 2007), pp. 587–606. The findings are based on the
83
The Ohio State studies date from the mid-1940s and identi- responses of Netherlands police officers.
105
fied the dimensions of consideration and structure; the “Path-Goal Theory of Leadership: Lessons, Legacy, and a
University of Michigan studies date from the late 1940s Reformulated Theory,” p. 348.
106
and identified employee- and production-centered Ibid., p. 347.
107
supervisors. Although not using the LMX designation, the first articula-
84
Anthony Downs, Inside Bureaucracy (Boston: Little, Brown, tion of it was Fred Dansereau, George Graen, and William
1967). J. Haga, “A Vertical Dyad Linkage Approach to Leadership
85
Ibid., pp. 92–96. within Formal Organizations,” Organizational Behavior
86
Ibid., pp. 96–101. and Human Performance, Vol. 13 (1975), pp. 46–78.
87 108
Ibid., pp. 109–110. The descriptions of these two groups are drawn from
88
Ibid., pp. 107–109. Jun Liu and Xiaogu Liu, “A Critical Review of Leadership
89
John Van Maanen, “Making Rank: Becoming an American Research Development,” International Journal of Business
Police Sergeant,” Urban Life 13, No. 2–3 (1984), pp. 155–176. and Management, Vol. 1, No. 4 (August 2006), pp. 7–8.
109
The distinction between station and street sergeants is George Graen and M. Uhl-Bien, “Relationship Based
drawn from Van Maanen’s work with some restatement and Approach to Leadership: Development of a Leader-­
extension of views. The speculation about future career Member Exchange (LMX) Theory of Leadership Over 25
­patterns is the work of the present authors. Years,” Leadership Quarterly, Vol. 6, pp. 219–247. The con-
90
Robert Tannenbaum and Warren Schmidt, “How to Choose cepts were not clearly defined and understanding of them
a Leadership Pattern,” Harvard Business Review, (May/ was partially derived by the context in which they were
June,1973), pp. 162–180. used. Our characterization of the authors’ work is our best
91
Victor H. Vroom and Philip W. Yetton, Leadership and understanding of what they intended.
110
­Decision-Making (Pittsburgh: University of Pittsburgh J. Miner, “The Uncertain Future of the Leadership
Press, 1973), p. 18. ­Concept,” in James Hunt and Lars Larson (eds.), Leader-
92
John B. Miner, Organizational Behavior (New York: Oxford ship Frontiers (Kent, OH: Kent State University Press, 1975).
111
University Press, 2002), pp. 320–321. Steven Kerr and John M. Jermier, “Substitutes of Leader-
93
Gary Yukl, “Toward a Behavioral Theory of Leadership,” ship: Their Meaning and Measurement,” Organizational
Organizational Behavior and Human Performance, Vol. 6, Behavior and Human Performance, Vol. 22, No. 3 (1978),
No. 4 (July 1971), p. 434. pp. 377, 395.

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 254 cha pte r 7 • L E A D E R SHIP

112 141
Margaret L. Williams and Philip Podsakoff, “A Preliminary Fehmidah Munir, Karina Nielsen, and Isabella Gomes,
Analysis of the Construct Validity of Kerr and Jermier’s “Transformational Leadership and Depressive Symptoms,”
Substitutes of Leadership Scales,” Journal of Occupational Journal of Affective Disorders, Vol. 120, No. 1–3 (January
Psychology, Vol. 61, No. 4 (1988), pp. 307–333. 2010), pp. 235–239.
113 142
R. J. Lewicki, E. C. Wiethoff, and E. Tomlinson, “What Is the Rajinandini Pillai and Ethlyn Williams, “Transformational
Role of Trust in Organizational Justice?” in Jerald Green- Leadership, Self-Efficacy, Group Cohesiveness, Commit-
berg and Jason Colquitt (eds.), Handbook of Organiza- ment, and Performance,” Journal of Organizational
tional Justice (Mahwah, NJ: Lawrence Erlbaum Associates, Change Management, Vol. 17, No. 2 (2004),
2005), pp. 247–270. pp. 144–159.
114 143
Hersey and Blanchard, Management of Organizational Rabia Khan, Abaid Ur Rehman, and Afsheen Fatima,
Behavior, pp. 160–161. “Transformational Leadership and Organizational Commit-
115
Ibid. ment,” African Journal of Business Management, Vol. 3,
116
Ibid., p. 163. No. 11 (November 2009), p. 683.
117 144
bid., p. 161. Roya Ayman and Karen Korabik, “Why Gender and Culture
118
Ibid., p. 163. Matter,” American Psychologist, Vol. 65, No. 3 (April 2010),
119
bid., p. 159. p. 164.
120 145
Thomas D. Cairns et al., “Technical Note: A Study of Mary Sarver, Holly Miller, and Jennifer Schulenberg,
Hersey and Blanchard’s Situational Theory,” Journal of “Leadership and Effectiveness: An Examination of the
Leadership and Organization Development, Vol. 19, No. 2 Leadership Styles of Texas Police Chiefs,” Paper pre-
(1998), pp. 113–116. sented at the 2008 Annual Meeting of the American
121
Bernard M. Bass with Ruth Bass, The Bass Handbook of Society of Criminology, St. Louis, on-line access of
Leadership (New York: Free Press, 2008), p. 493. abstract.
122 146
Yukl, Leadership in Organizations, p. 99. Steven A. Murphy and Edward N. Drodge, “The Four Is of
123
James McGregor Burns, Leadership (New York: Harper & Police Leadership,” International Journal of Police Science
Row, 1978). and Management, Vol. 6, No. 1 (2004), p. 10. The descrip-
124
Ibid., pp. 4, 19–20. tion of all Four Is drawn from this source.
125 147
Yukl, Leadership in Organizations, p. 261. Yukl, Leadership in Organizations, p. 262.
126 148
Bass and Bass, The Bass Handbook of Leadership, p. 619. Ibid., pp. 272–274.
127 149
Steven A. Murphy and Edward N. Drodge, “The Four Is of Ibid., p. 285.
150
Police Leadership,” International Journal of Police Science Ibid., pp. 261 and 285–286.
151
and Management, Vol. 6, No. 1 (March 2004), pp. 1–15. Robert J. House and Ram N. Aditya, “The Social Scientific
128
See B. M. Bass, Leadership and Performance (New York: Study of Leadership: Quo Vadis?” Journal of Manage-
Free Press, 1985). ment, Vol. 23 (May/June 1997), pp. 409–473.
129 152
V. R. Krishan, “Transformational Leadership and Out- Robert K. Greenleaf, Servant Leadership (Mahwah, NJ: The
comes,” International Journal of Value Based Manage- Paulist Press, 1977), p. 13.
153
ment, Vol. 25, No. 5/6 (2005), pp. 19–33. Yukl, Leadership in Organizations, p. 419.
130 154
Bass and Riggio, Transformational Leadership, p. 3. A. Gregory Stone, Robert Russell, and Kathleen Patterson,
131
Ronald F. Piccolo and Jason A. Colquitt, “Transformational “Transformational Leadership: A Difference in Leader
Leadership and Job Behaviors,” Academy of Management Focus,” Leadership and Organization Development,
Journal, Vol. 49, No. 2 (2006), p. 327. Vol. 25, No. 4 (2003), pp. 349–361.
132 155
Simon A. Moss and Somon Ngu, Current Research in Larry Spears, “Practicing Servant-Leadership,” Lead to
Social Psychology, Vol. 11, No. 6 (2006), p. 71. Leader Journal, No. 34 (2004), approximately three pp.,
133
Isenberg, Police Leadership in a Democracy: Conversa- on-line access. The authors have restated portions of
tions with America’s Police Chiefs, p. 115. these 10 points and added commentary. No alteration of
134
Ibid. the author’s position is intended.
135 156
Bass and Riggio, Transformational Leadership, p. 228. Pat Welsh, “Are You a Warrior, Servant, or Leader?” Law
136
Ibid., pp. 228–229. Enforcement Today, January 3, 2014, http://www.lawen-
137
Hersey and Blanchard, Management of Organizational forcementtoday.com/2014/01/03/are-you-a-warrior-ser-
Behavior, p. 163. vant-and-leader, accessed April 19, 2016.
138 157
Pat Welsh, “Are You a Warrior, Servant, and Leader?” Law Yukl, Leadership in Organizations, p. 421.
158
Enforcement Today, January 3, 2014, 3, http://www.lawen- For example, see John E. Barbuto, Jr., “Scale Develop-
forcementtoday.com/2014/01/03/are-you-a-warrior-ser- ment and Construct Clarification of Servant Leadership,”
vant-and-leader (accessed August 1, 2015). Group and Organization Development, Vol. 31, No. 3
139
Lee Whittington et al., “Transactional Leadership Revis- (2006), pp. 300–326.
159
ited,” Journal of Applied Social Psychology, Vol. 39, No. 8 Mark McKergow, “Host Leadership,” International Journal
(August 2009), pp. 1860–1886. of Leadership in Public Services, Vol. 5, No. 1 (March 2009),
140
Yi-Feng Yang, “An Investigation of Group Interaction p. 20.
160
­Functioning Stimulated by Transformational Leadership Deborah Eicher-Catt, “The Myth of Servant-Leadership: A
on Employee Intrinsic and Extrinsic Job Satisfaction,” Feminist Perspective,” Women and Language, Vol. 28,
Social Behavior and Personality, Vol. 37, No. 9 (2009), No. 1 (Spring 2005), pp. 17–25.
161
pp. 1259–1277. Yukl, Leadership in Organizations, p. 421.

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 c h ap t e r 7 • LEA DERS HIP 255
162 173
Bruce J. Avolio, Fred O. Walumbwa, and Todd J. Wheeler, Cecily Cooper, Terri Scandura, and Chester Schriesheim,
“Leadership: Current Theories, Research, and Future Direc- “Looking Forward But Learning from Our Past: Potential
tions,” The Annual Review of Psychology (2009), p. 438. Challenges to Developing Authentic Leadership Theory
163
Cathy Lynn Grossman, “Survey: 72% of Millennials ‘More and Authentic Leaders,” The Leadership Quarterly,
Spiritual than Religious,’” USA Today (April 27, 2010). Vol. 16, No. 3 (June 2005), p. 478.
164 174
Louis W. Fry, “Toward a Theory of Spiritual Leadership,” Bruce J. Avolio and William A. Gardner, “Authentic Leader-
The Leadership Quarterly, Vol. 14 (2003), p. 702. ship Development: Getting to the Root of Positive Forms
165
Toward a Theory of Spiritual Leadership,” pp. 703–705,716. of Leadership,” The Leadership Quarterly, Vol. 16, No. 3
166
Ibid., pp. 702–705, 711. (June 2005), p. 327.
167 175
Yukl, Leadership in Organizations, p. 422. Ibid., p. 328.
168 176
Laura Reave, “Spiritual Values and Practices Related to Cooper, Scandura, and Schriesheim, “Looking Forward But
Leadership Effectiveness,” The Leadership Quarterly, Learning from Our Past: Potential Challenges to Develop-
Vol. 16, No. 5 (October 2005), pp. 655–687. ing Authentic Leadership Theory and Authentic Leaders,”
169
Frank Markow and Karin Klenke, “The Effects of Personal pp. 481–483.
177
Meaning and Calling on Organizational Commitment: An Yukl, Leadership in Organizations, p. 427.
178
Empirical Investigation of Spiritual Leadership,” Interna- M. E. Brown et al., “Ethical Leadership,” Organizational
tional Journal of Organizational Analysis, Vol. 13, No. 1 Behavior and Human Decision Processes, Vol. 97 (2005), p. 120.
179
(2005), pp. 8–27. Michael E. Brown and Linda K. Trevino, “Ethical Leader-
170
Maragret Benefiel, “The Second Half of the Journey,” The ship: A Review and Future Directions,” The Leadership
Leadership Quarterly, Vol. 16, No. 5 (October 2005), p. 727. Quarterly, Vol. 17, No. 6 (December 2006), p. 599.
171 180
Fry, “Toward a Theory of Spiritual Leadership,” pp. 715–716. Ibid., p. 600.
172 181
William L. Gardner et al., “Can You See the Real Me?” The Ibid., pp. 610–611.
182
Leadership Quarterly, Vol. 16 (2005), p. 344. Yukl, Leadership in Organizations, p. 416.

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 c h a p t e r e i g h t

P l a nni ng and
D ec i si on Maki ng
Learning Objectives
1. Explain what planning is expected to accomplish.
2. Define what a plan is.
3. Discuss synoptic planning.
4. Identify the specific elements of administrative, procedural, operational,
tactical, and strategic plans.
5. Discuss what planning can be expected to accomplish.
6. State Simon’s concept of “bounded rationality.”
7. Explain Lindblom’s incremental decision making.
8. Describe Gore’s decision-making process.
9. Explain the concept of the thin-slicing theory.
10. State the advantages of group decision making.
11. Discuss the liabilities of group decision making.
12. Explain the concept of brainstorming.

256

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 c h ap t e r 8 • P l an n i n g an d D e cis ion M aking 257

INTRODUCTION types of planning; (7) decision making; (8) the

use of computers in the decision-making
Planning and decision making are both
process; (9) decision making during crisis events;
critical processes for effective police
(10) group decision making; (11) ethics and
administration and are inextricably intertwined.
decision making; (12) common errors in decision
These two processes are important steps
making; and (13) improving decision making.
toward establishing the direction and operation
of a police department. Often, planning is
precipitated by recognizing that a problem, PLANNING
either small or large, exists that needs to be
The planning landscape is crowded with many approaches to
addressed. That situation is sometimes called that task, as well as the associated techniques. Together, they
problem-oriented planning. range from simple/basic, but effective schemes, to those that are
Although natural and man-made disasters heavily based on statistical analysis. While many organizations
know the value of planning and do it well, others discover too
may not occur with regularity in a jurisdiction, late that their planning is woefully inadequate.
there is still a need for effective planning and For example, the BP oil spill in the Gulf of Mexico in 2010
decision making that may save lives and reduce reflects a lack of in-depth planning. BP had template procedures
to address emergency situations, but when an oil rig explosion
property losses. A well-prepared plan on the blew out an underwater well, the company took nearly 12 days
shelf is more valuable, even if it is never to formulate its first plan of attack. The templates failed to con-
needed, than an extemporaneous plan created sider, or adequately anticipate, an accident of such magnitude.
The result was that a catastrophic amount of oil spilled into the
in haste. Planning is seldom a wasted effort Gulf, contaminating coastlines and wildlife around portions of
although some events may briefly overcome it, the Gulf Coast. Consider what would happen if police organiza-
such as a series of large organizational changes tions took a similar approach to planning, for example, stopping
to formulate a response to a complex and fluid situation like the
conducted too rapidly, which can confuse law 2013 active shooter who murdered 12 people at the Navy Yard
enforcement officers about their roles and in Washington, DC (discussed in greater detail later in this chap-
responsibilities and new missions thrust on ter). In such cases, there is simply not enough time to stop
operations while adjustments are made to a basic template.
agencies like homeland security. Even if a Some police administrators may not have a full appreciation
specific plan has not been developed to of the importance of planning because of their pattern of career
address an unanticipated crisis having development. If they have spent substantial portions of their
careers in line divisions, such as patrol and investigative services,
experience in dealing with the planning process they may be field oriented to the degree that staff functions, such
in general can be very valuable experience. A as planning, do not receive the executive attention or support
classic example of this is when Apollo 13 was that they deserve.
Planning is one of the most critical ingredients for the suc-
nearing the moon and was rocked by a series of cess of any organizational undertaking.1 Police leaders must
events that made the survival of the crew very fully embrace the planning process in order to resolve
uncertain. It was only through continuous and
improvised planning by the National Aeronautic
and Space Administration (NASA) over 3 days Quick Facts: The Apollo 13 Mission
that got the crew safely home.
In this chapter, we will examine elements of On this much-analyzed mission, the problems started
the planning and decision-making process. when oxygen tank No. 2 blew up, causing the No. 1 tank
to also fail. The command module’s normal supply of elec-
This will include the following: (1) planning; tricity, light, and water was lost, and they were about
(2) planning as a process; (3) planning and time 200,000 miles from Earth. Visit NASA at https://www.nasa.
gov/mission_pages/apollo/missions/apollo13.html#.
orientations; (4) synoptic planning; (5) other Vb6f1zBViko to learn what happened.
categories of plans; (6) the blending of the five

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 258 cha pte r 8 • Pl a n n in g a n d D e c i s i on Mak i n g

problems and be prepared for the future. Sound planning and necessary funds and resources to do the work, and initiating
programs can reduce the opportunity for crimes to occur, as action in time to prepare what may be needed to cope with
well as prevent some other unknown number of crises from changing conditions and contingent events.5
occurring or at least to handle them more efficiently when
they do occur, for example, hurricanes, earthquakes, forest
fires. Arguably, law enforcement agencies that are perpetually The SITAR Approaches to Planning
in crisis suffer from the absence of good leadership and have Planning can also be defined by the approaches used and they
either no planning function or an unsupported and over- are sometimes referred to by the acronym SITAR:
whelmed one. Such factors foster an environment where crisis 1. Synoptic—This is a rational approach and still
is unfortunately predictable and further supported by an ori- the dominant planning process in policing and
entation that is too past or present oriented and only mini- elsewhere. Its roots are in England where
mally oriented to the future, the proverbial “short time rudimentary planning became an essential part of
horizon.” In contrast, effective planning can be expected to the Industrial Revolution (1760–1850). As society
accomplish the following: took advantage of manufacturing, people left their
1. Improve/strengthen the analysis of problems. farms to find work in rapidly growing cities. Because
2. Provide better information and data for the synoptic model is the dominant approach, it is
decision making. also covered in greater detail in a subsequent section
of this chapter.
3. Help to clarify goals, objectives, and priorities.
2. Incremental—In 1959, Lindblom developed the
4. Foster a more effective allocation of resources.
concept of “muddling through” that challenged the
5. Improve inter- and intradepartmental co-operation notion of rationality in policymaking. In his view,
and coordination. policy decisions are made on the basis of “muddling
6. Enhance the performance of programs. through” or a series of limited comparisons of policy
7. Clearly communicate the department’s direction to all options, which reduces rationality. When muddling
employees, other agencies, and the public. through is applied to planning in law enforcement
8. Generate opportunities for community engagement. agencies and other organizations, the result is small,
9. Increase the commitment of personnel by involving them. incremental changes made to existing plans. This
perpetuates the status quo by making plans
In short, competent planning is a sure sign of good police evolutionary but not revolutionary. It is disjointed
administration and enhances the ability of an administrator to because there are no larger, more comprehensive
make more effective and efficient decisions.2 considerations and as a consequence incremental
planning, which is more “now focused” than future
oriented, is used.
PLANNING AS A PROCESS 3. Transactive—This relies on acquiring face-to-face
knowledge of people’s problems and not those of
The word planning achieved prominence in the vocabulary of some anonymous group’s. It focuses largely on
criminal justice agencies when the federal grant-awarding obtaining data by conversations with members of the
Omnibus Crime Control and Safe Streets Act of 1968 became target population. To some degree, community policing
law. However, what was missing from that document was an reflects transactive planning.
explanation of what planning actually involved or what it 4. Advocacy—This model rests on the adversarial
meant in the operation of criminal justice organizations. A plan process of the legal profession and is usually applied
essentially is a decision about a future course of action. The to help the weak and disadvantaged against
briefest definition of a plan is “How we get from here to there.” powerful interests, for example, government and
Weiss3 asserts that a primary purpose of planning is in evalua- business. In doing so, advocacy implicitly
tion, comparing “what is” with “what should be.” Hudzik and incorporates a more political view of planning.
Cordner4 defined planning as “thinking about the future, think- Paul Davidoff coined the term advocacy
ing about what we want the future to be, and thinking about planning in 1965.
what we need to do now to achieve it.” Stated more succinctly,
5. Radical—This rests on the notion that planning is
planning involves linking present actions to future conditions.
most effective when done by lay people on
Mottley views planning as
neighborhood committees that best know their own
a management function concerned with visualizing future problems. Ideally, those people feel empowered to
situations, making estimates concerning them, identifying the collectively address their own problems. At its heart,
issues, needs and potential danger points, analyzing and radical planning incorporates Marxist thinking. Part of
evaluating the alternative ways and means for reaching radical planning’s bias is an almost urgent need to
desired goals according to a certain schedule, estimating the change the status quo.

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 c h ap t e r 8 • P l an n i n g an d D e cis ion M aking 259

PLANNING AND TIME 4. Proactive planning. This model has some similarities
with the preactive, for example, interactively engaging
ORIENTATIONS government agencies, examining “think tank”
publications, assessing demographic analyses, criminal
One way or another all plans have a time orientation and we use of recent technological developments or
instinctively think of them as being future oriented. A budget is combinations of them, for example, terrorists using
a plan stated in financial terms; most law enforcement agencies drones to launch attacks, labor statistics, and other
have a 1-year operational budget (see Chapter 11, Financial sources. Where the preactive and proactive agencies
­Management). Strategic plans are multi-year plans of usually part company is when the latter attempts to change
3 to 5 years. Tankha identified four types of planning approach anticipated future events that are likely to occur. For
based on their time orientations. These approaches are “pure” in example, assume that a city’s population of individuals
nature and in actual practice several of them may be practiced who are between 18 and 24 years of age is expected to
in a single agency.6 increase by 24 percent over the next 3 years because a
1. Inactive Planning. Law enforcement agencies that do new technical college opened 17 months ago with
little or no real planning and the process is markedly several majors geared to skills needed for the two
underemployed or altogether dormant implicitly rely on software development companies that have just
the inactive planning approach. Its underlying relocated there. Another major computer industry
assumption is that things will continue to be as they are company is also considering relocating to the city. With
and it will be “business as usual.” Its time orientation is all the positive things these developments will bring,
substantially rooted in the present under the there are also some negatives. The population increase
assumption that it’s better than the past and not as among younger adults falls into the 15–24 age range
dangerous as the uncertainties of the future. There is no that is highly victimized and also commits a large share
systematic scanning of the environment to detect new of crimes. Just on this one issue the police department
opportunities. Such agencies are change resistant, even is searching for strategies and programs that will
in the face of community calls for new responses to mediate those facts and thereby change the future.
crime. In trying to sustain things as they are now, while There are also other types of plans that are identified in
the world around the agency changes, it is more likely the appropriate sections that follow.
than not that their services will degrade over time.
2. Reactive planning. As its name suggests, it is in reaction
to problems that have recently occurred and are being
addressed or are presently happening and require an
SYNOPTIC PLANNING
immediate response. It is both past and present oriented. Synoptic planning, or the rational comprehensive approach,
Reactive departments are not leaders in innovation and is the dominant tradition in planning. It is also the point of
are generally slow to change. Characteristically, reactive departure for most other planning approaches, which in general
agencies make incremental changes cautiously, using the are either modifications of synoptic planning or reactions against
back edge of leading thoughts and technology. However, it. The classic and most basic synoptic model had four steps:
there are two exceptions to this: (1) goal setting, (2) identification of alternatives, (3) evaluation
(1) They react as swiftly as possible to strong of the means against the end, and (4) implementation of deci-
social/community pressures, such as issuing sion. Figure 8.1 represents a common version of the synoptic
body-worn cameras to all of their uniformed model. It is theoretically based on “pure” or “objective” rational-
officers, allowing more citizen participation in ity and attempts to ensure optimal achievement of desired goals
crime reduction efforts, or putting more video from a given situation.7 It can be more or less labor intensive
surveillance cameras in crime hot-spots. depending how “deep” each component is considered.
This model is especially appropriate for police agencies, as it
(2) Also, assuming hypothetically that the federal
accommodates a problem-oriented approach to planning. It relies
Occupational Safety and Health Administra-
heavily on the problem identification and analysis phase of the
tion (OSHA) issued new guidelines on how
planning process and can assist police administrators in formulat-
certain classes of physical evidence such as
ing goals and priorities in terms that are focused on specific
body fluids should be collected and stored,
problems and solutions that often confront law enforcement.
the reactive agency would quickly mobilize
resources to be in compliance.
3. Preactive planning. This is centered on the future, Steps in Synoptic Planning
attempting to predict changes in the larger The steps in synoptic planning are designed to provide those
environment. Once armed with this knowledge, involved in the planning process with a logical course of
preactive police agencies use it to acquire the skills and action as the model unfolds.8 Using Figure 8.1 as a reference,
competencies they need in the future they envision. a discussion of those steps follows:

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Police Chief
prepares the agency
for the planning
process

Implement decision, Analyze present

monitor, and adjust situation, problems,
as needed and opportunities

Identify alternatives
that support the
achievement of goals Set Goals
(means-ends test)
and evaluate them

FIGURE 8.1 c The Synoptic Planning Model.

Preparation for Planning. It is during this step that the environment that are useful in both short-term and strategic
police chief focuses the planning effort by issuing a planning. One of these tools is the four-quadrant SWOT
memorandum that describes its organization, goals, (strengths, weaknesses, opportunities, and threats) analysis,
responsibilities, methods, timeline, and desired results. which was developed by Albert Humphrey at Stanford
Unless otherwise determined, for example, planning during the 1960s (see Figure 8.2). Its development is also
security for a visiting dignitary, citizen participation in the credited to Edmund Learned, C. Christensen, Kenneth
planning process should be considered essential and in Andrews, and others.
many jurisdictions this is considered a routine matter. It is Set Goals. Goals are future conditions or “states” that a
also fundamental to community policing. Community police department wants to reach. The rule of thumb is that
engagement gives citizens voices about what their police generally in any year goals may become more attainable by
departments do and how they do it, which builds trust. limiting them to roughly five to seven priority ones which
The Chief’s memorandum should include mention of any can receive concentrated attention and stay firmly in focus.
citizen involvement. However, that varies by local circumstances. Not all goals
Analyze the Present Situation, Problems, and are equally important. There is an increased use of “priority
Opportunities. There are multiple sources of information goals” in local government to distinguish them from ones
to describe the present situation, problems, and that are important but which are not as salient as those
opportunities, for example, citizen surveys of satisfaction designated as priority.
with the law enforcement agency’s service, program Goals communicate what we hope to become. They lift
evaluations, auditor reports, staff inspection results, the our vision from the “now” to the future, creating forward
current history of lawsuits against the department, motion and driving performance as we strive to reach them.
communications to and from unions, local newspaper Goals establish a collective sense of responsibility for
coverage of the agency, self-assessment for accreditation or achieving them, engendering higher performance levels. We
re-accreditation, and the results of the mock assessment like being on winning teams whether it’s selling Girl Scout
prior to the actual visitation by the Commission on cookies, scavenger hunts, the middle school quiz bowl, or
Accreditation for Law Enforcement Agencies (CALEA). sports. Departmental goals that are achieved provide law
There are also tools that can be used to assess the broader enforcement officers with professional satisfaction.

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 c h ap t e r 8 • P l an n i n g an d D e cis ion M aking 261

Determining Strengths Identifying Opportunities

• How does our agency do on UCR Part 1 benchmarks?* • What economic, social, technological, or other large-scale
• What does the most recent citizen survey tell us about their external shifts are favorable to us?
satisfaction with our services? • What innovations would reduce response time?
• Are our previously defined mission-related skills better than • How can we meet the community’s need for more
average? engagement in crime fighting?
• Are we properly trained for simultaneous large-scale/multiple • New grants available from the federal Department of
shooter events? Homeland Security that would bolster our capabilities in
• What is our present reputation with the administration and that area.
political body?
• How do our officers place in regional and national athletic,
marksmanship, and SWAT competitions?
Determining Weakness** Identifying Threats

• What programs or activities do not support our mission? • What economic, social, technological, or other large-scale
• What deficiencies did the most recent financial and program external shifts are unfavorable to us?
auditors note? • Sworn and civilian salaries are not competitive.
• How can we get annual voluntary separations below 9%?
* A benchmark is a comparison against a fixed standard, such as the national average for Uniform Crime Reports (UCR) Part 1 arrests for
jurisdictions in our population range or relative to similar sized jurisdictions in our state or region.
** The answers to some questions in determining strengths may fall into this category.

FIGURE 8.2 c SWOT Analysis for a Law Enforcement Agency.

A goal should be stated in terms that allow progress A. The Decision Matrix. This technique was devel-
toward it to be measurable. A goal statement should have oped by Stuart Pugh (1929–1993) and is both simple
three indispensable features: (1) time-phased, and elegant. Its steps are to (1) identify and define the
(2) quantitative, and (3) target specific. An example of criteria against which all alternatives will be evaluated.
these might be stated as follows: “During the year 2017, the Examples of such criteria include cost, sustainability,
Ocean View Police Department will reduce juvenile violent and compliance with CALEA standards; (2) develop
crimes by 6 percent.” A goal may be difficult to achieve but the decision matrix; (3) have each member on the
must be realistically attainable. Goals often have planning team score each alternative on all criteria
subordinate or short-term objectives that represent with the points defined on an accompanying scale;
milestones. For example, a subordinate objective may be (4) compute the total score for each alternative; and
stated as follows: In the first 31 days of 2017, the agency (5) discuss the higher scoring alternatives and make a
will complete the training of 100 percent of its officers who selection. The scores should be considered carefully
are assigned to field duties in the subject of conflict but not without some flexibility. This also applies to
de-escalation. the results obtained from the second tool discussed
Identify Alternatives. A simple truth is that alternative in this section. If judiciously used, there is a role for
courses of action to reach a goal cannot be identified until experienced judgment to supplement the results of
a goal is selected. Often, there are several alternatives that the decision matrix.
are attractive. Generally, alternatives proposed by members Figure 8.3, the Pugh Decision Matrix worksheet,
of the planning team should be worthy of genuine provides an example. For purpose of illustration,
consideration. However, brainstorming (discussed in detail assume that Criterion A is “Increase Receiving Stolen
later in this chapter) is sometimes done with suggestions Property Arrests by 15%.” The criteria column may
recorded on a flip chart to get the “creative juices” flowing, be lettered and may have a short definition for each
including some suggestions that may seem frivolous. In the criterion in it. Each criterion and its full definition
discussion of the alternatives that follows, some number of should be readily viewable on flip charts, handouts,
them may be quickly discarded, but occasionally a or a PowerPoint to make sure that team members
seemingly frivolous alternative may spark conversations that consistently have the definitions before them. A Pugh
are useful. A more thoughtful session for the generating of Decision Matrix worksheet may have another column
alternatives may follow the brain-storming exercise. Some to the right of the criteria column where importance
alternatives proposed may be so close together that a weights are assigned and which vary according to
discussion may be needed to flesh them out more to see the perceived value of each criterion. When using
what their fuller version looks like or they may be weights, the score (see Figure 8.3) assigned to each
combinable. When comparing alternatives, there are several criterion is multiplied by its associated importance
easy-to-use tools that can be utilized. For example: weight. Each member of the planning team would

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Date:__________________________ Rater:_______________________

Criteria Scores for Scores for Scores for Alter- Scores for
Alternative 1 Alternative 2 native 3 Alternative 4
A +2 +1 +3 +2
B +2 +2 +3 +2
C +1 +1 +3 +2
D +1 +2 +3 +3
E +2 +1 +1 +2
Total + +8 +7 +13 +11
Total - -0 -0 -0 -0
Final Score +8 +7 +13 +11
The Scoring Scale:
+3 Far more than likely
+2 More than likely
+1 Likely, but no more than that
-1 Likely to fall short
-2 More than likely to fall short
-3 Far more than likely to fall short

FIGURE 8.3 c Example of a Pugh Decision Matrix.

complete the Figure 8.3 worksheet and subsequently the worksheet; in this illustration it is a “7.” W­ orking from
all of the scores would be consolidated, displayed, left to right across the worksheet, the other two ­numbers
and discussed to reach consensus. During these are, in turn, entered, 9 and 9. When the rater complet-
discussions, some excellent points are made, which ing the worksheet is done entering ratings in the work-
may precipitate some rescoring by individuals. If sheet, the sum of the rows and the standing in the ranks
the scores in Figure 8.3 were the averages for all are ­recorded. Although Alternative C is seemingly in good
raters, an agency may elect to only do a consensus shape with 27 points, Alternative A has 25 points. There
discussion for Alternatives 3 and 4. are two things to keep in mind: (1) This is the worksheet
for just one of five raters and for this criterion and (2) there
B. The Paired Comparison Method. The earliest
are five more criteria to be evaluated for each alternative.
writings about paired comparison were those of
Witmer and Cohn (1894) and Kitchener (1901).9
Their technique remains in wide use today with vari- Implement Decision, Monitor,
ants ranging from rudimentary to those dependent
and Adjust the Plan as Needed
on statistical analysis.10 As with the other tools dis-
cussed in this section, paired comparisons provide The Chief of Police may assign a unit commander or designate
law enforcement decision makers with a systematic a civilian project manager to implement the alternative chosen,
way of sorting out which of the alternatives “best” depending on the alternative. The purpose of this assignment is
meets their agency’s needs. For discussion purposes, to fix responsibility for its monitoring, progress, and success. The
there are five raters. A pool/set of criteria must be planning committee should have laid out an evaluation plan for
developed and defined. Hypothetically six of them the alternative selected and made sure the data for it is actually
are generated. The criteria essentially represent the being collected. If some needed evaluation data is not being
“standards” against which all alternatives are individ- collected, the evaluation plan must be adjusted on the authority
ually evaluated on separate worksheets by decision of the person responsible for the implementation of the alterna-
makers. Figure 8.4 shows an individual worksheet tive or by the authorization of any steering committee to which
for evaluating the first criterion, “How likely is this he/she reports and forms devised to capture the data from the
alternative to fully meet the goal?” very beginning.
Evaluation requires comparing what actually happened
In Figure 8.4, Alternative A cannot be evaluated against with what was planned for—and this may not be a simple
itself, so the first rating involves the judgment whether undertaking.11 Feedback must be obtained concerning the
­Alternative A is more likely than Alternative B to meet Crite- results of the implementation of the alternative, as well as the
rion 1. Hypothetically, the number on the scale in Figure 8.4 effectiveness and other impacts of it. Hudzik and Cordner12
that is consistent with the rater’s judgment is entered into point out that evaluation completes one cycle of synoptic

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 c h ap t e r 8 • P l an n i n g an d D e cis ion M aking 263

Rank of
Alternatives A B C D Sum of Rows Alternative
A 7 9 9 25 2

B 5 7 3 15 3

C 9 9 9 27 1

D 5 5 3 13 4

Scale for Paired Comparison

Scale Definition Explanation
1 Less than likely The evidence does not suggest the possibility
3 Likely The evidence suggests the possibility
5 More than likely The evidence suggests a moderate possibility
7 Much more than likely The evidence suggests a strong possibility
9 Absolutely likely The evidence suggests a very strong possibility

Figure 8.4 c Criterion 1: “How likely is this alternative to fully achieve the goal?”

planning. The need to identify and resolve problems must be Operational Plans
considered repetitively.
These are often called work plans and describe specific actions
to be taken by line units (patrol officers, precinct groups, and/
or division teams). Work plans are usually short and terse, giv-
OTHER Categories OF PLANS ing both direction and time constraints in accomplishing a
given task. In community policing ventures, the work plan
From an applications perspective, the planning process yields an usually focuses on a defined community need in a specific
end product—a plan. These can be categorized by use and are neighborhood.
delineated into five groups:13
1. Administrative or Management Plans Tactical Plans
2. Procedural Plans These involve planning for emergencies of a specific nature at
3. Operational Plans known locations. Some tactical plans are developed in anticipa-
4. Tactical Plans tion of such emergencies as the taking of hostages at a prison
5. Strategic Plans or a jailbreak and are subject to modification or being discarded
altogether in peculiar and totally unanticipated circumstances.
Other tactical plans are developed for specific situations as they
Administrative or Management Plans
arise, such as how to relate to a demonstration in the park or a
This includes formulation of the department’s mission statement, march on city hall as well as hosting political conventions.
values, goals, and policies and procedures; the organizational Although well-operated police agencies invest considerable
structure, the functions, authority, and responsibilities of posi- effort in developing tactical plans, they may seldom or never be
tions and units; the allocation of resources; sick leave, vacation used. Nevertheless, their very existence stimulates confidence
time, court appearances, and other related topics. among field officers and lessens the likelihood of injury to offi-
cers, the public, and violators.
Procedural Plans However, sometimes even the best laid out tactical plans do
This category of plans are ordinarily included as part of a police not go exactly as planned because not every eventuality can be
department’s written directive system, a copy of which is anticipated. A good example of this occurred in an active
assigned to every officer and is updated periodically. Procedural shooter situation on September 16, 2013, at the Washington, DC,
plans are the guidelines for the action to be taken under specific Navy Yard that resulted in 12 individuals being killed and several
circumstances. For example, this could include the following: others being injured.14 The active shooter, Aaron Alexis, 34, was
proper application of the use of force; responding to bank rob- subsequently shot and killed at the scene by a Metropolitan
beries; evidence handling; when and how to utilize canine Police Department officer who had first been fired upon by
teams; responding to domestic violence calls; informant manage- Alexis but was saved by his protective vest.15 The following is a
ment and dozens of other similar police matters. summary of the After Action Report resulting from this incident.

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Case 1
A F T E R A C T I O N R E P O RT
WAS H IN G T O N N AV Y YA R D SE P T EMB ER 16, 2013
INTE RN AL R EV IE W O F T HE MET R O P O L I TA N P O LI C E D EPA RTME NT
WAS HI N GT O N, DC
At the beginning of the incident, the streets were blocked the shooter, moving as quickly, but prudently, as possible.
off by the police. (see Figure 8.5) One hundred seven- They have also been trained to bypass downed victims,
teen law enforcement officers from various agencies when the gunman is still active, in order to find and neutral-
entered the building to search for the gunman.16 Many ize the threat as quickly as possible. Those first officers may
of the search teams consisted of officers or agents from
a variety of different agencies. Despite the mixed com-
position of the teams, the team members quickly went
to work searching for the shooter.
Quick Facts: Active Shooter Lessons
The harsh lessons of Columbine in Colorado,17 in which
the initial responding officers waited for the arrival of the
For more information on planning and training regarding
Special Weapons and Tactics (SWAT) team, have forced law
responding to active shooter incidents, see Greg Ellifritz,
enforcement to adapt its response protocols and enter as
“10 Lessons Learned from the new FBI Study on Active
quickly as possible in order to search for the shooter. Wait-
Shooters”; http://www.activeresponsetraining.net; Dan
ing for the specially trained SWAT teams or Emergency Marcou, “5 Phases of the Active Shooter Incident”; http://
Response Team (ERT) officers to arrive and lead the tactical www.policeone.com/; and Office of Homeland Security,
response is no longer considered an option during active “Active Shooter Preparedness,”; http://www.dhs.gov/
shooter incidents. active-shooter-preparedness.
The first officers on scene must form active shooter
teams, make entry, and immediately begin searching for

FIGURE 8.5 c Upon responding to the active shooter call at the U.S. Navy Yard in
­ ashington, DC, one of the first things the Metropolitan Police Department did was to block
W
off all the intersections in the proximity of this facility. (Demotix sourced/Demotix/Corbis)

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 c h ap t e r 8 • P l an n i n g an d D e cis ion M aking 265

be all that stands between the gunman and even more in the department with certain equipment unfeasible. For
victims. example, many patrol officers are not in vehicles, but
The rapid entry of the first officers on the scene proved rather are on foot, bikes, motorcycles, or other modes
critical in stopping the gunman from taking the lives of even that do not allow for carrying large pieces of equipment
more people in the building. Unlike the shooters in some or large amounts of equipment.
previous tragedies, this active shooter did not take his own A second issue that was raised in the after action assess-
life when the first officers entered, but rather seemed deter- ment was that some personnel from other law enforcement
mined to first evade and then engage law enforcement agencies did not appear to be willing to take instructions
officers. The sheer size and maze-like layout of Building 197 or commands from the Washington, DC, Metropolitan
likely contributed to the active shooter being able to evade Police Department (MPD) forward operating commander,
and then ambush officers he encountered. However, upon who was coordinating the entry of the active shooter teams.
entering the officers were able to neutralize the threat with- These law enforcement officers responded into the building
out further loss of life. on their own. It was reported that at least one law enforce-
After prior training scenarios were reviewed, it was ment officer indicated that he and his colleagues were fed-
noted that law enforcement had conducted extensive eral officers and the Navy Yard was a federal facility;
active shooter training exercises and scenario-based drills therefore, they did not need “permission” to respond to
in many types of locations (such as schools, hotels, hospi- the incident and enter the scene. Despite the truth of that
tals, universities, transportation hubs, government build- statement, the officer is ignoring the much greater implica-
ings, and more), but military bases were often excluded tions and increased risk created by an uncoordinated
from the training even after 2009 shooting at Fort Hood.18 response. Furthermore, it was clear that Incident Command
Also, civilian police department personnel may hold the was operating and that MPD was the lead agency. This
mistaken belief that the personnel working within gated issue can ultimately be addressed through training and
military installations in the United States, such as the Navy communication.
Yard, are heavily armed and capable of defending against
threats. The truth, however, is that the majority of the indi- Recommendations
viduals working on military bases are not armed. Out of the
Neighboring law enforcement agencies, both federal and
14,000 workers at the Navy Yard, an extremely small num-
local, should conduct collaborative, inter-agency training
ber either possessed or had access to a firearm. In terms
exercises. By training together, officers from different agen-
of an armed presence, the Navy Yard was really no differ-
cies are able to develop trust and mutual understanding
ent than other civilian agencies or private facilities that
prior to responding together to an incident that may require
employ limited numbers of armed security personnel at
a multi-agency response. The tactical teams for the various
entrances.
regional agencies train together on a regular basis. MPD’s
Emergency Response Team (ERT) and the other area agen-
After Action Constructive Suggestions cies’ tactical operators are extremely familiar with one
During the review meetings with internal units and agency another’s teams, tactics, and response plans. This familiarity
partners, there were two suggestions that were made should exist on additional levels throughout the agency—
related to the officers who entered the building. including patrol officers, field agents, and deputies—since
First, some participants in the discussion indicated these will often be the first personnel to arrive on the scene
that the use of ballistic shields may have assisted in of an active shooter. Active shooter training should include
increasing the speed of officers’ movement. Under the different types of locations, including military bases. It is
current training standard, officers were instructed to also important to note that even if a closed campus or
move as quickly and safely as possible to neutralize the gated facility has its own plans and protocols to respond to
threat. The officers’ perception or judgment as to the and manage a crisis, it is vital that the facility’s personnel
proper balance of speed and safety in those circum- plan for the unexpected and this includes a larger-scale
stances will likely differ; however, it was agreed that it response.
was an important consideration for future tactical train- The personnel from different agencies should receive
ing. It was recommended that the police department standardized training, which results in a consistent under-
should consider procuring ballistic shields as they pro- standing of tactics, communication, and approach. Collab-
vide officers with additional protection, which may orative training is also an opportunity to highlight the
increase their speed of movement. There are, however, importance of a coordinated response by all involved. Ulti-
practical considerations and, for some departments, mately, all personnel who arrive on scene should report to
financial considerations that make outfitting every officer and be deployed by the incident commander.19

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Strategic Plans organization’s direction in response to a changing environment.

It is a disciplined effort that produces fundamental decisions and
A strategic plan is one that an organizational management activ-
actions that shape and guide what an organization is, who it
ity can use to set priorities, focus energy and resources,
serves, what it does, and why it does it. Also strategic plans are
strengthen operations, ensure that employees and other stake-
longer in duration, typically 3 to 5 years.
holders are working toward common goals, establish agreement
around intended outcomes/results, and assess and adjust the

BLENDING FIVE TYPES OF PLANS

In 2009, the City of Tampa, Florida, agreed to host the Republi-
Quick Facts: Strategic
can National Conference that was scheduled to be held in 2012.
Planning Example The entire planning process took 3 years and involved adminis-
trative, procedural, operational, tactical, and strategic planning.
In the earliest planning stages, one of the major security con-
For more information regarding strategic planning, see:
Madison Police Department’s Trust- Based Initiatives and cerns was that some individuals or groups might attempt to
Collaborative Efforts with Madison’s Diverse Community; disrupt the convention. This did not occur to a great extent
https://www.cityofmadison.com/police/documents/ because of this agency’s careful planning. The steps that were
trustbasedinitiatives.pdf. taken in the planning process are summarized in “The Tampa
Quick Look Analysis Report.”

Case 2
T h e Tam pa Quic k Loo k An a ly si s R e port

Introduction Managing Large-Scale Security Events: A Planning Primer

The hosting of a national political convention posed unique for Local Law Enforcement Agencies.
planning and operational challenges. Due to their high- The Tampa Police Department (TPD) understood the
profile nature (i.e., political, economic, social, or religious magnitude of the event and the potential for violent clashes
nature) and the large number of attendees, national con- between the police and demonstrators, and the high risk to
ventions have the potential to adversely impact public officer safety. In reviewing the law enforcement response in
safety and security. Though many conventions have previous similar large-scale events, it became clear to the
occurred, detailed documentation to guide local law Chief and Assistant Chiefs that a different philosophy had
enforcement on planning and operational best practices is to be used to ensure the safety of attendees, demonstra-
sparse. tors, and officers assisting in the response. This philosophy
In order to address this gap in knowledge and to respond stressed an adherence to community policing strategies
to requests from law enforcement leaders, the U.S. Depart- that are focused and based on protecting the constitutional
ment of Justice’s Bureau of Justice Assistance (BJA) worked rights of demonstrators while ensuring officers’ safety.
in partnership with the Center for Naval Analyses (CNA) to In preparation for the event, the TPD developed and
provide technical assistance and support to local law distributed a standard operating procedure, produced spe-
enforcement security operations prior to and during the cifically for this event. This standard operating procedure
2012 national conventions. The primary goal of the techni- outlined the department’s missions and general policing
cal assistance was to develop an after action report (AAR) philosophy. Specific to their mission, during the 2012 RNC,
that documents key findings of the overall security planning the TPD sought to:
and operations. CNA analysts were deployed to Tampa, • Protect the First Amendment rights of all persons;
Florida, to support public safety and security operations for • Conduct all operations in a safe and efficient manner; and
the 2012 Republican National Convention (RNC) from
• Ensure that public safety services remain in full effect in
August 26 through August 31, 2012.
the non-event spaces for all affected jurisdictions.
In addition to this Tampa Quick Look Analysis Report,
the lessons learned and best practices from this event will To maintain uniformity and consistency of practices and
serve as a blueprint for future law enforcement agencies in protocols across the multiple agencies, TPD employed
charge of maintaining security. The BJA, with the support several strategies. It conducted training across the partici-
of CNA, documented key findings from the 2012 Demo- pating jurisdictions, provided officers with a pocket guide
cratic National Convention and the 2012 Republican that referenced the department’s use-of-force policy, held
National Convention in a comprehensive AAR, titled, a training session for 1,900 crowd control officers, and

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provided all of the crowd control officers with identical personnel. To satisfy this requirement, the TPD recruited
uniforms. more than 5,500 state and local law enforcement officers
These actions ensured that the officers supporting the from across the State of Florida. This enabled the effective
TPD operated as one unit, following the same procedures provision of security to over 80 venues, 60 critical
as one another and acting under one mission. Such a strat- infrastructure sites, hundreds of delegates and VIPs, and
egy is imperative in large-scale events, where multiple thousands of event attendees.
agencies are involved. These additional law enforcement officers also provided a
force reserve and the flexibility to meet potential/unantici-
Major Observations pated challenges.
During the event, CNA analysts observed discussions and • Communications and Situational Awareness: The
noted key decisions, actions, and field operations as they effective use of communications equipment and
related to critical functional areas, such as communications, technology provided greater situational awareness for TPD
intelligence, public information and media relations, and Commanders. Extensive criminal intelligence capabilities
training. and video surveillance technologies (e.g., fixed cameras,
mobile cameras on sources in the field) allowed TPD
From these observations, CNA identified a number of best
Commanders to make strategic response and resource-
practices and lessons learned.
allocation decisions based on real-time information.
Best practices reflect activities and actions that aided in Essentially, the enhanced video capabilities allowed TPD
the success of the event. Commanders to have a virtual presence or “eyes on the
Lessons learned reflect areas for improvement and detail ground” directly from the command center.
some activities or actions that would have improved • Legal Affairs: Training was provided to improve the
operations and planning. officers’ understanding of the legal and civil rights issues
Following is a summary of the major observations, which involved in this type of event (e.g., First Amendment rights
are described in detail in the Quick-Look Report. and privileges) and helped to ensure that officers
understood that their mission included protecting the
Best Practices rights and civil liberties of the demonstrators as well as the
ticket-holding attendees (e.g., delegates and invited
• Pre-Event Planning: Rigorous and robust planning prior guests). Though the number of demonstrators was far less
to the event facilitated TPD’s operations for several than expected, the TPD still responded to a number of
functional areas (e.g., training, tactical operations, demonstrations throughout the event to ensure public
logistics, communications, and traffic). Twenty-four order. Senior command staff and officials worked directly
subcommittees, an Executive Steering Committee, and a with the demonstrator groups, and this tactic appeared
core planning team established effective operational highly effective in quickly reducing tensions by allowing
plans, policies, and collaborative partnerships during the protestors “to be heard.” In addition, the accessibility of
28 months prior to the event that formed the basis for the senior officers in the field smoothed crowd control issues
successful execution of security operations. The TPD often and allowed for rapid adjustments of strategy.
cited the planning process and the operational plans that • Command and Control: TPD and the supporting law
were developed as part of this multi-jurisdictional enforcement agencies effectively coordinated command
collaborative process as critical factors in ensuring the and control of the event through a number of operations
success of this event. Below are the key best practices that centers, daily meetings, and a common communication
most influenced event-related security operations. radio network (see Figure 8.6). The implementation of the
• Pre-Event Training: Training was disseminated in a Incident Command System (ICS) allowed for multiple
number of different formats (e.g., scenario based, jurisdictions to perform their duties in operational
presentations, E-learning, and training videos) to ensure synchronicity, and ensured that communications and
that officers clearly understood their roles and situational awareness were maintained from the field
responsibilities. Training personnel was critical for ensuring through the chain-of-command to the Chief of the
that law enforcement officers accomplished their tasks Department. ICS and the interagency partnerships among
while preserving the TPD’s mission and policing TPD, neighboring local jurisdictions, federal agencies,
philosophy. One example of the benefit that training local businesses, and community organizations played a
provided was crowd control officers understanding their significant role in the operational success of the event as
roles and expected behaviors in response to evidenced by the minimal arrests and the perceptions of
demonstrators exercising their freedom of speech.20 both the public and the department.
• Personnel Recruitment: The TPD recognized early in the • Crowd Management: The use of bicycle patrols to
planning process that event security would require a quickly manage and cordon off crowds was particularly
significant number of additional law enforcement beneficial. Officers on bicycles were used to quickly

(continued)

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FIGURE 8.6 c During the Republican National Convention, the Tampa Police
Department 911 Emergency Communications Bureau was set up with 9 additional
radio channels, 4 dedicated phone lines, and an RNC supervisor. The team moni-
tored live video feeds, street cameras, and air service down links from the Tampa
Police Department and the Hillsborough County Sheriff’s Office. The information
they gathered was then relayed to the numerous command centers and the 60
local, state, and federal agencies involved in the security operation. (Courtesy of Bill
Serne/Tampa Police Department)

respond to demonstrators and provided a soft barrier understanding of the role the Florida National Guard
along the demonstration routes. Officers on bicycles often would play in security operations. Confusion existed about
rode to the front of the demonstrator marches and the number of guardsmen the Department of Defense
blocked traffic providing safe routes for these would provide and the tasks these guardsmen could fulfill.
demonstrators to exercise their constitutional rights. Using In addition to this, during the event, it quickly became
bicycles to manage the crowds proved more efficient than apparent that not all venue security personnel were
having officers mounted on horses, while still providing a familiar with their assignments or their surroundings and as
strong police presence (see Figure 8.7). a result, there were inconsistencies in the security
• Intelligence/Counterterrorism/Counter measures used at each checkpoint in the venue.
Surveillance: The 2012 RNC was the first time the • Personnel Tracking: Although the Radio Frequency
700-megahertz long-term evolution (LTE), a National Identification (RFID) equipment experienced technical
Public Safety Broadband Network, was used by local law difficulties in tracking and logging of personnel throughout
enforcement. This network provided officers with the event, these difficulties were minimally disruptive to the
interoperable voice, video, and data communications overall operation. After the event, however, these technical
allowing sources in the field to use iPhones, operated difficulties and the lack of personnel tracking caused
under this LTE network, to send, via a secure network, live inefficiencies in processing payroll. As a result, in order to
video of demonstrations and other intelligence track the hours logged working, payroll personnel resorted
information. to using sign-in sheets, which were often incomplete.
• Financial/Grant Management: Substantial time is needed
Lessons Learned to apply for federal funds, clear budgets, and obtain
The following are highlights of the key lessons learned: approval to begin to obligate and expend funds. This
• Resource Allocation: Obtaining and allocating personnel process should be considered carefully as part of the
in an effective manner were issues that were apparent in planning process. More details on grant management
both the planning and operational stages of the event. processes and procedures are outlined in Managing Large-
One issue that arose in planning for the event was that law Scale Security Events: A Planning Primer for Local Law
enforcement planners and operators did not have a clear Enforcement Agencies.

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FIGURE 8.7 c Police bike patrols were used extensively during the
Republican National Convention in Tampa, Florida. They travel in informa-
tion throughout the Downtown Area, helping visitors find their way. Also,
when demonstrators veered off the parade route bike officers rode ahead
and blocked traffic on side streets to prevent accidents. The RNC bike
patrol consisted of 200 officers who pedaled in for the event from 15 differ-
ent Tampa Bay Area communities. (Courtesy of Bill Serne/Tampa Police Department)

• Credentialing: The credentialing application process and inconsistencies within the credential process and would
instructions provided were unclear and undefined. In likely have been a more efficient approach.
addition, rather than distributing credentials at one central
location, each agency was individually provided Overall, the TPD’s operational response throughout the
credentials to issue. While this method was intended to be RNC was effective and aligned with its mission and plan-
more efficient, it delayed the credentialing process due to ning objectives. Officers were prepared to deal with
the large volume of credentials needed. In retrospect, TPD the incidents that arose and were able to maintain positive
recognized that the distribution of these credentials at a interactions with the demonstrators throughout the
central location would have likely cut down on event.21

DECISION MAKING a sequence of five steps for his “reflective thinking” model that
morphed into the classical rational comprehensive model of
This section provides a brief overview of selected milestones in decision making through the work of Simon, Brim et al., and
the flow of thinking about decision making. Planning is essentially others.23 Knight distinguished between risk and uncertainty in
a decision-making process and some of the terms used in this por- 1921, defining risk as knowing the probability of an adverse
tion of this chapter will be familiar due to the earlier discussions event happening and uncertainty as an unknowable risk.24
in the “planning” portion of this chapter. The synoptic planning In 1960, Simon (1916–2001) adapted reflective thinking to a
model parallels a number of steps involved in the rational com- three-step model to make it suitable for use in the context of
prehensive decision-making process, and both Pugh decision- organizational decisions; 2 years later, Brim et al., elaborated on
making matrix and paired comparisons are mainline decision tools. it as a six-step process:
In this section, the following are covered:
1. identification of the problem,
Rational Comprehensive 2. obtaining necessary information,
and Sequencing Models 3. production of possible solutions,
The earliest writings of decision making as a process are from 4. evaluation of solutions,
the Frenchman, Nicolas de Caritat, Marquis de Condorcet 5. selection of a strategy for performance, and
­(1743–1794).22 In 1910, John Dewey (see Figure 8.8) developed 6. implementation of the decision.25

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 270 cha pte r 8 • Pl a n n in g a n d D e c i s i on Mak i n g

Values Knowledge
Rationality

Skills, Habits, and Reflections Forgotten

FIGURE 8.9 c Simon’s concept of bounded rationality.

conscious . . . on a second side, the individual is limited by

his values and those conceptions of purpose which influ-
ence him in making decisions . . . and on a third side, the
individual is limited by the extent of his knowledge that is
relevant to his job.28
According to Simon, the consequence of bounded reality
was “satisficing.” It produced decisions with which the deci-
sion makers were not fully satisfied, but neither did it produce
much sacrificing; instead, it resulted in decisions that were
“good enough.”

Lindblom: Muddling Through/Disjointed

Incrementalism
FIGURE 8.8 c John Dewey (1859–1952). His reflective Lindblom also challenged the rational model of decision making
model was a milestone on the road to the rational compre- with his “muddling through” approach in 1959.29 Rather than
hensive decision-making model. (Library of Congress Prints and
Photographs Division [LC-USZ62-51525])
making sweeping changes, decisions, plans, and policies are
changed by making small, successive incremental changes to
them, tending to promote the status quo. Muddling through and
a later term “disjointed incrementalism” are synonymous. Based
From Dewey through Brim et al., the model remained
on his study of government institutions in the United States,
sequential in the sense that each step occurred in the same
Lindblom concluded the decision-making process is so frag-
order. The usual five or six steps in the rational comprehensive
mented and so complex, incorporating the interaction of various
decision-making model are immediately recognizable as spring-
institutions, political entities, pressure groups, and individual
ing from the work of Dewey.
biases, that rationality can have only a marginal effect. That is,
During the mid-20th century, Barnard imported the term “deci-
the police administrator faces a set of limiting political factors,
sion making” from the language of public administration and into
such as the mayor’s wish to be re-elected, that prevent the
business, where it was being discussed as “policy making” or
­decision-making process from being truly rational. For elected
“resource allocation.”26 The term quickly gained traction, perhaps
sheriffs, the political agendas can be so strong that rational
because “policy making” could go on endlessly, but a decision
­decision making is inhibited.
implied the end of discussion and the beginning of the action phase.
Lindblom’s incremental model asserts that decision making
is serial—that it is limited by time and resources as it gropes
Simon: Bounded Rationality along successive paths where means and ends are not distinct,
Beginning in 1947, Simon produced series of challenges to the where goals and objectives are ambiguous, and where rationality
rational comprehensive notion that decision makers behaved cannot consistently thrive. Contending that police managers and
with rationality27 (see Figure 8.9). He argued because decision administrators “play things safe” and opt to move very slowly, in
makers did not acquire all of the relevant information about their decision making, Lindblom30 proposes that managers “muddle
decisions, the decisions were not fully rational. Instead, these through” problems rather than analytically choosing decisions.
decisions were sub-optimized by “bounded rationality.” Simon Lindblom’s incrementalism provides both the police administra-
described bounded rationality as: tor and the public with a number of safeguards against error:
On one side, the individual is limited by those skills, habits, In the first place, past experience has given police chiefs
and reflexes which are no longer in the realm of the knowledge about the probable consequence of any decision

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they are considering. Second, chiefs need not attempt big This streetwise dimension is captured in Gore’s decision-
jumps forward because they don’t expect their decision to be making method for police administrators. In an antithesis to the
a final resolution of a problem. Their decision is just a first rational model, Gore identifies a process by which a decision is
step. . . . Third, Chiefs are in effect able to “feel their way the product of the maker’s personality. Gore views the heuristic
forward” as they move to each successive step. Lastly, Chiefs process as “a groping toward agreements seldom arrived at
can often remedy an error fairly quickly.31 While Lindblom’s through logic . . . the very essence of those factors validating a
now older characterizations are not flattering, some police decision are internal to the personality of the individual instead
leaders still find them to be “a description of reality.”32 of external to it.”37 Whereas the rational method is concrete,
formalized by structure and calculations, the heuristic concept is
Although it was never an important challenge to the ratio-
nebulous, characterized by “gut feelings reaching backward into
nal comprehensive model, in 1967, Etzioni produced a “third
the memory and forward into the future.”38
approach” to decision making that deserves mention. The
For Gore, decision making is basically an emotional, non-
first being the rational comprehensive and the second mud-
rational, highly personalized, and subjective process. Therefore,
dling through. His “third” approach was “mixed scanning.”
the facts validating a decision are internal to the personality of
Decision makers at various points could use aspects of the
the individual instead of external to it. The key word in this
rational comprehensive approach and at others rely on dis-
statement is “validating”; it is intended to convey a sense of
jointed incrementalism. Mixed scanning was vaguely worded
personal psychological approval or acceptance. The optimum
and difficult to operationalize. As a consequence, it never
situation is to select the decision alternative that creates the
took hold.33
least anxiety about or disruption to the individual’s basic needs,
wants, and desires. In effect, every “objective” decision should
Allison: Political and Organizational be modified to meet the emotional needs of the various mem-
Models bers of the police department who will be affected by the
decision. The passage from which this statement was taken
Allison’s34 analysis of the 1962 Cuban missile crisis led him to
provides additional insight into Gore’s heuristic decision-
the conclusion that the rational decision-making model, although
making scheme:39
most widely used, was seriously flawed. He provided two mod-
els that ran counter to the rational comprehensive model:
Whereas the rational system of action evolves through the
First, the organizational process model is based on the prem-
identification of causes and effects and the discovery of
ise that few government decisions are exclusively the province
ways of implementing them, the heuristic process is a grop-
or “property” of a single organization. Illustratively, particularly
ing toward agreement seldom arrived at through logic. The
when making major policy or other decisions, police agencies
very essence of the heuristic process is that factors validat-
are subject to significant influences from entities in their immedi-
ing a decision are internal to the personality of the indi-
ate environment and in some instances even controlled by them.
vidual instead of external to it. Whereas the rational system
Just locally, there are mayors, city councils, district attorneys,
of action deals with the linkages between a collective and
courts, and business representatives, a small number of which
its objectives and between a collective and its environment,
cross the line from advocacy to improperly influencing or even
the heuristic process is orientated toward the relationship
controlling what the police do or not do.
between that private core of values embedded in the center
Second, the government politics model holds that major
of the personality and its public counterpart, ideology. The
government policies are rarely made by a single rational actor,
dynamics of personality are not those of logic but rather
such as the chief of police. Rather, policymaking and general
those of emotion.40
decision making are the outcome of a process of bargaining
among individuals and groups to support various interests.
In other words, although logic and reason may be the basic
Implicit in both of the models is that the decision maker
intellectual tools needed to analyze a given problem or to
requires direction from his or her internal staff as well as sup-
structure a series of solutions to a given situation, logic and
port from other government agencies in the making of impor-
reason may not prove to be completely effective in establish-
tant decisions. This is especially true during crisis situations.35
ing intraorganizational agreement in connection with any
given decision.41
Gore: The Gut Level Approach Applauded for its contribution to the decision-making pro-
In 1964, Gore36 also challenged the rational comprehensive cess, Gore’s approach is also highly criticized as being too sim-
model by identifying the crucial element of humanism in deci- plistic and nonscientific. Souryal42 writes that “Gore’s analysis is
sion making. He presents a heuristic model, appropriately too unreliable. . . . It could complicate an existing situation,
referred to as “the gut-level approach,” when considering promote spontaneity, discredit the role of training and delay the
action that may be taken. Many seasoned patrol officers advent of professionalism” in police organizations. This is an
assimilate their experiences as time passes, thus becoming unfair assessment of the method. Gore views heuristic applica-
“streetwise and develop the ability to anticipate events before tions as adjuncts or alternatives to rational models. Further, some
they actually occur.” type of credibility must be assessed to that vague, unknown, and

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non-measurable entity we call experience, talent, streetwise, or makers to thin-slice, a rational response in which we find pat-
a “sixth sense.” It was these elements that Simon had so much terns based on very narrow slices of experience. According to
trouble with in calculating his “bound and limited” argument Gladwell, our unconscious allows us to sift through situations
regarding the rational model. In any event, Gore’s contributions that confront us, to the point that we throw out all irrelevant
remain as an opposite of decision making based solely on information and focus on the parts of the issue that are
figures, formulas, and mathematical designs. most relevant.
However, there is a dark side to rapid decision making
Recognition-Primed Decision Making (RPD) which is clearly not rational and Gladwell incorporates this into
This is a model based on a more naturalistic view of decision his theory. Often, unconscious attitudes and prejudices sneak
making. While the previously discussed models focus on dif- into the decision-making process, leading thin-slicing astray.
ferent courses of action and the selection of one course of Under extreme pressure, researchers have found that decision
action over others, RPD distinguishes itself by focusing more makers tend to fall back on stereotypes and prejudices. The
on the assessment of the situation, its dynamics, and the experi- best way to counter this type of bias, according to Gladwell, is
ence of the decision maker. Much like incrementalism and heu- to train decision makers to slow down, even slightly, and find
ristic models, RPD asserts that formal models of decision ways to mitigate the effects of stereotypes and biases by chang-
making are not possible in real-life situations, where decision ing the environment where decisions might occur. This may at
makers are under time constraints and face poorly defined first glance seem paradoxical, and some might argue that
tasks, dynamic conditions, and ill-structured goals. RPD con- Gladwell’s concept of thin-slicing is at odds with itself because
tains elements of the incremental and heuristic models and the theory asks that the decision maker go with his or her first
considers how a police official’s experience affects his or her reaction, but set rules ahead of time for the way that he or she
decisions. In RPD, police officials are primed to act in a situa- might think. Gladwell acknowledges this but asserts that those
tion and do not wait for a complete analysis of the facts before with enough training and expertise are more able to extract the
acting. Instead, elements of the situation are recognized as most meaningful amounts of information from the smallest,
typical and action is taken based on previous experience. RPD thinnest slice of an experience and are able to control the
relies heavily on the concept of satisficing, in which a solution environment in which rapid cognition takes place.47
is not so much optimal as it is sufficient, given the circum-
stances.43 In other words, decision makers utilizing RPD iden-
tify an option that will suffice in a given situation based on past THE USE OF COMPUTERS
experiences with similar situations, then try to elaborate and
improve on that option. Of course, the RPD model brings to IN THE DECISION-MAKING
mind questions about how decision makers react when they
encounter situations that are absolutely not typical. In these
PROCESS
cases, the RPD model states that the decision maker must iden- In the early 1960s, some federal government agencies began using
tify anomalies in the situation and obtain as much information “modern” mainframe computers. The less costly, but still powerful,
about the anomaly as possible in order to make a decision. The minicomputers appeared in 1964 and 1965. Initially, computers
RPD model does not allow for much creativity or ingenuity in were used to automate labor-intensive tasks, such as payroll cal-
a situation, and it certainly allows for previous mistakes to be culations. Around that time the phrase “garbage in, garbage out”
repeated. However, research indicates that RPD is the dominant gained currency, meaning that mistaken or poor quality input
form of decision making used in command and control produced flawed results. In the mid-late 1960s, applications of
organizations.44 computing to decision making largely centered on providing data
to support decision, which had the collateral effect of reinforcing
Thin-Slicing Theory the rational comprehensive approach to decision making, as did
many other subsequent computer applications. However, in the
Gladwell, in his 2005 book Blink, described a model of decision
1960s and even into the 1970s, the veil had not yet been lifted on
making called “thin-slicing.” The thin-slicing theory states that,
the seemingly miraculous other things computers could do in the
in situations where snap decisions are required, whether by a
realm of sophisticated problem analysis and decision making.
police administrator, a line officer, or anyone else in a decision-
Taking advantage of computer applications available now is
making capacity, instantaneous decisions can often be the best,
particularly crucial to the future of intelligence-led/predictive
particularly when paired with training and expertise.45 Thin-
policing and the research of the smart policing initiative.48
slicing is clearly an offshoot of the heuristic model, as Gladwell
Despite the advantages of powerful analyses, Maule issues a
maintains those decisions that are made in an instant can be
cautionary note:
equally good, or even better, than those made deliberately and
with a lot of information. Thin-slicing incorporates more rational- Decision making is a vital activity. It determines the actions
ity than traditional heuristic models. Unconscious decision mak- that individuals and organizations take and how successful
ing, which Gladwell describes as “a kind of giant computer that these are, but we still have much to learn about it.
quickly and quietly processes a lot of the data we need in order Many problems in how we make decisions have been
to keep functioning as human beings.”46 This allows decision attributed to limitations in how we memorize and process

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information, and computers are often used to overcome these Together, the three sub-fields of decision support gives the
restrictions. But because many computer systems have been police powerful tools to quickly and efficiently examine staffing
developed without a full understanding of how people actu- patterns and needs, distribution of the field force, conduct social
ally think, computers can lead people to make bad decisions. network analysis (SNA) to discover the connection between
There are situations when it would have been better to follow criminals and their patterns, analyze the cost-effectiveness of
gut reactions. Following your intuitions is much more difficult using DNA to solve property crimes, crime mapping, hot-spot
when you are sat in front of a computer! The trick is to know analysis, and other important problems.51
when and when not to use gut reactions, something that most As has been seen in the riots following a police shooting in
decision makers are not taught.49 Ferguson, Missouri, and the death of a Baltimore, Maryland,
African-American male in police custody in 2015 (both discussed
Currently, the field of computer science is focused on two
in greater detail in Chapter 4, Politics and Police Administration),
broad, but related, fields of decision making (see Figure 8.10).
planning was inadequate, the police were either not allowed to
1. Decision systems, which are decisions made by a be effective in controlling the situation because of political con-
computer. It does so using any of several forms of siderations, and/or decision makers did not know what action
artificial intelligence (AI) and relies on its own should be taken. Using computer simulations, a 2008 study
particular knowledge base and inference or reasoning revealed what the optimal police responses should be when faced
programming to reach decisions that would otherwise with a crowd control or riot situation, down to the placement of
have to be made by a human. As an illustration, many barricades. From decision support simulations, the on-scene com-
police departments direct incoming non-emergency mander can match crowd or riot behaviors with optimal response
calls by automation; and from pre-stored strategies to fit the tactical situation being faced.52
2. Decision sciences have three sub-fields: Normative,
descriptive, and decision support; they all rest on the The Use of a Decision Tree
rational model. For present purposes, the most When using a decision tree model, the probabilities for various
important of these is decision support, which also has outcomes are calculated for each branch of the tree. In the exam-
three sub-fields: decision analysis (DA), operational ple used in Figure 8.12, the first branch of the trunk has three
research (OR), and decision support systems (DSS) possible outcomes: (1) arrest at the scene by a patrol officer,
(see Figure 8.11).50 (2) no arrest at the scene, and (3) arrest at the scene by a detec-
tive. Note in the figure that the probabilities for those three
events total 1.0, which is the mathematical value for certainty; all
Decision-Making possible outcomes for that branch of the example are accounted
for. The next-higher branch of the example decision tree deals
with the various types of evidence obtained from investigation,
and the final branches deal with the probability of arrest associ-
Decision Systems Decision Sciences ated with the gathering of each type of evidence. Decision trees
are very useful in analyzing situations and for reference when
FIGURE 8.10 c Decision Systems and Decision Sciences. series of decisions that flow from one event are involved. For

Decision Analysis (DA) Operational/Operations Research (OR) Decision Support Systems (DSS)
DA, popularly known as “applied Similar to DA, OR uses analytical and DSS is defined as interactive
decision theory” keeps breaking mathematical models for decision support. computer-based information systems
a decision problem into smaller However, OR differs in that it relies on higher intended to help users examine
sub-problems that may be more level mathematical modeling of questions or information data bases, e.g., mine
manageable. problems about the optimal way to manage for data on wanted suspects with
In doing so it considers factors like scarce resources. outstanding warrants, and utilize data
available information, alternatives, and models to solve problems.
uncertainties and presents the results
as a decision model. Needed, but
missing information produces a model
that is “satisfactory” or “sufficiently
good.”
Source: These points are loosely derived with restatement from Marko Bohanec, “Decision Making: A Computer Science and Information
Technology Viewpoint,” Interdisciplinary Description of Complex System 7, no. 2, (2009), pp. 28, 32–33.

FIGURE 8.11 c The Three Fields of Decision Support.53

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FIGURE 8.12 c Decision tree of hypothetical probabilities of various outcomes in a

robbery investigation.

example, decision trees would be useful to the commander of a model, although most widely used, is seriously flawed. Allison
detective bureau in formulating policy and guidelines on when presents two additional models (the organizational process
to continue or inactivate an investigation based on the types of model and the government politics model) to explain the deci-
evidence that were involved in order to make the best use of sion making during crisis events that police and other govern-
investigative resources. In this regard, decision trees can be seen ment agencies often face. The organizational process model is
as a tool of operations research. If an administrator is facing a based on the premise that few government decisions are
decision for which there are no actual data, a decision tree can exclusively the province of a single organization. In other
still be useful in analyzing the situation, and the “probabilities” words, police agencies are dependent on information and
can be the administrator’s own subjective estimations based on advice from other government units (such as the mayor’s
past experience. Decision tree models are commonly used in office, the FBI, and the district attorney’s office) to make major
e-learning software programs that provide simulation training decisions that affect public policy. The government politics
scenarios to police officers and executives. The program changes model purports that major government policies are rarely
and alternatives appear as the student makes various decisions made by a single rational actor, such as the chief of police.
that alter the precise path incorporated into the gaming simula- Rather, policymaking and general decision making are the
tion. These types of simulation software programs represent the outcome of a process of bargaining among individuals and
latest technology in police training relating to officer and groups to support those interests. Implicit in both of the mod-
­executive-level decision making (see Figure 8.12). els is that the decision maker requires direction from his or
For example, the RPD model is based on recognizing situ- her internal staff as well as support from other government
ations and knowing how to handle them. 54 Other types of agencies in the making of important decisions. This is
alternative decision-making models come from notions popu- especially true during crisis situations.57
larized by best-selling books such as Gladwell’s Blink.55
Operational modeling
Other alternative models to decision making have evolved
Alternative Decision-Making Models from the systems approach to management as described
Another attempt to outline various approaches to the decision- in Chapter 5, Organizational Theory. These techniques
making process is Allison’s56 account of the 1962 Cuban mis- are vastly influenced by large, complex systems of vari-
sile crisis. He contends that the rational decision-making ables. The application, collection, and analysis of data

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from decision making within the organization are called protect themselves from the outside world and the impending
operations research.58 In response to a need for a man- “Last Judgment Day.” Their spiritual leader, David Koresh (com-
agement science that addressed complex problems in- monly referred to by followers as “the Lamb of God”), was a high
volving many variables, such as government planning, school dropout with a perceived mystical ability to teach from
military spending, natural resource conservation, and the apocalyptic Book of Revelation in the New Testament.
national defense budgeting, operations research employs Police investigations of the Branch Davidians did not begin
the use of mathematical inquiry, probability theory, and until late in 1992, when Alcohol, Tobacco, and Firearms (ATF)
gaming theory to “calculate the probable consequences agents were contacted by a postal driver who reported seeing
of alternative choices” in decision making.59 hand grenades in a partially opened package delivered to the
These approaches are highly sophisticated elaborations Waco compound. As a result of the investigation, an arrest
of the rational model using quantitative techniques. The warrant for Koresh was issued, along with a search warrant
weakness of the methods is in their practicality to real-world to seek out additional illegal weapons and explosives at the
situations in which time and resources are not directly struc- Waco compound.
tured to gather intelligence about every problem and pos- In the early morning hours of February 28, 1993, ATF tactical
sible alternative. Further, these models assume that human teams totaling approximately 75 people stormed the Waco com-
biases will not enter the decision-making process. The most pound. The agents were met with a fusillade of heavy gunfire.
critical aspect of the approaches appears to be in their over- In the resulting exchange, four ATF agents and six Branch David-
riding insistence that decision making is not a human activity ians were killed. The incident prompted a 51-day standoff
but the product of some scientific, computerized, and unim- between federal agents and the Branch Davidians. Immediately
pressionable robot that digests quantitative information. following the initial confrontation between ATF and the com-
Wildavsky60 has continually warned that the application of pound occupants, the FBI assumed control of the operation.
decision making to costs, benefits, resources, and budgets fre- While negotiations during the ordeal were targeted initially at a
quently results in the adoption of meaningless data, and places peaceful resolution, the FBI began preparations to re-enter the
unwarranted stimuli into the process. compound by force, using armored vehicles to break through
heavily fortified walls and distribute a debilitating dose of CS tear
gas. The gas was supposed to be nonlethal, would not perma-
nently harm adults or children, and would not cause fire during
DECISION MAKING DURING the delivery stage. As time lingered and negotiations lulled,
Attorney General Janet Reno gave orders to commence with the
CRISIS EVENTS assault. At 6:00 a.m. on April 19, 1993, several M-60 military
Police agencies, like all government organizations and private tanks, reconfigured with tear gas delivery booms, began break-
entities, are not immune to the necessity of effective decision ing through the compound walls. Within hours of the operation,
making during crisis events. Thus far in this chapter, we have fire broke out. Fanned by 35-mile-per-hour winds, the fire raged,
examined decision making in law enforcement from the tradi- and the compound was rapidly incinerated. Seventy-two bodies
tional aspects of planning, organizational needs, theoretical were found among the remains, including several children.
models, and administrative roles. However, two older major The political flames of Waco linger. In 1999, the Texas Rang-
events still remain as prime examples of protracted crisis events ers and lawyers for the Waco survivors revealed a blatant cover-
in which law enforcement control of a situation was at best, up by the FBI. For 6 years, the FBI insisted that the Branch
slipping away: (1) the raid of the Branch Davidian Compound Davidians burned their own compound and denied to Congress
in Waco, Texas, in 1993 and (2) the FBI siege of the Weaver fam- that its agents fired any flammable tear gas canisters in the attack
ily at Ruby Ridge, Idaho, in 1992. These types of events span on April 19, 1993. Renewed investigations revealed that not only
hours, days, and even months to end and must not be confused did the FBI mislead Congress, but top decision makers may have
with active shooter situations requiring immediate action. The overtly lied, finally admitting that the FBI did, indeed, fire at least
purpose of this analysis is to bring applications of the various two pyrotechnic M651 grenades at the Branch Davidian bunker.
decision-making models to reality. It is not intended as a critical Even more troubling was the revelation that the U.S. military
commentary, but rather as an effort to identify the commonalities provided federal law enforcement agents with more than $1 mil-
of the incidents and the lessons derived. It should not be taken lion worth of support (supplying tanks, helicopters, aerial recon-
lightly that each incident began with a sense of duty, good faith, naissance, munitions, and support personnel) during the standoff
honor, and courage yet ended in tragic losses and damaged at Waco. At least 10 military advisers or observers attached to the
agency reputations. U.S. Army’s elite Delta Force were present at various times
throughout the incident. The entire action came dangerously
close to violating the Posse Comitatus Act, prohibiting the
The Branch Davidians, Waco, Texas (1993) use of federal soldiers to act as police officers or in a law
During the early 1990s, a young, charismatic religious leader enforcement capacity within the borders of the United States.
began to develop a group of followers known as the Branch Further, Attorney General Reno admitted that her decision to
Davidians. The group settled slightly northeast of Waco, Texas, allow the FBI to rush the Davidian compound was heavily based
and began building a well-fortified compound in which to on tales of Koresh abusing children. Later, a Justice Department

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“clarification” said that there was no evidence of child abuse. judgments about what to do. Arguably, any plans seemed suc-
According to Reno, the FBI convinced her that Koresh was a cessively overcome by rapidly occurring events and to some
suicidal madman bent on destroying himself and others within degree control became an illusion. Like disjointed incremental-
the compound; however, she was never shown a letter by ism on steroids, events spiraled beyond the planning horizon,
Koresh, dated just days before the attack, that promised that he beyond any real control, and they took on a life of their own.
would come out peacefully after completing his writing. The Faced with escalating casualties and collapsing planning time,
resulting publicity and trials caused serious questioning of the toward the end it seems possible that decision makers relied on
FBI’s tactics, operations, and decision making. their “gut-level” feeling.
Janis and Mann have outlined a decision-making model, based
The Weaver Family, Ruby Ridge, Idaho on psychological conflict, that emphasizes the decision-making
(1992) process under stress.61 Janis and Mann indicate that decision mak-
ing involves “hot” emotional influences, similar to Gore’s theory
In March 1992, federal prosecutors indicted Randy Weaver, a
and the need to make a decision inherently becomes more stress-
known white separatist, on a charge of selling two sawed-off
ful. When a decision maker is faced with an emotionally conse-
shotguns to an undercover federal informant. The job of arrest-
quential, no-win choice, how he or she copes with the problem
ing Weaver, who had fled to his secluded and fortified retreat
depends on two major factors: hope and time. This process causes
at Ruby Ridge, Idaho, was assigned to the U.S. Marshal Service.
great stress, as the factors of hope and time are rarely within the
On August 12, 1992, marshals began their surveillance of the
control and purview of the decision maker. This can be uniquely
Weaver’s cabin and surrounding terrain under the code name
observed in protracted, high-stress incidents involving the police,
“Operation Northern Exposure.”
such as those observed in Waco and Ruby Ridge.
Nine days later, on August 21, Randy Weaver; his 14-year-old
When the decision maker has control of time and has hope
son, Sam Weaver; and a family friend, Kevin Harris, followed their
that conciliation is possible, that person’s efforts are more likely
dog into the woods adjacent to the cabin. Deputy U.S. marshals
to follow the desired pattern of the “vigilant decision maker.”62
surveilling the cabin were discovered, and gunfire was exchanged
The vigilant model closely resembles the rational comprehensive
between the two groups. Sam Weaver and one U.S. marshal were
model. The vigilant decision maker (1) thoroughly canvasses a
fatally wounded. Confusion and speculation about who fired first
wide range of alternatives; (2) surveys a full range of objectives
and whose bullets killed the two victims continued to plague the
to be fulfilled and the values implicated by choice; (3) carefully
investigation. In any event, information soon reached Washing-
weighs the costs and risks of negative consequences as well as
ton, DC, that federal agents were under attack at Ruby Ridge and
the positive consequences that could come from each alterna-
that assistance was badly needed. The FBI deployed its Hostage
tive; (4) intensively searches for new information relevant to
Rescue Team (HRT) to the location, beginning an 11-day standoff
further evaluation of the alternatives; (5) correctly assimilates
between the FBI and the Weaver family.
and takes account of new information or expert judgment to
Under normal circumstances, the HRT snipers followed spe-
which he or she is exposed, even when the information or judg-
cific rules of engagement that dictated the use of deadly force only
ment does not support the course of action initially preferred;
under the threat of “grievous bodily harm.” Although the reason-
(6) re-examines the positive and negative consequences of all
ing behind changing this operational policy at Ruby Ridge and
known alternatives, including those originally regarded as unac-
who was responsible for it are unclear, FBI snipers were told that
ceptable, before making a final choice; and (7) makes detailed
they “could and should fire at any armed adult male” in the cabin.
provisions for implementing or executing the chosen course of
Hence, on August 22, one day after the initial confrontation and
action, with special attention to contingency plans that might be
the deaths of Sam Weaver and a U.S. marshal, FBI snipers fired on
required if various known risks materialize.63
cabin occupants to protect a surveillance helicopter. The resulting
While Janis is better known among students of politics,
shots struck Kevin Harris and Vicki Weaver (Randy Weaver’s wife),
policy, and management for his earlier work on “groupthink,”64
who was standing just inside the cabin, holding her infant child.
his development with Mann of the concept of the vigilant deci-
Although Mrs. Weaver died of her wounds, FBI personnel did not
sion maker has provided a practical model for measuring
learn of her death until Randy Weaver surrendered 9 days later.
administrative responsibility. Most notable is Nagel’s work in
The actions of the FBI were debated in Congress, and a spe-
applying the decision-making theories of Janis and Mann to
cial Senate judiciary subcommittee was formed to investigate the
the 1985 MOVE incident in Philadelphia.65 In his highly critical
incident. Both Randy Weaver and Kevin Harris were acquitted of
work, Nagel identifies several decision-making paradoxes that,
murdering the U.S. marshal in the initial confrontation.
unfortunately, are not uncommon in similar incidents (e.g., the
Symbionese Liberation Army [SLA] shoot-out in Los Angeles in
Analysis of Decisions Made During 1968, the American Indian Movement [AIM] siege of Wounded
Protracted Crisis Events Knee in 1977, the FBI shootings at Ruby Ridge, and the ATF
The on and off-site decision makers in these crisis situations raid on Branch Davidians in Waco).
started out with a plan to follow a scripted step-by-step, rational These paradoxes are identified and elaborated on by Taylor
model and adjust it if need be. However, the emotionality, stress, and Prichard.66 All the incidents have commonality. They were
close attention by the national news media, the increasing situ- all police precipitated—that is, each incident grew from the
ation complexity, and other factors may have resulted in impaired police advancing on the homes of well-armed, openly defiant,

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and hostile groups of individuals. Each incident grew from ear- policies must not be changed arbitrarily during a
lier encounters with the police, often highly charged, emotional crisis event or for a specific operational strategy.
encounters involving everything from civil and slander suits Further, policies must identify key players and
against the police for harassment to police–group shootings. In decision makers during such events. Who is the
all of the incidents, the police intelligence concerning the actual primary decision maker? Who is in charge of
location of the assault and/or the number of suspects and their operational management? Who is in charge of
armaments were in gross error. To complicate the issue, the coordination, communication, logistics, and so on?
primary decision maker was not at the scene. In both the Waco These are critical positions that must be identified in
and Ruby Ridge incidents, critical decisions were made in Wash- writing, well before an incident occurs.
ington, DC, several thousand miles away. Then, too, the incidents 2. Police agencies must adopt a philosophy that clearly
were characterized by an overreliance on technology. Decision articulates the importance of the safety and security of
makers believed that tear gas would not ignite and burn but human life during such incidents. The force option
rather force hostages and suspects from their barricaded posi- through the use of SWAT team assault, selective sniper
tions. The illusion of invulnerability also impacted each inci- fire, and tear gas distribution must be last resorts. The
dent—who would believe that suspects would not surrender to primary philosophy must emphasize a patient, no-force
a large, powerful, tactically trained, well-armed group of federal negotiation strategy rather than a tactical solution for
agents? This certainly was the case in the ATF raid on the Branch outcome. This is not a new concept. Bolz and others
Davidians in Waco. The overreliance on intellectual rationality have pressed for this type of departmental philosophy
failed as police decision makers underestimated the power and for the past 25 years.70
control of a charismatic leader in a relatively small, religiously 3. Police agencies must consider withdrawal as a strategy.
inspired group. Further, the belief that police SWAT agents could Certainly, in most of these cases, the police could have
act as an effective, highly specialized military unit performing a arrested the primary leaders of these groups outside
“surgical strike” on a bunker belonged more in the movies than the confinement of a barricaded compound. The use of
in reality. Police officers and agents are simply not experienced, more modern surveillance equipment using forward-
trained, or equipped to handle such encounters. Contrary to looking infrared (FLIR) and wall-penetrating radar
popular belief, highly trained police tactical units must rely on technology could do much to increase the accuracy of
meticulous timing, superlative intelligence, surprise, and the abil- intelligence and the development of an arrest plan
ity to use deadly force effectively. None of these conditions before a barricaded standoff occurs.
existed in the protracted events of Waco and Ruby Ridge.
Finally, in each incident, the decision maker lost hope for a 4. Police executives must reconsider the role and use of
peaceful outcome. When such a condition occurs, the decision SWAT teams. Their role must be limited to containment
maker enters the downward spiral of “defensive avoidance.”67 and deployment during search and arrest warrant
The pattern is characterized by procrastination and delay, fol- executions. They should not automatically be deployed
lowed by passing the buck and other ways of denying personal as a paramilitary group capable of executing high-risk
responsibility, followed by bolstering and gaining superficial operations requiring precision and exceptional
support from others. The distorted view produced by bolstering teamwork unless their training skill level clearly
results in a spreading of responsibility and an exaggerated value establishes it. The routine comparison between police
of the chosen course of action. More often than not, the chosen SWAT teams and military strike force teams (such as
course is a “do something” reaction. As Janis and Mann state, the the Navy SEALS or Army Delta Force) must be broken.
process of defensive avoidance “satisfies a powerful emotional The rules of engagement for each unit are unique, as
need—to avoid anticipatory fear, shame, and guilt.”68 Delay fol- are their skills and outcomes when deployed.
lowed by haste can result in wishful thinking, oversimplification 5. Training for protracted conflicts must include the top-
of the problem, and the selection of the force option. Confusion, level decision makers as well as operational
catastrophe, and denial soon follow. commanders and chiefs. Attorney generals, governors,
city managers, mayors, councilpersons, and top police
executives must be trained in coping with such
Handling Crisis Events in the Future
conditions. Significant attention must be paid to the
Several new directions for handling such crisis events in the development of a policy that emphasizes the no-force
future can be developed from the lessons of the past. These negotiation option. Further, decision makers should be
recommendations have been adopted as policy for the FBI Criti- trained to recognize the characteristics of “defensive
cal Incident Response Group, created in 1994 as a response to avoidance” and “groupthink” before courses of action
the Waco and Ruby Ridge encounters. Recommendations for are taken.71 Mock scenarios and role playing should
protracted conflict can be summarized as follows: accompany the training.
1. Nagel strongly argues that policies to deal with such 6. During crisis events, outside and neutral referees or
events must be institutionalized.69 That is, they must observers should assist in the situation. These individuals
be concrete, written directives that reflect the overall should be well versed in the no-force negotiation option
philosophy of the department or agency. These and should act as “coaches” for the negotiation team.

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These individuals should have no ownership or agency) almost always give groups an advantage over indi-
responsibility in the situation and should be paid a fee vidual. If one member of the group, such as the police chief,
for their time only. These are not high-level consultants has more knowledge on a subject than the others, they may
but rather well-trained, neutral observers with whom still be an asset by filling any gaps that exist, adding their
operational managers and top-level decision makers can own thoughts, or critiquing what is being discussed.
review potential tactics and strategies. Outside observers
must be protected from any type of potential ensuing GREATER NUMBER OF APPROACHES
liability through the agency involved. Their main TO MAKING A DECISION
purpose is to act as a “reality check and review” for
Some of us get into ruts in our thinking, especially when
actions to be taken by the police.
problems arise that have similarities to ones we’ve en-
Decision making during these types of protracted events, countered in the past. Almost instinctively, like being on
when the suspects appear to be anything but rational, is always cruise control, we have a quick and easy answer and
a very difficult task. It is also a very human endeavor, and, as that might be true sometimes. It may also get in the way
such, mistakes will inevitably occur. Remember that the purpose of finding more creative solutions that work better if the
of studying these cases is not to criticize the agencies involved stakes warrant the expenditure of more time. Sometimes,
(hindsight is always 20–20) but rather to offer students and we do not need the optimal decision; we just need one
police executives alternatives to past experiences and tactics. No that is “good enough.”
one decision-making model guarantees success. However, we A group of police leaders may also have great “quick
owe it to the dedicated men and women who died in these past fixes,” but their “fixes” may all be different. For example,
incidents to ensure that future decision makers always attempt one police administrator may insist that the best way to
to maximize the two most important factors in the negotiation cope with the increasing number of robberies of local con-
strategy: hope and time. This can be accomplished by the judi- venience stores in a community is to place the businesses
cious use of the force options of direct assault, selective sniper under surveillance by specially trained police officers who
fire, and tear gas dispersal. can intervene effectively. Another police administrator
might insist that the best way to reduce the number of
robberies is through the implementation of crime preven-
tion programs designed to use procedures that would
GROUP DECISION MAKING make the businesses in question either less attractive or
Research on group decision making reveals that this approach less vulnerable to robberies, for example, keep the amount
has both advantages and disadvantages over individual deci- of cash available to a minimum, put up cameras and height
sion making. If the potential for group decision making can be strips on the exit door, and remove large signs from the
exploited and its deficiencies avoided, it follows that group front of the store windows that block the view of passing
decision making can attain a level of proficiency that is not patrol cars and other motorists. It is sometimes difficult to
ordinarily achieved. The requirement for achieving this level of determine which approach or approaches would be most
group performance seems to hinge on developing a style of effective in achieving the desired goal. But undue persis-
leadership that maximizes the group’s assets and minimizes its tence or allegiance to one method may imperil a decision
liabilities. Because group members possess the essential ingre- group’s willingness to be innovative.
dients for the solution, the deficiencies that appear in group
decisions reside in the processes by which group decisions are PARTICIPATION IN PROBLEM SOLVING
led and made. These processes can determine whether the INCREASES ACCEPTANCE
group functions effectively or ineffectively. With training, a Many effective solutions to problems require input,
leader can supply these functions and serve as the group’s “shaping” or “tuning” by more multiple members of the
central nervous system, thus permitting the group to emerge as group. When last checked, no one has cornered the mar-
a highly efficient entity.72 ket on wisdom. Group participation in forging a decision
increases its acceptance and implementation. Such a so-
lution may be more effective than a hypothetically better
Group Assets in Decision Making solution that lacks acceptance. For example, a decision to
The following advantages are found in group decision making. establish a crime prevention program in a crime-riddled
neighborhood must have support from the chief to indi-
GREATER TOTAL KNOWLEDGE vidual beat officers. Although other measures to reduce
AND INFORMATION crime, such as increasing the number of patrol officers
The sum of information in a group is always greater than or more attention to juvenile gang activity, might have a
any one of its members. Thus, problems that require the more substantial impact, it is important to remember that
use of knowledge (both internal and external to the police most of the program participants must support the effort.

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BETTER COMPREHENSION OF THE DECISION become more important than arguing for a position
Of necessity, when a Chief gives an order to be executed which is contrary to that held by most of the mem-
by subordinate commanders the attending details, stan- bers of the group. This may especially be true when a
dards, timetable, desired outcome, and other matters newly promoted member joins an established decision-
­cannot or should not be ignored. If there is any ambiguity making group, for example, the command staff, and
about the instructions being provided, a competent sub- may be hesitant to quickly jump into the discussion.
ordinate will quickly seek clarification. Thus, the chances This is understandable, but deprives the new member
for communication breakdowns are reduced greatly when of an important developmental experience and “short-
the individuals who must work together in executing a changes” the group.
decision have participated in making it. They not only INDIVIDUAL DOMINATION
understand the solution because they helped develop it
In some groups, a dominant individual may emerge and
but also are aware of the other alternatives that were con-
capture a disproportionate amount of the influence in
sidered and the reasons why they were discarded (see
determining the final outcome. This does not necessarily
Figure 8.13).
equate to how much “air time” they get by talking fre-
quently. Sometimes in groups, the most influential person
Group Liabilities in Decision Making is the one who patiently bides his/her time and waits to
Notwithstanding the benefits of group decision making, several weigh in at exactly the most critical point of a discus-
liabilities are worth mentioning as a precautionary measure. sion. In police circles, the influence of the chief’s opinion
is undeniable. Effective chiefs know they have two ears
PEER PRESSURE and one mouth and use them proportionately. They are
Peer pressure, whether it’s articulated or unspoken, excellent listeners, reining in a group with a few innocu-
is major force for increasing conformity. The desire ous sentences to get things back on track only when the
to be a good group member and to be accepted may discussion has clearly gone far afield from its purpose.

FIGURE 8.13 c Open communication and increased communication increases effective group
decision making. (RosaIreneBetancourt 2/Alamy Stock Photo)

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Even there, the discussion may be useful, revealing to Factors That Can Serve as Assets or
chiefs some of the things that are on the minds of their
command staffs.
Liabilities in Group Decision Making
Depending on the skill of the Chief, some elements of group
decision making can be either assets or liabilities.
CONFLICTING SECONDARY GOALS:
WINNING THE ARGUMENT DISAGREEMENT
When groups are confronted with a problem, the initial Discussion sometimes leads to strong disagreement and
goal is to obtain a solution. However, in the absence of a fosters short-lived hard feelings among the command
quick consensus solution, the appearance of several alter- staff.
natives causes individuals to have preferences, and, once However, it is also the path to good decisions. The first of
these emerge, the desire to support a particular position these outcomes of disagreement is a liability, especially with
is created. Converting those with neutral viewpoints and regard to the acceptance of solutions; the second is an asset,
refuting those with opposing viewpoints now enter the particularly where innovation is desired. A chief can treat dis-
problem-solving process. This is a normal group dynamic agreement as undesirable and thereby reduce both the probabil-
and a time for everyone to keep their “eye on the ball.” ity of hard feelings and innovative thought. The skillful police
It’s not about winning; the goal is forging a good solution. administrator creates a climate for disagreement without risking
hard feelings because properly managed disagreement can be
GROUPTHINK a source of creativity and innovation. The chief’s perception of
The theory of groupthink was first introduced by Irving disagreement is a critical factor in using disagreements. Other
Janis in 1972.73 Groupthink is a psychological phenom- factors are the chief’s permissiveness, willingness to delay
enon that most often occurs in cohesive groups that are reaching a solution, techniques for processing information and
isolated from other political and decision-making bodies. opinions, and techniques for separating idea elicitation from
This condition often occurs within police leadership cir- idea evaluation.
cles, especially during crisis events. The political pressure
and stress to make a decision, coupled with the presence CONFLICTING VS. MUTUAL INTERESTS
of a strong leader, escalate the condition. Groupthink is Disagreement in discussions can take many forms. Oc-
most often characterized by a serious lack of methodical casionally, command staff members seemingly disagree
procedure that forces a misperception of the problem and with one another with regard to a solution, but when the
a hurried search for answers. During groupthink, there is disagreements are explored, it may be discovered that
considerable focus on a shared rationalization that bol- the solutions are in conflict because they are actually de-
sters the least objectionable alternative as a decision, a signed to solve slightly different aspects of the problem.
suppression of unfavorable outcomes, and an illusion of Analysis of a problem may reveal that it is actually the
unanimity and invulnerability. Indeed, Janis and Mann proverbial “hairball,” a cluster of entwined problems. If
warn that the decision-making process may be so intense possible, the best approach is to separate the problems
that more effort is expended on striving for concurrence into parcels, each of which can be resolved by a single
than on finding an appropriate decision.74 During such solution. Failing this because of their uniqueness, each
conditions, the chief should strive to remain impartial, problem has to be fitted with an appropriate solution.
listening to ideas and alternatives. He/she must encour- Here the saying, “I thought I knew what this conversation
age members of the command staff who have been quiet was about, but I’m mistaken” comes into play. Chiefs, or
to express their thoughts about suggested decisions. The a command member who has spontaneously taken the
chief should play the devil’s advocate, questioning some role of a gatekeeper, must keep the discussions focused
views expressed, for example, what might go wrong and or conflict instead of co-operation will arise. A gatekeeper
what the possible adverse consequences might be to guides the exchange of information in a discussion. Par-
the proposed actions. Chiefs also must accept criticism enthetically, in politics, the gatekeeper is the person who
of their own judgments as well as those proposed by gets access to his/her principal or “boss.”
the group. Janis and Mann are quick to point out that
groupthink occurs not only during crisis times but also RISK TAKING
during rather mundane policymaking meetings.75 It is in- Groups are more willing than individuals to reach de-
cumbent that the Chief, as well as individual members of cisions that involve risk. Taking risks is a factor in the
the group, be on guard for the signs and characteristics of acceptance of change, but change may represent either
groupthink. The best defense to such a condition is con- a gain or a loss. The best protection against the latter
tinual, open debate and discussion. This requires a lead- outcome seems to be primarily a matter of the quality
ership style which has earned the chief the trust of the of a decision. In a group situation, this depends on the
command staff, which by experience has learned there leader’s skill in using the factors that represent group as-
are no repercussions from such discussions. sets and avoiding those that make for liabilities.

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TIME REQUIREMENTS ETHICS AND DECISION MAKING

In general, more time is required for a group to reach
a decision than for an individual to reach one. Some It is said that character is “What you do when someone isn’t
problems require immediate decisions in which case watching you.” The difficulty of course is that we develop our
­individual decisions are necessitated, such as a wounded defining character over time and likewise with ethics. None
officer down in the open with a barricaded subject still of us spring into the world fully formed; both are develop-
firing at the downed officer. The practice of moving a mental processes.
portion of a meeting or an entire meeting swiftly forward Ethical behavior is difficult to define, and while ethics are not
is likely to prevent a full discussion and have subsequent wholly based on feelings, religion, law, or science, individuals
repercussions. A better tactic is to table the remaining may take those things into account when defining their stan-
portion of a meeting’s agenda. Unskilled leaders tend dards of behavior. Simply put, ethics are standards of behavior
to be either too concerned with reaching a solution and that dictate how humans are supposed to act within the roles
prematurely terminate a discussion or too anxious about that they find themselves in, whether that role is as a parent,
getting input, allowing the discussion to digress and friend, police administrator, supervisor, police officer, or private
b­ecome repetitive. citizen. Ethics differ among individuals, depending on their per-
sonal values, cultural influences, or what they feel is the level of
WHO CHANGES personal behavior that they should aspire to. Police administra-
tors must identify ethical issues in decision making and develop
Unless it just immediately occurs, a consensus is reached strategies to confront ethical dilemmas. However, this process
because some members of a group change their views, does not differ from the decision-making process used by any
not to just achieve consensus, but because they are per- other individual.79
suaded by the points made by others. In group situations, There are various ways to deal with ethical issues. One strat-
who changes can be an asset or a liability. If persons egy for administrators is the following, developed by the Santa
with the most constructive views are induced to change, Clara University Markkula Center for Applied Ethics.80 The first
the endproduct suffers, whereas if persons with the least step in this framework is to recognize an ethical issue. Decision
constructive points of view change, the endproduct is makers should ask themselves if there is something wrong per-
upgraded. Chiefs can potentially help upgrade the qual- sonally, interpersonally, or socially and determine if the conflict,
ity of a decision because their position allows them to the situation, or the decision might be damaging to people or to
elicit more information from a command staff member the community. Then they should consider whether the issue
who has a strong idea but is in the minority. This “pro- goes beyond legal or institutional concerns and what it means
tection tactic” is a constructive factor because a minority to people who have dignity, rights, and hopes for a better life.
viewpoint only has hope when the facts favor it. The next step in the framework is to get the facts, by deter-
Brainstorming is a type of group decision making mining what facts are relevant to the specific issue and what
developed initially in advertising to help trigger creativity. facts are unknown. Next, decision makers should decide what
The idea behind brainstorming is to establish a group individuals and groups have an important stake in the out-
environment in which individuals can present any idea come and should consider whether all stakeholders have been
that seems to apply even remotely to the subject being consulted or what they would say if they were consulted.
considered with the understanding that criticism will be Law enforcement leaders should always evaluate alternative
withheld unless it can somehow improve on the original actions from various ethical perspectives when faced with an
idea.76 Whiting identified specific procedures that improve ethical dilemma. For instance, the utilitarian approach to ethics
the effectiveness of brainstorming sessions: looks at which action is the one that will produce the greatest
1. The sessions should last 40 min to an hour, although balance of benefits over harm. In this case, the decision maker
brief, 10- to 15-min sessions may be effective if time is asks which option will produce the most good and do the least
limited. harm. In approaching the decision using the rights approach, in
2. Generally, the problem to be discussed should not be which the ethical action is the one that respects the rights of all
revealed before the session. affected by the decision, one asks if everyone’s rights and dignity
3. The problem should be stated clearly, but not will be respected, even if not everyone gets what he or she
too broadly. wants. The fairness approach, which defines an ethical action as
one that treats people equally, or at least proportionately and
4. A conference table may be the best setting because a
fairly, requires that the decision maker ask which option is most
certain level of closeness invites contributions.77
fair to all stakeholders. The common good approach requires
One of the most important aspects of brainstorming is an that an individual consider which option would help everyone
existing environment in which it can occur. Brainstorming involved participate more fully in society, and the virtue
requires a level of trust between individuals who work together, approach requires the decision maker to consider whether or
for example, they would not be ridiculed, which does not exist not the action is one that embodies the habits and values of
in an unstable organization.78 people at their best.

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After decision makers carefully evaluate their options from effort to be aware of these trends and develop strategies to
one or more perspective, the framework requires that they cope with them.
make their decision based on which option they feel is the best
or the right thing to do and then test it. After acting, it is impor-
tant for decision makers to examine how it turned out for all
Oversimplification
concerned and to evaluate whether they would make the same People may address the symptom of a problem because the
decision if they had to do it all over again. Ethical decisions are cause may be too complex to understand. It is also easier to
not always the most cost-effective or popular ones, and they understand a simpler solution: It is more readily explained to
often cause some personal discomfort in the short term. How- others and therefore more likely to be adopted. The decision
ever, by carefully evaluating the best course of action, a police maker looking for an acceptable answer may take the first simple
administrator can avoid situations that may, over the long term, one even in preference to a somewhat more complicated
cause a great deal of personal stress, as well as remorse. Con- alternative with a much better outcome.
sidering that ethical blunders in police administration tend to
generate a great deal of negative publicity, taking the ethical Overreliance on One’s Own Experience
route may also save police administrators from public shame
In general, law enforcement practitioners place great weight on
or disgrace.
their own previous experience and personal judgment. Although
an experienced police executive should be able to make better
decisions than a completely inexperienced one, a person’s own
COMMON ERRORS experience may still not be the best guide. Frequently, another
police executive with just as much experience has a completely
IN DECISION MAKING different solution and is just as certain that his or her solution to
Analysis of the decision-making process indicates that certain a problem is the most satisfactory one. In fact, past success in
types of errors occur at a higher frequency than others. Nigro certain kinds of situations may be attributable to chance rather
and Nigro81 have indicated that these errors are: (1) cognitive than to the particular action taken. Thus, there is frequently
nearsightedness, (2) the assumption that the future will repeat much to be gained by counseling with others whose own experi-
the past, (3) oversimplification, (4) overreliance on one’s own ence can add an important and uniquely different dimension to
experience, (5) preconceived notions/confirmation bias, (6) the decision-making process.
unwillingness to experiment, and (7) reluctance to decide/
procrastination.82 Preconceived Notions/Confirmation Bias
Decisions purportedly based on facts may actually reflect the
Cognitive Nearsightedness bias of some police executives. They are particularly diligent
A human tendency is to make decisions that satisfy immediate about finding information that supports their bias, as well as
needs and to brush aside, ignore, or fail to consider the long- any that can be used to counter other anticipated views. Deci-
range implications. Implicitly, the hope is that the decision will sion makers may only appear as if they are proceeding in an
“have legs’ and be durable, but this actually is counting on being orderly fashion from consideration of the facts to the conclu-
lucky. The odds for such good fortune to occur consistently sions derived logically from them. Some cases of administra-
across all decisions are poor. tive policymaking suffer from a similar defect: They are
supported by a dangerously thin foundation of facts and
Assumption That the Future untested assumptions.83
Will Repeat Itself
In making decisions, police officials must try to forecast future Unwillingness to Experiment
conditions and events. Social upheavals, economic collapses, The best way in which to determine the workability of a pro-
terrorist attacks, technological breakthroughs, droughts, fam- posal is to test it on a limited scale. However, pressure for
ine, petulance, and epidemics and a host of other variables immediate, large-scale action may convince a police chief that
make forecasting a tough business. In relatively stable periods there is no time to proceed cautiously with pilot projects, no
of history, the assumption can be made with reasonable assur- matter how sound the case for a slow approach, because grant
ance that conditions will stay approximately the same and the opportunities are evaporating for some other reason. Police
government, politics, the community, crime and other factors executives may be reluctant to request funding and other
will be within the range of past experience. The present needed support for the small-scale test implementations of
period is, however, far from stable. However, very rarely do new programs out of a concern that such prudence may create
dramatic changes occur without some warning signals. Atten- doubts about the soundness of the programs. In all fairness to
tion to small “flutters” may provide valuable indicators about the cautious police administrator, sometimes this assessment
future conditions. The police administrator must make the has merit.

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Reluctance to Decide/Procrastination happened but are unable to fully articulate why it happened.
We know about the number of people killed but do not nec-
Even when in possession of adequate facts, some chiefs try to
essarily focus on the process that led the decision makers to
avoid making a decision. They may procrastinate until the need
take the actions that they did. By looking at mistakes on a
for a decision is eliminated by events that occur or have “analy-
personal level, as well as looking at mistakes made by con-
sis paralysis,” constantly seeking more information to assure
temporaries, police executives have an opportunity to capi-
themselves they are doing the right thing. Barnard speaks of
talize on what did not work so well in the past. Mauboussin
the natural reluctance of some people to decide:
discusses this process at length and encourages all decision
The making of a decision, as everyone knows from personal makers to take three steps toward better decision making:
experience, is a burdensome task. Offsetting the exhilaration preparing, recognizing, and applying past mistakes to deter-
that may result from a correct and successful decision is the mine future courses of action.85 Preparation is simply the
depression that comes from failure or error of decision and process of gathering information about past mistakes and
in the frustration that ensues from uncertainty.84 understanding why they happened. The goal, according to
Mauboussin is “to recognize the kind of problem you face,
how you risk making a mistake, and which tools you need
IMPROVING DECISION MAKING to choose wisely.” 86 Finally, Maubossin suggests applying
what you have learned about past mistakes in decision mak-
Recognizing some of these common errors in decision mak- ing results in diminishing the opportunity for a repeat. Police
ing can be a springboard for strengthening the ability to executives should put together a mental toolbox of sorts to
make good, ethical decisions in the future. Police executives cope with situations as they come up. Filing away and flag-
fall into the trap of focusing on the outcome of a bad deci- ging errors in decision making as they come up is an excel-
sion. Obviously, in the classic examples of Ruby Ridge and lent way to avoid making the same mistake, no matter what
the Branch Davidians, the majority of us know what the circumstances.

Chapter Summary
Summary by Learning Objective 4. Identify the specific elements of administrative,
procedural, operational, tactical, and
1. Explain what planning is expected to accomplish. strategic plans.
It is expected to (1) improve the analysis of problems; (1) Administrative or management plans include for-
(2) provide better information for decision making; mulation of the department’s mission statement,
(3) help to clarify goals, objectives, and priorities; goals, and policies; the structuring of functions,
(4) result in more effective allocation of resources; authority, and responsibilities; the allocation of
(5) improve inter- and intradepartmental co-­operation resources; personnel management; and other con-
and coordination; (6) improve the performance of cerns that are prevalent throughout the agency; (2)
programs; (7) give the police department a clear Procedural plans are the guidelines for the action to
sense of direction; (8) provide the opportunity for be taken under specific circumstances and detail
greater public support; and (9) increase the such matters as how evidence is to be sent or trans-
commitment of personnel. ported to the crime laboratory, the conditions under
which male officers may search arrested females and
2. Define what a plan is.
the limits thereto, and how to stop and approach
Stated succinctly, planning involves linking present
traffic violators; (3) Operational plans describe spe-
actions with future conditions.
cific actions to be taken by line units (patrol officers,
3. Discuss synoptic planning. precinct groups, and/or division teams); (4) Tactical
Synoptic planning, or the rational comprehensive plans involve planning for emergencies of a specific
approach, is the dominant tradition in planning. It nature at known locations; (5) Strategic planning is
is also the point of departure for most other plan- an organizational management activity that is used
ning approaches, which in general are either modi- to set priorities, focus energy and resources,
fications of synoptic planning or reactions against strengthen operations, ensure that employees and
it. The typical synoptic model is based on “pure” other stakeholders are working toward common
or “objective” rationality and attempts to ensure goals, establish agreement around intended out-
optimal achievement of desired goals from a comes/results, and assess and adjust the organiza-
given situation. tion’s direction in response to a changing

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environment. This type of plan typically addresses incremental steps provides the police administrator
events 3 to 5 years into the future. (and hence the public) with a number of safeguards
against error.
5. Discuss what planning can be expected to
accomplish. 8. Describe Gore’s decision-making process.
(1) Improve the analysis of problems; (2) Provide For Gore, decision making is basically an emotional,
better information for decision making; (3) Help to nonrational, highly personalized, and subjective pro-
clarify goals, objectives, and priorities; (4) Result in cess. Therefore, the facts validating a decision are
more effective allocation of resources; (5) Improve internal to the personality of the individual instead
inter- and intradepartmental co-operation and coor- of external to it.
dination; (6) Improve the performance of programs;
9. Explain the concept of the thin-slicing theory.
(7) Give the police department a clear sense of
It occurs in situations where snap decisions are
direction; (8) Provide the opportunity for greater
required, whether by a police administrator, a line
public support; and (9) Increase the commitment
officer, or anyone else in a decision-making capacity;
of personnel.
instantaneous decisions can often be the best,
6. State Simon’s concept of “bounded rationality.” particularly when paired with training and expertise.
Noting that human beings are “bounded” by a tri-
10. State the advantages of group decision making.
angle of limitations, Simon said, “On one side, the
(1) Greater total knowledge and information; (2)
individual is limited by those skills, habits, and
Greater number of approaches to making a decision;
reflexes which are no longer in the realm of the
(3) Participation in problem solving increases accep-
conscious . . . and on a second side, the individual
tance; (4) Better comprehension of the decision.
is limited by his values and those conceptions of
purpose which influence him in making deci- 11. Discuss the liabilities of group decision making.
sions . . . and on a third side, the individual is lim- (1) Social pressure; (2) Individual domination; (3)
ited by the extent of his knowledge that is relevant Conflicting secondary goals: winning the argu-
to his job.” ment; (4) Groupthink.
7. Explain Lindblom’s incremental decision making. 12. Explain the concept of brainstorming.
Lindblom asserts that decision making is serial— Brainstorming is a type of group decision making
that it is limited by time and resources as it gropes developed initially in advertising to help trigger
along a path where means and ends are not distinct, creativity. The idea behind brainstorming is to
where goals and objectives are ambiguous, and establish a group environment in which individuals
where rationality serves no purpose. Contending can present any idea that seems to apply even
that police managers and administrators “play remotely to the subject being considered with the
things safe” and opt to move very slowly (incremen- understanding that criticism will be withheld unless
tally) in decision making, Lindblom proposes that it can somehow improve on the original idea. The
managers “muddle through” problems rather than practitioners of brainstorming have been able to
analytically choosing decisions. In Lindblom’s view, determine some specific procedures that improve
decision making that occurs through a series of the effectiveness of brainstorming sessions.

Chapter Review Questions

1. Explain the advantage of planning within a police 6. What is the purpose of the decision tree used in
department. robbery investigations?
2. Why is it that some police administrators may not 7. What are some of the important recommendations,
fully appreciate the importance of planning? developed in this chapter, for handling future
3. What is it that effective planning can be expected protracted crisis events?
to accomplish? 8. List the steps decision makers should take when
4. Tankha identified four types of planning confronted with an ethical issue?
approaches based on their time orientation. 9. What are the most common errors in
What are they? decision making?
5. What are the key lessons learned by law
enforcement officers participating in the
Republican National Convention?

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Critical Thinking Exercises

1. Operational Plan. In recent years, there has been a school diploma. You have made a decision that in
dramatic increase in prostitution in your community, the future individuals will not be considered for
primarily involving women and young girls from promotion unless they have earned a college
Central and South American countries. You suspect degree. However, before you can accomplish this
that many of them have been illegally trafficked into objective you will have to address the following
the United States and are being forced into questions:
prostitution. However, your patrol officers and vice
squad officers have very little experience in identifying a. What timeline, if any, would you recommend
and dealing with the issue of sex trafficking. You have before putting this change into effect?
therefore made a decision to begin to train those b. Would you have a modified educational require-
officers who are most likely to come in contact with ment for those applying for the position of ser-
these victims so they will be able to more effectively geant (AA or AS degree) than you would for
identify and assist them. However, in order to do so, those applying for higher ranks such as lieuten-
you need to answer to the following questions: ant, captain, and major (BA or BS)?
c. Will you impose limits on the number of courses an
a. What are the venues where sex trafficking victims officer can take at one time so their school work will
are most likely to be found? not interfere with their work responsibilities?
b. What are the specific indicators that a woman who d. Will you be reimbursing officers for their college
is engaged in prostitution has been trafficked and tuition? If so, will there be a contractual obligation
is being forced to engage in this practice against for them to stay with the agency for a specified
her will? period of time in order to compensate the agency
c. Who can you turn to to assist in training your offi- for the financial aid it provided?
cers in better understanding the problem of sex e. Are you prepared to make adjustments in the
trafficking in your community? work schedules if officers choose to take classes
d. Since you are aware that sex trafficking is a multi- on campus as opposed to taking their courses
jurisdictional problem how would you go about online?
organizing a multi-agency task force to deal with f. Will you require your officers to major in certain
the issue? academic disciplines such as criminal justice or
2. Decision Making. In recent years, there has been a criminology or will they have the latitude to major
national trend for police departments to require in other disciplines (e.g., business administration,
individuals being promoted to supervisory or public administration, psychology, education, and
managerial positions to have earned a college so forth)?
degree. However, the agency you have recently g. Who will you involve in the decision-making pro-
taken over as police chief has educational cess, for example; a committee composed of offi-
requirements for promotion which are the same as cers within the agency, police union representatives,
those required at the entry level, namely, a high the mayor, city manager, and citizens?

Key Terms
active shooter incremental model recognition-primed decision
administrative/management plans operational plans making (RPD)
brainstorming operations research strategic plans
e-learning software planning SWAT
ethics posse comitatus synoptic planning
groupthink proactive planning tactical plans
heuristic model procedural plans thin-slicing theory
inactive planning reactive planning

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Endnotes
1
Israel Stollman, “The Values of the City Planner,” in The appear that he gave those who knew him or worked with
Practice of Local Government Planning, ed. Frank S. So him any prior warning or specific indication he planned on
et al. (Washington, DC: International City Management carrying out this shooting.
16
Association, 1979), p. 13. The 117 officers that entered the building during the initial
2
Ibid. search for the shooter included officers and agents from
3
Carol Weiss, Evaluation Research: Methods of Assessing DC Metropolitan Police Department (MPD); U.S. Park
Program Effectiveness (Englewood Cliffs, NJ: Prentice Hall, Police (USPP); Naval District of Washington (NDW) Police;
1972), p. 7. Naval Criminal Investigative Service (NCIS); Metropolitan
4
John Hudzik and Gary Cordner, Planning in Criminal Justice Washington Airports Authority; U.S. Marshalls Service
Organizations and Systems (New York: Macmillan, 1983), (USMS); Navy Contract Service Guards; and U.S. Navy,
p. 1. Department of Defense (DOD).
5 17
Charles M. Mottley, “Strategy in Planning,” in Planning, The police response to “active shooter” scenarios
Programming, Budgeting: A System Approach to changed following the terrible events of the Columbine,
Management, 2nd ed., ed. J. F. Lyden and E. S. Miller Colorado, massacre on April 20, 1999. In the Columbine
(Chicago: Markham, 1972), p. 127. School shooting, Eric Harris and Dillon Klebold
6
See Sunil Tankha, Sustainable Corporations: Reconciling murdered 13 people on the school campus before they
Wealth Creation with Global Sustainability, 15–16 (The committed suicide, bringing the total to 15 people
Woodlands, TX: Houston Advanced Research Center, dead. The first responding patrol officers told horrific
1999. HARC is a non-profit organization founded in 1982). stories of arriving at the scene and hearing shots fired
The authors have added the police context to the types of and victims screaming for over 10 min, yet had no
planning. training or advanced weaponry to enter the school and
7
The term “pure,” or “objective rationality,” is taken from the stop the killing. This event, more than any other,
alternative planning models identified by Tony Eddison, changed police responses to similar events now
Local Government: Management and Corporate Planning classified as “active shooter” situations.
18
(New York: Harper & Row, 1973), pp. 19–23. On November 5, 2009, a mass murder took place at Fort
8
The synoptic model is thoroughly discussed in Cushman, Hood, near Killeen, Texas. Nidal Malik Hasan, a U.S. Army
Criminal Justice Planning. Some of the following informa- major and psychiatrist, fatally shot 13 people, which
tion relating to the model is paraphrased from that work. included 12 U.S. soldiers and a civilian police officer
9
Patrick Slater, “Inconsistencies in a Schedule of Paired working at the base, and injured more than 30 others. See
Comparisons,” Biometrika 48, nos. 3/4, (December 1961):, “Soldier Opens Fire at Ft. Hood; 13 Dead,” CBS News/AP,
p. 303. November 5, 2009; http://www.cbsnews.com/news/soldier-
10
A good example of the statistical end is Kristi Tsukida and opens-fire-at-ft-hood-13-dead/ (accessed August 29, 2015).
19
Maya R. Gupta, “How to Analyze Paired Comparison There are similarities in the nearly 100 school shootings (in
Data,” UWEE Technical Report-2011-004, May 2011, the United States and Canada since 1966) that make
Department of Electrical Engineering, University of them significantly different than those of the protracted
Washington. crisis discussed earlier. Most of the victims are school-age
11
Hudzik and Cordner, Planning in Criminal Justice, p. 196. children, some as young as 6 years old, who were shot
12
Ibid. randomly; the shootings have little, if any, logical reason
13
A number of sources identify plans according to their use; or purpose other than causing massive carnage and
see O. W. Wilson, Police Planning, 2nd ed. (Springfield, IL: human death; the suspects are for the most part, also
Charles C Thomas, 1962), pp. 4–7, and Vernon L. Hoy, students, or at least student age (11 to 22 years), working
“Research and Planning,” in Local Government Police alone; the vast majority of the suspects are white males
Management, ed. Bernard L. Garmire (Washington, DC: with a history of school issues, including social conflict,
International City Management Association, 1977), pp. disenfranchisement, and/or mental problems; the sus-
374–375. pect’s actions were planned and well-thought-out, and in
14
This has been adapted from the After Action Report some cases even rehearsed, with suspects bringing guns
Washington Navy Yard September 16, 2013, Internal to the school before their planned event. The suspects
Review of the Metropolitan Police Department, even made threats that they wanted to hurt people but
Washington, DC, July 2014, pp. 28–30; http://www. were not taken seriously; the suspects had easy access to
policefoundation.org/wp-content/uploads/2015/05/ firearms and were often well-armed with multiple weap-
Washington-Navy-Yard-After-Action-Report.pdf. ons and ammunition; and in most cases, the suspect(s)
15
The shooter in this incident, Aaron Alexis, 34 years old, was commits suicide or is killed by the police. The need to
employed by Experts Inc., a subcontractor of Hewlett- act quickly in these types of scenarios often precludes
Packard, as an independent contractor who provided the use of SWAT teams that must be called out with
information technology support services for the U.S. Navy some delay. Further, the presence of an active shooter at
at the installation. It was later learned that he may have the scene also requires that responding patrol officers
been suffering from insomnia, pronounced bouts of anger, take action to save lives and human destruction rather
and possible psychological disturbances. It does not than cordon off the area and wait.

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20 48
Examples of the training materials used in both the RNC Relatedly, see Suhaib Alzou’bi et al., “Artificial Intelligence
and DNC are available as part of the Appendix in Manag- in Law Enforcement, A Review,” International Journal of
ing Large-Scale Security Events: A Planning Primer for Advanced Information Technology 4, no. 4 (August 2014),
Local Law Enforcement Agencies. pdf file pp. 1–9; http://airccse.org/journal/IJAIT/
21
Tampa Police Department, Command, Control, and papers/4414ijait01.pdf (accessed August 14, 2015).
49
Coordination: a Quick-Look Analysis of the Tampa John Maule, “Why the Computer Isn’t Always Right,” Leeds
Police Department’s Operations During the 2012 University Business School, United Kingdom, March 8,
Republican National Convention, available at: https:// 2010, p. 1 http://business.leeds.ac.uk/about-us/article/why-
www.cna.org/sites/default/files/research/2012-RNC- the-computer-isnt-always-right (accessed August 14, 2015).
50
Quick-Look.pdf. These points are loosely derived with restatement from
22
Sven Ove Hansson, “Decision Theory: A Brief Introduction” Marko Bohanec, “Decision Making: A Computer Science
(Stockholm: Department of Philosophy and the History of and Information Technology Viewpoint,” Interdisciplinary
Technology, Royal Institute of Technology, August 19, Description of Complex System 7, no. 2, (2009), pp. 23–24.
51
1994), p. 9. Several of the topics in this paragraph are taken from
23
John Dewey, Democracy and Education (New York: The Tombul Fatih and Cakar Bekir, “Police Use of Technology
MacMillan Company, 1916). to Fight Against Crime,” European Scientific Journal 11,
24
Leigh Buchanan and Andrew O’Connell, “A Brief History of no. 10 (April 2015), pp. 290–292.
52
Decision Making,” Harvard Business Review (January Conference paper: Johan Schubert et al., “A Decision Support
2006), p. 5. The page numbers used are from a PDF file, System for Crowd Control,” Proceedings of the 13th
https://hbr.org/2006/01/a-brief-history-of-decision-making, International Conference Command and Control Research
accessed July 12, 2015. Technical Symposium, Seattle, Washington, June 2008, p. 1.
25 53
Hansson, “Decision Theory: A Brief Introduction,” pp. 8–9. Ibid., pp. 28, 32–33.
26 54
Buchanan and O’Connell, “A Brief History of Decision Gary A. Klein, Sources of Power: How People Make
Making,” p. 1. Decisions (Cambridge, MA: MIT Press, 1998).
27 55
Herbert A. Simon, Administrative Behavior: a Study of In his book Blink: The Power of Thinking without Thinking
Decision-Making Processes in Administrative Organization (New York: Little, Brown, 2005) Malcom Gladwell examines:
(New York: First Edition, MacMillan, 1947). Why are some people brilliant decision makers, while
28
Simon, Administrative Behavior, p. 40. others are consistently inept? Why do some people follow
29
Charles E. Lindblom, “The Science of Muddling Through,” their instincts and win and others end up stumbling into
Public Administration Review 19, no. 2 (Spring 1959), error? How our brains really work—in the office, in the
pp. 79–88. classroom, in the kitchen, and in the bedroom? And why
30
Charles F. Lindblom, The Policy-Making Process are the best decisions often those that are impossible to
(Englewood Cliffs, NJ: Prentice Hall, 1968), p. 209. explain to others?
31 56
Lindblom, “The Science of Muddling Through,” p. 86. Graham T. Allison, Essence of Decision: Exploring the
32
Jack Kuykendall and Peter Unsinger, Community Police Cuban Missile Crisis (Boston: Little, Brown, 1971).
57
Administration (Chicago: Nelson-Hall, 1975), p. 132. Some of this discussion was excerpted from an excellent
33
Buchanan and O’Connell, “A Brief History of Decision review of Allison’s book by Robert B. Denhardt, Theories
Making,” p. 9. of Public Organization (Monterey, CA: Brooks/Cole, 1984),
34
Graham T. Allison, Essence of Decision: Exploring the pp. 81–85.
58
Cuban Missile Crisis (Boston: Little, Brown, 1971). John Ott, “The Challenging Game of Operations
35
Some of this discussion was excerpted from an excellent Research,” in Emerging Concepts of Management, eds.
review of Allison’s book by Robert B. Denhardt, Theories Max S. Wortmann and Fred Luthans (London: Macmillan,
of Public Organization (Monterey, CA: Brooks/Cole, 1984), 1970), p. 287.
59
pp. 81–85. Ibid.
36 60
William J. Gore, Administration Decision-Making: A Aaron Wildavsky, Speaking Truth to Power: The Art and
Heuristic Model (New York: John Wiley & Sons, 1964). Craft of Police Analysis (Boston: Little, Brown, 1979), p. 84.
37 61
Ibid., p. 12. Irving L. Janis and Leon Mann, Decision Making: A
38
Sam S. Souryal, Police Administration and Management Psychological Analysis of Conflict, Choice, and
(St. Paul, MN: West, 1977), p. 318. Commitment (New York: Free Press, 1977).
39 62
L. G. Gawthrop, Bureaucratic Behavior in the Executive Ibid., chapter 1.
63
Branch (New York: Free Press, 1969), pp. 98–99. Ibid., pp. 11–15.
40 64
Gore, Administrative Decision-Making, p. 12. Irving L. Janis, Victims of Groupthink (Boston: Houghton
41
Gawthrop, Bureaucratic Behavior, p. 99. Mifflin, 1972).
42 65
Souryal, Police Administration, p. 319. John H. Nagel, “Psychological Obstacles to Administrative
43
C. Zsambock, and G. Klein, Naturalistic Decision Making Responsibility: Lessons of the MOVE Disaster,” Journal of
(Mahweh, NJ: Erlbaum, 1997), p. 286. Policy Analysis and Management 10, no. 1 (1991), p. 3.
44 66
Ibid., p. 219. Robert W. Taylor and Leigh A. Prichard, “Decision-Making
45
Malcom Gladwell, Blink: The Power of Thinking without in Crisis: Police Responses to Protracted Critical Inci-
Thinking (New York: Little, Brown, 2005), pp. 10–14. dents” (paper delivered at the Academy of Criminal Jus-
46
Ibid., p. 11. tice Sciences Annual Meeting, Las Vegas, NV, March 13,
47
Ibid., p. 253. 1996).

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 288 cha pte r 8 • Pl a n n in g a n d D e c i s i on Mak i n g

67
The concept of “defensive avoidance” was first developed Situations (New York: Harper & Row, 1979); and Robert W.
by Janis and Mann in Decision Making. However, Nagel Taylor, “Hostage and Crisis Negotiation Procedures” in
uniquely applied the concept to reality in his article Police Civil Liability, ed. Leonard Territo (New York:
“Psychological Obstacles to Administrative Responsibility.” Hanrow Press, 1984).
68 71
Janis and Mann, Decision Making, p. 85. See Nagel, “Psychological Obstacles”; Janis and Mann,
69
Nagel, “Psychological Obstacles,” p. 21. Decision Making; and Taylor and Prichard, “Decision-
70
The concept of a negotiated solution to crisis events has Making in Crisis.”
72
been developed over the past 25 years. See Frank A. Bolz N. R. F. Maier, “Assets and Liabilities in Group Problem
and Edward Hershey, Hostage Cop (New York: Rawson, Solving: The Need for Integrated Function,” Psychology
Wade, 1979); Ronald C. Crelinsten and Denis Szabo, Review 74, no. 4 (1967), pp. 239–248. Much of the
Hostage-Taking (Lexington, MA: Lexington Books, 1979); information in this chapter dealing with the discussion of
Murray S. Miron and Arnold P. Goldstein, Handbook for group decision making was obtained from this source.
73
Hostage Negotiations: Tactical Procedures, Negotiating See Irving L. Janis, Victims of Groupthink (Boston:
Techniques and Responses to Non-Negotiable Hostage Houghton Mifflin, 1972).

M08_SWAN4056_09_SE_C08.indd 288 7/11/16 4:26 PM

 c h ap t e r 8 • P l an n i n g an d D e cis ion M aking 289
74 81
Janis and Mann, Decision Making, pp. 398–400. Much of the information in this chapter dealing with the
75
Ibid. discussion of common errors in decision making was
76
W. Gortner, Administration in the Public Sector (New York: obtained from F. A. Nigro and L. G. Nigro, Modern Public
John Wiley & Sons, 1977), p. 124. Administration (New York: Harper & Row, 1977), pp.
77
C. S. Whiting, “Operational Techniques of Creative Thinking,” 226–232.
82
Advanced Management Journal 20 (1955): pp. 24–30. D. Katz and R. L. Kahn, The Social Psychology of
78
John Schafer, “Making Ethical Decisions: A Practical Organizations (New York: John Wiley & Sons, 1966), p. 285.
83
Mode,” FBI Law Enforcement Bulletin, May 2002. Ibid.
79 84
For more information about the framework for ethical C. Barnard, The Functions of the Executive (Cambridge,
decision making, visit www.scu.edu/ethics. MA: Harvard University Press, 1938), p. 189.
80 85
Markkula Center for Applied Ethics, Santa Clara University, Michael J. Mauboussin. Think Twice: Harnessing the Power
“A Framework for Thinking Ethically.” See http://www.scu. of Counterintuition (Boston, MA: Harvard Business Press,
edu/ethics/practicing/decision/framework.html 2009), pp. 137–143.
86
(September 2, 2007). Ibid., p. xvi.

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 c h a p t e r n i n e

H U M AN R E S OU R C E
*
M A NAGE ME NT
Learning Objectives
1. List 10 functions a police human resource unit might perform.
2. Identify the main objective of the Equal Pay Act.
3. Describe how the Age Discrimination in Employment Act is applied to law
enforcement agencies.
4. Explain the four major theories of discrimination.
5. Name two categories of sexual discrimination.
6. Summarize the protection afforded by the Pregnancy Discrimination Act.
7. Define disability and reasonable accommodation.
8. Briefly discuss the law enforcement exemption of the Genetic Information
Nondiscrimination Act.
9. Briefly contrast exempt and nonexempt employees.
10. List the four reasons for which leave may be taken under the Family
Medical Leave Act.
11. Briefly state how the economy affects recruiting applicants.
12. Define validity and reliability.
13. Explain the meaning of discipline and progressive discipline.
14. Identify the four possible outcomes in a professional standards/internal
affairs investigation.
15. Explain how a discipline matrix works.
16. List four purposes of performance appraisals.
17. Name the five different purposes promotional testing can serve.
18. Describe the assessment center process.
19. Explain rank order, all-qualified, and banded promotional rosters.
20. Discuss the problem of identity loss that some officers experience in retirement.

*
The content of this chapter should not be relied on for legal guidance, which should be obtained from a qualified attorney at law.

290

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 291

INTRODUCTION FUNCTIONS OF A POLICE HUMAN

THERE ARE SOME COMPELLING reasons to RESOURCES UNIT
have a strong working knowledge of human In small jurisdictions, human resources (HR)/personnel services
resource management: (1) at least 80 percent of will largely be provided by the city’s or county’s central person-
a law enforcement agency’s annual operating nel office. As law enforcement agencies become progressively
larger, they take on additional HR responsibilities. Larger depart-
budget is spent on personnel and personnel ments may have a HR division, but in many agencies, HR man-
support costs; (2) an agency competes in the agement is a function within their Administrative or Personnel
same labor market with businesses and other and Training Divisions.
Depending on the size of a law enforcement agency and the
police organizations; it should strive to become division of responsibilities with the central personnel office, a
the law enforcement employer of choice; police HR unit may have oversight of the following functions:
(3) some number of personnel problems can be 1. Complying with Peace Officers Standards and Training
traced back to faulty human resource Commission (POST) requirements and guidelines;
management practices; (4) serious mistakes by 2. Maintaining currency with federal job discrimination
laws;
weak selection processes and inadequate
3. Developing agency HR policies, subject to executive
training are inevitably revealed by the actions of approval;
officers; (5) high turnover costs not only result in 4. Recruiting and selecting sworn and civilian personnel;
repetitive selection and training costs, but drive 5. Monitoring turnover, retention, and diversity;
6. Providing or contracting for psychological services
down the experience level of patrol officers—a
(e.g., entry screening and critical incident counseling);
threat to the quality of service delivery; 7. Delivering or contracting for academy, in-service,
(6) achieving and maintaining a diverse work advanced, and managerial training;
force is a strong element in working effectively 8. Conducting special studies (e.g., staffing, benefits, and
compensation surveys);
with the different populations in our
9. Administering benefits programs (e.g., health and life
communities; (7) there is a maze of local, state, insurance and workers compensation);
and federal laws and regulations pertaining to 10. Preparing payroll;
public sector employees; failure to understand 11. Directing labor relations;
and follow them will bring adverse attention to 12. Coordinating drug testing;
an agency and can result in litigation by 13. Administering promotional testing;
14. Managing intern programs;
employees; (8) a department embroiled in job
15. Advising commanders on personnel matters;
discrimination litigation puts the community at 16. Coordinating the employee evaluation process;
a significant disadvantage when trying to recruit 17. Organizing promotions and awards ceremonies;
potential employers to relocate there; for some 18. Coordinating off-duty work;
potential employers, it will be sufficient to 19. Directing Professional Standards/Internal Affairs efforts;
scratch your city or county off their list; 20. Acting as personnel records custodian;
21. Preparing content for the agency’s website;
(9) valid and reliable promotional practices
22. Conducting job exit interviews to identify factors
will identify leaders (see Chapter 7, associated with turnover; and
Leadership) who can help maintain a high 23. Serving as liaison to the central personnel office.1
level of agency performance; and In preparing this list, a number of local law enforcement web-
(10) a community needs and deserves the sites were visited. The City and County of San Francisco Police
best possible law enforcement agency, Department has an unusual and very useful function for a large
agency, an American with Disabilities Act (ADA) Coordinator who
whose effectiveness and image ultimately meets with personnel seeking an accommodation under that fed-
rests on the people that represent it. eral legislation, which is covered later in this chapter.

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 292 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

KEY FEDERAL LAWS PROHIBITING progress, the EPA has never fully achieved its intended
objective.
JOB DISCRIMINATION In 2009, the Lilly Ledbetter Fair Pay Act (LLFPA) was
signed into law, overturning the Supreme Court’s decision in
In addition to the protections afforded by state laws, local ordi- Ledbetter v. Goodyear Tire & Rubber Co., which held a discrimi-
nance, and civil service or merit commissions, there are several nation charge under EPA had to be filed within 180 days of the
prominent federal laws prohibiting job discrimination. An over- date of the original compensation decision leading to the charge
view of them is provided for general familiarity and not as a or within 300 days in jurisdictions that have a state or local law
substitute for legal counsel. Some of these statutory laws are prohibiting the same kind of compensation discrimination. The
further referred to in a more specific context in subsequent sec- LLFPA carried a retroactive effective date of May 28, 2007, and
tions of this chapter. vindicated EEOC’s position that each discriminatory paycheck
These laws discussed in this section are administered by the was a new violation.
Department of Justice’s Equal Employment Opportunity LLFPA provided a brief victory to Mary Lou Mikula, who was
Commission (EEOC) and the U.S. Department of Labor hired as a grants coordinator for the Allegheny (PA) County Police
(USDOL). Despite the differences in the laws, the remedies Department.3 After being hired, Ms. Mikula began inquiring about
available to plaintiffs are often similar or the same. an adjustment in pay because she was doing work equal to a
similarly situated male, but making $7,000 less annually.
­
Job Discrimination Laws Administered by ­Ultimately, she litigated and the suit was dismissed by the District
the Equal Employment Opportunity Court because it was not filed within the time limits existing at
Commission: that time. That decision was upheld by the 3rd Circuit Court of
Appeals just as the LLFPA act passed. On a rehearing and facts
THE EQUAL PAY AND THE LILLY LEDBETTER considered within the recently passed LLFPA, the 3rd Circuit
FAIR PAY ACTS reversed itself and Mikula’s case was remanded for further pro-
ceedings, where the court ruled for the employer on other
The Fair Standards Labor Act (FLSA, 1938) was amended grounds. Box 9.1 summarizes a pay suit filed under a state equal
in 1963 by the Equal Pay Act (EPA). Its main objective pay act.
is to eliminate discrimination in wages based on gender.
Still, it was not until 1970 that a federal court ruled in
Schultz v. Wheaton Glass Company that for EPA purposes, AGE DISCRIMINATION IN EMPLOYMENT
the job of a woman did not need to be identical to a ACT (ADEA)
man’s, only substantially similar. Although there has been The Age Discrimination in Employment Act, ADEA
(1967), only forbids age discrimination against people
who are age 40 or older and work in organizations with
20 or more employees.4 ADEA forbids age discrimination
Quick Facts: Gender and Other in any aspect of employment, including hiring, job assign-
ments, promotions, layoffs, training, fringe benefits, and
Pay Disparities any other term or condition of employment. Harassment
of older workers, such as continuing offensive remarks
A Presidential Proclamation (2016) noted the typical about their age, may rise to the level of creating a hostile
woman working full-time, year-round, only earns 79 cents working environment and may also be actionable.
for each dollar earned by a man. For women of color that In Smith v. City of Jackson (2005), the U.S. Supreme Court
figure is 60 cents and for Hispanic women 55 cents.2 reviewed a case filed by Jackson (Mississippi) police officers
who were 40 years of age and older, who sued under a theory

Box 9.1 Officer Kristi Lougheed Wins Suit

Officer Lougheed was hired with 15 years of prior police Washington’s equal pay and anti-discrimination laws. A trial
experience by the Aberdeen, Washington, Police Depart- determined that Aberdeen had violated both laws and the
ment at Step 1, the lowest pay grade. She subsequently city unsuccessfully appealed the decision. In mid-2015, Aber-
learned that some male counterparts, with less experience, deen agreed to pay Lougheed $375,000 for general dam-
were making more than she was. The Chief agreed at some ages, costs, litigation expenses, purge her personnel file of
point to move her to Step 2, which was only a modest letters of reprimand, advance her to Step 4, and the Chief
increase, and Lougheed filed suit under the State of was to write a letter of apology.5

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 c h ap t er 9 • H U MA N RES OU RCE M ANAGEM ENT 293

of disparate impact, alleging that their employer’s new adopted which represented 29.5 percent of all claims.11 A key
pay plan was more favorable to younger officers and fell more case on the way to EEOC’s inclusion of LBGT people
harshly by comparison on older officers.6 Factually, officers within the sex class of Title VII was Barnes v. City of
with less than 5 years tenure received higher raises than those Cincinnati (2005), the facts of which are summarized
with more service. The defendant, City of Jackson, argued that in Box 9.2.
it had a legitimate, nondiscriminatory reason for the plan, desir- Remedies for relief available to plaintiffs include (1) injunctive
ing to raise starting salaries to the regional average. The relief, a court order prohibiting future discrimination; (2) hiring,
Supreme Court affirmed the lower court’s summary judgment promotion, or reinstatement; (3) backpay with interest; (4) if
in favor of the defendant, concluding that while there were discriminatorily denied a job or terminated and there is no cur-
other ways to achieve the city’s goal, the method selected was rent vacancy, frontpay will be ordered until a position is avail-
not unreasonable. able. Frontpay may also be an appropriate remedy when
Nassau County (New York) reached a voluntary settlement employer–employee hostility would make a continuing employ-
with the EEOC in 2008 on an age discrimination suit. Although ment relationship difficult; (5) compensatory damages, to make
protected by the ADEA, four Nassau County Police Department the victim financially whole for past losses and emotional dis-
Marine Bureau officers with excellent records and no negative tress; (6) attorney fees; (7) removal from personnel and all other
performance evaluations were transferred to precinct jobs that files of discipline, adverse performance appraisals, and other
were less desirable and were replaced by younger officers. The actions related to the complaint ultimately filed, and (8) punitive
plaintiff officers argued that the personnel actions were moti- damages, against nongovernmental entities, where the discrimi-
vated by an attempt to get them to retire. The settlement nation was undertaken with malice or reckless indifference.12
included $450,000 in damages for the plaintiffs and other injunc- EEOC’s enforcement of the law is based on four theories of
tive relief.7 discrimination. These theories apply both to Title VII violations
ADEA has a public safety exemption provision to apply its and to the other job discrimination laws that EEOC administers:
provisions; local units of government can refuse to hire a person
1. Disparate treatment—An applicant or officer may
for a sworn position if the applicant is over their maximum age
rightly believe that he or she has been dealt with
for hiring and the refusal to hire was part of a bona fide hiring
unfairly by an employment decision. To rise to the
or retirement plan and not a subterfuge to evade ADEA’s pur-
level of a disparate treatment claim, the person must
poses.8 This position was reached in Kannady v. City of Kiowa
have been intentionally treated differently because of
(2010). It was undisputed that the City of Kiowa refused to hire
his or her membership in a protected class; the
the plaintiff because he was 45 years old and thus not eligible
discrimination must be more than slight to be
to participate in the state-operated Oklahoma Police Pension
actionable.13 Both compensatory and punitive damages
and Retirement System, which had a 45-year-old cutoff for mem-
can be awarded against a nongovernmental employer.
bership since 1989. In response, Kannady filed an ADEA suit.
The trial court dismissed the suit and upon appeal, the federal African-American police officers in Houston filed a Title VII
10th Circuit Court of Appeals affirmed the District Court’s suit alleging racial discrimination. The officers complained they
decision. were excluded from serving in four divisions that prohibited
Many states have also enacted age discrimination laws. In ten officers from wearing beards. The department’s position was
states there is no minimum number of employees required to that those divisions would be most likely to respond to chemi-
sue for age discrimination, although the usual number specified cal, biological, radiological, or nuclear attacks and the bearded
by states often is in the 5 to 15 employee range. Some states also African-American officers could not safely wear respirators.
specify an age discrimination threshold younger than the federal
threshold of 40.

Title VII (1972) of the Civil Rights Act Quick Facts: Limits on Compensatory
of 1964 and Punitive Damages Vary
Title VII prohibits discrimination in hiring, pay, promo- By Size of Employer
tion, firing, wages, job assignments, fringe benefits, and
other terms and conditions of employment because of For employers with 15–100 employees, the limit is
race, color, sex, national origin, or religion.9 These five $50,000.
categories are referred to as protected classes. The law
For employers with 101–200 employees, the limit is
covers federal, state, and local governments, private $100,000.
employers with 15 or more employees, labor unions,
For employers with 201–500 employees, the limit is
and employment agencies. Although Title VII contains
$200,000.
no references to lesbian, bisexual, gay, or transgender
people (LBGT), EEOC asserts that they are included For employers with more than 500 employees, the
limit is $300,000.14
within the meaning of the “sex” class of Title VII.10 In FY
2015, EEOC received 26,396 claims of sex discrimination

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 294 cha pte r 9 • HUM A N R E SO UR CE MAN AG E MEN T

Box 9.2 The Probationary Sergeant Who “Lacked Command Presence”

Phillip Barnes (PB) joined the Cincinnati Police Department to stop wearing makeup and act more masculine, which was
as an officer. On the Sergeants’ examination some 10 years explained as an effort to correct grooming deficiencies.
later, he was placed 18th among 120 officers who took it. Ultimately, a recommendation was made to fail PB during
He was promoted to Sergeant and, like other recently pro- probation. This recommendation was rejected and instead PB
moted Sergeants, placed on probation. PB was living as a was told to choose a mentor. At the beginning of that relation-
pre-operative male-to-female transsexual, dressing as a ship PB got mediocre scores, which later collapsed to zeros in
man at work and a woman while off-duty, sometimes com- some categories as time passed. A second fail recommenda-
ing to work with arched eyebrows and lipstick on his face. tion was made and accepted by the administration. PB was
This resulted in a reputation as a homosexual, cross dresser, the only Sergeant to fail probation during an 8-year period.
or bisexual. Among the other characterizations of PB made during pro-
After reporting to District One on his first assignment as a bation was that he lacked command presence, he failed to use
Sergeant, a superior noted that PB had trouble completing proper radio procedures, his grooming and uniform appear-
documents, exercising judgment in the field, and completing ance didn’t meet standards, and he was dishonest on several
assignments on time. Unlike other Sergeants on probation, occasions.
PB was then evaluated by a different set of standards in a PB acknowledged that being a Sergeant was more difficult
“new training program.” A special six-page form was devel- than he had expected, there was a difference in the duties of
oped, used only for evaluating PB. He was not allowed to go officer and Sergeant, and in some areas he did need to
to the field alone; was required to wear a microphone at all improve. At one point during probation, he sought help from
times; during the last weeks of his probationary period had the department’s psychologist, stating problems during pro-
to ride in a car with a camera in it, and was evaluated daily bation elevated his stress and that the problems would not
by seven Sergeants. One of the Sergeants who evaluated PB have occurred but for his supervisors singling him out in the
testified that the purpose of the program was to document manner they did, which he found demeaning.
every mistake he made so he could be failed on probation. PB filed a sex discrimination suit under Title VII and pre-
The Sergeant also stated PB was targeted for failure although vailed at a jury trial The jury awarded him $150,000 in com-
he was actually improving over the course of his probationary pensatory damages, $30,511 in back pay, and $140,000 in
period. front pay. The District Court additionally awarded PB
This Sergeant warned PB that he was going to fail proba- $527,888 in attorney fees and $25,837 in costs. The city
tion because he wasn’t masculine enough. Prior to promotion appealed the case twice, both of which were denied. Phillip
a senior commander had counseled PB because he needed Barnes later became Philecia Barnes.

In Stewart et al. v. City of Houston Police Department, the Dis- permission to wear a baseball cap in lieu of a yarmulke. 17
trict Court granted summary judgment to the defendant, the Newark Sunni Muslim police officers also successfully litigated
Houston Police Department, and the dismissal was affirmed by a First Amendment claim, allowing them to grow beards in
the Appellate Court (2010).15 fulfillment of their religious practices (1999).18 In its decision,
In Endres v. Indiana State Police (2003), a Baptist officer the court noted that the department had already made an
refused assignment as a full-time gaming commission agent at a exception for African-American officers prone to develop infec-
casino because gambling violated his religious belief that games tions from shaving (Fraternal Order of Police Newark Lodge
of chance were sinful.16 The plaintiff requested other duties and 12 v. City of Newark).
was denied. The suit was dismissed with the court noting that
2. Adverse impact—Prior to 1965, the Duke Power
juggling unpopular enforcement duties and the preferences of
Company hired only African-Americans into the lowest-
officers would be a daunting task to managers and create opera-
paying job classifications, while Whites were hired into
tional hardships.
better-paying positions. The two races worked in
Religious discrimination may also be litigated on Constitu-
segregated departments and promotions were made
tional, as opposed to Title VII, grounds. An Orthodox Jewish
within those racially divided departments. Based on
Las Vegas detective, Steve Riback, sued his department (Riback
the enactment of the Civil Rights Act of 1964, Duke
v, Las Vegas Metropolitan Police Department) for religious dis-
Power was later required to change its employment
crimination because it would not allow him to grow a short
practices.
beard or wear a yarmulke skullcap, even though he was on
desk duty and not in contact with the public (see Figure 9.1). In 1965, new applicants and employees seeking transfer to
In 2009, this First Amendment case was settled with the plain- traditional White classifications were required to have a high
tiff receiving $350,000, the right to grow a beard, and school education and pass two aptitude tests. The tests excluded

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 295

FIGURE 9.1 c Detective Steve Riback

reviews his religious discrimination suit
against the Las Vegas Metropolitan Police
Department. (Photograph by Steve Riback)

94 percent of the minorities, but only 42 percent of the majority In 1978, the EEOC developed Uniform Guidelines for
group. At that time in Duke Power’s home state of North Caro- Employee Selection Procedures. The purpose of the Guide-
lina, only 12 percent of African-Americans had a high school lines was to create a single set of principles designed to help
education. Willie Griggs, an African-American employee of covered employers comply with federal laws prohibiting employ-
Duke Power, filed a class action suit under the Civil Rights Act ment practices that discriminated on the basis of race, color, sex,
of 1964. religion, and national origin. As defined by EEOC, “selection
In Griggs v. Duke Power Company (1971), the Supreme Court procedure” means any measure, or combination of measures or
found for plaintiff, Griggs. The tests and the high school educa- procedures, used as a basis for any employment decision. The
tion requirement continued past discriminatory practice and term includes the full range of evaluation techniques from tradi-
both requirements were not job related. Griggs established the tional paper and pencil tests, performance tests, training pro-
principle that the absence of discriminatory intent is unimportant grams, probationary periods, and physical, educational, and
and it is the consequences that matters. Although Duke Power’s work experience requirements through informal or casual inter-
requirements were seemingly innocuous, their impact fell more views and unscored application forms.
harshly on African-Americans, excluding them from better-pay- Using the example of a written promotional test, a rough
ing positions, creating an adverse impact. An adverse impact is rule-of-thumb method of assessing adverse impact is the “4/5ths
an employment practice that, although lacking any discrimina- rule.”19 If the passing rate on the test for any race, sex, or ethnic
tory intent and on its face appearing to be neutral, an employer group is less than 4/5ths, or 80 percent, of the passing rate for
is prohibited from using because it has an unjustified impact on the group with the highest passing rate, an adverse impact exists
members of a protected class. (see Table 9.1).

TABLE 9.1 E XAMP LE O F TH E 4/ 5TH S RULE AP P LI E D TO A

P O LI CE P RO MO TI O NAL W RI TTE N TE ST a

African-American
Test Data White Candidates Candidates Totals
Took Test 400 100 500
Passed 120 10 130
Failed 280 90 370
Passing Rate 30% 10% 26%

a
Adverse impact calculation: 10% (lowest passing rate) , 30% (highest passing rate) = 33.3%,
substantially less than 80 percent, indicating an adverse impact. To avoid adverse impact in this example, the
African-American passing rate would have to be a minimum of 24 percent.

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 296 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

In such a case the employer must defend its practices or A single significant act may constitute harassment. In Chris
under EEOC guidelines adopt a selection process that is equally Sanford v. Department of Veterans Affairs (2009), the Associate
valid and reliable, reasonably meets the employer’s legitimate Director grabbed the plaintiff’s arm, turned him around, pushed
business needs, and is less discriminatory, or go to trial. The him into a desk, and screamed at him.23 The incident was suf-
replacement selection process might be a different written test ficiently severe as to allow a claim of harassment to be made.
or it could be an entirely different process, such as an oral board. However, the more usual situation is a pattern of continuing
Law enforcement agencies are sensitive to the problems of conduct. The more severe the harassing actions, the less need
adverse impact. However, as noted above, under EEOC guide- there is to show a pattern.
lines, all adverse impact is not illegal, although defending such Sexual harassment is perhaps the most immediately recogniz-
practices imposes a substantial burden. That is a fight, even if able form of harassment. The harasser may be an immediate
winnable, in which most employers don’t want to engage. It is supervisor, a supervisor in another unit, the agent of the
likely to be costly, time-consuming, reduce prospects for increas- employer, or an non-employee, such as a package delivery per-
ing diversity, tarnish the image of the employer, and make eco- son. The victim and harasser may be of the same gender; a
nomic development a harder task because employers are victim may also be someone other than the person being
reluctant to relocate their businesses to a city or county that can’t harassed who finds the conduct offensive. There does not have
effectively govern itself. The flip side is that abandoning the to be an economic injury to the victim before a claim can be
results of a test with adverse impact may result in a suit by offi- filed and the harasser’s attention must be unwelcome. It is help-
cers who passed the test. ful if the victim informs the harasser that the conduct is not
In Ricci v. DeStefano (2009), the Supreme Court ruled that New wanted and uses the employer’s complaint system to document
Haven, Connecticut, couldn’t simply dismiss the results of promo- the circumstances of each such encounter.24 Although victims of
tional tests for Fire Lieutenant and Captain that produced adverse sexual harassment can be men, they are most often women; in
impacts because it feared Title VII liability. The data for an adverse rare occasions, they may be very young. A 14-year-old girl work-
impact was clear—under the 4/5ths rule, the minority passing rate ing in a Wichita, Kansas, fast-food restaurant was sexually
was 34 percent, only 59 percent of the passing rates for majority harassed by the store manager almost immediately after being
officers. The Court concluded that before being used the tests had hired. One day after work he insisted on driving her home.
been subject to “painstaking analysis,” New Haven had turned a Instead, he took the girl to his home and sexually assaulted her.
“blind eye” toward its validity evidence, and another process that The manager was later sentenced to 8 years in prison. EEOC
met the employer’s needs was not available at that time. investigated and found that other girls were also sexually
A case with a fact situation striking similarity to Ricci is Joe harassed, and sued the company, which settled the suit in 2002.
Oakley v. City of Memphis. The 40 plaintiffs in Oakley included The girl who was sexually assaulted received $150,000.25
a racially and gender-mixed group of candidates that litigated Traditionally, sexual harassment has been categorized as
over a promotional test to police major that Memphis discarded (1) quid pro quo, from Latin, meaning an exchange or literally
amid concerns about Title VII litigation despite strong possibili- “something for something.” It is constituted by unwelcome sex-
ties for its defense. Both the trial and appeals court found for the ual advances, requests for sexual favors, and other verbal or
defendant city of Memphis and plaintiffs appealed to the physical conduct of a sexual nature when (A) submission to such
Supreme Court. In the wake of its decision in Ricci, the Supreme conduct is either explicitly or implicitly a term or condition of
Court remanded Oakley for further consideration. Upon recon- an individual’s employment or (B) submission or rejection of
sideration, the plaintiffs prevailed. Note should be taken that such conduct by an individual is used as the basis for employ-
both the original trial and appeals court decisions were based ment decisions affecting that individual26 and (2) hostile envi-
on the prevailing decisions prior to Ricci. ronment, which is created when the prohibited and unwelcome
behavior has the purpose or effect of unreasonably interfering
3. Harassment—Although technically harassment is
with an individual’s work performance or by creating an
a form of disparate treatment, EEOC recognizes it
intimidating, hostile, or offensive working environment.27
as a separate theory of discrimination.20
Examples of conduct that contribute to a hostile work envi-
Harassment is a discriminatory, unwelcome action toward ronment include crude language; displaying sexually suggestive
an individual on the basis of race, color, sex (including preg- cartoons, calendars, posters, photographs, sex toys, or porno-
nancy), national origin, age, religion, disability, or genetic infor- graphic material; unnecessary touching; off-color, lewd, and
mation. Unwelcome actions that may rise to the level of obscene jokes; sexually suggestive gestures and body language;
harassment include speech, touching, and other conduct that references to sexual activity and questions about another’s sex-
create an intimidating “hostile work environment” that employ- ual life; social invitations to discuss a promotion, raise, perfor-
ees reasonably should not have to endure. Mild teasing and mance appraisal, or other terms and conditions of employment;
occasional offhand comments will fall short of being recognized and demeaning or offensive language, such as “babe,” or “work
as creating a hostile environment; the conduct involved must be spouse.”28 In determining whether such unwelcome conduct
more severe or pervasive but need not be totally intolerable.21 may have established a hostile environment, a variety of factors
Gender harassment can occur without it being specifically sexual are considered, such as frequency, severity, and whether the
harassment22 (e.g., “You’re pigheaded like all other women”). conduct is intimidating or humiliating.

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Box 9.3 Deputy Sues Sheriff, Alleges Sexual Harassment

Although the Sheriff avowed there would be no toleration of required her to sit on his lap and forced a kiss on her lips,
sexual harassment, he was self-described as a “touchy-feely admonishing her that if she wanted a transfer or promotion,
person.” Periodically, the sheriff had contact with a female she had to choose him over her boyfriend. Some at work
deputy, making inappropriate or suggestive remarks and referred to the Sheriff as a “gropealope.” These and other
touching her in sexually aggressive ways. Subsequently, he episodes made the plaintiff dread going to work. She
insisted on hugging her when they encountered each other resigned, filed suit, and prevailed at trial on appeal, the
at work and would grab her buttocks. At one point, he ­judgment of the trial court was affirmed.29

Employers have a substantial responsibility in curbing all he or she made a charge, testified, assisted, or participated in any
forms of prohibited harassment. Table 9.2 illustrates common manner in an investigation, proceeding, or hearing involving a
elements in a sexual harassment policy. Such policies often covered job discrimination claim; for the employee’s expression
include the names, telephone numbers, and physical and e-mail or conduct to be protected from retaliation, it must make reference
addresses of those outside of the department to whom sexual to a protected class or type of prohibited job discrimination.30
harassment can be reported. Not shown in Table 9.2 are the Under retaliation for opposition, employers cannot discrimi-
specific procedures related to the policy. nate against an applicant or employee who opposed covered job
discrimination practices or said so in response to the employer’s
4. Retaliation—Unlawful retaliation can take questions. Protection is afforded so long as the opposition is
one of two forms: (1) retaliation for participation based on a reasonable and good faith belief that the practice
and (2) retaliation for opposition. opposed is illegal. In the event, the practice opposed is not
prohibited, the employee is still protected. However, if such
Under retaliation for participation, employers are prohibited opposition is unreasonable, in bad faith, deliberately false, or
from retaliating against a job applicant or an employee because malicious there is no protection.31

TABLE 9.2 SE XUAL H ARASSME NT P O LI CY STATE ME NT

Policy

All Departmental employees have a right to work in an environment free from unsolicited
and unwelcome conduct of a sexual nature. Sexual harassment is against the law and is
prohibited conduct that will not be tolerated in the department. Violations will be swiftly
investigated and appropriate action taken at the earliest possible point. It may be
necessary to transfer the accused to another position pending resolution.
In addition to being legally wrong, sexual harassment is also misconduct that undermines
the integrity of the employment relationship. All employees have a responsibility to pre-
vent the development of a department climate that allows, supports, promotes, condones,
tolerates, or ignores sexual harassment and are required to report violations orally or
written at the earliest possible opportunity.
Reports of misconduct may be made with any of the following: (1) any departmental
supervisor, including outside of the normal chain of command; (2) the Internal Affairs Unit;
(3) the city’s Human Resource Department or EEO Officer; (4) any Assistant City Manager
or the City Manager; (5) the State Civil Rights Commission; and (6) the federal Equal
Employment Opportunity Commission.
All supervisors are responsible for preventing sexual harassment by: (1) monitoring
the workplace on a daily basis; (2) ensuring that employees understand their rights and
requirements to comply with the law and this policy; (3) taking immediate corrective action
when misconduct is observed even if the involved employee is outside the normal chain of
command; and (4) reporting allegations and observed misconduct in writing to the Office
of the Chief of Police within 24 hours of occurrence. Reports shall be hand carried by the
initiating supervisor to the Office of the Chief of Police in a sealed envelope bearing no
outer details to protect privacy.

Source: Drawn, with restatement for brevity, from the policies of the Denver, Colorado; Santa Cruz, California; and
Peoria, Illinois, Police Departments.

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The Pregnancy Discrimination Act (PDA)

Quick Facts: Officer Sues for Pregnancy, childbirth, and related medical complica-
Retaliation, Actively Supported tions were not originally conceived of as discrimination
Wife’s Disability Claim issues. Still, some agencies developed policies to pre-
vent such discrimination and the courts allowed litiga-
tion under the 1964 Civil Rights Act. To formalize what
A consent decree was entered into by the City of had previously been an ad hoc process and to promote
­Colorado Springs and plaintiff Lance Lazoff in a retalia-
uniformity of rights, the Pregnancy Discrimination Act
tion case.32 Both Mr. Lazoff and his wife were police
(PDA) of 1978 was enacted. In some circumstances, the
­officers. She filed an Americans with Disabilities Act
(ADA) complaint, which he actively supported. Subse- ADA, and the Family Medical Leave Act (FMLA) protec-
quently, he was denied promotion to Sergeant 16 times. tions may also be invoked. The PDA is the primary law
The consent decree remedies included back pay and prohibiting discrimination against pregnant women and
retroactive seniority. is applicable to businesses with 15 or more employees
and all public employers.

Box 9.4 Pregnant Officer Fights Back After Lost Opportunity

to Take Sergeant’s Exam

In 2013, New York Police Department Officer Akema warning that the denial would alter the trajectory of
­Thompson learned that the first Sergeant’s test in 2 years ­Thompson’s career and was unlawful. Her request for a
was going to be on the same day as her baby’s due date. makeup test, which the civil service had scheduled, was
She also knew that the civil service gave a makeup test. After once again turned down. In 2014, the Legal Momentum, a
an exchange of correspondence, the most accommodation women’s advocacy group, took her case pro bono and filed
she received was civil service would allow her to sit on a suit against the city for pregnancy discrimination. The case
cushion on the regular date for the test, In that same year, was settled out of court in 2015. Thompson received
1,376 women nationwide had pregnancy discrimination $50,000 and was allowed to take the make-up test, the
cases resolved in their favor. Legal Momentum got $15,000, and the city stipulated that
Thompson solicited the support of her union, the Patrol- pregnancy and child-related conditions would be grounds
men’s Benevolent Association, which sent three letters for a make-up examination in the future.33

Broadly, the act makes it illegal to discriminate in employment by the FMLA. Poor performance and attendance problems by
practices against a woman because of pregnancy, childbirth, or pregnant women need not be tolerated by an employer, but such
medical conditions arising from such.34 Hiring a pregnant woman employees cannot be held to a higher standard than any other
is not required, but such an applicant must be treated equal to employee. A woman cannot be forced from her job even if it
all other candidates. Women applying for pregnancy leave can- exposes her to dangerous conditions although the employer
not be required to give more than the 30 days’ notice mandated should provide her with written notice of the hazards.

Box 9.5 Six Officers Sue for Pregnancy Discrimination

Six Suffolk County (New York) Police Department (SCPD) pregnancies and were unpaid after exhausting their annual
female officers sued their employer on pregnancy discrimi- leave. The trial court found for the women in Lochren et al.
nation grounds in 2006 for denying women officers limited v. Suffolk County and awarded damages and attorney fees.
duty, desk-type jobs during their pregnancies. Until 2000, The plaintiffs appealed the amount of attorney fees and
the SCPD provided access to such positions and then costs awarded to the Appeals Court, which discovered math-
changed its policy to limit the use of such positions to offi- ematical and other errors by the trial court, in awarding
cers injured on-duty. The SCPD also failed to provide bullet- $578,704. The Appeals Court remanded those issues to the
proof vests and gun belts that would fit pregnant women. trial court. In 2010, the trial court awarded attorney fees and
The result was that women could not work for much of their costs of $932,187.35

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 c h ap t er 9 • H U MA N RES OU RCE M ANAGEM ENT 299

Pregnant Police Officers and Bryan County, Oklahoma, 2009). No accommodation policies
Departmental Practices and Policies also deny departments the opportunity to retain valuable
women officers. Automatically placing women on light duty
Findings from a major review of research studies lead to
status when they become pregnant also create some potential
the question of whether existing law enforcement poli-
disadvantages: loss of off-duty employment, may be unable to
cies related to pregnant officers are sufficiently compre-
maintain state certification as a peace officer, may be illegally
hensive and informative.
excluded from competing for promotion, and adversely effect-
Some departments still lack policies regarding firearms
ing opportunity for productivity and thus a potentially negative
training by pregnant officers. Although nonlead rounds are
performance evaluation.39
used by many law enforcement agencies, others still use leaded
According to the IACP, a sound policy keeps trained and
bullets. “Non-lead” rounds use no or very little lead and are
experienced female officers working as long as reasonably pos-
sometimes called “green rounds” because they are also more
sible and does not compel light duty until medically necessary,
eco-friendly. Lead toxicity is harmful to the fetus and exposure
defers types of training that could interfere with the pregnancy,
during pregnancy is associated with serious complications,
preserves seniority and all other employment rights, recognizes
including spontaneous abortion and hypertension. Well-venti-
pregnancy as a transient or temporary condition, is based on
lated indoor ranges can substantially mediate this problem.
medically sound information and not stereotypes, and prevents
Noise toxicity is also related to acute disorders, including mis-
Title VII liability. The IACP policy also avoids the use of assign-
carriages. Lead and noise combined have a higher toxicity with
ments that have a likelihood of encountering toxic chemicals, or
significant consequences (e.g., heart lesions).36
pose other health risks, for example, raids on meth labs, chemi-
Gun-cleaning solvents may not be safe and pregnant officers
cal spills, intensive traffic enforcement, prolonged air travel, high
should not clean firearms. Heavy physical activity during the last
risk entries, SWAT Team duty, riot control, and prolonged station-
trimester may injure the baby or the mother. Pregnant officers
ary posts, all of which have a high possibility of producing
should not be tasered during training due to a risk of miscar-
trauma. The option to use maternity duty should be made avail-
riage. Chemicals at clandestine labs, hazmat spills, and traffic
able to the pregnant officer during the second trimester or when
accidents are also health risks, as are contact with potentially
medically indicated and may include non-hazardous assign-
infectious subjects and violent assaults. Shift work and night duty
ments, writing police reports, operating a radio, interviewing
are associated with preterm births.37
people, and clerical work.40
The International Association of Chiefs of Police (IACP)
The IACP also recommends avoiding the following during
developed a policy, Pregnancy and Policing,” in October 2010.
maternity duty: alternating shifts, defensive tactics training,
Among its notable points: (1) women are important in policing
actual firearms training, patrol duties, extensive exposure to
as part of its diversity; (2) women should never have to choose
automobile exhaust fumes, standing for more than 30 min at a
between motherhood and livelihood; (3) there continue to be
time, lifting more than 25 pounds, and exposure to high
obstacles for women in law enforcement, including inadequate
­concentrations to toxins. During pregnancy, the department
facilities and equipment; (4) male norms in place can create
should seek a temporary weapon qualification exemption or
self-doubt, and (5) inadequate maternity policies and equipment
arrange for an alternative firearms qualification.41
for pregnant officers.38 In 2011, The Women in Federal Law
Enforcement (WIFLE) Foundation has also offered advisory
pregnancy guidelines for federal law enforcement agencies. The Americans with Disabilities Act
The IACP properly notes that policies that automatically (ADA) 1990
exclude women from regular duties from the onset of pregnancy The Americans with Disabilities Act (ADA) was enact-
are discriminatory, as are policies that afford no accommodation ed in 1990 to guarantee equal opportunity to jobs for
because it ultimately results in loss of seniority, health benefits, qualified individuals with disabilities and to provide cov-
and pensions (see United States of America v. Bill Sturch, Sheriff, ered individuals with other protections as well. The ADA

Quick Facts: ADA Suits Often Against the Police

Impressionistically, after looking at ADA suits involving the they see when they encounter people with disabilities.
police from 2011 to 2015, there is not a lot of litigation involv- Assume that a car is stopped and the officer orders the driver
ing officers suing their departments on the basis of ADA. In out of the car. He has mobility problems and gropes for a
contrast, there are a number of ADA suits against the police cane, but the officer yells freeze to the deaf man, thinking he
for not accommodating a citizens’ disabilities, e.g., physical is reaching for a gun. Fearing for his life, the officer shoots,
or mental disabilities. Officers may also misinterpret what killing the driver.

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 300 cha pte r 9 • HUM A N R E SO UR CE MAN AG E MEN T

Box 9.6 Rochester, Michigan, Police Department Settles A D A C omplaint

In 2015, the Rochester Police Department (RPD) reached an A TTY device allows a deaf person to send and receive
out-of-court settlement with a deaf man who was arrested. typed messages. A Sorenson Video Relay Service (SVRS)
His hands were cuffed behind him, so he could not sign or “video phone” creates a high-speed connection to an SVRS
write a note. He was detained without access to a telecom- interpreting center. The interpreter appears on the device
munication device such as a TTY device or a video phone, and the deaf person signs his/her message, which is relayed
and not provided an interpreter for his video arraignment. In in English to the police.
addition to other terms, the RPD was required to implement
measures to avoid another such incident.42

Amendment Acts of 2008 provided broader protections Accommodations cannot impose an “undue hardship” on
to job seekers with disabilities and put in place less-­ employers, such as substantial expense. This is evaluated in terms
restrictive interpretations of the law than those held by of the employer’s own circumstances. Accommodations will vary
the courts. The law covers private employers, state and according to individual needs (e.g., an applicant may need a sign
local governments, employment agencies, and labor orga- language interpreter during an interview, blind employees may
nizations and is enforced by the U.S. Equal Employment need someone to read job instructions to them, and diabetics
Opportunity Commission. may need periodic breaks to eat properly and monitor their
Rochester, Michigan, is one of only a number of police blood sugar and insulin levels).47 Employers are not required to
departments that have been sued because they lacked the poli- lower production or quality standards as an accommodation, nor
cies and equipment to properly handle deaf persons. With all of must they provide one unless a request is made.48
its resources and specialization, even the New York City Police With respect to an individual, a disability is (1) a physical or
Department entered into a settlement with the U.S. Department mental impairment that substantially limits one or more major life
of Justice in 2009 to implement practices that would enhance activities, (2) a record of such an impairment, or (3) a perception
effective communication when its officers are in contact with that a person has such an impairment.49 Major life activities include
deaf persons.43 ADA further requires easy access and use by but are not limited to by federal law, caring for one’s self, perform-
covered individuals to a wide range of facilities, including banks, ing manual tasks, seeing, hearing, eating, sleeping, walking, stand-
theaters, recreational opportunities, transportation, hotel/lodg- ing, lifting, bending, speaking, breathing, learning, reading,
ing, child care centers, voting centers, restaurants, and assistance concentrating, thinking, communicating, and working.50 Major
at self-serve gasoline stations. bodily functions are also covered, including digestive, bowel, blad-
ADA legislation has had a significant impact on the hiring and der, respiratory, circulatory, and reproductive functions.51 Deter-
other human resource practices of law enforcement agencies. It mining “substantial limitation” is a “common sense judgment”; the
makes it unlawful to discriminate in all employment practices limitation need not totally prevent a major life activity nor rise to
with respect to covered individuals, including recruitment, hir- the level of a significant or severe restriction.52 Although individu-
ing, pay, firing, promotion, job assignments, training, leave, lay- als may take “mitigating measures” to reduce or eliminate their
offs, and benefits. The law does not require that preferences be impairment (e.g., insulin or use of a prosthetic limb), in ADA’s
given to covered individuals. view, the test of impairment is whether the person would have a
In the employment context, a qualified individual with a substantial limitation of a major life activity without it.
disability is a job applicant or employee who meets legitimate
skill, experience, education, or other requirements of an employ- Genetic Information
ment position that he or she seeks or holds.44 The person must Nondiscrimination Act (GINA)
be able to perform the essential or core job functions versus the Passed in 2008, the Genetic Information Nondiscrimina-
marginal requirements, with or without a reasonable accom- tion Act (GINA) covers employers with 15 or more workers,
modation for his or her disability by the employer; job require- labor unions, training programs, and employment agencies.
ments that screen out people with disabilities are legal only to It effectively extends the reach of Title VII of the Civil Rights
the extent that they are job related and consistent with business Act of 1964. The law defines “genetic information” broadly;
necessity.45 Examples of reasonable accommodations by employ- it includes information about an individual’s genetic tests
ers include modifying equipment and facilities, redesigning jobs, and the genetic tests and medical histories of “family mem-
modifying work schedules, and approving transfers to other bers” (i.e., their diseases, disorders, and conditions). Family
vacant jobs that can be performed.46 There are federal and some members means to the fourth degree (i.e., great-great-great
state tax credits for businesses to offset the cost of providing grandparents). In addition to other provisions, GINA strictly
reasonable accommodations. limits the d ­ isclosure of genetic information and requires

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 301

Box 9.7 Police Chief Gave HIV Warning to EMS?

Perception of a disability played a central role in a West positive, and 10 min later repeated the warning to arriving
Virginia incident. Claude Green, Jr. had a heart attack EMS workers, who nonetheless performed CPR. Green
while driving. Billy Snead, a passenger in the vehicle, was died a short time later at the hospital after attempts
giving CPR to Green when Welch Police Chief Bowman to revive him failed. 53 Chief Bowman labeled the
arrived at the scene. It was alleged that Chief Bowman ­a llegations a “bold-faced lie.” 54 The Estate of Claude
knew or believed Green was gay, pulled Snead away from Green, Jr. v. Robert Bowman was settled out of court, the
giving CPR, falsely warning him that Green was HIV terms of which cannot be discussed.55

its storage in special medical files. The law provides for department’s disclosure of genetic information or against police
compensatory damages for violations, which make plain- departments by civilians for their disclosure of it.
tiffs whole, restoring them, and punitive damages, which
are intended to punish violators and deter future offenses.
Title I forbids the use of genetic information by health Job Discrimination Laws Administered
­insurers. Excluded from the definition of genetic information by the Department of Labor
are cholesterol and liver-function tests, the sex of a person, or The Fair Labor Standards Act (FLSA) was passed in 1938 and
his/her age. Blood tests are permitted to the extent that they are the U.S. Supreme Court upheld its constitutionality in 1941. It
not designed to detect genotypes, mutations, or chromosomal has been amended several times; most importantly for present
changes. purposes is that public employees became covered in 1986. It
Title II regulates the use of genetic information in the work affects 130 million full-time and part-time private and public
setting. Employers cannot (1) use genetic information when mak- sectors employees.56 In 1938, the federal minimum wage was
ing employment decisions about applicants and the terms and 25 cents an hour; when adjusted for inflation it now equates to
conditions of employment for employees (e.g., a law enforce- $8.56 hourly.57
ment agency cannot refuse employment to applicants because The goal of the original Fair Labor Standards Act (FLSA)
they have a family history of cancer); (2) classify, segregate, or (1938) was to create jobs in a struggling economy in the belief
limit employees based on genetic information; (3) retaliate that business employers would rather pay normal or “straight
against someone who asserts opposition to actions or practices time” to new employees than pay overtime to existing
forbidden by GINA; or (4) request, require, purchase, or disclose ­workers—1.5 times their normal hourly rate—when they worked
genetic information about employees. For example, employers more than 40 hours a week.58 In 1974, Congress amended the
may not use a health risk questionnaire requesting family FLSA to make it applicable to public sector employees; 2 years
medical history unless an “exception” applies. later in National League of Cities v. Usery,59 the Supreme Court
The law recognizes six narrow exceptions to acquiring held the amendment to be unconstitutional. Subsequently, the
genetic information: (1) the “water cooler” situation, when an Supreme Court reversed itself on this issue in Garcia v. San
employer overhears someone talking about a family member’s ­Antonio Metropolitan Transit Authority (1985),60 ruling that
illness; (2) accidental discovery acquisition through a newspaper ­Congress did have the authority to apply FLSA to state and local
obituary or other publicly available source (e.g., reading that an governments.
employee’s mother died of heart failure); (3) voluntary participa- The purpose of the FLSA is to establish national minimum
tion in an employer’s wellness program where the employee wage, work hours, overtime pay, child labor, and required record-
gives written consent; (4) when the information is required as keeping standards. Of concern here are the work hours and
part of a Family Medical Leave Act or similar state or local law overtime provisions pertaining to law enforcement agencies:
provision to establish the medical necessity for which an
employee is asking for leave (the Family Medical Leave Act is 1. FLSA does not require holiday, vacation, or sick
discussed in the next section of this chapter); (5) genetic testing leave days; shift differential pay, hazardous duty
that monitors the biological effects of toxic substances in the compensation, overtime pay for working holidays,
workplace, where program participation is voluntary or required specific work schedules, fringe benefits, meal breaks,
by law; and (6) law enforcement agencies may request genetic a written notice of the reason a person is fired, or
information from employees to determine if they have contami- any type of severance pay or package.61 It also does
nated forensic evidence and to identify human remains. not speak to job-sharing arrangements. Such things
GINA took effect on November 21, 2009, and litigation involv- may be provided by a police department as part of
ing it has been sparse during 2009–2015. There does not appear its HR program or by written agreement with the
to be any GINA suits filed by police officers because of their ­officers’ union.

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 302 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

Quick Facts: Youth Minimum Wage

Because of the pervasiveness of community policing and employer. Thereafter, such employees must be paid the
police youth programs, officers should be aware of the youth ­minimum wage. If federal or state minimum laws are in c­ onflict,
minimum wage so they do not mislead the youngsters with employees are entitled to the higher of the two rates.
which they work. ­Employers are prohibited from taking any action to displace
A minimum wage of not less than $4.25 an hour is ­permitted employees in order to hire employees at the youth minimum
for employees at least 16, but under 20 years of age during wage. Also prohibited are partial displacements such as
their first 90 consecutive calendar days of employment with an ­reducing employees’ hours, wages, or employment benefits.

2. Nothing in the FLSA prevents employers from paying three-pronged “duties test:” 1) the salary test, which is
more than the national minimum wage of $7.75 an covered above, 2) the duty test, which requires that the
hour and 1.5 times it for each hour beyond a 40-hour content of the job are directly related to the organization’s
work week. Some states have enacted a higher management or general business operations and must be
minimum wage. New York is committed to raising the the principal, main, major, or most important duty of the
minimum wage to $15 an hour by 2018. In 2014, by employee, and 3) the discretion and independent
President Obama’s Executive Order 13658, federal judgment test, meaning the employee must exercise such
subcontractors must be paid $10.10 hourly. judgment in matters of significance for the organization.62
3. Employees are grouped into two categories for purposes There are a number of exceptions to FLSA overtime
of overtime pay: (1) nonexempt—the group that is provisions. Members of the “learned professions,” such as
entitled to overtime pay and (2) exempt—the group that medical doctors, lawyers, the clergy, registered nurses,
is not. Under the rule change effective December 1, 2016, pharmacists, teachers, and accountants are all examples.
to be classified as exempt, an employee must: 1) be paid Coaches are exempt if they teach athletic concepts and
a predetermined and fixed annual salary, 2) be paid more skills, but athletic personnel who primarily recruit, have
than $913 weekly or $47,476 annually, and 3) primarily quality control responsibilities, or kindred positions are
perform bona fide executive, administrative, or non-exempt.63 If properly classified, exempt employees
professional (“white collar”) duties as identified in the have no FLSA rights.

Quick Facts: Additional FLSA Information

The minimum salary for employees exempt because they are against their own association for breaching the duty to fairly
Highly Compensated Employees (HCE) was set at $134,000 represent them, the court did not do so because there were
annually. To automatically update the law, the $47,476 and material differences of facts.
$134,000 threshold salary points will be automatically Occasionally, an FLSA issue becomes involved in a larger
updated every three years, starting on January 1, 2020. one. In Anderson v. City of Los Angeles (2011) a police
Under FLSA, a person who: 1) is not protected by a civil officer was fired because she failed to request compensa-
service system and 2) serves on the staff of an elected official tion for working overtime and sued to be reinstated. The
has no rights under FLSA. An elected sheriff has no FLSA trial court order her reinstatement noting that no other
rights nor does his personal staff, but the deputies do have LAPD officer had ever been discipline on those grounds.
such rights.64 In Michael Souryavong, et. al. v. Lackawanna Her employer appealed the decision, arguing the case
County (PA) and the Lackawanna Deputy Sheriff’s Association should have been returned for a disciplinary re-evaluation.
(2015) the plaintiffs sought summary judgment against both Instead, the Appeal court noted that while the overtime was
defendants. On the issue that the county had failed to pay unauthorized, she made no compensation claim and there
overtime ,the court granted the summary judgment, because was no authority for the disciplinary action taken by the
there was no dispute as to the material facts. As to the suit LAPD.

4. Employers with less than five law enforcement officers 5. Many private and public employers must pay overtime
working during a 7-day week have a complete FLSA when the number of hours worked exceeds 40 hours
exemption from paying overtime for such weeks.65 The during a week; for such employers, a “work week” may
law does not differentiate between full and part-time start on any day and consists of 7 consecutive 24-hour
officers when counting the number of officers working. periods that total 168 hours. Law enforcement

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 303

TABLE 9.3 
THRESHOLDS TRIGGERING OVERTIME
CO MP E NSATI O N RE Q UI RE ME NTS FO R
LAW E NFO RCE ME NT O FFI CE RS

Work Period Maximum Work Period Maximum

Days Hours Days Hours

28 171 17 104
27 165 16 98
26 159 15 92
25 153 14 86
24 147 13 79
23 141 12 73
22 134 11 67
21 128 10 61
20 122 9 55
19 116 8 49
18 110 7 43

Source: Code of Federal Regulations, Title 29, Subtitle B, Chapter V, Subchapter A, Part 553, September 14, 2015.

employers have wider latitude before the overtime (e.g., working a wreck, intervening in a violent assault, or
compensation requirement is triggered, as shown in a­pprehending an offender).67 In Cleveland et al. v. City of
Table 9.3. In contrast to a “work week,” police ­Elmendorf, Texas (2004), the court decided that small law
employers can use a “work period” that ranges in enforcement agencies employing fewer than five officers need
length from 7 to not more than 28 consecutive days. not count the unpaid service of reserve officers in determining
“Work period” and paydays do not have to coincide. whether they are FLSA exempt.68 Compensation for K-9 officers
6. Overtime compensation must be paid at least as caring for their dogs off-duty has been litigated under a variety
1.5 times the employee’s normal hourly rate. In lieu of of fact situations. As held in Bull v. Customs and Border ­Protection
overtime pay, law enforcement employers can award Service (2007), Lewallen v. Scott County, Tennessee (2010), and
compensatory time on the same basis; “comp time” acts other K-9 cases, the courts have generally been favorable to FLSA
as a bank of additional vacation or days off time. claims by such officers. In cases not favorable to the plaintiffs,
Officers can accrue up to 480 hours of comp time. Any they asserted overtime, but failed to keep records, began
hours worked beyond that accrual point must be ­litigation too late, or their suits were otherwise defective.
compensated with pay. Officers may apply to take In general, when officers are on standby duty in anticipation
“comp time” off at any point, but agencies may of being recalled to work, they are not entitled to FLSA overtime
consider their own operational needs and are not compensation if they are able to conduct personal business and
required to approve it as requested. However, agencies have freedom of movement. The more restrictive the conditions
must allow officers to take comp time within a a law enforcement agency places on its standby officers, the
“reasonable period” following a denied request. closer it moves toward having to pay FLSA overtime compensa-
tion (e.g., state police troopers being required to remain in state
FLSA cases involving law enforcement officers as plaintiffs patrol barracks when on standby).
have not been substantial in recent years. Police officers were
not entitled to compensation when putting on and taking off THE FAMILY MEDICAL LEAVE ACT
their uniforms and accompanying gear in Bamonte, Cota, Perine Enacted in 1993, the Family Medical Leave Act’s (FMLA)
et al. v. City of Mesa (2010).66 Although the officers were permit- intention is to help employees balance their career and
ted, as a convenience, to change at the police station, there was family needs. States are allowed to enact more gener-
no requirement to do so. The court contrasted the officers’ situ- ous terms but cannot adopt more restrictive measures
ation with those working in a chemical plant who are mandated Although the federal government and a minority of the
by the employer to change into and out of protective clothing states had previously extended some benefits to same-
on-site and who cannot safely perform their essential duties sex partners, the Supreme Court’s decision in Obergefell
without doing so. v. Hodges (2015) resulted in a substantial extension of
Adams et al. v. United States (2006) concluded that police those benefits. That decision rested on the equal protec-
officers commuting to and from work in an agency provided a tion clause of the 14th Amendment, which established a
“take-home car” are not entitled to be compensated under FLSA right to same-sex marriages. Among the new benefits for
unless they perform some substantial police functions same-sex marriages are social security payments, FMLA

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Box 9.8 FLSA and Virginia Laws Collide

Richmond police officers were generally scheduled to work the court’s responsibility was to determine what the intent of
80 hours in a 14-day period. However, at times officers Congress was in enacting FLSA. With regard to the Virginia law,
worked up to 86 hours during that period and were paid its potential trumping by the Supremacy Clause was not to be
regular, not the higher overtime, wages. In 2011, Stacy taken lightly inasmuch as the power of a state to establish labor
Rogers, on behalf of herself and other similarly situated standards is part of traditional state powers. Moreover, under a
plaintiffs filed suit under Virginia State law, which required prior federal decision, there had to be “clear and manifest pur-
overtime pay after 80-hours working a 14-day period. As its pose of Congress” to trump the historic power of the states.
defense, the city claimed that under FLSA standards Richmond did not establish such a purpose, nor could it show
­o vertime pay did not begin until more than 86 hours that Virginia State law was a “barrier” to the implementation of
were worked in a 2-week period and federal law negates FLSA or why the city could not obey both FLSA and state law,
state law. the latter of which was properly regarded as more generous
Because there was no difference in the facts before the court, than the minimum standard established by FLSA.
the sole question for it to decide was did federal FLSA law The city’s argument did not prevail and in a court
trump the more generous provision of state law. Normally, the approved settlement in 2012, the city agreed to pay $7.2
Supremacy clause of the Constitution invalidates a conflicting million to Richmond police officers for previously uncompen-
state law. However, when faced with that claim by Richmond, sated overtime.69

leave to care for a sick spouse, and spousal benefits for 3. care of an immediate family member, spouse, child, or
someone married to a member of the armed forces.70 parent, with a serious health condition; and
“Covered employers” must grant “eligible workers” a total of 4. medical work when the employee is unable to work
12 work weeks of unpaid leave during any 12-month period for because of a serious health condition.
one or more of the following reasons:
A “covered employer” is a business with at least 50 employees
1. the birth and care of the newborn child of the and all public sector organizations. An “eligible worker” is a person
employee; who has worked for the employer 12 continuous months and at least
2. placement with the employee of an adoptive or foster 1,250 hours immediately prior to the request for FMLA leave.
care son or daughter; Employers may require a medical certification of the condition of a

Box 9.9 Can Officers Get FLSA Overtime Pay for Attending
Mandatory Counseling?

In Gibbs and Drew v. City of New York Police Commissioner occasions Gibbs refused to participate in another 28 days
Bratton and others (2015), the court had to determine if impatient treatment. On her fourth refusal, her employment
mandatory counseling to save one’s job required FLSA over- was terminated.
time pay for inpatient and after regular work hours outpa- Because Drew, the second plaintiff, was non-sworn as a
tient counseling. Gibbs joined the NYPD in 2009 and was civilian employee at the Bronx Tow Pound lot, the particulars
later assigned to the 63rd Precinct in January 2010 as a of her case do not warrant extensive comment here except
police administrative aide. In June, she was referred to the to note that the court record, as far as it goes, reveals a suc-
Counseling Service Unit (CSU) for coming to work on several cessful recovery.
occasions with alcohol on her breath (AOB). She met with a The court held that the extra hours spent in inpatient and
CSU counselor who documented that she drank after work outpatient counseling were not FLSA compensable. Those
nearly every day, for the last few months she drank in the activities were not compensable because they were not part
morning, and drank the night before and on the morning of of the plaintiffs, indispensable primary duties. On another
her first visit to CSU. Diagnosed as alcohol dependent, she test, the court held that the counseling was not for the pri-
initially resisted a 28-day inpatient treatment but finally mary benefit of the employer. It did note that if Gibbs’ reha-
relented. The release report states her prognosis was bilitation had have been successful, the NYPD would receive
extremely poor and she needed to be more open and hon- some, but not a primary, benefit in that it would not have to
est. Gibbs was paid her regular rate during inpatient treat- go to the effort and expense of hiring and training a
ment. She returned to work. On three different later replacement.71

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 c h ap t er 9 • H U MA N RES OU RCE M ANAGEM ENT 305

Box 9.10 Officer Files FMLA Suit Against Elkhart, Indiana

Officer Lee served with the Elkhart Police Department from During this time the Chief of Police was considering
2005 until 2011. He shot a suspect in 2008 in connection with what disciplinary action would be appropriate in light of
his police duties and in 2009 was present when another offi- the second allegation. He ultimately decided to recom-
cer was shot. He did not make any FMLA claims in these mend termination to the Elkhart Board of Public Safety.
incidents. In 2010, while on duty in uniform, he allegedly After a 2-day hearing, the Board concluded that termina-
grabbed the breast of a restaurant employee hard enough tion was appropriate.
that her cell phone was knocked from her front shirt pocket. Lee filed suit in 2012 claiming that he was denied FMLA
Investigation into this allegation incident established: rights and fired in retaliation because he tried to claim them
(1) Lee’s supervisor knew of the restaurant incident and and that some other rights were violated as well. When the
(2) there was another allegation of unwelcome sexual touch- city filed for summary judgment, he “substantially narrowed”
ing by Lee from a woman at a convenience store. his legal claims, focusing on the FMLA claim. The city’s core
Lee’s supervisor was reduced from Sergeant to Corporal defense was that when Lee finally made application for FMLA
for not reporting the restaurant incident and Lee received leave, he was already under the investigation which led to his
counseling and a five-day suspension. Another allegation termination. In 2014, the federal District Court found for the
also occurred in 2010 in which a woman reported that Lee, defendant City of Elkhart because (1) the city’s treatment of
in uniform and on-duty, came to her house, said he had a Lee was more favorable than he would have received under
warrant, and had sex with her. Lee denied these allegations FMLA. He was placed on administrative leave when being
and returned to counseling. At some point, the EPD was counseled and on the additional days off recommended by
informed by the counselor Lee needed to take 7 to 10 days the counselor. As a result, no deductions were made to his
off. Lee was cleared to return to duty, but during his last sick and annual leave days; (2) Lee never established there
visit to the counselor Lee said he wanted to be tested for was a denial of some benefit; and (3) Lee never challenged
PTSD. The counselor didn’t see this as necessary and Lee the Board of Public Safety hearing.
said he would visit another health provider. The counselor Lee appealed to the 7th Circuit Court of Appeals in
then advised the department that Lee could not perform ­Chicago. In 2015, the 7th Circuit affirmed the decision of the
his duties safely. District Court, ending the litigation.72

covered family member or that of an employee. The employer may THE POLICE PERSONNEL
seek a second medical opinion about such certification. Employees
seeking FMLA leave must give the employer 30 days’ notice except SELECTION PROCESS
for “unforeseeable circumstances,” in which case the employee must
explain and provide answers to any questions about why the request Figure 9.2 summarizes police applicant processing, selection,
was unforeseeable. The use of sick or vacation days may be permit- and training. The flow of this chapter substantially parallels
ted in conjunction with a request for FMLA leave; the use of those this figure.
days does not count as part of the 12-week FMLA leave period.
The FMLA was amended in 2009 and added two additional Applicants and Recruiting
circumstances in which FMLA leave may be requested: Minimum standards for the employment of law enforcement
1. because of a “qualified exigency” arising out of the fact officers are established by each state’s Police/Peace Officer
that the spouse, child, or parent of a police officer is Standards and Training Commission (POST) or similarly
on active duty in the armed forces or has been notified titled agency. Employers may establish further or higher stan-
of an impending call to active duty and dards. Recruiting is the process of attracting a pool of candi-
dates from which well-qualified applicants can be selected. The
2. to care for a covered military service member’s serious
attractiveness of any pool of applicants can vary from one time
illness or injury if the eligible police officer is the child,
to another. The economy has an impact on the number and
spouse, parent, or next of kin of the service member.
quality of applicants for law enforcement positions; in a good
In Knussman v. State of Maryland (1999), the principle was economy the applicant pool is sometimes shallow, and in a
established that under FMLA, a man cannot be denied FMLA down cycle, there are more quality applicants.74 As the U.S.
leave on the basis of gender to be the primary caretaker for a economy soured in 2007, the New York City Police Department
seriously ill family member.73 The plaintiff was a 22-year veteran received 54 percent more applications the next year and the FBI
of the Maryland State Police whose wife was bedridden with was sorting through 227,000 applications in 2009 for 3,000
several medical conditions following childbirth. openings.75

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 306 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

Applicant Corrects
Deficiency

Declined for Insufficient

Credentials

Seeks to Apply

Application Entrance Insufficient To Other

Accepted Exam Score Careers

Passing Score

Complete Personal
History Packet

Physical Assessment
Test (PAT)

Background/Character
Investigation

Oral Board

Conditional Offer
of Employment

Medical Exam,
Drug Test,
Psychological Screening

Final Job Offer

Academy Training

Probationary Period

Career Status

FIGURE 9.2 c Applicant screening model.

A study of 850 California academy recruits explored their 4. The least productive recruiting strategies were
views about the recruiting process and revealed:76 traditional ones, such as advertising in newspapers.
5. The most productive recruitment strategies were
1. The top two reasons for joining a law enforcement websites with information and online application forms
agency were a desire to serve and a sense of adventure followed by contacts with officers who were friends or
and excitement, although most recruits were also family members or other employee referrals.
influenced by health and retirement benefits.
6. Recruits had long-term interest in law enforcement;
2. The length of time it took to process their applications 20 percent were interested in a police career in
(54 percent) and the lack of personal contact and elementary school and 50 percent by the time they
updates during the process (34 percent) were negative graduated from high school.
experiences.
3. The professional reputation of a potential employer A study surveyed 205 North Carolina state and local law
(i.e., well-respected) was a major attractor (86 percent). enforcement agencies.77 Respondents classified their recruiting

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 307

techniques as passive (35 percent), neutral (34 percent), and 7. Streamline the recruiting process, cutting out
aggressive (31 percent). Overall, the agencies’ preferred methods bottlenecks; provide potential applicants with a
of recruiting were word of mouth (95 percent), newspaper ads self-administered form so they can decide if they have
(83 percent), targeting community college students (72 percent), any disqualifiers.
and the Internet (63 percent). With nearly 70 percent of the 8. Develop a plan to deliver recruiting messages using
departments employing passive or neutral recruiting efforts, it is multiple means or channels.
not surprising that 68 percent of them had no waiting or backlog 9. Have an Internet presence that is easy to navigate
list of qualified candidates. Their techniques were simply not with as few clicks as possible to accommodate the
very successful. For them, if police recruiting was survival of the many people who use the Internet to sort through
fittest, they would be an endangered species. employment opportunities.
The California Peace Officers Standards and Training
10. Use effective recruiting strategies, relying on proven
­Commission recommends the following recruiting practices:78
techniques and being open to new possibilities.
1. Develop an overall plan that addresses a range of Thinking “outside the box,” the Sacramento (California)
factors, including agency goals, the community’s Police Department began hosting a Law Enforcement
demographics, future number of officers needed, the Expo/Female Health and Fitness Challenge, with males
skills that will be required, and diversity. allowed to participate. The orientation of the event
2. Profile the ideal candidate, review past successes, significantly increased female hirings.
failures, and future opportunities, and identify best
practices; one agency found that its most successful Recruiting strategies and the expenditure of any recruiting
candidates were 27-year-olds, who had a stable funds should be carefully considered in light of human resource
employment history during the past 2 years, and at objectives, and the results carefully scrutinized. A study of the
least 2 years of college. recruiting practices of the Los Angeles Police Department
(LAPD) found results that may vary elsewhere, but illustrate the
3. Personalize the recruiting process; stay in contact with
point that successful recruiting requires careful thought. The site
applicants, update them on their status with calls and
of a recruiting event yields differential results; as compared to
letters, and let them know which staff members to call
recruiting on military bases, the LAPD produced three times the
with questions.
number of applicants at community colleges.79 Recruiting at
4. Carefully select and train recruiters. events that focused on employment (see Figure 9.3) produced
5. Build strong partnership with potential applicant more applicants than those at cultural celebrations and athletic
pipelines (e.g., the military, educational institutions, events; events that charged an entry fee and advertised in
and student associations). advance were also productive.80 Women are more likely than
6. Make officers recruiting ambassadors, provide them men to attend events.81
with excellent recruiting packets, and reward them for The cost of reaching applicants varies by the methods used
referrals and hires. and also may yield applicants with different characteristics. It costs

FIGURE 9.3 c San Bruno,

California: At a job fair, Skyline
College students talk to a
recruiter from the San Francisco
Police Department. Job fairs
benefit recruiters, giving them
a chance to meet a variety of
candidates from different back-
grounds and it gives attendees a
chance to “feel out” different
police departments in atten-
dance. (Justin Sullivan/Getty Images)

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 308 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

the LAPD $29 to attract each applicant from its e-government A job description falls substantially short of being a job
recruiting site and $1,012 from radio advertising.82 Asian and analysis because it is just a broad description of duties and
Pacific Islanders report significantly more exposure to the Internet responsibilities. Job analysis techniques can be used to identify
than do other racial and ethnic groups; African-Americans report (1) the important types of knowledge to test for on a written
more exposure to events, for example, job fairs and direct mail examination and the number of questions to be written for each
than do other groups.83 The LAPD advertises on only one televi- knowledge area; (2) the skills to be measured in a single job
sion station, an Asian language channel, where it broadcasts ads simulation exercise, such as requiring an applicant to play the
in Korean, Chinese, and Tagalog; it is a cost-effective effort at role of an officer who has been stopped by an elderly citizen
$147 per applicant.84 The cost of recruiting efforts must also be who is hard of hearing, a little confused, and asking for direc-
evaluated in the context of keeping a law enforcement agency’s tions. The importance of each skill needed for a job varies and
“brand” before the public in a positive light. each skill identified by the job analysis ordinarily has its own
By 2007, the EEOC began focusing more attention on recruit- unique statistical weight. A series of job simulations may con-
ing efforts to determine to what degree they were unbiased or stitute an assessment center. Additionally, the job analysis can
discriminatory. Recruiting messages cannot express a preference identify (3) the knowledge and skills to be tested by an oral
for any race, sex, color, ethnic group, or religion. Although most board; and (4) the physical tasks police officers must perform
police departments depend, to a degree, on word-of-mouth in carrying out their duties. Validity gives tests the quality of
recruiting by its officers, in a nondiverse department it might being job related.
constitute a barrier to equal employment opportunity and limit Reliability means that if the same test was given again or in
diversity. Likewise, homogenous recruiting occurs when law a parallel form to the same group of people, they would score
enforcement agencies fail to use minority newspapers or Internet substantially the same. Reliability speaks to getting consistent,
job sites such as Asian Nation, which might also be a barrier to rather than random, results.
equal opportunity. Larger municipalities and counties can develop their own
The professionalization of policing has long been linked to entry tests. However, because establishing test validity and
college education for police officers. Only 1 percent of agencies ­reliability can be time-consuming and technically challenging,
require a college degree, 9 percent a 2-year degree, and another many police entry-level tests are purchased or rented from test
8 percent, some college education; the high school degree is the providers. Such providers include POSTs, Police Chief and
basic educational credential for 81 percent of all agencies.85 ­Sheriff A ­ ssociations, the International Personnel Management
These requirements do not, however, reflect the actual numbers Association (IPMA), and private companies. Typical entry-level
of police officers working in agencies who have some college areas tested include reading comprehension, basic mathematical
to graduate or professional degrees. ­calculations, grammar, spelling, reasoning, memory, vocabulary,
and clarity of expression (see Table 9.4).
Passing scores on entry-level tests for all jobs in local govern-
The Entrance Examination ment have traditionally been set at 70 by local civil service/merit
EEOC’s Uniform Guidelines for Employee Selection requires that boards. The courts have been disinclined to alter that standard
tests be valid and reliable. Validity means that a test actually when it has been challenged. Jurisdictions allow a failed candi-
measures what it is intended to measure and conclusions and date to retake the test after the passage of time (e.g., 6 months).
decisions based on test scores are therefore appropriate and To avoid potential liability, test administrators make sure that all
meaningful. The starting point to establish the validity of any test applicants take the test under the exact same conditions (e.g.,
is a detailed job analysis. everyone starts and stops at the same time, no one is allowed

TABLE 9.4 E XAMP LE S O F VO CABULARY AND CLARI TY O F

E XP RE SSI O N Q UE STI O NS O N AN E NTRY-LE VE L
E XAMI NATI O N

Vocabulary : Select the word that has the closest meaning to the word in bold print.
1. The suspect’s employer corroborated her alibi.
a. doubted
b. verified
c. contradicted
d. denied

Clarity: Compare the two statements. Pick the one that is most clearly stated.
a. The hairs were gathered in a clear envelope by the evidence technician.
b. The hairs were gathered by the evidence technician in a clear envelope.

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 309

to use a cell phone, and lighting is adequate throughout the the things the knowledge and/or skills they are expected to
room). In large longitudinal studies published in 2009 and 2010, bring to the job.
respectively, the passing rate on entry-level examinations for To a passing score on any federal entrance examination, the
LAPD applicants was 84 percent versus 83 percent in Rochester, federal government will add five points for an honorably dis-
New York.86 charged veteran and 10 points for a disabled veteran or a recipi-
Although entry-level tests are most often written or a job ent of a Purple Heart Medal for a combat wound. If a veteran is
simulation exercise, assessment centers are also used. The key unable to use the preference points a mother, widow/widower.
advantages to the written test are low cost, ease of administra- or spouse is entitled to them for federal employment purposes.
tion, and rapid scoring. Entry-level tests cannot cover what appli- Some law enforcement agencies have provisions to add points
cants are expected to learn in the academy or on the job, only to qualifying veterans who make a passing score.

Quick Facts: Long Odds to Be Hired by

Las Vegas Metropolitan Police Department (LVMPD)

Las Vegas is a Mecca for gambling. Being hired by the of those taking it. But the real applicant killers are the
LVMPD is a long shot proposition for applicants. Roughly background and polygraph tests stages where 70 percent
only 10 of every 100 job seekers at the LVMPD satisfy all are washed out. Some applicants lie on their application
requirements and make it to working on the street. The about their prior drug use. Occasionally the actual details
entrance examination stage eliminates 23 percent of can- of that use would not have disqualified them, but lying
didates. The physical fitness stage knocks out 40 percent about it did.87

The Physical Assessment Test as an exercise physiologist, and a battery of tests is developed
The physical demands of police work are considerable at times. to measure those attributes (e.g., bench pressing weights or
Illustratively, officers must have a level of strength and cardio- doing push-ups to determine upper-body strength, as well as
vascular fitness to sustain themselves in a fight with a resisting timed runs to gauge cardiovascular condition and endurance).
subject or in pursuit of a subject fleeing on foot.88 Physical fit- Many agencies rely on the standards and testing protocols of
ness, condition, assessment, readiness, and agility tests are all outside providers for PATs for the same reasons they use their
intended to gauge the extent to which applicants can do so (see entrance examinations. PATs are often assessed on a fail/pass
Figure 9.4). Physical assessment tests (PATs) are developed from basis, with applicants being excluded from further participation
a job analysis physical task inventory. The important tasks are at any point in which they cannot pass a subtest of the PAT.
translated into physical requirements by a qualified person, such Table 9.5 summarizes a PAT test battery.

FIGURE 9.4 c Police appli-

cants participating in a physical
assessment test. (Courtesy of Fit
Force, Inc.)

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 310 cha pte r 9 • HUM A N R E SO UR CE MAN AG E MEN T

table 9.5 PAT te st batte ry

Vertical Bench Bench Sit Agility 300 Meter Push 1.5 Mile
Jump Press Press* Ups Run Run Ups Run
11.0–20.5” 90–205 57–93% 25–42 17.8–22.0 56–92 12–34 14:05–19:48
lbs. seconds seconds

*Percent of current body weight

Source: FitForce

The EEOC prohibits requiring a medical examination before Women have successfully challenged some PATs on the basis
an applicant is offered a job contingent on passing it. Police that they produce a discriminatory adverse impact. United States
departments have opted for two strategies to avoid liability if v. City of Erie (Pennsylvania, 2005) illustrates this problem.
candidate injures him/herself or dies in association with the PAT: A police lieutenant was assigned to develop a new PAT, although
(1) applicants are advised of all activities and potential dangers he had none of the needed specialized education, training, or
and must sign a waiver to participate or (2) the candidate must experience. Nonetheless, he developed a series of tests with cut-
provide a “medical certification,” stating that a physician has off scores. During its use, from 1996 to 2002, 71 percent of the
examined the candidate and that he or she can participate. EEOC men taking it passed versus only 13 percent of the female appli-
allows the medical certification because it is not a full medical cants. There was no job analysis or validity evidence and the
examination and no specific medical data are provided with the court held the test to be neither job related nor consistent with
certification. A study of the Rochester, New York, Police Depart- the employer’s business needs.90
ment found that 61 percent of those tested passed the physical A 2005 study by the University of Kentucky addressed the
agility test.89 question “What percentage of currently employed full-time

Box 9.11 Corpus Christi Sued for Physical Test Gender Discrimination

In 2012, the Corpus Christi, Texas, Police Department (CCPD) The CCPD consent decree required the city to pay
settled a suit by the U.S. Department of Justice involving $700,000 as back pay to female applicants who took and
gender discrimination in its PAT testing by agreeing to a con- failed the challenged physical abilities test between 2005 and
sent decree. In 2011, 82 percent of male CCPD applicants 2011 and who were determined to be eligible for relief. Also
passed the PAT, but only 33 percent of the women did so. under the consent decree, some women who took and failed
Applying the previously explained EEOC 4/5ths “rule of the challenged physical abilities test between 2005 and 2011
thumb” to the CCPD case, the expected pass rate for women may receive offers of priority employment with retroactive
on the PAT should have been be at least 65.6% (0.80 * 82) seniority and benefits. Applicants interested in priority
or about twice what actually occurred. The 4/5ths rule is not employment must pass the new, lawful selection procedure
a prima facie case but does invite more scrutiny from many developed by Corpus Christi under the decree and meet
directions, including EEOC, those negatively affected, law- other qualifications required of all applicants considered for
yers, law enforcement executives, city managers, and their entry-level police officer positions.92
human resources director.91

Quick Facts: Colorado Springs Veteran Female Officers Sue Over Physical Test

Rebecca Arndt hasn’t lost a single foot chase to a suspect in None of the women filing suit has been injured making an
16 years on the Colorado Springs, Colorado, Police Depart- arrest. One of the plaintiffs is the recipient of the CSPD’s high-
ment (CSPD). Recently, because she did not run the depart- est honor, the Medal Of Valor. According to the suit filed, the
ment’s distance test fast enough, the CSPD banned her from test is not normed or adjusted for gender or age, but is an
patrol duties. She is one of 12 decorated women who sued absolute standard.93 The CSPD intends to continue fitness
the CSPD in 2015 over a test that they say discriminates testing for inservice police officers and there is wide commu-
against women over 40 years of age. The recipient of many nity support to do so. In light of the pending trial in 2016,
awards, Officer Arndt claims that “what they are saying is my fitness testing has been temporarily suspended by the CSPD
work ethic and everything I’ve done up to now doesn’t count.” and the women have been returned to their regular duties.

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 311

sworn officers in Kentucky police departments could pass the The EPPA provides certain exceptions, including screening secu-
Police Officers Professional Standards physical agility test (PAT)?” rity services employees (e.g., guards for banks and armored cars),
A survey was sent to 286 police departments and 155 (54 per- national defense and security, certain portions of the pharmaceuti-
cent) responded. Among responding agencies only 22 did recur- cal industry, some business-conducted investigations involving theft
ring PAT of currently employed police officers. After statistically and fraud, and law enforcement agencies.96 A national study found
analyzing responses, the study estimated that between 58.5 per- that even when combining the use of polygraphs and CVSAs, only
cent and 72.7 percent of all currently employed full-time 29 percent of the law enforcement agencies responding to the
­Kentucky police officers could pass the test.94 survey used them in the selection process.97
Studies of the accuracy of the polygraph and the CVSA vary
The Lie Detection/Truth Verification considerably; to some degree this is due to the research design,
whether the subjects were students playing a role versus “real-
Examination and Background/Character world” applications, and the training and experience of examin-
Investigation ers. A National Academy of Sciences analysis labeled the
The Employee Polygraph Protection Act (EPPA, 1988) is evidence supporting the polygraph weak and lacking scientific
administered by the federal Department of Labor (USDOL) and rigor.98 Still, other studies place its accuracy between 64 percent
restricts the use of the polygraph and other mechanism of lie and 98 percent; the reports of CVSA accuracy are similar to those
detection with respect to employees. An employer shall not: of the polygraph.99
1. require, request, suggest, or cause an employee or In several federal court circuits, there has been somewhat of
prospective employee to take or submit to any lie a relaxation of the practice of automatically barring lie detection
detector test; results, although the clear majority view is that the scientific
evidence is not sufficiently substantial.100 Some state courts admit
2. use, accept, refer to, or inquire about the results of any lie
lie detection evidence if the parties to a proceeding stipulate to
detector test of an employee or prospective employee; or
its admission prior to the test being administered; New Mexico
3. discharge, discipline, discriminate against, deny allows its admission in state courts as scientific evidence.101
employment or promotion, or threaten to take any such Consistent with the EPPA, when a lie detector is used with
action against an employee or prospective employee for police applicants it is primarily to verify the information on their
refusal to take a test, on the basis of the results of a test, detailed personal history questionnaire. In addition, applicants are
for filing a complaint, for testifying in any proceeding asked an additional set of questions that are standard in each
or for exercising any rights afforded by the Act.95 jurisdiction but vary somewhat across law enforcement agencies.
Included within the meaning of lie detector are the Examples of these include whether they have ever used a different
c­ omputerized voice stress analyzer (CVSA, see Figure 9.5) name or social security number, received an unfavorable work
and the similar Layered Voice Analyzer, which uses its own evaluation, been paid for work “under the table” or “off the books,”
patented technology. used illegal drugs while working, falsified a time sheet, shoplifted

FIGURE 9.5 c A San Diego

Sheriff’s Department Detective
sits near a Computer Voice Stress
Analyzer (CVSA) used to screen
applicants seeking to be
employed with that agency. The
CVSA screening verifies state-
ments made on the employment
application and identifies areas
that need further attention by
the department’s background
investigators. (Dan Trevan/ZUMA
Press/Newscom)

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 312 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

or switched price tags, been involved in a fight, carried a weapon a military records release form. Once received, the record
illegally, driven without a license or insurance, received a major showed that the applicant had been separated from the Coast
discipline on a previous job, or been involved with a group that Guard twice. The first DD 214 was accurate in all respects. How-
advocates violence, hate, racial prejudice, terror, or subversive ever, there had been no extended vacation. Several weeks after
activities. Thus, a lie detector examination mechanism is primarily being discharged the applicant reenlisted and shortly thereafter
used to 1) verify personal history information and 2) probe for weeks later was drunk, beat his wife badly, and assaulted the
particular things that may require special attention by the back- military authorities who came to his on-base quarters to handle
ground/character investigator. a domestic disturbance complaint. The applicant told the inves-
During lie detection examinations, applicants may be dis- tigator that he gambled his DD 214 would be accepted at face
qualified for deception, using countermeasures, or admitting value or that the record of his second enlistment and dishonor-
actions that disqualify them (e.g., thefts and acts of family vio- able discharge would never be discovered.
lence). Except for these reasons or closely allied ones, eliminat- Other aspects of the background investigation include check-
ing a candidate solely on the basis of a lie detection examination ing references and interviewing family, friends, roommates,
is not a good practice. Two large studies placed the passing rate coworkers, landlords, neighbors, spouse and/or a former spouse,
for polygraph examinations at 63 percent and 70 percent.102 and such others as the investigator feels necessary. Prior to writ-
In Mullen v. County of Suffolk (2007), a polygraph examiner ing the final report on the candidate, it might be necessary to
determined that a police officer applicant to the Ocean Beach have a second interview to resolve any lingering questions.
(New York) Police Department was deceptive in responding to A study found that 8 percent of the applicants making it to the
questions about his drug involvement.103 The applicant was background stage are eliminated.104
disqualified from further consideration and appealed that deci-
sion. The court ordered the polygraph evidence reviewed. The
record was independently evaluated by the Vermont State The Oral Board
Police, which concurred with the initial findings, and the Oral board panelists cannot ask whatever suits them and then
plaintiff’s suit was dismissed. simply subjectively evaluate applicants; in the past, such shoddy
The background/character investigation is a specialized type practices were so rampant that Doerner characterized police oral
of investigation and one best learned through training and the interviews as a fallible practice that had outlasted their useful-
guidance of more experienced personnel. Like other types of ness,105 and Gaines and Lewis concluded that they were the
investigations, it requires strong attention to detail and executing largest source of errors in making decisions about people.106 The
all required steps. The first step is to review the applicant’s per- use of oral boards has improved substantially over the past sev-
sonal history questionnaire and the findings of the lie detector eral decades, although there are still some jurisdictions whose
examination. Combined, these documents will key the investiga- use of entry and promotional oral boards lags behind best and
tor to contradictions, inconsistency in details, admissions made legal practices (see Box 9.12).
that need to be discussed with the candidate, and other matters. An applicant oral board often has three members, one of
Prior to the initial meeting with the applicant, the investigator whom may represent the central personnel officer or community
should prepare a series of questions to probe areas of concern and two who are supervisors in the law enforcement agency to
and have information release forms ready for the applicant to which the candidate has applied. To satisfy legal requirements,
sign (e.g., education, military, and credit). Any documents that the questions asked must be job related and not be impermis-
the applicants are required to present should be copied and the sible. “Tell us about your writing skills; how good do you think
originals returned to the applicant. The copies should be dated they are?” or “Would you describe a time when you got really
and countersigned by the applicant and the assigned investigator angry?” would be established as job related by any competent
so it is clear where the documents came from and who received job analysis. In contrast, “When is your baby due?” or “What
them. Documents that agencies commonly request from appli- provisions will you make for child care?” may lead to a charge
cants include a current color photograph signed on the back, that the Pregnancy Protection Act and Title VII were violated if
birth certificate/naturalization order, divorce decree, name the person is not hired and otherwise qualified.107
change, social security card, restraining orders, selective service The length of an oral board varies across agencies but often
card (if subject to the draft), DD 214 record of military service, falls in the 20 to 45 minute range. The members must be ade-
passport, driver’s license, and POST training record if presently quately trained in using a well-developed scoring system and the
or previously serving as a peace officer in another state. questions must have been validated. Although shorter training
Even when presented with apparently genuine documents, times are common, 8 hours of it, including the opportunity to
verification of them is essential. An applicant submitted his docu- evaluate multiple mock applicants, should provide the skills
ments, including an original DD 214. In the initial meeting with needed by panel members and a good level of defensibility if the
the applicant, the investigator asked about the 3-month employ- adequacy of training is challenged. A good training method to
ment gap between his honorable discharge from the Coast calibrate the scoring by oral board members to the standards
Guard and his application to the law enforcement agency. The desired is to make digital motion pictures of the performance of
man related he and his wife had taken an extended vacation to six or so mock candidates and have experts make a written record
“see the country.” Nonetheless, the investigator had the man sign of important behaviors noted and translate them into scores.

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 313

Box 9.12 The Police Consultant Who Couldn’t Help

A sheriff hired a consultant to help the agency become any reliability. It was too akin to an ink blot test. The scoring
accredited. At the first meeting of the sheriff, command staff, instruction used by the board was simply a piece of paper
and the consultant, the first topic was the promotional system. labeled “The Scale” with numbers listed from 1 to 10 with no
It consisted of an oral board scored by three departmental definitions of each point or an indication which were the high
supervisors. When the consultant asked why the question and low ends. Board members were selected by “seeing who
“How do you feel about emigrants?” was used, the sheriff was in the building” and they were not trained to be promo-
said it was because people came to that county and his tional raters. Each of the consultant’s observations about the
department had to deal with them. The consultant pointed promotional system were loudly challenged by the sheriff,
out that “emigrants” meant people who left the county and who fired the consultant on the spot, saying “I just don’t think
that even if the language was corrected to “immigrants,” the you’re going to be able to help us.” The consultant agreed
question was very vague, making it difficult to score with with this assessment but for different reasons.

When the actual board members are evaluating the same motion An agency may not know exactly how many positions it has
pictures, the written behavioral comments and scores of the experts available because the new budget has not been finalized, and
and the board members are compared with the goal of having the resignations, retirements, and terminations may be more or
behaviors noted and scores converge during the training. fewer than projected; thus, the need to condition the offer on a
As questions are asked at an oral board, each member makes position being available.
his or her own notes. When the candidate leaves the room, each
member reviews his or her own notes and translates them into The Medical Examination, Drug Test, and
a whole number score. As a protocol, every score of board
members on each skill involved, such as oral communication,
Psychological Screening
must be within one point. When there are discrepancies greater The purpose of this phase is to ensure that applicants can medi-
than that, the panel discusses the applicant’s behavior until the cally and psychologically perform the essential functions of a
discrepancy is resolved. law enforcement officer. Some state POSTs have validated stan-
A portion of a scoring sheet for oral communication is shown dards for medical, drug, and psychological screening. The exact
in Table 9.6. A training manual provided to each panel member sequence of these three tests varies and are often outsourced. In
gives substantial guidance as to the exact types of behavior that addition to the usual components of a health examination, an
place an applicant in each score level. audio test is conducted to verify that candidates meet hearing
standards. Vision is tested for acuity, narrowing, and color defi-
ciency. Vision acuity must be correctable to a reasonable stan-
Conditional Job Offer dard, such as 20/30. Drug screening is based on urine samples,
The conditional job offer (CJO) is a letter from the employ- although a handful of agencies use hair analysis, which can
ing agency to the applicant offering a job contingent upon there reveal drug use over a longer period of time.108 The physical
being a funded position available and the applicant passing the assessment test may be a surrogate for the medical examination;
medical, drug, and psychological screening. A CJO is usually a study found that 95 percent of those who passed the PAT also
extended only to the best qualified/most competitive candidates. passed the medical examination.109

TABLE 9.6 A P O RTI O N O F AN O RAL BO ARD SCO RI NG SH E E T

FO R O RAL CO MMUNI CATI O N

To what extent did the applicant:

_____1. Speak in a clear voice.

_____2. Use voice volume appropriate to the situation.

_____3. Complete all sentences began.

_____4. Use correct grammar.

_____5. Avoiding distracting hand and/or other nonverbal body gestures.

_____6. Actively listen to the instructions to him/her at the beginning of the panel.

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 314 cha pte r 9 • HUM A N R E SO UR CE MAN AG E MEN T

Psychological tests used in police selection vary, although the The Inwald Personality Inventory (IPI) was developed for use
Minnesota Multiphasic Personality Inventory is commonly used. with public safety officers and is not used with other high-risk
The 2001 revision of it was designated MMPI-2 (2001, 567 occupations. It has gained supporters over the past two decades
true-false questions). The 2008 revision is referred to as the and is designed specifically for use in law enforcement agencies.
MMPI-2-RF (Revised Form). It has 338 questions and can be A study found that combining the results from the MMI-2, IPI,
administered in 30–50 min, about half the time for the and Costa and McCrae’s Neo Personal Inventory-Revised (Neo)
MMPI-2. However, many users prefer to use it because there is contributed significantly to predicting recruit academy suc-
more research data on it. The MMPI-2-RF is not a replacement cess.111 Psychological tests may be followed by up to a 1-hour
for the MMPI-2; it is a revision of it.110 interview with a licensed clinical psychologist or a psychiatrist.

Box 9.13: Police Applicant Appeals Psychological Screening Conclusions

Plaintiff Jill Kavaleski applied for a job with the Boston Police working woman, who was limited interpersonally. Apparently,
Department, passed all hurdles, and was made a conditional therefore, she was again found unacceptable.
job offer, contingent upon passing the medical and psycho- Some 6 months later, she again received a conditional job
logical screening. Phase 1 of the psychological screening was offer under the same conditions. She took the MMPI-2 and
a group administration of the MMPI-2 and the Personality the PAI for a third time. Dr. Reade again had a negative opin-
Assessment Inventory (PAI). Candidates are only passed ion, seeing her as interpersonally stiff with a concrete cogni-
along to Phase 2 of psychological screening if there are ques- tive style that was especially limiting. The conditional offer
tions from Phase 1. In Phase 2, the plaintiff initially saw a first was revoked.
level screener, Dr. Brown, who told her the responses on the Plaintiff Kavaleski appealed to the city’s Civil Service
MMPI were too defensive to permit adequate psychological ­Commission (CSC). It concluded that Dr. Reade did not iden-
evaluation. The plaintiff then met with psychiatrist Dr. Reade, tify or substantiate any traits that would make Kavaleski unfit
who notes she was thin, wore casual clothing, had messy hair, to serve as a police officer and that prior screenings (appar-
and was subdued and mildly depressed. She denied having ently referring to the first three of them) were subjective and/
eating problems and told Dr. Reade she was working out. Dr. or amounted to opinion. The CSC directed she be placed at
Reade found her unacceptable. the head of the hiring list and authorized psychological
At some later point, the plaintiff received a second condi- retesting if (1) none of the prior screeners were involved and
tional job offer from the Boston Police Department, requiring (2) it was videotaped. Kavaleski passed and was hired. While
passing of the medical psychological screening. In her meet- she was in the academy the Boston Police Department
ing with Dr. Reade, she was found to be a bright and hard appealed, but the court held for Kavaleski in 2014.112

The Formal Offer of Employment applicants in their thirties compared to younger candidates.
Among ethnic/racial groups, the ability to get into the academy
At this point in the selection process, there is a completed file
ranged from 16 to 22 percent, with African-Americans lagging
for each applicant documenting the results of the selection pro-
other groups.113 Eighty-eight percent of males successfully com-
cess. The appointing authority ultimately decides on those to
pleted academy training as compared to 81 percent of females.114
whom a formal offer of employment will be made, although civil
The length and content of the recruit academy/basic course
service rules, union contracts, and politics may influence those
is established by each state’s Peace Officers Standards and Train-
decisions. In larger law enforcement agencies, the names on the
ing Commission (POST). Individual law enforcement agencies
formal offer list will have been compiled by a staff member for
can require training beyond the minimum established. The basic
the chief’s or sheriff’s approval. As the size of the agency
POST course in Texas is 618 hours, about 15.5 weeks, whereas
decreases, the probability increases that the chief executive of
the Austin Police Department operates a 32-week police acad-
the agency has a more personal hand in picking many of those
emy with 1,280 hours on instruction. The national average for
to whom a job offer will be extended.
POST mandated entry training is 588 hours.115
Nationally, there are 626 academies providing entry-level
The Recruit Academy training, employing 12,200 full-time instructors and about twice
Based on a single major analysis, 12 percent of those taking the that number in part-time faculty.116 Recruit academies must be
entrance exam make it to the academy; there is no significant certified by their state’s POST. They may be operated by mid-
difference between the success rates of men and women in it. sized to larger departments that allow smaller agencies to use a
Those with at least some college enter the academy at a margin- few seats at a nominal fee, by vocational/technical schools, com-
ally higher rate than those with a high school degree, as do munity colleges, and by university police departments as a

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 315

service to agencies in their region. If a state has a central police classroom-based instruction to more hands-on scenario training.
training facility, it may do some basic training, although the main The first phase of construction was completed at a cost of
effort of this type of facility is often focused on advanced/spe- $750 million. In January 2015, the first academy class began at
cialized courses. POSTs also require the completion of annual the new facility with 800 trainees.
training to remain certified as a peace officer, with the national
average being 24 hours.117
A study of 250 police academies concluded they failed to Probationary to Career Status
provide adequate training to investigate child sexual abuse. 118 The probationary period is the last step in the entry-level selec-
The same criticism could also be made of preparation for tion process and the opportunity to observe the recruit under
other types of offenses (e.g., of white collar and organized actual work conditions. In many jurisdictions, probationary
crime, homeland security threats, human trafficking, and kid- periods can be extended, although most often that flexibility is
napping). Almost any academy subject could benefit from not needed. The length of police probationary periods and when
additional training hours, but some useful topics simply can- they start varies (see Table 9.7), although 1 year following gradu-
not be squeezed into the overall time available. The academy’s ation from the police academy may be typical. Nationally,
objective is to produce an adequate or better beginning gen- 4 ­percent of probationary officers are rejected.123
eralist; within the resources available, often every additional Following completion of the recruit academy, a probationary
hour added to one subject must be taken from some other police officer is placed in a field training program to prepare
subject area. officers to function on their own. The national average length
Police cadets socialize and drink more with their fellow for POST-mandated field training programs is 147 hours124
recruits as compared with their previous circle of friends.119 although many jurisdictions have longer ones.
Scarfo found a significant relationship between education and Officers in training (OITs) ride with a field training
police academy scores; however, military experience was not officer (FTO) whose primary responsibility is to demonstrate
related to academy performance.120 In a comparison between skills from a checklist and then develop the OIT’s proficiency
a traditional academy and one oriented toward community to perform them by certain points in the program (e.g., perform
policing, more educated officers and women did better in the 25 traffic stops correctly by the end of week 4). FTOs are expe-
latter although overall recruits from both types of academies rienced officers; in many states, they must complete a POST-
performed similarly.121 required certification course to ensure they are qualified for
If a police academy is accredited with the Veterans Admin- their duties.
istration, veterans benefits can be used while attending it. The Mesa, Arizona Police Department (MPD), has a nationally
A number of academies also have arrangements for trainees to recognized 19-week FTO program.125 OITs are rotated through
earn college credits upon successful completion. the department’s patrol districts and must be supervised by at
In 2010, the New York City Police Department began a least three different FTOs. Daily Observation Reports (DORs) are
$1.5 billion project to develop a new police academy that will completed by FTOs and become the basis for the Sergeant’s
also be used for advanced training.122 When fully developed, the Weekly Report (SWR) on each OIT under his or her supervision.
new facility will look like a small city, including five-story build- OITs may acquire the needed proficiencies before the end of the
ings, a tactical village with movable walls so cadets cannot mem- 19-week program. If so, they are allowed to ride solo, although
orize the course, and a firearms range. Outdoors, trainees will the supervising sergeant continues to fill out SWRs. In the MPD
be put through trench collapse and other scenarios. The facilities and elsewhere, those successfully completing the OIT program
provide the setting to make a shift from predominately will be recommended for career status.

TABLE 9.7 I LLUSTRATI VE P RO BATI O NARY P E RI O D LE NGTH S

Law Enforcement Agency Length
Anchorage, Alaska One year from the end of field training period, but
not longer than 18 months from the date of hire.
Marion, Iowa One year from date of hire
St. Paul, Minnesota One year from Police Academy graduation
Wauchula, Florida 6 months, beginning with the first day assigned to a
Field Training Officer
Montpelier, Vermont 9 months, although the chief may extend it for 3 months.
If the City fails to write a final probationary evaluation,
the employee is deemed to have completed it satisfactorily

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 316 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

WORK GENERATIONS AND drug use, although use of “hard” drugs was still an automatic
disqualifier. Boomers were at the forefront as college education
THE NEW RECRUITING became more common in policing. Some supervisors routinely
gave “college boys” lower performance appraisals than their less-
Recruits entering law enforcement have been shaped by forces educated counterparts. Sergeants were annoyed by the boomers’
such as their genetic predispositions and life experiences. After “disturbing tendency” to ask why things had to be done a certain
their academy training, the “locker room wisdom” is passed on way. To accommodate officers attending college, some received
to them, and they become socialized into the norms of the special work schedules, further irritating their routine-oriented
agency. In short, police work changes people. This section supervisors. Authoritarian middle-managers were aggravated by
explores several generations of recruits who have entered law the periodic written suggestions boomers submitted to improve
enforcement. While it is true that law enforcement agencies still operations, regarding them as a lack of respect for “proven meth-
change people and that, to a degree, each generation has ods.” Eventually, the boomers proved their worth, even to skep-
changed policing, the more recent generations must be recruited tics, rising through the ranks to senior leadership positions with
with new messages attuned to their skills and values, as well as new styles of leadership. There are 30 million more boomers
more generous benefits. than the number of the next generation of workers, the “Xers.”129
When boomers finally retire it will create a loss of experience
The Silent Generation and institutional memory.
Born between 1925 and 1945, the Silent Generation is gener-
ally loyal, security conscious, and conforming.126 They were
Generation X
born from the Great Depression until the end of World War II;
as adults, many of the men served in the military and, like the Presently, Generation X makes up a large number of officers
women they married, they believe in the American way of life. employed by police agencies. Many of them have retired and some
The silent generation, with perhaps a rare exception, has passed are approaching or are in the tail end of their careers.130 Birthed
through their law enforcement careers and retired. Recruiting from 1965 to 1980, Xers are more ethnically diverse than boomers,
members of this generation to jobs in police departments and grew up in families where both parents worked, and were the first
supervising them did not present unusual challenges because generation of “latch-key” children.131 More than one-half have
of their experiences and values. divorced parents and one-third were physically or sexually abused,
often by a stepparent.132 Drive-by shootings, abortions, AIDS,
school violence, and missing children were also part of their lives.
The Baby Boomers Technologically, Xers tend to be computer fluent.
Baby boomers have turned gray and are at or beyond normal Early Xers grew to adulthood in a mixed economy; as toddlers
retirement years, but are often reluctant to retire; 39 percent do their nation’s economy was sound, but turned sour during the
not plan to retire until 66 or older and another 10 percent say 1970s with stagflation. Stagflation, or a stagnant economy, is pro-
they will never retire.127 Born during 1946 to 1964, after millions duced by a combination of a high unemployment and high infla-
of men and women returned home from the war, boomers grew tion. It resulted in interest rates hitting 21.5 percent in 1980. As a
up during a period of widespread social change. Early boomers result of stagflation, there was a noticeable migration of Xers back
personally experienced the unfolding of rock and roll, military to their parents’ homes to make ends meet.133 The economic insta-
service during the Vietnam War, civil rights demonstrations, the bility left Xers with concerns about their financial circumstances
proliferation of drug use, assassinations, and all of the other and retirement and with good reason: They are the first generation
manifestations of the turbulent 1960s (see Chapter 1, Evolution predicted to have a lower standard of living than that of their
of Police Administration). With some college or more, boomers parents.134 Xers marry later, delay having children, and expect
are better-educated and more liberal than their parents. As teen- their spouses to work; the women place a great emphasis on the
agers and young adults, they challenged conventional values, family life many of them missed and are less inclined to sacrifice
with the slogan “Never trust anyone over 30.” Still, they were their families for career gain as the boomers did.135 Rejecting the
influenced by the strong work ethic of their parents. Ultimately political platforms of the major parties, most Xers are indepen-
goal and achievement oriented, the boomers are work focused dents (43 percent), followed by Democrats (30 percent) and
and sacrificed, including some neglect of their families, to get Republicans (27 percent).136 The three leading causes of death for
ahead in their careers. Women had more career opportunities. Xers are automobile accidents, homicide, and suicide.137
Divorces were sometimes followed by second marriages to “start Xers have been branded in various ways, including crybabies,
another family and get it right.” Overall, 27 percent of baby grunge, and the lost generation. They have also been described
boomers never married.128 in positive ways, including clear sighted, practical, intelligent,
Police departments did not hire boomers who admitted, or curious, good strategists and negotiators, seeing the whole
were discovered during the character/background investigation, ­person—not just the good or bad qualities, comfortable with
to having used drugs. This eliminated some otherwise outstand- diversity, and voracious learners.138 There is some truth to these
ing candidates, some of whom experimented with drugs while various characterizations because Xers are less homogeneous
in the military. Eventually, departments softened their stance on than boomers.

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 317

A Census Bureau study identified Xers’ core values as equal- resistant to supervision; sergeants lamented “I can tell them what
ity, honesty, and respect in dealing with others, hard work, fam- to do until I’m blue in the face and they still do some part of the
ily values, and a sense of public service, which leads them to be job their own damned way” and (2) their strong self-reliance and
high in volunteerism for social causes such as homelessness and individuality led some patrol division Xers to emphasize a single
social harmony.139 or small number of duties, such as DUI enforcement, neglecting
In the work setting, Xers have been restless; they welcome their broader responsibilities.
change and move from one employer to improve their financial
circumstances and to be where they can make lasting contribu-
tions. At some point, Xers will run out of the number of times Generation Y: The Millenniums
they can shift from one job to another and many settle down Born during 1981 to 1994 and largely the children of baby
into something more like a conventional career as opposed to a boomers, Generation Y babies are entering our law enforce-
succession of jobs with different employers. Managed properly ment agencies. The “Yers” have also been called the Millenni-
they will go the extra mile and beyond to get things done well ums, dot com babies, and “thumbers” because of the speed with
but will resist being micro-managed; given job autonomy, they which they can text message (see Figure 9.6). Less favorably,
are determined to succeed.140 they have been tagged as Kids in Parents Pockets or “KIPPers,”
Many police departments adapted their recruiting messages a slap at certain Yers prolonged dependence on their family of
to attract Gen Xers, including (1) ensuring that the recruiting origin. Some of this dependency is created by overly supportive
messages and their cultures are aligned to avoid turnover with parents who get in the way of their children’s journey to living
repeated recruitment, screening, selection, and training costs; as independent adults.
(2) communicating that policing is a noble, exciting public Raised in an era of gaming and rising modes of instant com-
service career; (3) emphasizing that there are many career munication, social network sites (SNSs) have become a staple for
paths in law enforcement that will require life-long learning in Yers, including MySpace (2003), Facebook (2004), and Twitter
order to be effective, giving them a sense of possibilities about (2006); they cruise Craigslist ads and subscribe to Internet dating
their futures;141 (4) highlighting that their sense of self-reliance services like Match.com (1995) and eHarmony (2005). Some
is a substantial asset for them and their department; (5) illustrat- SNSs target Yers, such as BrazenCareerist and MyYearBook, giv-
ing how the Xers’ skills at multitasking can be used; (6) under- ing them forums to discuss their careers and workplace issues.
scoring that they will often be working without direct They are more optimistic than Xers, seek a better balance
supervision, giving them desired flexibility and freedom in car- between work and the rest of their lives, have high expectations
rying out their job responsibilities;142 and (7) giving them for their employers, enjoy diversity and challenges, prefer team-
examples of how suggestions made by departmental members work over individual efforts, feel a need to volunteer and fund-
have improved operations. raise, desire honest feedback about their job performance, and
As Xers entered law enforcement, some of their sergeants are unafraid to question authority. There is a trend toward tradi-
quickly noticed two characteristics that required attention: (1) tional family values and Yers are spiritual about love, although
their propensity to innovate occasionally made them somewhat not necessarily religious.143

FIGURE 9.6 c A Generation

Y student using the “thumber
technique” to text. (Biddy O’Neill/
Corbis)

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 318 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

Quick Facts: Use of Social Networking Sites (SNS)

Research in 2014 by the Pew Research Center reveals SNS defined as those born in 1980 and thereafter, a period which
use in the United States is substantial: 76 percent of women coincides with the beginning of Generation Y.
and 74 of males use them. Eighty-five percent of those 18–49 In 2015, the International Association of Chiefs of Police
are on SNS, but only 56 percent of those 65 or older are. In (IACP) released the results of a survey of 553 responding law
contrast, during an 18-month period between 2005 and enforcement agencies revealing 96 percent of them had an
2006, the percentage of people 18–29 years old using SNS presence. The most common use was for criminal inves-
SNS jumped from 9 percent to 49 percent. tigations, for example soliciting leads for information or loca-
SNS use is greater among those with a higher income, tion of wanted persons (89 percent).146
younger people, African-Americans, and Hispanics. Smart- Other uses made by law enforcement agencies using SNS
phones and tablets are key pieces of technology fueling the include building a relationship and enhancing trust with the
rise of SNS. A slight majority of SNS users, 52 percent, are on community being served, dissemination of information to
2 or more sites.144 protect the community, such as gas leaks in a neighborhood,
World-wide, the four most popular SNS are (1) Facebook school closings due to weather conditions, announcing where
(1,100,000,000 users), (2) Twitter (310,000,000,), (3) LinkedIn roadblocks will be set up in the future, recruiting, and missing
(255,000,000), and (4) Pinterest (250,000,000).145 persons information.
Prensky coined the term “digital natives” to describe SNS can serve a key interest of governments generally and
those raised in the immediate availability of information and for police departments specifically in developing a reputation
images on the Internet. Later, the term came to be loosely in the community for transparency.

Generations Z and Alpha average of their three highest-paying years or 80 percent at

25 years. Some of these incentives “take a hit” in fiscally
Generation Z, the “Zedders,” fall in the birth range of 1995 to
­constrained environments; Los Angeles and Dallas are among
2010. Although their profile is still emerging, their fascination
large cities trimming such incentives.
with virtual realities may lead to impoverished social and inter-
Job flexibility and job sharing are used in law enforcement,
personal skills. Beyond Zedders is the Alpha Generation,
but only to a small extent. Flexibility scheduling means that
which will be the best-educated of all of the generations and the
police departments present officers a choice of schedules within
most technologically sophisticated. Alphas are in their infancy
those established by the department; in contrast, job sharing
with a birth cohort of 2011 to 2025.
means two or more officers share a single job.150 Since 1999, the
Orange County, California, Sheriff’s Department has offered job
The New Recruiting sharing to its 4,000 members; the Huntington Beach, California,
The combination of Xers and Yers entering law enforcement has Police Department made it available to its 224 employees in
resulted in a better understanding that part of the process of 2001, and the Medina, Washington Police Department, allows 2
recruiting officers might also be about recruiting their families, of its 12 members to job share. Job sharing reduces stress and
leading to the development of elaborate family information absenteeism, increases job satisfaction, and allows valuable
packages and videos about all aspects of a community, including employees enough “wiggle room” to remain on the job.151 For
job opportunities for spouses and departmental partnerships managing dwindling budgets and as a regular tool, job sharing
with children’s day-care centers. may be attractive to personnel winding down their careers, as a
In addition to the usual benefits, such as life and disability prelude to their actual retirement. Used as a “decompression”
insurance and deferred compensation plans, police recruiting period, job sharing would be beneficial in making the transition
tools have been elevated.147 Although the practices of individual from work to retirement.
jurisdictions vary, officer incentives have become more varied148
and may include relocation reimbursement; signing bonuses of
$5,000 to $10,000; a stipend of $6,000 for graduation from the
recruit academy and another $4,000 for completing the proba- MILITARY CALL-UPS
tionary period; allowing the use of GI Bill benefits while attend-
ing the academy; 45 or more college credits for academy
AND REINSTATEMENT
completion; interest-free home loans up to $75,000 and forgive- The substantial military commitments in Iraq and Afghanistan
ness of home loans of up to $28,000 on the basis of 5 percent required the activation/call-up of National Guard and Reserve
for each year of service;149 increased vacation time and enhanced units as well as personnel in the Individual Ready Reserve (IRR),
longevity pay and retirement systems. In some cities, officers who do not participate in the two days a month “weekend drills”
retire with 20 years of service, based on 70 percent of the or the 14 days of annual training for unit members. While entire

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 c h ap t er 9 • H U MA N RES OU RCE M ANAGEM ENT 319

National Guard and Reserve units are called to active duty, mem-
bers of the IRR are activated individually based on the need for Quick Facts: The 5-Year
their special skills, such as helicopter pilots.152 Law enforcement Cumulative Absence
officers from both categories have been activated.
How many law enforcement agencies have experienced per-
sonnel call-ups is somewhat of a question; two national studies An employer is legally obligated to support up to a 5-year
came up with different answers: 21 percent and 44 percent.153 cumulative total of military service. However, not included
In a 40-officer department, the loss of four officers represents a in that total are: involuntary recall to active duty, drills for
10 percent drop in staffing, creating operational difficulties and reserve and national guard (active “reserve”) participation,
training, annual training, and additional training require-
generating overtime costs. Even in departments where call-ups
ments determined and certified in writing by the Service
have been minimal, the loss of a single key person can create
Secretary concerned to be necessary for professional
an impact: In Youngstown, Ohio the SWAT Team’s only qualified development or for completion of skill training or
sniper was activated.154 Some agencies have officers who have retraining.
been deployed several times on tours of up to 16 months.
Administered by the USDOL, the purpose of the Uniformed
Services Employment and Reemployment Rights Act
(USERRA, 1994) is to encourage noncareer participation in the When called to active duty, officers can keep their individual
uniformed military service by eliminating barriers to such ser- and family health insurance for up to 24 months, although they
vice, minimizing the disruption of the lives of those called to may be required by their department to pay up to 102 percent
active duty, and prohibiting discrimination against them. The of the full premium. USERRA also provides guidelines for senior-
Palm Beach County (Florida) Police Benevolent Association filed ity, pension, and other rights of returning officers who are return-
a grievance when a deputy on military leave was allowed to take ing from active duty call-up. The “escalator principle” requires
a promotional test elsewhere, asserting that the collective bar- reemployment at the position officers would have attained but
gaining agreement made no allowance for such a test. The arbi- for their military service. If the officer is not qualified for the
trator found for the Sheriff’s Office; the provisions of USERRA escalator position, the employer must provide the nearest
supersede collective bargaining agreements.155 approximation to it or if that is not possible, to the pre-military
Under USERRA, a police officer called to active duty must service position.
give advance notice of his pending absence to the department Assuming the example of a state trooper called to active duty
unless it is precluded by military necessity or otherwise impos- who misses a promotional examination, her employer is required
sible or unreasonable. The cumulative period of absence with to give her a make-up exam and promote her with back-dated
that department cannot be longer than 5 years, and service sepa- seniority to the point she reasonably would have been expected
ration cannot be under dishonorable or other punitive condi- to be advanced in rank.157 A federal court approved a jury award
tions. The officer must report back to duty on a timely basis or of double-pay, $300,000 for emotional distress, and promotion
file a timely application for reemployment unless impossible or without testing for a New York City Fire Department promotional
unreasonable.156 Table 9.8 summarizes the reporting back to candidate who was denied an opportunity for a make-up exam
duty timelines. when the absence was due to his military service.158

table 9.8 U SE RRA re p o rti ng o bli gati o ns fo llo w i ng

mi li tary servi ce

Length of Service Reporting Requirement

Service of 1 to 30 days The beginning of the first regularly scheduled
work day or 8 hours after the end of the
military duty, plus reasonable commuting
time from the military duty station to home
Service of 31 to 180 days application for reinstatement must be
submitted not later than 14 days after
completion of military duty
Service of 181 or more days application for reinstatement must be
submitted not later than 90 days after
completion of military duty

(Based on information from U.S. Department of Labor, No author, Your Rights Under Userra The Uniformed
Services Employment and Reemployment Rights Act, undated, p. 1, http://www.dol.gov/vets/programs/userra/
aboutuserra.htm#knowyourrights, accessed September 17, 2015.)

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 320 cha pte r 9 • HUM A N R E SO UR CE MAN AG E MEN T

The call-up of officers also raises some POST certification EARLY INTERVENTION SYSTEMS
issues that should be included in an agency’s policy on military
activation. As an illustration, in Michigan, officers are not con- In reaction to public concerns about police abuse of force and
sidered to have discontinued their law enforcement employment the number of complaints being generated by some officers,
for license purposes, unless they voluntarily extended their early-warning systems (EWSs) began appearing in the late 1980s.
active duty commitment. Upon return to their agencies, officers The police departments of New York City, Oakland, Kansas City,
must provide a copy of their DD 214s (Certificate of Release or Miami, and Miami Dade were early leaders in this movement.160
Discharge from Active Duty) or a DD 220 if the active duty lasts Some law enforcement executives speculate that perhaps
less than 90 days. If separated dishonorably, an investigation 10 percent of their officers cause 90 percent of the problems.
must be conducted to determine if the circumstances still allow Leaving aside speculation, it is true that a relatively small number
POST licensing. of officers cause a lot of an agency’s problems. Research some-
Activated officers may also be entitled to other rights under what supports this belief. An 8-year study of the San Francisco
some state statutes and other federal laws (e.g., the federal Ser- Police Department showed that of its 2,200 officers, just 100,
vicemembers Civil Relief Act [SCRA, 2003]). Some of SCRA’s roughly 5 percent of all sworn personnel, were associated with
protections require that debts or leasing agreements entered into 25 percent of the use of force reports.161
must pre-date the call to duty and the relief applying to them EWS were subsequently modified and “rebadged” as Early
may be limited to the period during which the officer is on active Identification and Intervention Systems (EIIS). In some
duty or a short period thereafter. Key SCRA protections include agencies, EWS had developed a negative image with rank-
(1) service members and their family members cannot be evicted and-file members because the term “problem officer” was
from leased housing costing less than $2,932 monthly; (2) inter- closely associated with the program. In contrast, EIIS is framed
est charged on debts cannot be greater than 6 percent; (3) if the as being a support system for officers and includes them in
officer receives permanent change of station orders, a housing decision making.
lease can be terminated, if present at the new location for Well-operated EIISs assumed even greater importance follow-
90 days or more; (4) car leases can be terminated if the officer ing the passage of the federal Violent Crime Control and Law
is called to duty for 180 days, or after entering the service, the Enforcement Act (1994). The Act authorizes the Attorney General
officer executes a lease and is deployed outside of the continen- to file lawsuits to reform police departments engaging in a pat-
tal United States for 180 days or more; (5) up to $250,000 of life tern or practice of violating citizens’ federal rights. Suits may also
insurance cannot be cancelled for nonpayment while on active be brought by the Attorney General under the Omnibus Crime
duty; and (6) protections begin with the date of activation and Control and Safe Streets Act (1968) and Title VII (1972) for dis-
may apply until as much as 180 days after return to civilian life. crimination by law enforcement agencies on the basis of race,
Paul Sutton, a former police lieutenant, sued the City of Ches- color, sex, or national origin if they receive federal funds.162
apeake, Virginia, claiming that contrary to USERRA he was Presently, many agencies have substituted the use of Early
denied reemployment after completing call-up service in the Intervention System (EI or EIS) for the EIIS designation. What-
Coast Guard. Sutton had been employed with the police depart- ever terminology is used, it is clear what began as the early
ment from 1974 until he was activated in 2000. In 2007, he was warning system (EWS) has continued to evolve and mature.
denied reemployment and continued to serve on active duty About 40 percent of law enforcement agencies use EIs.163
until 2009, when he retired from the Coast Guard and litigated. While manual EIs may work well in smaller departments, in
The federal court noted that Sutton had retired from the larger agencies, the systems must be automated to be effective
police department before going on active duty, cashing out his because of the volume of daily work that must be entered and
vacation and sick time, and that he began drawing a police pen- analyzed. The Seattle Police Department’s policy on their EI sys-
sion. Sutton argued that his retirement should not be a barrier to tem/program characterizes it in the following ways.164 It (1) is a
reemployment. The court dismissed the suit, reasoning that to risk management strategy that is neither punitive nor disciplinary
find for Sutton would be an expansion of rights beyond those in nature, which is separate from, but does not replace, the dis-
contemplated by USERRA and his absence from the police ciplinary system, (2) seeks to identify and change at-risk behav-
department was greater than the law’s 5-year limitation. iors, although employees remain fully accountable for following
Despite some difficulties created by a call-up of officers, law policy and other performance standards, (3) supports officers by
enforcement agencies are proud of their service. Such officers supervisors coaching, mentoring, performance feedback, identi-
exhibit a strong commitment to our nation and often return with fication of pathways to improve job performance, which may
sharpened or new skills that are relevant to the police setting. include appropriate training, (4) regards early identification
However, inevitably someone will attempt to take advantage of information as confidential, except as may be required by law,
a situation. A police officer claimed he was being called to active policies, or union contract, (5) requires Sergeants, managers, and
duty. However, the officer went to another city in the state and commanders to review early intervention thresholds at least
took a high-paying job in business. The employing agency con- weekly for their subordinates, (6) allows leaders to develop
tinued to deposit money into the officer’s bank account, reaching assessments before the pre-established threshold value has been
$8,700 before the scheme was discovered. Convicted of fraud, not yet been reached if potentially problematic behavior is iden-
the officer lost his job and served a jail sentence of 90 days.159 tified, (7) requires other leaders to review assessment reports

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 321

and take appropriate action, such as developing a mentoring or to learn, to acquire knowledge. Although discipline is often
plan, and (8) provides that officers may review their files and thought of as punishment, its core meaning is instruction. Police
report inaccuracies immediately to their supervisor. discipline serves important purposes: (1) modify/correct an offi-
The Phoenix, Arizona Police Department’s (PPD) EI system cer’s behavior, (2) to deter future misconduct by the officer and
is transparent. Officers can access their EIIS status online at any other officers, (3) to give departmental members notice that
time and see where they stand in relation to the threshold stan- misconduct will not be condoned and to communicate this
dards that would trigger an EI identification, allowing them to stance to the public, (4) ensure the proper operation of the
be self-monitoring.165 police department, (5) reinforcement of department values and
Whenever a Phoenix officer is “tagged” by the EI, a case standards, (6) reinforcement of training, (7) manage liability
manager is automatically notified electronically. Case managers risks, and (8) establish respect for the disciplinary system by fair
review each file to make sure that the identification is not a “false and impartial administration of it.171 Not all investigations into
positive,” an error. Once contacted, the actual supervisor of the alleged police conduct results in a disciplinary action. There are
officer involved has 21 days to complete the intervention four possible outcomes to such investigations:
review.166 Officers are part of the intervention review process,
1. Unfounded: The investigation indicates that the subject
helping to design the responses that are most helpful to them.
officer’s alleged actions relating to the Department
Ten years ago, only 27 percent of the agencies responding to
policy, procedure, rule, regulation, or directive in
a national survey reported using EIs, although that number is
question did not actually occur;
thought to be much higher now.167 The number of variables
tracked in an EI largely depends on whether it is a manual or 2. Exonerated: The investigation indicates that the alleged
automated system. Common variables include use of force actions of the subject officer were within the policies,
reports, the ratio of use of force reports to arrests, the number procedures, rules, regulations, and directives of the
of force incidents in which its use is questionable, citizen com- Department;
plaints, the numbers of resist arrests, the frequency of high- 3. Not Sustained: There was insufficient evidence to either
speed pursuits, assignment history, and disciplinary record. An prove or disprove the allegation; and
EI system has “threshold values” that when reached result in an 4. Sustained: The subject officer’s actions were found, by
officer being “tagged” by the computer (e.g., two sustained a preponderance of the evidence, to have been in
­citizen complaints in a 3-month period or three in a year).168 violation of the Department policy, procedure, rule,
The value of EIs is substantial: (1) it supports officers’ desires regulation, or directive in question.172
to perform well, (2) it reduces the numbers of officers who might
By way of comparison, the “preponderance of evidence” stan-
lose their jobs, (3) it protects the departments investments in its
dard to sustain an allegation against an officer is the lightest
current workforce, (4) it reduces or eliminates potential for offi-
burden of proof in civil cases. In some states, the higher standard
cers’ at-risk behaviors to advance to a legal liability or it damages
of “a clear and convincing” evidence in a civil case must be
the department’s reputation in, and relationship with, the com-
demonstrated. In a few states, the highest burden of proof in
munity. EIs have produced dramatic results in curbing citizen
both civil and criminal cases is required, “beyond the exclusion
complaints and related performance indicators—the New
of any reasonable doubt,” the meaning of which is that no other
Orleans Police Department reported a 62 percent drop in a sin-
logical explanation of the facts in the case is possible except as
gle year.169 Significant results from using EIs have also been
posited by the plaintiff or district attorney.
reported in other countries; in Victoria, Australia, a 71 percent
reduction over a 12-month period was achieved.170
Standards of Conduct and Progressive
Discipline
DISCIPLINE The standards of conduct for police officers are set forth in their
oath of office; their agency’s policies, rules, and regulations;
If law enforcement executives are to be held accountable for the local ordinances; state statutes; federal laws; and consent
performance of their agencies, they must have ways to control decrees (e.g., prohibition against racial profiling). In addition to
them. This system of controls is well-understood and includes departmental discipline, an officer’s POST license may be in
staff inspections to make sure that policies are being followed; jeopardy in some fact situations (e.g., acts of moral turpitude,
line inspection at roll call to verify officers are adhering to groom- conduct that is contrary to honesty, justice, or good morals). Law
ing, uniform, and other standards; financial audits; periodic evalu- enforcement agencies use a system of progressive discipline,
ation of programs and units; and stringent selection procedures. incrementally increasing more serious penalties for transgres-
Discipline is part of the control system and, in some agen- sions. A progressive discipline system may include many of the
cies, the wooden application of sanctions for violations of stan- following steps:
dards of conduct has made discipline synonymous with
punishment—far from its actual meaning and intention. 1. Verbal counseling;
­ iscipline is related to three Latin words: (1) disciplina, or
D 2. Oral reprimand;
instruction to a disciple; (2) discipulus, or pupil; and (3) discere, 3. Written reprimand;

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 322 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

4. Monetary fine; All disciplinary actions are subject to review through the
5. Transfer/reassignment; chain of command and may be appealed by the officer. Under
6. Suspension without pay; collective bargaining agreements, disciplined officers may be
able to grieve the action taken, potentially requiring a binding
7. Loss of promotional opportunity;
decision by a neutral arbitrator. A study analyzed 100 police
8. Demotion; and cases selected at random from the Labor Arbitration Reports and
9. Termination.173 compared them to another randomly selected 100 cases from
In some situations, progressive discipline is not possible and non-law enforcement public agencies.175 Law enforcement exec-
termination is the only reasonable course of action (e.g., an officer utives’ disciplinary recommendations were sustained at a higher
steals money from the informant fund or drugs from the evidence rate, suggesting better handling by them. An alternative explana-
room). In some jurisdictions, monetary (e.g., New Jersey) fines tion is that officers are held to a higher standard. A 5-year study
may be used in lieu of a suspension when the absence of an of arbitrator discipline decisions involving the Houston Police
officer is detrimental to public health, welfare, or safety; when the Department revealed that the sanctions being sought were
fine is restitution; or when the officer agrees to the fine.174 reduced by a net amount of nearly 50 percent.176
Because much misconduct is relatively minor (e.g., violating
grooming standards, being late to roll call, not keeping the depart-
Administration of Discipline ment informed of current address, telephone number, and internet
Of necessity, the chief executive of a law enforcement agency address, writing on departmental walls, not providing a badge
must delegate the authority for discipline to individuals in the number and name to the person requesting it, maintaining desk
chain of command and to the professional standards/internal in an unsatisfactory order, and ignoring a radio call), first-line
affairs (PS/IA) unit. Many agencies have clearly specified rules supervisors play a primary role in the disciplinary process. This
about what misconduct may be handled by the first-line supervi- dictates that supervisors have substantial training in policies, forms,
sor, within a division, at the bureau level, or those that must be officers rights, and counseling techniques. On incidents referred
referred to PS/IA. In addition to unit commanders being required to PS/IA, the first-line supervisor is no longer the key figure.
to refer more serious misconduct to PS/IA, such action may also In cases of serious misconduct, the unit commander may
be called for when officers from different divisions are involved. immediately suspend officers pending the outcome of an inves-
Criminal acts by officers employed by smaller law enforcement tigation because (1) they are unfit for duty; (2) they would
agencies are often investigated by an external agency, such as a constitute a hazard to themselves or others if allowed to remain
nearby larger department or the state police. Larger agencies will on the job; (3) the action is necessary to protect health, safety,
usually refer such acts to their own investigative unit. order, or effective direction of services; or (4) they have been
Entities outside of the department may also be involved in the charged with a crime. Where immediate action is required in
disciplinary process. In some jurisdictions, civilian review boards these situations, some law enforcement agencies often allow the
(CRBs), and unions evaluate law enforcement agencies’ com- first-line supervisor to place the officer on “temporary relief from
pleted internal affairs investigations and the chief’s disciplinary duty,” pending review by higher authority. Officers so relieved
decisions and may offer their own recommendation as to the must ordinarily be advised of their duty status within 24 hours
appropriate sanctions. CRB members are usually appointed by by the higher authority.
the relevant local official, such as a mayor. CRBs can be relatively Officers may also be placed on administrative leave, with
“toothless,” with only the power to make recommendations. full pay and benefits, pending the completion of an investiga-
Alternatively, CRBs can receive complaints directly from the pub- tion. In an unusual situation during 2010, an Arizona police
lic, have an investigative staff and subpoena power, and are able chief was placed on administered leave as part of an on-going
to make disciplinary decisions on the cases that fall within the inquiry into his leadership, including inconsistency in handling
scope of their authority. Independent monitors may be appointed disciplinary actions.177
by the mayor or other official or as part of a consent decree; they A barrier to PS/IA investigations continues to be the “blue
have no investigative power and their function is to scrutinize wall,” or code of silence. Although 83 percent of officers respond-
and report on the disciplinary process (e.g., why does it take so ing to a national survey rejected the notion that a code of silence
long to complete internal affairs investigations?). District attor- is necessary for good policing, 25 percent reported whistle-­
neys do not want to prosecute police officers accused on a blowing was not worth it and 67 percent indicated that those
criminal act because they want to maintain a close working rela- who report misconduct by their peers would get the “cold shoul-
tionship with law enforcement agencies. In such cases, a special der.”178 Fifty-two percent of the respondents said that it was not
prosecutor may be temporarily hired for this purpose. unusual to turn a blind eye toward improper conduct by other
In addition to oral and written reprimands and suspensions, officers and 61 percent disagreed with the statement that police
officers may lose privileges, such as (1) eligibility to work extra- officers always report serious criminal violations involving abuse
duty assignments and grant provided overtime (e.g., driving of authority by fellow officers.179
while intoxicated checkpoints and patrol); (2) use of a take- One study concluded that officers with at least some college
home car; and (3) serving on specialty teams, such as scuba, were not better behaved than those with a high school degree.180
search and rescue, canine, hostage negotiation, and SWAT. A larger Florida analysis indicated that high school graduates

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 323

TABLE 9.9 N ATI O NAL D I SP O SI TI O N O F USE O F

FO RCE CO MP LAI NTS

Disposition Percentage*
Not Sustained, insufficient evidence to support allegation 34
Unfounded, complainant factually wrong or did not occur 25
Exonerated, the incident occurred but the officer’s action was 23
lawful and proper
Sustained, sufficient evidence to discipline officer 8
Other disposition (e.g., complaint withdrawn) 9

*Does not add to 100 percent due to rounding.

Source: Matthew J. Hickman, Citizen Complaints About Police Use of Force [Washington, DC: Bureau of Justice
Statistics, June 2006], p. 5.

made up about 50 percent of all law enforcement officers in the The Discipline Matrix
state but accounted for 75 percent of all disciplinary actions.181
The perceived or actual unfairness of discipline is a long-standing
Among those who lost their POST certification, high school grad-
problem in law enforcement agencies. In traditional disciplinary
uates were disproportionately represented also: 76 percent versus
systems, this condition has been exacerbated because (1) fact
12 percent for those with a bachelor’s or higher degree.182 An
­situations may appear the same or similar on the surface, but the
analysis of discipline in the New York City Police Department
variance in individual circumstances leads to lesser or greater
found no evidence of race, gender, or national origin bias.183 In
­sanctions, which have gone unexplained and (2) variance in the
an unnamed large-city police agency, minorities were over-rep-
disciplinary measures taken by supervisors was seen as part of the
resented in documented complaints, specifically those initiated
essential discretion they needed to deal with misconduct. As a
by fellow officers and supervisors.184 In a year, use of force com-
­matter of informal practice in many traditional discipline d­ epartments,
plaints nationally may average about 6.6 per 100 officers and one
a probationary officer late to roll call is not likely to “catch a break”
sustained complaint for every 200 officers (see Table 9.9).185
while a veteran officer with “credits” in the agency may “get by with
In 2015, Hickman and Poore completed a study of complaints
a hard look or word or two” from some supervisors.
against police use of force. Part of that study was a review of the
A discipline matrix is a formal schedule for disciplinary actions,
literature, which revealed:
specifying both the presumptive or presumed sanction to be imposed
1. A relatively small proportion of officers are responsible for misconduct and any reduction or increase in the presumptive
for a large proportion of complaints, but this has sanction for mitigating or aggravating factors (see Table 9.10).187 Its
generally been linked to arrest activity and other primary purpose is to develop consistency in discipline, eliminating
measures of productivity; disparities and ensuring those who commit similar acts of miscon-
2. On-view incidents and more “proactive” policing duct will be sanctioned equally, as adjusted for fairness based on
assignments may be more likely to lead to complaints their mitigating and aggravated circumstances.188 Discipline matrixes
than dispatched calls; incorporate the concept of progressive discipline.
3. Minority citizens complain in numbers A matrix system identifies categories of conduct or perhaps
disproportionately greater than their representation in more accurately, misconduct; a typical figure number of catego-
the population served, and this is particularly true for ries seems to be six (see Table 9.11, with categories A–F). As
black citizens; partially illustrated in Table 9.12, under each category are lists of
what policies, procedures, rules, or regulations fall within it.
4. Minority officers are disproportionately the subject of
Sanctions to be imposed are also associated with each category
citizen complaints, as well as internal (police-
(see Table 9.12) and may run from Level 1 (least serious, oral or
initiated) complaints;
written reprimand) to the highest level, termination, which Table
5. There is wide variation in sustain rates across 9-12 does not illustrate.
agencies, some of which is attributable to structural In actual use multiple tables are used in a matrix system; for
differences, but also to idiosyncrasies in the processing purposes of illustration Table 9.14 combines them, showing their
of complaints; interaction. If two or more charges against an officer arise from a
6. In general, sustain rates are lower for physical force single incident, a decision is made as to which one is the primary.
complaints as compared to other types of Matrix systems have been opposed by officers and unions
complaints; and when they have not been included in their development. In a
7. Internal (police-initiated) complaints tend to have few jurisdictions, there have been complaints by officers that
higher sustain rates than citizen complaints.186 supervisors have not been held to the same degree of

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 324 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

TABLE 9.10 I LLUSTRATI O NS O F MI TI GATI NG AND

AGGRAVATI NG CI RCUMSTANCE S
Mitigating circumstances may include, but are not limited to:

1. Willingness to accept responsibility and acknowledge wrongdoing;

2. The circumstances under which the rule was violated;
3. The culpable mental state of the officer in the commission of the violation;
4. Complimentary history, including awards, commendations and positive public recognition;
5. If minimal, the severity of the current offense and the lack of or minimal nature of any
consequences caused by the current offense;
6. Prior work history, such as positive evaluations and/or work performance, or voluntary,
advanced, job-related training; and/or
7. Minimal or lack of prior disciplinary history relative to the officer’s years of service.

Aggravating circumstances may include, but are not limited to:

1. Injury or harm to a member of the public or an officer;

2. Endangerment to a member of the public or an officer;
3. The existence of an actual and demonstrable legal or financial risk to the department or
the city (including, but not limited to, cases involving allegations of civil rights violations,
unlawful search and seizure, excessive use of force or unlawful detention or arrest);
4. The supervisory or command rank of the officer who committed the violation. It is
appropriate that the department have higher expectations for supervisors and commands
officers and that they exercise greater judgement and restraint than subordinates;
5. The officer’s prior disciplinary history;
6. Actual and demonstrable prejudice to the department;
7. Jeopardizing the department’s mission and/or relationship with other agencies;
8. Loss or damage to city or private property;
9. A criminal conviction of the involved officer arising out of the underlying event;
10. Dishonesty on the part of the officer;
11. Prejudicial conduct regarding race, color, creed, national origin, ancestry, gender/sex
(including pregnancy, childbirth, or caregiver status), sexual orientation, age, religion,
political affiliation, physical or mental disability, military status, marital status, or other
protected classifications;
12. Harassment or retaliatory conduct;
13. The culpable mental state of the officer in the commission of the violation; and/or
14. Unsatisfactory work history.

Source: These points are drawn with restatement and consolidation from the Denver Police Department,
Discipline Handbook, revised September 6, 2012. pp. 23–24, https://www.denvergov.org/content/dam/
denvergov/Portals/744/documents/handbooks/DPD_Handbook_Revised_9-6-2012.pdf, accessed May 13, 2016.

accountability. Other critics wonder about the fairness of rank PERFORMANCE APPRAISAL
being an aggravation factor. When all is said and done, matrix
systems are a leap forward and traditional discipline agencies Performance appraisals are sworn by and at. Supporters claim
should take a close look at them. that they are essential and detractors label them as “annual ritu-
als,” a “global scourge,”189 and are based on the erroneous
assumption that the supervisors completing them have sufficient
Legal Aspects of Discipline relevant information to complete them accurately and do so
Disciplining police officers also has a legal component to it; without any bias or prejudice.
illustratively, to prevent disciplinary abuses, many states have Assuming that the performance of individuals does not vary
enacted police officer bill of rights legislation; content related greatly, it is reasonably expected that their ratings would remain
to discipline is also commonly included in collective bargaining relatively stable. However, a study of 6,000 business employees
agreements; and except for narrow restrictions in some areas, reporting simultaneously to two different bosses revealed ratings
officers retain all of their Constitutional rights. These and ranging from “very weak” to “outstanding.” Sixty-two percent of
related topics are covered in Chapter 14, Legal Aspects of those receiving “outstanding” evaluations from the first boss got
Police Administration. lower scores from their other boss.190 This finding may reflect that

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 325

TABLE 9.11 C ATE GO RI E S O F CO ND UCT I N A D I SCI P LI NE MATRIX

Category Definition
A Conduct that has a minimal negative impact on the operations or professional
image of the department.
B Conduct that has more than minimal negative impact on the operations or
professional image of the department; or that negatively impacts relationships
with other officers, agencies or the public.
C Conduct that has a pronounced negative impact on the operations or
professional image of the department; or on relationships with other officers,
agencies, or the public.
D Conduct that is substantially contrary to the values of the department or that
substantially interferes with its mission, operations or professional image, or that
involves a demonstrable serious risk to officer or public safety.
E Conduct that involves the serious abuse or misuse of authority, unethical
behavior, or an act that results in an actual serious and adverse impact on officer
or public safety, or to the professionalism of the department.
F Any violation of law, rule or policy which: foreseeably results in death or serious
bodily injury to another person; or constitutes a willful and wanton disregard of
department values; or involves any act which demonstrates a serious lack of the
integrity, ethics or character related to an officer’s fitness to hold the position of
police officer; or involves egregious misconduct substantially contrary to the
standards of conduct reasonably expected of one whose sworn duty is to uphold
the law; or involves any conduct which constitutes the failure to adhere to any
contractual condition of employment or requirement of certification mandated
by law.
Source: Denver Police Department, Discipline Handbook (2012), pp. 16–17.

TABLE 9.12 PARTI AL I LLUSTRATI O N O F RE LATI O NSH I P AMO NG

A CO ND UCT CATE GO RY À, P O LI CI E S, LE VE LS O F
D I SCI P LI NE , AND SANCTI O NS

Category A: Conduct that has a minimal negative impact on the operations or professional
image of the department or that negatively impacts with other officers, agencies, or the public.
1st Violation in 2nd Violation in 3rd Violation in
Policy Involved Four Years Four Years Four Years
Giving testimonials, Discipline level 1 Discipline level 2 Discipline level 3
seeking publicity
Use of tobacco in Discipline level 1 Discipline level 2 Discipline level 3
police facilities
Personal appearance Discipline level 1 Discipline level 2 Discipline level 3
in court
Testifying in civil Discipline level 1 Discipline level 2 Discipline level 3
cases
Sanctions Table
Mitigation Not applicable Oral reprimand Written reprimand to
1 fined day
Presumptive Oral reprimand Written reprimand 2 fined days
Aggravated Written reprimand 1–3 fined days 4–6 fined days
Source: Drawn from the Denver Police Department Discipline Handbook (2012), Appendix F, pp. 1–2.

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 326 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

one boss did not get as much effort as the other one; the duties before the end of the rating period so they have an opportunity
were different and when working for one boss the duties were not to improve.
a good fit for the skill set for the employee; or flaws in the perfor- Signing a performance appraisal is akin to signing a traffic
mance appraisal system itself. ticket; the signature means that you have received a copy of
A majority of 393 constables, sergeants, and staff sergeants it, not that you necessarily agree with it. Officers seldom
surveyed across 15 Canadian cities reported that their perfor- ­formally appeal a performance appraisal; although they may
mance appraisal system was “deficient.”191 Officers did not ask that a statement prepared by them be attached to it for the
receive regular feedback during the rating period, had little or record.
no input into the evaluation, the supervisors were not sufficiently
trained in evaluation, and personality often triumphed over
actual performance criteria.
The truth is that getting a performance appraisal system to
PROMOTIONS
have real meaning requires a substantial organizational commit- Promotional tests can serve several objectives: (1) determining
ment, a stream of informal feedback, good supervisory record which candidates’ names should be placed on the promotional
keeping, employee participation, validated forms, and rater train- roster; (2) reinforcing organizational change (e.g., when the
ing. In broad terms, the purpose of ratings is to (1) reinforce Savannah, Georgia Police Department adopted community-ori-
organizational values, (2) have a basis for impartial personnel ented policing, all sworn personnel had to complete a 40-hour
decisions, (3) reinforce performance expectations, (4) stimulate course in that philosophy. The next written promotional tests
performance, (5) identify the officers’ training needs, and (6) drew questions from the course material, communicating the
extend recognition to those who perform their duties well. The message “you need to be on-board with COP if you plan to get
results of performance appraisals are used to determine or promoted”); (3) refreshing familiarity with critically important
influence: policies, such as use of force and high-speed pursuits, by asking
questions about them; (4) increasing the level of important
1. pay raises;
knowledge in the organization through candidates studying the
2. eligibility for promotion; resource material for written tests; and (5) improving the candi-
3. shift bids/duty assignments; dates’ understanding of their skill levels by their behaviors being
4. career development decisions (e.g., attendance at the tested in assessment centers, which roughly equate to a series
FBI National Academy); of job simulations, and receiving feedback about their
5. eligibility for reinstatement; performance.
6. layoffs/reduction in force decisions; and A dilemma for many law enforcement executives is the
disparity between the limited number of promotional openings
7. terminations.
they have versus their large pool of well-qualified candidates.
Officers satisfactorily completing their probationary periods Even so, that pool might be more substantial were it not for
are awarded career status and cannot be terminated except for the fact that some officers choose not to participate in promo-
serious misconduct. During financial emergencies, career-status tional testing. Seventy percent of nonparticipating women and
officers can be furloughed indefinitely. Career-status officers are 51 percent of men do not want to be moved from their current
commonly rated once annually by their immediate supervisors. assignment or shift.192 They know that a transfer usually
However, special circumstances may cause an evaluation to be accompanies a promotion; by doctrine, a new supervisor
written on an other than annual basis: (1) officer resignations should not lead those with whom they have worked as equals.
and terminations and (2) transfers to another unit and promo- Other reasons for nonparticipation include child-care/family
tions may trigger a probationary requirement for monthly or responsibilities, not wanting supervisory responsibilities, and
quarterly evaluations for a year. loss of overtime pay; overall, one in five potential candidates
In preparing a standard evaluation form, a supervisor consid- is simply not interested.193
ers notes he or she has made about the officer and the factors Although infrequent, officers do cheat on promotional
identified on the form such as adherence to safety procedures, exams and supervisors sometimes help them to do so. An offi-
relationships with coworkers and supervisors, report quality, cer hired someone to take the Hudson County (New Jersey)
commendations, complaints, attendance, and training. Sheriff’s Office’s Sergeant’s exam for him; both men were sen-
Informally, some supervisors initially fill out the appraisal in tenced to prison terms on a variety of charges.194 In Providence
pencil and at a preliminary meeting give the officer an oppor- (Rhode Island), a chief directly or indirectly provided four
tunity to provide input that may alter the ratings. A similar prac- favored candidates with an advance copy of the materials for
tice is to give the officers to be rated a copy of the appraisal a written exam, giving them more time to study, and also
form and ask them to evaluate themselves. Before the actual ­dictated who would score first, second, and third in the inter-
rating conference, the supervisor’s and officers’ preliminary rat- view phase.195
ings are compared and discussed. By policy in many law With respect to the rules and testing processes used to iden-
enforcement agencies, officers headed toward an unsatisfactory tify those eligible for promotion, law enforcement officers want
rating must be advised of their deficiencies at least 90 days (1) clear and unambiguous guidelines, (2) the rules to be

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 327

evenly applied to all candidates, (3) confidence in the integrity writing that in the group’s judgment, it can be relied upon for
of the testing process, (4) a reasonable amount of material to the next promotional cycle. A more conservative approach is
study for a written test, and (5) prompt feedback on the to conduct the annual reviews and do a new job analysis
results.196 study every 3 years.
The rules and practices that comprise the promotional system
can be specified in departmental policy, civil service/merit rules,
local ordinances, the city or county charter, or state statutes.
Written Promotional Tests
Broadly, the promotional policy specifies who is eligible, what Written promotional tests from test providers come in three
the steps in the promotional process are, how the final scores basic models:198
are calculated, and how officers passing the process will be 1. Off-the-Shelf/Stock—Test providers have validity data
selected from the eligibility roster. Policies must use carefully from a large number of departments from across the
crafted language to avoid potential problems. A well-written pro- country that can be “transported” or used with virtually
motional policy might specify that to be eligible for promotion all other law enforcement agencies. The provider gives
to sergeant, “An officer shall have completed at least 36 months clients a list of the five to eight books from which the
of continuous service with this agency on the date immediately questions are drawn. The clients buy enough cop-
preceding the administration of the written examination.” In con- ies to establish a lending library for candidates. Some
trast, another policy might simply provide “Three years of police candidates buy their own books and small study teams
service must be completed to be eligible.” Does that mean with pool their money to do the same thing. The test ques-
the present agency? Could some of it be with another depart- tions are generic and can be used with the “Anywhere
ment? Do breaks in service affect eligibility? Assume an officer U.S.A.” police department. Off-the-shelf/stock tests
works for a department 32 months, then he resigns to work in rent for about $15 per copy, with price breaks for
at an insurance company. Eight months later he is rehired by his larger orders. Additional sources of profit for providers
former agency. After completing 4 months of service, is the offi- include (a) a transportability study at a cost of roughly
cer eligible for promotion? $1,500; (b) the sale or rental of candidate study guides,
Promotional tests are subject to the same EEOC validity and around $7.50 each; and (c) administration and/or scor-
reliability requirements as are entrance examinations and physi- ing services.
cal assessment tests. Despite these requirements, some agencies
2. Custom-Developed—The provider may have validity
attempt to prepare their own written promotional tests. There
data from a large-scale study on which the test is based
are reasons they should be reluctant to do so: (1) most fre-
or can validate the test for use in a single agency.
quently they will not have conducted a validity study, (2) the
When the knowledge areas and the number of
perception or actuality of the test “getting out” is substantial,
questions to come from each area are known, the test
(3) the skills to write good test items may not exist in the depart-
developer sits down with a liaison committee from the
ment, (4) command officers teaching part-time in a criminal
agency and they decide from which sources the test
justice program are often selected to prepare the test. Some
questions will come. This allows many questions to
agency officers taking the promotional exam will have taken
come from sources unique to the agency, such as the
classes from them and have a perceived or real advantage, and
policy manual and training materials.
(5) if the test results are challenged under Title VII, the prospects
for successfully defending them are often dim. If other types of Custom test developers also write scenario questions that
promotional tests are prepared internally (e.g., an oral board or incorporate local information (see Table 9.13). Too many sce-
an assessment center), they face the same hurdles as do written nario questions on a test require more time to complete the
examinations. test. An overly long test creates the danger that test fatigue will
Regardless of what form a promotional test takes, the read- occur and applicants will not be able to perform at a level that
ing level of the materials must be closely monitored. On aver- reflects their actual knowledge. As a rule of thumb, 15 to 20
age, high school graduates read at a tenth-grade level; only short scenario questions is probably a reasonable limit for a
35 percent of them achieve a “proficient” or higher level of 100-item test.
performance. 197 Most law enforcement agencies require a Custom developers also charge a fee for a job analysis stud-
high school diploma as an entry-level education requirement. ies. If a sergeants test is going to be developed, all sergeants will
In those departments, if the promotional materials are written be asked to complete the job analysis questionnaire. Job analy-
at more than a tenth-grade level, a court may find the test is sis fees vary widely depending on the number of job incum-
not job related. A related matter is a review of the job analysis bents in the target position, but the fees range from several
study before each promotional cycle begins. Roughly, if an thousand dollars for a single rank in one department to over
agency has no major shifts in operational philosophy, does $100,000 for a state-wide study. Custom test questions cost $35
not significantly reallocate tasks or have other major transi- to $60 each, with a minimum number, such as 75, plus a base
tions, a job analysis study might remain in use for 5 years. fee of $250 to several hundred dollars more. Like off-the-shelf/
However, a committee should carefully review the study stock providers, custom test providers provide other services,
annually, record comments about its currency, and certify in such as administration and scoring, for additional fees.

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 328 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

TABLE 9.13 S CENARI O Q UE STI O N USI NG LO CAL I NFO RMATI O N

Thirty-year-old Wilbur is 6'5" tall. He weighs 295 pounds. Wilbur is a mean drunk. He has
a history of fighting in bars. Tonight, Wilbur is drunk in Charlie’s Tavern on Hancock
Avenue. Patrons there have seen Wilbur pick a fight. Wilbur is in the restroom. Milford
comes in and sits at the bar. He is a timid man. Milford is 31 years old and 5'4". He weighs
140 pounds. Wilbur returns to the bar. He sees Milford. He reaches for the front of
Milford ’ s shirt. Then he pulls back his fist. He screams “I’m going to hit you hard! You’ll be
6 months older when you quit rolling!” Milford passes out. He falls to the floor. W ilbur’s
actions violate which of the following offenses?
a . Menacing
b . Battery
c . Terrorist threats
d . Assault

3. Semi-Custom Tests—These exams include stock handed to me.” Study guides do not inflate the results of the
questions plus some custom-written items. Providers written test. Scores, ­typically range in the low 30s to the
may require that if a client selects this option, he or she lower-mid-90s.
must agree to use a minimum number of custom Promotional practices are not normally addressed in a collec-
questions, such as 10 or 25, plus the base fee and tive bargaining agreement in detail. Union contracts often specify
charges for other services. that a promotional vacancy must be filled within 60 or 90 days if
the position is not abolished. Likewise, contacts may specify the
Study guides should be provided to all candidates taking a
study time allowed before the promotional test is a­ dministered.
written test. It is also essential that law enforcement agencies con-
Most test providers recommend 60 to 90 days, and unions push
duct seminars on how to study and take multiple-choice exams.
for a 30- to 45-day period to get their members promoted quicker.
All sessions of seminars should be video recorded and placed on
Sixty days is actually ample study time if an all-inclusive study
the department’s intranet for four primary purposes: (1) candidates
guide is provided, but 90 days provides a humane safety buffer
can review their own session to refresh their recollection, (2) those
for candidates who need operations, get married, go on vacation,
unable to attend can have access to the same information, (3) dif-
have deaths in the family, emergencies, and become a primary
ferent questions will arise if there are multiple training sessions;
caregiver under FMLA, or other related events.
everyone should have access to the same information, and (4) if
controversies or litigation exist, the videos might be useful in
defending the agency’s practices. Although some argue that a Oral Boards and Assessment Centers
video record may be used to bolster a plaintiff’s case, they may Promotional oral boards are conducted in the same manner as
also guide the agency to making a pre-trial settlement, which entry-level oral boards, although the questions are different, and
avoids costly litigation and leads to mistake-free seminars. therefore require no further elaboration. An assessment center is
The contents of a study guide often have the following ele- both a process and the place where the process is conducted.
ments: (1) information about the test; (2) study tips; (3) strategies Such places might be a hotel, a technical school or community
for taking multiple choice tests; (4) creating a good study envi- college, a civic center, or National Guard installation.199 Police
ronment; (5) sample questions; and (6) the list of source materi- facilities are not a good choice for testing; to candidates, they
als from which the test is drawn. reek of the possibility of command influence and lack a factually
Less frequently, two other elements are included in a study neutral feeling.
guide: (1) a copy of the test plan (see Table 9.14) and (2) copies Assessment centers were first used to select German Army
of all source material. While many test providers simply supply officers during World War I; during World War II, the British War
a list of books, a test plan is narrower and more specific. If one Officer Selection Boards (WOSBs) employed them to find
purpose of written testing is to increase the level of knowledge ­competent officers. The United States Office of Strategic Ser-
in the agency, narrowing the amount of material to be studied vices (OSS), the forerunner of the Central Intelligence Agency,
encourages it by making preparation less formidable. Including utilized them to screen for agents who could be infiltrated into
all source material eliminates the need for the agency to establish enemy territory to gather intelligence. The first large-scale test of
a lending library and places everything candidates need to know assessment centers in this country was carried out by AT&T.200
in a single volume. In addition to ­permission costs to reprint all By the mid-1980s, American law enforcement agencies began
copyrighted material, which can range from $300 to as much as using assessment centers.
$800, printing each all-inclusive study guide of 350 to 425 pages Assessment centers are an attractive alternative to written
ranges from $16 to $22. Besides its fairness to all candidates, the tests because they produce less or no adverse impact. As com-
use of an all-inclusive study guide cuts down on complaints and pared to both written tests and oral boards, assessment centers
grievances. Those who ­perform poorly on the written test often are more difficult to administer, use a great amount of officers’
make the comment. “It’s my own. Everything I needed was time, and are more costly. A sergeants assessment center for the

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 329

TABLE 9.14 P O RTI O N O F A TE ST P LAN

2015 Columbus (Georgia) Police Department Sergeant Written Test Plan
APPROX.
KNOWLEDGE NUMBER OF
NUMBER KNOWLEDGE AREA QUESTIONS SOURCE MATERIALS‡
• Bill of Rights
• Columbus Consolidated Government Code. Selected
Basic legal standards (including
portions of Chapter 14.
state statutes; arrest, search and
• Georgia State Statutes, Title 16. Selected Portions
seizure laws; court procedures;
K1 10 including: 5-20; 5-21; 5-23; 5-23.1; 5-24; 5-40; 5-41;
warrants; rules of evidence; legal
5-42; 5-72; 10-2; 10-20; 10-93; 10-94; 11-30; 11-31;
terms and definitions; legal
11-33. Title 17, 4-20.
rights of accused; civil liability)
• Peace Officer Standards and Training Council. Rules of
Evidence. Pages 2.3-1-2.3-15
• CPD Policies and Procedures. 3-3: Firearms; 3-4:
Discharging of Firearms; 3-11: Responsibility and
Correct and safe use of Accountability of Police Equipment; 3-12: Permanently
K2 9
equipment Assigned Vehicles; 3-14: Vehicle Operations; 3-15:
Operations of Motor Vehicles While Responding to
Requests for Police Services
Investigative concepts, principles, • Swanson, CR, Chamelin, NC, & Territo, L (2012). Criminal
methods, procedures, and Investigation. Boston: McGraw Hill. Pages 37-78.
K3 practices (including crime scene 21 • CPD Policies and Procedures. 5-2: Criminal Process; 6-5:
search, physical evidence, and Property and Evidence Procedures; 7-1: Criminal
modus operandi of criminals) Investigation; 7-2: Collection and Preservation of Evidence.
• CPD Policies and Procedures. 2-6: Inter-department
Interview and interrogation Investigations; 5-2: Criminal Process; 7-1: Criminal
K4 concepts, principles, and 6 Investigation
practices • US Department of Transportation (2006). DWI Detection
and Standardized Field Sobriety Tests. Pages VI-1 to VI-6.
• CPD Policies and Procedures. 1-7: Disciplinary Action; 3-1:
Non-Deadly Force/Less Lethal Munitions; 3-2: Deadly
Force; 3-7: Required Court Attendance; 3-10: Off-Duty
Columbus Police Department
K5 10 Employment; 3-16: Motor Vehicle Pursuit; 3-17: Hot
policies and procedures
Pursuit, Extradition, and Fugitive Warrant; 3-25:
Guidelines for the Release of Information; 4-4: Performance
Evaluations; 4-8: Drug and Alcohol Testing Policy.
Leadership and Motivation • Iannone, NF & Iannone, MP (2014). Supervision of
K6 concepts, practices, and 17 Police Personnel. Upper Saddle River, NJ: Prentice-
principles Hall. Pages 33-56; 147-155.
Interpersonal and organizational • Swanson, CR, Territo, L, & Taylor, RW (2012). Police
K7 communication concepts, 10 Administration. Upper Saddle River, NJ: Prentice-Hall.
principles, and practices Pages 434-466.
Counseling and discipline
• Whisenand, Paul M (2014). Managing Police
concepts, principles, and
K8 17 Organizations. Upper Saddle River, NJ: Pearson
practices (including administrative
Education. Pages 171-188, 262-276.
principles and practices)

NOTES:
1. Questions may be drawn from any source cited regardless of the alignment of knowledge areas and sources shown above.
2. The number of questions drawn from each knowledge area is based on the 2010 job analysis conducted by the Carl Vinson Institute of
Government. The number of questions on the actual written promotional test may vary somewhat from the exact number of questions
shown in this test plan. Any such variation, if necessary, would be minor.
3. For the purposes of developing a test plan, the following K areas were merged due to similar source material: Investigative concepts
(merged with Crime Scene Search, Physical Evidence, and Modus Operandi of Criminals); Leadership (merged with Motivation); Counseling
and Discipline (merged with Administrative principles and practices).
4. Total number of questions is 100.

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Dallas Police Department processed 208 candidates at an of time each exercise takes depends on its complexity; the times
­average cost of $764.201 indicated are approximations.
An assessment center consists of several exercises or job A minimum of two, but usually three, trained raters observe
simulations designed to elicit behaviors from candidates that are each exercise, making their own notes during the exercise, and
established to be important to job success by a job analysis. making their individual ratings after the candidate leaves the
At least one of the exercises must require candidates to interact room (see Table 9.17). The individual ratings are then discussed
with someone else. Usually panels of three trained assessors by the assessor panel and the final whole number scores for that
make notes about the behaviors and assign whole number exercise formed in the same manner as described for entry-level
scores to the behaviors tested. Behaviors are also referred to as oral boards. Each candidate’s overall score is formed by combin-
dimensions or competencies.202 Examples of dimensions are ing the scores from each of the exercises (see Table 9.18).
shown in Table 9.15. Several exercises are required so that can- The number of exercises used in an assessment center is not
didates have multiple opportunities to have their behavior a fixed requirement. Some assessment centers use six or so short
assessed by panels staffed by different teams of assessors. exercises of perhaps 5 to 8 min each, while others might have
Assessors must at least hold the rank for which a candidate three or four exercises that each last 15 or 20 min. Short exercises
is competing. Customarily, other law enforcement agencies allow require little or no time for candidates to prepare. Often they are
their supervisors to serve as assessors for other departments with simply given a single sheet of paper with a few lines of informa-
the tacit understanding that the favor will be returned. Assessor tion immediately before they begin the exercise.
panels should reflect diversity. Departments should not use their The longer exercises require that candidates have more time
supervisors in their own assessment centers because charges of to prepare. A typical cycle is 30 min of candidate preparation
favoritism, bias, and prejudice will discredit the process. Most time followed by 15 or 20 min before the assessor panel. For
often, assessors are paid no fee, although their travel, hotel, and purposes of illustration, a candidate may assume the role of a
meal costs are covered by the department hosting them. just-promoted sergeant. On his/her “first day” as a “sergeant,” the
Some law enforcement agencies do not host assessors well and candidate arrives at work and finds a stack of papers to review.
have them evaluate too many candidates each day, which can lead At the end of 30 min, the “sergeant” is to go to the “lieutenant’s
to rating errors. Good hosting etiquette includes having per diem office” to discuss what he/she has learned during the review
checks ready for the candidates on the first day of their training, period (i.e., an assessment center staff member will come get the
arranging transportation to the agency’s bank to cash them, the “sergeant” from the preparation station and take him/her to the
hotel room charge being directly billed to the department’s account, assessor panel). The staff member knocks on the “lieutenant’s”
bringing in varied and quality lunch meals, allowing assessors in door and announces, “Your new sergeant is here to see you.” A
departmental cars to fill up at the police motor pool, and arranging role player previously trained for 8 to 16 hours for the
special tours of the city. Depending on the length of exercises, ­“lieutenant’s” part assumes the role of the lieutenant and greets
which influences the time needed to properly assess the candi- the candidate directing him/her to sit at in front of the ­“lieuteant’s
dates, assessors can reasonably see 8 to 12 candidates a day. desk. The lieutenant then asks a standard series of questions.
Table 9.16 provides examples of assessment center exercises; The “meeting” ends when time expires or, when asked, the ser-
it assumes that the candidate is seeking promotion to the rank geant says he/she has nothing left to add. The length of time
of sergeant. In each example, the candidate has just been pro- spent in the exercise room is not an assessed factor, only what
moted to sergeant and this is “day one” in that rank. The types the candidate accomplished. This information should also
of exercises illustrated could be used for any rank. The length included in the instructions to the assessors and candidates.

TABLE 9.15 SH O RT D E FI NI TI O NS O F VARI O US D I ME NSI O NS

P e r ception: Being able to identify the key elements of a situation, the importance of these
elements, and their relationship to one another.
Oral Communication: Clear, unambiguous, composed, and effective expression of one’s
self through oral means and gestures. Included are active listening, appropriate eye
contact, and the use and interpretation of nonverbal communication, such as hands,
facial, and body movements/positioning.
Written Communication: Preparing written documents that are well-organized, flow
logically, have clear meaning, and use correct grammar and spelling.
Decisiveness: Willingness to take action, make a decision, commit to a course of action,
and accept responsibility for those actions.
Judgment: Making sound and logical decisions based on factual information.
Planning and Organizing: E f fectively and efficiently establishing a direction and sequence
of prioritized actions for self/others to complete a task/accomplish a goal.
Leadership: Getting ideas accepted and the direction, guidance, and control of the
activities of others, interrelating individual/departmental needs, monitoring performance,
delegation, control, and follow-up.

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 331

TABLE 9.16 E XAMP LE S O F ASSE SSME NT CE NTE R E XE RCI SE S

Type Brief Description
Press Conference The candidate must brief “members of news media” on an incident. Assessors may play the
(PC) role of news media members or others may do it. Length: 5 min.
Role Play (RP): The sergeant meets with agitated citizen who wants to complain about one of the sergeant’s
Citizen Meeting subordinates. A role play can be conducted with any subject matter. Variations include meeting
with an officer who is a declining performer and selecting members of a robbery investigation
task force from a pool of candidates. Length: 20 min.
In-Basket (IB) The candidate replaces a sergeant who was killed in an accident while on vacation, had a
heart attack and took a medical retirement, or is otherwise gone. His/her in-basket has been filled
up pending the appointment of a replacement. The new sergeant must go through a stack of
papers and make dispositions and write necessary memos. Length: 45 min to 3 hours.
The Written The sergeant’s boss has delegated a problem to be solved (e.g., abuse of sick leave). A packet
Problem Analysis of information about the problem is on the sergeant’s desk. A memo must be written to the
(WPA) boss explaining the situation and making a recommendation. Length: 45 min to 2 hours.
Leaderless Group The candidate and four other sergeants have been assigned to discuss a problem (e.g., a large
Discussion (LGD) home subdivision has been hit with four to seven car burglaries in four of the last 10 days). A leader
for the group has not been designated. Each candidate has the same packet of information. The
group must come up with a consensus strategy to attack this problem. The LGD is hard to score
and is unpopular with officers because it doesn’t square with actual practice where someone is
always in charge. Put differently, it lacks “face validity” to candidates. The use of LGDs
appears to have been on the wane in industry and policing. Length: 45 to 60 min.
Video-Based A DVD is made showing an officer making traffic stops and performing other duties. The ser-
geant is asked to identify the policy violations committed and write a memo to his/her
Lieutenant. This format may also be used with other scenarios. Video length: 7 to 12 minutes
followed by a 25 to 30 minute period to write the memo.

The sergeant’s preparation (“prep”) station is set up like an preparation time. Many assessment centers allow candidates to
office and includes staple removers, pads of papers, sticky notes, bring their policy manual for reference and place a countdown
a dictionary, other accoutrements, and sometimes a telephone and/ timer on their desk so they know how much preparation time
or computer. The telephone can be used to simulate the lieutenant they have left. The candidate’s policy manual must be checked
calling him to add information or a requirement for their meeting. before an exercise’s preparation period begins to avoid allegations
This call must be made at the same point in each candidate’s or the possibility someone had access to unauthorized material.

TABLE 9.17 E XAMP LE O F AN ASSE SSME NT CE NTE R RATI NG SCALE

Extent to Which
Behavior Falls Short /
Exceeds Normally
Rating Definition of Behavior Expected Standard s
1 Unable to perform . Completely unacceptable. Completely
Improvement required in every aspect of the unacceptable
dimension.
2 Needs much improvement. Definite improvement Clearly below
needed in nearly all aspects of the dimension. acceptable
3 Needs some improvement. Approaches, but falls M a r ginally
short, of acceptable on this dimension. Some aspects unacceptable
of standards met, but improvement needed.
4 Satisfactory, Adequate. Performs consistently at Acceptable
acceptable level on this dimension.
5 E f fective. Consistently better than acceptable Above acceptable
performance on this dimension, characteristically
above acceptable standards.
6 Outstanding. Demonstrates high degree of Outstanding
proficiency on this dimension. Far exceeds
normally expected standards consistently.

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 332 cha pte r 9 • HUM A N R E SO UR CE MAN AG E MEN T

table 9.18 S e r ge a nts asse ssme nt ce nte r sco re summary sh e et

Joe Jones
Candidate Name: ____________
Badge 181
Candidate Identifier: _____________

Dimensions/ Role P r ess Role Dimension

E x e r cises Play 1 In-Basket Conference Play 2** Average Weight*** Total
Perception 6,5,6 5,5,5 4,5,5 6,5,5 5.16 8.23 42.46
Oral 5,6,5 NM* 5,5,5 6,6,5 5.33 7.93 42.26
Communication
Written NM* 4,4,5 NM* 5,5,4 4.50 6.71 30.19
Communication
Decisiveness 5,6,5 5,5,5 3,4,4 4,5,5 4.66 7.33 34.15
Judgment 4,5,5 5,5,4 3,3,4 5,5,5 4.41 8.15 35.94
Planning 5,5,5 5,6,5 3,4,4 6,6,5 4.91 6.82 33.48
& O r ganizing
Leadership 5,5,6 NM* 4,3,3 5,5,5 4.55 8.41 38.26

Overall score: 256.7

*Not Measured.
** After Role Play 2 candidates returned to their office with the requirement to write a summary memo to their Lieutenant.
***Statistical importance of dimension to doing the job of a captain as derived from the job analysis study.

Likewise, backpacks should not be allowed in the preparation or state law). All candidates on a rank order roster are listed
room. The staff member administering the exercise also keeps time from high to low based on their final passing scores. A rule of
but is not in the room while the candidate prepares. In lieu of a three can be used, meaning that for a single promotional vacancy,
telephone call, the staff member may knock on the door and any one of the top three candidates can be selected. A variation
announce “Here is another piece of paper the lieutenant wants is to use a rule of 5 or 10. When someone is promoted under the
you to look over for the meeting.” Like the telephone call, the rule of three, the fourth-ranked candidate often becomes part of
paper must be delivered at the same time for each candidate the next top three. This has the same effect on rules of 5 or 10.
(e.g., 6 min into the exercise). Various jurisdictions provide that an otherwise eligible person
Most commonly, the only feedback candidates get about their cannot be passed over more than twice during the life of a
assessment center performance is a letter telling them how they ­promotional roster, although this rule does not appear to be
scored on each dimension in the assessment center and where common. Absent such a provision a person ranked first on a
their overall score places them on the eligibility list. In the promotional list may “die on it” if others are chosen for
­“Cadillac” of feedback, after candidates have received their feed-
back letter, they can sign up for a feedback session. Supervisors
from other law enforcement agencies are trained in providing
feedback, including ones that were assessors in that assessment Quick Facts: Assessor Goes
center. Each feedback session lasts 30 to 60 min, during which from Dumb Ass to OK
time the candidate can review everything—literally every piece of
paper—in his or her file. The videos from the interactive exercises At a “Cadillac” feedback session a sergeant’s candidate
are shown to the candidates; this vividly illustrates the scores was going through his file page by page. While looking at
given to the candidates and they can see the specific skills they the assessors’ notes taken during one of his exercises, he
need to improve upon. This approach uses feedback as a staff read aloud a comment written by one particular assessor
development opportunity and appears to reduce the number of and exclaimed “What a dumb ass! I never said that! He
disgruntled candidates. asked “Do we know who Assessor C was? The feedback
person replied, “I’m the dumb ass.” When he later
reviewed the video of that exercise and saw he actually
Selection from the Promotional Roster said what was in the assessor’s notes, he turned to the
In selecting those to be promoted from a promotional roster, law feedback person and said, “Well, I guess I’m the dumb ass
now and you’re OK.”
enforcement executives are usually restricted in their choices by
civil service/merit rules or other measures (e.g., the city charter

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 333

­nondiscriminatory reasons.203 Depending on the applicable want their members treated equally and those responsible for
­provisions of a promotional system, a candidate passed over for making the decisions want some discretionary authority. A prop-
promotion may or may not be entitled to a reason, although the erly conceived banded system dispenses with at least the inten-
latter seems to be more usual. sity of some of these fears by a written policy that clearly
An unknown number of agencies use an all-qualified pro- identifies the factors that will be used when making selections
motional roster. It allows the executive to pick anyone on the from within a band.
list, which is alphabetized and the appointing authority does not Using a strict rank order list to make promotions from is
know what the test scores were. From a risk management per- fraught with danger. In Bridgeport Guardians v. City of Bridge-
spective, this provides an opportunity to virtually eliminate port,204 68 percent of whites taking the test passed versus 30
adverse impact in promotions because the chief or sheriff can percent of African-Americans, creating an adverse impact.
ensure diversity when selecting from the promotional roster. Despite this impact, Bridgeport insisted on relying on a rank
However, the premise of a valid and reliable test is that higher order list and litigation ensued. The court essentially saw this
scores are reasonably expected to be associated with higher reliance as a pretext for discrimination and ordered the use of a
performance of important job attributes. Stated somewhat banding system, which reduced, but did not totally eliminate, the
­differently, the primary purpose of testing is to make useful adverse impact and reasonably met the employer’s needs.
­distinctions between people. All qualified lists simply separate As was the case with new hires, the final step in the selection
the unqualified from the qualified and toss out the finer distinc- process for supervisors is the probationary period or “working
tions that undergird the notion of merit. test.” Most of those promoted will successfully complete the
Banded promotional rosters are widely used. Their essence probationary period for two reasons: (1) while promotional tests
is placing candidates with similar scores into groups, called do not totally eliminate “false positives” (those who test well, but
bands. The most common method of doing so is through any of cannot do the job), they reduce the frequency with which that
several statistical processes. As a general rule, the highest rank- happens and (2) law enforcement agencies are reluctant to revert
ing band must be exhausted before selections are made from the probationers to their previously held rank.
next highest band.
There are two types of bands:
1. Fixed bands—All officers in the top band must be RETIREMENT COUNSELING
promoted before anyone in the next-highest-ranked
band can be offered a promotion. There are two Retirement is not given much thought by newly hired officers. It
exceptions to this: (a) some systems provided that if is decades away and they are focused on beginning their careers
no candidates in the top band accept a promotional and getting on the streets “doing police work.” Unless a law
offer, then someone from the next-highest band may enforcement agency provides retirement counseling, these even-
be selected. For example, the last state police trooper tually-gray officers will arrive at retirement unprepared. Although
in the top band might decline a promotion because it many departments provide the counseling, the quality of it is not
would mean moving her family to the far end of the documented.
state. There may also be a provision that if two Officers may benefit in the long run from their agency offer-
promotional opportunities are declined, the ing retirement counseling with the content geared to the dif-
candidate’s name is struck from further consideration ferent stages of their career. In the earliest stage the content
from the life of the list, and (b) court orders to correct might emphasize the value of participating in a supplemental
past discrimination may exist, functionally requiring retirement account, the difference between a disability in the
either that lower-scoring minorities are “lifted into the line of duty pension versus one that is not service connected,
top band” or are otherwise selected off of the and in states where applicable, that a pension earned while
promotional list. married is divisible property. Later-stage counseling might
include subjects such as changes in survivor benefits, tax expo-
2. Sliding bands—The width of the band is adjusted
sure for withdrawals from supplemental retirement accounts,
when all members holding the top score are exhausted.
cost-of-living-adjustments (COLAs), and the effect of taking
If the range of the scores in the top band is 88–93, then
Social Security benefits at different ages.
when all those with 93 are promoted, the bottom of
Police unions and associations appear to have done a good
the range is adjusted by including all of those who
job in keeping their members informed about matters affecting
scored an 87. The promotion of those with the top
their retirement, particularly by providing up-to-date information
score first is not required.
on their websites. As the federal Pension Protection Act (PPA) of
Banded systems have been criticized on the grounds that 2006 made its way through Congress, their websites carefully
they invite bias, favoritism, and politics into promotional deci- followed its progress. Parenthetically, for state and local police
sions. These fears loom larger when the chief executive and officers, the PPA eliminated the 10 percent penalty for early
command staff do not enjoy the trust of the rank and file. Where withdrawals from certain types of tax-sheltered savings plans
collective bargaining is allowed, philosophical differences almost and allows up to $3,000 in annual tax credits when health
naturally exist about promotional decision making. The unions ­insurance costs are deducted directly from qualified plans.

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 334 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

Retirement creates challenges for police officers and can be Important relationships may be disturbed as stressed retirees
stressful.205 The Chief of the Lake Oswego, Oregon Police struggle with redefining themselves; they are more often at
Department died unexpectedly from an apparent heart attack home, aimless, restless, and sometimes agitated.208 A lack of
the night before his retirement ceremony.206 Although the rela- long-term financial planning (e.g., the failure to create a supple-
tionship between the chief’s imminent retirement ceremony and mental pension or other streams of income such as rental prop-
heart attack is not certain, the proximity of the two events sug- erty) may create financial pressures as retirees come to grips
gests that it may have been more than mere coincidence. with the fact that their pension does not go as far as they thought
A common retirement problem is the loss of professional it would.
identity. Many people, when asked who they are, respond with The general consensus is that people fare better in retire-
both their names and what their job is. Retirement punches a ment when, instead of just retiring from, they are retiring to
hole in that identity, leaving officers unable to define themselves something (e.g., a new job, devoting time to hobbies, travel, a
as anything other than what they were. Lacking plans to retire family business, or learning a new skill like making jewelry or
to something, some former officers become bored, drink more knives). In addition to other benefits, retirement counseling can
heavily, develop health problems, become despondent, and implant the notion to simultaneously celebrate the end of one
commit suicide.207 career while embracing the opportunity to reinvent oneself.

Quick Facts: The Embarrassed Sergeant “Jake”

A few months after his sergeant retired one of his detectives detective complimented him on the quality of his designs
called to ask if he could swing by for a visit. The wife answered and workmanship. Perhaps 10 months later another detective
the call and said, “Sure, he’s out back in the garage, just walk came into the station and told several people “I saw Jake
out there.” selling baskets at a craft fair and bought one. He does a hel-
When the detective arrived “Jake” was seated in the lava good job.” Later Jake bought a loom and over time
garage weaving a basket. Several baskets that looked to be became an accomplished fabric weaver. Jake lived to be 88,
recently completed hung on the wall. He looked up at the perhaps due just to good genes. However, some that knew
detective and said “You’re not going to tell anyone about this him thought perhaps his enthusiasm for weaving may have
are you?” Jake was assured not a word would be said and the helped carry him that far.

Chapter Summary
Summary by Learning Objective 7. Delivering or arranging for academy,
in-service, advanced, and managerial training;
1. List 10 functions a police human resource unit 8. Conducting special studies (e.g., staffing,
might perform. benefits, and compensation surveys);
Any 10 of these 23 function will satisfy this objec- 9. Administering benefits programs (e.g., health
tive. A police human resources (HR) unit may have and life insurance, and workers compensation);
oversight of the following functions: 10. Preparing payroll;
1. Complying with Peace Officers Standards and 11. Directing labor relations;
Training Commission (POST) requirements 12. Coordinating random drug screening;
and guidelines; 13. Administering promotional testing;
2. Maintaining currency with federal job 14. Managing intern programs;
discrimination laws; 15. Advising commanders on personnel matters;
3. Developing agency HR policies, subject to 16. Coordinating the employee evaluation
executive approval; process;
4. Recruiting and selecting sworn and civilian 17. Organizing promotions and awards ceremonies;
personnel; 18. Coordinating off-duty work;
5. Monitoring turnover, retention, and diversity; 19. Directing Professional Standards/Internal
6. Providing or contracting for psychological ­Affairs efforts;
services (e.g., entry screening and critical 20. Acting as personnel records custodian;
incident counseling); 21. Preparing content for the agency’s website;

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 335

22. Conducting job exit interviews to identify 4. Retaliation—Unlawful retaliation can take one
factors associated with turnover; and of two forms: (1) retaliation for participation,
23. Serving as liaison to the central personnel meaning an employer retaliated against a
office. job applicant or employee because he or she
made a charge, testified, assisted, or par-
2. Identify the main objective of the Equal Pay Act. ticipated in any manner in an investigation,
Its main objective is to eliminate discrimination in proceeding, or hearing involving a covered
wages based on gender. job discrimination claim; for the employee’s
3. Describe how the Age Discrimination in Employ- expression or conduct to be protected
ment Act is applied to law enforcement agencies. from retaliation, it must make reference to
ADEA has a law enforcement exemption provision; a protected class or type of prohibited job
local units of government can refuse to hire a per- discrimination and (2) retaliation for opposi-
son for a sworn position if the applicant is over their tion, which prohibits employers from discrimi-
maximum age for hiring and the refusal to hire was nating against an applicant or employee who
part of a bona fide hiring or retirement plan and not ­opposed covered job discrimination practices
a subterfuge to evade ADEA’s purposes. or said so in response to the employer’s
questions. Protection is afforded so long as
4. Explain the four major theories of discrimination. the opposition is based on a reasonable and
1. Disparate treatment—An applicant or of- good faith belief that the practice opposed
ficer may rightly believe that he or she has is illegal. In the event, the practice opposed
been dealt with unfairly in an employment is not prohibited, the employee is still pro-
decision. To rise to the level of a disparate tected. However, if such opposition is unrea-
treatment claim, the person must have been sonable, in bad faith, deliberately false, or
intentionally treated differently because of his malicious there is no protection.
or her membership in a protected class; the
discrimination must be more than slight to be 5. Name and explain two categories of sexual
actionable. Both compensatory and punitive discrimination.
damages can be awarded against a non- Traditionally, sexual harassment has been catego-
governmental employer; rized as (1) quid pro quo, from Latin, meaning an
2. Adverse Impact—An applicant or officer may exchange or literally “something for something.” It
rightly believe that he or she has been dealt is constituted by unwelcome sexual advances,
with unfairly in an employment decision. requests for sexual favors, and other verbal or physi-
To rise to the level of a disparate treatment cal conduct of a sexual nature when (a) submission
claim, the person must have been intention- to such conduct is either explicitly or implicitly a
ally treated differently because of his or her term or condition of an individual’s employment or
membership in a protected class; the dis- (b) submission or rejection of such conduct by an
crimination must be more than slight to be individual is used as the basis for employment deci-
actionable; sions affecting that individual and (2) hostile envi-
3. Harassment—Although technically harass- ronment, which is created when the prohibited and
ment is a form of disparate treatment, unwelcome behavior has the purpose or effect of
EEOC recognizes it as a separate theory of unreasonably interfering with an individual’s work
discrimination. Harassment is action toward performance or by creating an intimidating, hostile,
an individual on the basis of race, color, sex or offensive working environment.
(including pregnancy), national origin, age, 6. Summarize the protection afforded by the Preg-
religion, disability, or genetic information. nancy Discrimination Act.
Unwelcome actions that may rise to the level Broadly, the act makes it illegal to discriminate in
of harassment include speech, touching, and employment practices against a woman because of
other conduct that create an intimidating pregnancy, childbirth, or medical conditions arising
“hostile work environment” that employees from such. Hiring a pregnant woman is not required,
reasonably should not have to endure. Mild but such an applicant must be treated equal to all
teasing and occasional offhand comments other candidates.
will fall short of being recognized as creating
a hostile environment; the conduct involved 7. Define disability and reasonable accommodation.
must be more severe or pervasive, but need With respect to an individual, a disability is (1) a
not be totally intolerable; and physical or mental impairment that substantially

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 336 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

limits one or more major life activities, (2) a record punishment, its core meaning is instruction.
of such an impairment, or (3) a perception that a ­Progressive discipline is incrementally increasing
person has such an impairment. In general, a rea- more serious penalties for transgressions.
sonable accommodation is any change in the work
14. Identify the four possible outcomes in a profes-
environment or in the way things are customarily
sional standards/internal affairs investigation.
done that enables an individual with a disability to
(1) Unfounded, (2) exonerated, (3) not sustained,
enjoy equal employment opportunities.
and (4) sustained.
8. Briefly discuss the law enforcement exemption of
the Genetic Information Nondiscrimination Act 15. Explain how a discipline matrix works.
(GINA). A discipline matrix is a formal schedule for disciplin-
Law enforcement agencies may request genetic ary actions, specifying both the presumptive or pre-
information from employees to determine if they sumed sanction to be imposed for misconduct and
have contaminated forensic evidence and to iden- any reduction or increase in the presumptive sanc-
tify human remains. tion for mitigating or aggravating factors.
16. List four purposes of performance appraisals.
9. Briefly contrast exempt and nonexempt
There are seven purposes; any four responds to the
employees.
objective:
Employees are grouped into two categories for pur-
poses of overtime pay: (1) nonexempt—the group 1. pay raises;
that is entitled to overtime pay and (2) exempt—the 2. eligibility for promotion;
group that is not. 3. shift bids/duty assignments;
4. career development decisions (e.g., atten-
10. List the four reasons for which leave may be
dance at the FBI National Academy);
taken under the Family Medical Leave Act.
5. eligibility for reinstatement;
The four are as follows:
6. layoffs/reduction in force decisions; and
1. the birth and care of the newborn child of the 7. terminations.
employee;
18. Name the five different purposes promotional
2. placement with the employee of an adoptive
testing can serve.
or foster care son or daughter;
These are (1) determining which candidates’
3. care of an immediate family member, spouse,
names should be placed on the promotional
child, or parent, with a serious health condi-
roster; (2) reinforcing organizational change;
­
tion; and
(3) refreshing familiarity with critically important
4. medical work when the employee is unable to
policies, such as use of force and high-speed
work because of a serious health condition.
p ursuits, by asking questions about them;
­
11. Briefly describe how the economy affects recruit- (4) increasing the level of important knowledge in
ing applicants. the organization through candidates studying; and
In a good economy the applicant pool is shallow, (5) improving the candidates’ understanding of
and in a down cycle, there are more quality their skill levels by their behaviors being tested in
applicants. assessment centers.
12. Define validity and reliability. 19. Describe the assessment center process.
Validity means that a test actually measures what it An assessment center consists of several exercises
is intended to measure and conclusions and deci- or job simulations designed to elicit behaviors from
sions based on test scores are therefore appropriate candidates that are established to be important to
and meaningful. Reliability means that if the same job success by a job analysis. At least one of the
test was given again or in a parallel form to the exercises must require candidates to interact with
same group of people, they would score substan- someone else. Usually, panels of three trained
tially the same. Reliability speaks to getting consis- assessors make notes about the behaviors and
tent, rather than random, results. assign whole number scores to each of the behav-
iors tested.
13. Explain the meaning of discipline and progressive
discipline. 20. Explain rank order, all-qualified, and banded pro-
Discipline is related to three Latin words: (1) discip- motional rosters.
lina, or instruction to a disciple; (2) discipulus, or In the rank order promotional roster: (1) All candi-
pupil; and (3) discere, or to learn, to acquire knowl- dates on a rank order roster are listed from high to
edge. Although discipline is often thought of as low based on their final scores. A rule of three can

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 c h ap t er 9 • H U MA N RES OU RCE M ANAGEM ENT 337

be used, meaning that for a single promotional exhausted before selections are made from the
vacancy, any one of the top three candidates can next highest band.
be selected. A variation is to use a rule of 5 or 10.
When someone is promoted under the rule of 21. Discuss the problem of identity loss that some
three, the fourth-ranked candidate often becomes officers experience in retirement.
part of the top three. This has the same effect on Loss of professional identity is a common retire-
rules of 5 or 10. An all-qualified promotional roster ment problem. Many people, when asked who
allows the executive to pick anyone on the list, they are, respond with both their names and what
which is alphabetized and the appointing authority their job is. Retirement punches a hole in that
does not know what the test scores were. Banded identity, leaving officers unable to define them-
promotional rosters are widely used. Their essence selves as anything other than what they were.
is placing candidates with similar scores into groups, Lacking plans to retire to something, some former
called bands. The most common method of doing officers become bored, drink more heavily,
so is through any of several statistical processes. As develop health problems, become despondent,
a general rule, the highest ranking band must be and commit suicide.

Chapter Review Questions

1. What are five compelling reasons to have a 6. For police applicants, what are the top two
working knowledge of human resource negative experiences?
management? 7. What is the primary responsibility of a Field
2. What is the purpose of EEOC’s Uniform Guidelines Training Officer (FTO)?
for Employee Selection? 8. Hickman and Poore’s review of the literature of
3. Under FLSA, at what rate is overtime compensation police use of force produced seven findings. What
paid? are four of them?
4. Except for “unforeseeable circumstances” an 9. Why are police promotional assessment centers an
employee seeking FMLA leave must give the attractive alternative to the use of written
employer how many days’ notice? promotional tests?
5. A California study revealed the top two reasons for
joining a police department. What were they?

Critical Thinking Exercises

1. Re-read Quick Facts: Colorado Springs Veteran Sheriff fired the consultant? Also, the consultant
Female Officers Sue Over Physical Test. Looking at agreed with the sheriff’s assessment that he was
the facts of the case, how do you evaluate the not going to be able to help, but for different
plaintiff’s chances of prevailing and for what reasons than the Sheriff professed. What reasons
reasons? do you think the police consultant had in mind
2. Re-read Box 9.12, “The Police Consultant Who when he agreed with the Sheriff that he could not
Couldn’t Help.” For what reasons do you think the be helpful?

Key Terms
adverse impact banded list disparate treatment
Age Discrimination in Employment change officers’ at-risk early intervention system
Act (ADEA) computerized voice stress analyzer Employee Polygraph Protection Act
all-qualified list (CVSA) (EPPA)
Alpha generation conditional job offer (CJO) Equal Employment Opportunity
Americans with Disability Act (ADA) disability Commission (EEOC)
assessment center discipline exempt Employee
baby boomers discipline matrix Equal Pay Act (EPA)

M09_SWAN4056_09_SE_C09.indd 337 27/08/2018 13:44

 338 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

Fair Labor Standards Act (FLSA) normed Servicemembers Civil Relief Act
Family Medical Leave Act (FMLA) officer in training (OIT) (SCRA)
field training officer (FTO) Peace Officers Standards and Training sexual harassment
4/5ths rule Commission silent generation
Generation X Pregnancy Discrimination Act Title VII
Generation Y progressive discipline Uniform Guidelines for Employee
Generation Z protected class Selection Procedures
Genetic Information qualified individual with a Uniformed Services Employment and
Nondiscrimination Act (GINA) disability Reemployment Rights Act
harassment quid pro quo (USERRA)
hostile environment rank-order list U. S. Department of Labor
Lilly Ledbetter Fair Pay Act (LLFPA) reasonable accommodation validity
moral turpitude reliability working test
nonexempt employees retaliation

Endnotes
1
These functions were originally taken on June 22, 2010, from Affiliation, Status as a Parent, Sexual Orientation or Trans-
31 different police websites across the country that gender (Gender Identity) Status, Equal Employment
described their HR responsibilities. We did not keep a list of Opportunity Commission, p. 1.,http://www.eeoc.gov/fed-
those agencies, but for the current edition we visited the eral/otherprotections.cfm, (accessed August 31, 2015).
websites of 16 local law enforcement agencies during No author, “What You should Know About EEOC and the
August 31–September 1, 2015, to verify the list was still valid. Enforcement Protections for LGBT Workers,” Equal
2
A Proclamation by the President of the United State, Office Employment Opportunity Commission, p. 1., http://www.
of the Press Secretary, The White House, Washington, eeoc.gov/eeoc/newsroom/wysk/enforcement_protec-
D.C., April 11, 2016, https://www.whitehouse.gov/the- tions_lgbt_workers.cfm, (accessed August 31, 2015). No
press-office/2016/04/11/presidentialproclamation-national- author, Remedies for Employment Discrimination, Equal
equal-pay-day-2016, accessed May 7, 2016. Employment Opportunity Commission, http://www.eeoc.
3
Amy Onder, “Ledbetter Law Leads to Equal Pay Victory,” gov/employees/remedies.cfm, (accessed August 31, 2015).
11
HR Magazine, Vol. 54, Issue no. 12, (December 2009), No author, “EEOC Releases Fiscal Year 2015 Enforcement
p. 58, http://connection.ebscohost.com/c/arti- and Litigation Data (Equal Employment Opportunity Com-
cles/47554472/ledbetter-law-leads-equal-pay-victory, mission: Washington, D.C., February 11, 2016), p, 1, http://
(accessed September 1, 2015). www.eeoc.gov/eeoc/newsroom/release/2-11-16.cfm,
4
The statements in this paragraph are drawn from U.S. Equal (accessed March 1, 2016).
12
Employment Opportunity Commission, Age Discrimina- No author, EEOC Training Institute Resources Guide:
tion, p. 1, http://www.eeoc.gov/laws/types/age. Employer Responsibilities p. B-2 to B4, No author, Reme-
cfm,(accessed August 31, 2015). dies for Employment Discrimination, Equal Employment
5
Kyle Mitten, “City to Pay $375K as Part of Lougheed Settle- Opportunity Commission, http://www.eeoc.gov/employ-
ment.” The Daily World (Aberdeen, Washington), April 9, ees/remedies.cfm, (accessed August 31, 2015), and
2015, p. 1, http://thedailyworld.com/news/local/city-pay- ­Barbara L. Johnson, “Types of Damages Available in
375k-part-lougheed-settlement, (accessed August 31, 2015). Employment Cases,” American Bar Association, 2011
6
U.S. 288 (2005). ­Conference, Toronto, Canada, August 4, 2011.
7 13
Equal Employment Opportunity Commission, “Nassau Loc.cit.
14
County Police Department to Pay $450,000 for Age Bias,” No author, Remedies for Employment Discrimination, Equal
p. 1, October 23, 2008, http://www.eeoc.gov/eeoc/­ Employment Opportunity Commission, http://www.eeoc.
newsroom/release/archive/10-23-08.html, (accessed gov/employees/remedies.cfm, August 31, 2015.
15
­September 1, 2015). Stewart et al. v. City of Houston Police Department,
8
See 29 United States Code, Section 623 (j)(1)(A). No. 09-20680, U.S. Court of Appeals for the Fifth Circuit (2010).
9 16
No author, Laws Enforced by EEOC, Equal Employment Benjamin P. Endres, Jr. and the United States of America v.
Opportunity Commission, http://www.eeoc.gov/laws/­ Indiana State Police, No. 02-1247, United State Court of
statutes, p. 1, (accessed September 1, 2015) and No Appeals for the 7th Circuit 349 F.ed 922, U.S. App Lexis
author, Title VII of the Civil Rights Act of 1964, Equal 23570 (2003).
17
Employment Opportunity Commission, http://www.eeoc. Carri Geer Thevenot, “Las Vegas Police Settle Officer’s Law-
gov/laws/­statutes/titlevii.cfm, (accessed August 31, 2015). suit Over Religious Clothing,” Las Vegas Review-Journal,
This second source is the actual text of Title VII. January 23, 2009.
10 18
No author, “Facts About Discrimination in Federal Govern- Fraternal Order of Police v. City of Newark, 170 F.3d 359 (3d
ment Employment Based on Marital Status, Political Cir, 1999).

M09_SWAN4056_09_SE_C09.indd 338 7/8/16 3:15 PM

 c h ap t er 9 • H U MA N RES OU RCE M ANAGEM ENT 339
19 38
41 Code of Federal Regulations (CFR) 60-3.4(D), 1978. Drawn from Colonel Deborah J. Campbell, New York State
20
Laurie Wardell and Michael K. Fridkin, Title VII and Section Police, Karen J. Kruger, Funk and Bolton, and Randall H.
1981 (Chicago: Chicago Lawyers’ Committee for Civil Carroll, Chief of Police (Retired), speakers, Bellingham,
Rights Under the Law, October, 2009), p. 15. Washington, “Pregnancy & Policy: A New Policy Makes
21
Jackson v. County of Racine, 474 F.3d 493 (7th Cir. 2007). Them More Compatible,” International Association of
22
Hall v. Gus Construction Co., 842 F.2d 1010, 46FEP, Cases 57 Chiefs of Police, October 2010, 28 pp., 1–28, http://www.
(8th Circuit), 1988. aele.org/los2010kruger-pregnancy.pdf, (accessed Septem-
23
Chris Sanford v. Department of Veterans Affairs, EEOC ber 4, 2015) and no author, Pregnancy Guidelines for Fed-
Appeal No. 0120082632 (2009). eral Law Enforcement, May 1, 2011, Wifle Foundation,
24
U.S. Equal Employment Opportunity Commission, Facts 8 pp, http://www.wifle.org/pdf/PregnancyGuidelines.pdf,
About Sexual Harassment, July 22, 2002, p. 1, http://www. (accessed September 4, 2015).
39
eeoc.gov/facts/fs-sex.html, (accessed September 2, 2015). Loc. cit.
25 40
U.S. Equal Employment Opportunity Commission, Fourteen- Loc. cit.
41
Year-Old Reports Sexual Harassment and Assault at Kansas Loc. cit.
42
Fast Food Restaurant, undated, p. 1, http://www.eeoc.gov/ Settlement, The United States of America and the Roches-
youth/case3.html, (accessed September 2, 2015). ter. Muchigan, Police Department, August 24. 2015, http://
26
U.S. Equal Employment Opportunity Commission, Policy www.ada.gov/rochester_pd_sa.html, (accessed September
Guidance on Current Issues of Sexual Harassment, 4, 2015).
43
March 19, 1999, p. 2, http://www.eeoc.gov/eeoc/­ Settlement Agreement Between the United States of
publications/upload/currentissues.pdf, (accessed ­America and the New York City Police Department,
­September 2, 2015) and Federal Code of Regulations, November 18, 2009.
44
Title 29, Subtitle B, Chapter XIV, Part 1604, 1604.11, Sexual No author, Americans with Disabilities Act, Information for
Harassment, August 31, 2015, https://www.google.com/ Law Enforcement, December 1, 2008, www.ada.gov/
webhp?sourceid=chrome-instant&ion=1&espv=2&ie=UTF- policeinfo.htm, (accessed September 4, 2015).
45
8#q=Federal+Code+of+Regulations%2C+Title+29%2C+S Loc. cit.
46
ubtitle+B%2C+Chapter+XIV%2C+Part+1604%2C+1604.11 U.S. Equal Employment Opportunity Commission, Disability
%2C+Sexual+Harassment%2C+August+31%2C+2015, Discrimination, undated, http://www.eeoc.gov/laws/types/
(accessed September 2, 2015). disability.cfm, (accessed September 6, 2015). Parentheti-
27
Policy Guidance on Current Issues of Sexual Harassment, p. 2. cally, while the EEOC may or may not note the date a doc-
28
On some of these points see Robinson v. Jackson ument is effective or placed on the Internet, it does note
­Shipyards, 760 F.Supp 1486, Cases 971 (M.D. Fla), 1991. when documents are outdated.
29 47
King v. Macmillan, U.S. Court of Appeals for the 4th Circuit, Loc. cit.
48
594 F.3d 301 (2010). Loc. cit.
30 49
Wardell and Fridkin, Title VII and Section 1981, p. 24. Americans with Disabilities Act (1990) as Amended (2008,
31
Ibid. effective January 1, 2009), Section 12103( (1).
32 50
Civil Action No. 07-cv-02560-LTB-CBS, The United States of Ibid., Section 12103(2).
51
America and Lance Lazoff v. City of Colorado Springs, Colorado, U.S. Equal Employment Opportunity Commission, Ques-
in the United States District Court of Colorado (2008). tions and Answers on the Final Rule Implementing the
33
Drawn with restatement from Rachel L. Swarns, “Pregnant ADA Amendments Act of 2008 the ADA Amendments Act
Officer Denied Chance to Take Sergeant’s Exam Fights undated, p. 1, http://www.eeoc.gov/laws/statutes/adaaa.
Back,” The New York Times, August 9, 2015. cfm, (accessed September 6, 2015).
34 52
No author, Laws Enforced by the EEOC (Washington, DC: Loc. cit.
53
U.S. Equal Employment Opportunity Commission: No Author, ACLU Sues West Virginia Police Chief Who
Washington, DC, 2010), p. 1., http://www.eeoc.gov/laws/ Blocked Life-Saving Measures for Gay Heart Attack Victim
statutes, (accessed September 4, 215). Assumed to Be HIV Positive, American Civil Liberties Union
35
See Lochren et al. v. County of Suffolk, No. 08-2723-cv, March 2, 2006, www.aclu.org/news/aclu-sues-west-virginia-
United States Court of Appeals, 2nd Circuit (2009) and police-chief-who-blocked-life-saving-measures-gay-heart-
Sandra L. Lochren, Sara A. MacDermott, Patricia O’Brien, attack-victim, (accessed September 6, 2015).
54
Kelly Mennella , Christine Blauvelt, and Miriam Riera, The Associate Press, W.Va. Police Chief Denied Gay Man
plaintiffs, v. County of Suffolk, defendants, United States CPR, March 3, 2006, No longer available on the Internet.
District Court, e.d. New York, March 23, 2010. Parallel content is found at no author, “Police Chief Sued
36
The content in this paragraph is drawn from Fabrice for Denying Gay Man CPR,” USA Today, March 3, 2006,
­Czarnecki, M.D., “The Pregnant Officer,” Clinics in Occu- http://usatoday30.usatoday.com/news/nation/2006-03-02-
pational and Environmental Medicine, Vol. 3, Issue No. 4, cpr-suit_x.htm, (accessed September 6, 2015).
55
(August 2003), pp. 641–648 and Karen J. Kruger, Fabrice The case was filed by the Charleston, WV ACLU Office. It does
Czarnecki, and Gary W. McLhinney, “Pregnancy and Polic- not appear in any legal index. A July 1, 2010 call by “Mike”
ing: Are They Compatible?” Paper presented at the 2008 Swanson to the ACLU in Charleston confirmed the basic facts
International Association of Chiefs of Police Annual in this case, but no other information could be provided.
56
Meeting, San Diego. The points in this short paragraph, except for the last sentence,
37
Loc. cit. are taken from no author, Wage and Hour Division History, U.S.

M09_SWAN4056_09_SE_C09.indd 339 25/08/2018 10:33

 340 CHA PTE R 9 • HUM A N R E SO UR CE MAN AG E MEN T

74
Department of Labor, 2009, p. 1, http://www.dol.gov/whd/ MaCherie Placide, “In Search of the Best,” Paper presented at
about/history/whdhist.htm, (accessed September 9, 2015). the Annual Meeting of the Midwest Political Science Associa-
57
No author, Minimum Wage Since 1938, CNN Money, 2015, tion, Chicago, April 3–6, 2008 addresses the quality of recruits
p. 1, http://money.cnn.com/interactive/economy/mini- and recruiting difficulties. Also see Jeremy M. Wilson and
mum-wage-since-1938, (accessed September 9, 2015). Justin A. Heinonen, “Police Workforce Structures: Cohorts,
58
Michael E. Brooks, “The Fair Standards Labor Act and the Economy, and Organizational Performance,” Police
Police Compensation, FBI Law Enforcement Bulletin, Quarterly, Vol. 15, Issue 3, (September 2012), pp. 283–307.
75
Vol. 73, No. 6, (June 2004), p. 1 and Ted H. Bartlestone, Kevin Johnson, “Police Agencies Buried in Resumes,” USA
“Issues to Consider in Defending Overtime Claims Under Today, March 12, 2009.
76
the Fair Labor Standards Act,” Journal of the Missouri Bar, No author, Recruitment and Retention Practices (Peace Offi-
(November/December, 2009), p. 290. cers Standards and Training Commission: Sacramento,
59
U.S. 833 (1976). April 2006), drawn with restatement from p. viii. and 25–26.
60
U.S. 528 (1985). A national study of 49 state police agencies produced sim-
61
U.S. Department of Labor, “Handy Reference Guide to the ilar results; parenthetically, Hawaii has no state police
Fair Labor Standards Act,” November 2014, p. 2., http:// force per se. See Thomas S. Whetstone, John C. Reed, Jr.,
www.dol.gov/whd/regs/compliance/hrg.htm, (accessed and Phillip C. Turner, “Recruiting: A comparative Study of
September 9, 2015). the Recruiting Practices of State Police Agencies,” Interna-
62
See U.S. Department of Labor. Fact Sheet, May 2016, tional Journal of Police Science and Management,” Vol. 8,
https://www.dol.gov/whd/overtime/final2016/ Issue 1, (Spring 2006), pp. 52–66.
77
overtime-factsheet.htm, accessed June 21, 2016. Douglas L. Yearwood, Recruitment and Retention Study
63
No author, Guidance for Higher Education Institutions on Series (North Carolina Criminal Justice Analysis Center:
Paying Overtime Under the Fair Labor Standards Acr, Raleigh, North Carolina, April 2003), p. i.
78
Wage and Hour Division, United States Department of Recruitment and Retention Practices, pp. xi and 25–26. Also
Labor, May 18, 2016, p. 7. see no author, POST Recruitment Strategic Planning
64
See No author, Fact Sheet: Final Rule to Update the Guide (Peace Officers Standards and Training Commis-
­Regulations Defining and Delimiting the Exemption for sion: Sacramento, 2009).
79
Executive, Administrative, and Professional Employees, Nelson Lim et. al., To Protect and Serve: Enhancing the Effi-
Wage and Hour Division, United States Department of ciency of LAPD Recruiting (Santa Monica, CA: The Rand
Labor, May 2016, no page numbers, https://www.dol.gov/ Corporation, 2009), p. xviii.
80
whd/overtime/final2016/overtime-factsheet.htm, accessed Ibid., p. xvii.
81
June 21, 2016. Ibid., p. 39.
65 82
Loc. cit. Ibid., p. 40.
66 83
Fred Bamonte, Javier Cota, Ricardo Perine and other simi- Ibid., p. 39.
84
larly situated employees v. City of Mesa (AZ), 598 F. 3rd Ibid., pp. 42 and 40.
85
1217 (2010). Matthew Hickman and Brian Reaves, Local Police Depart-
67
Stephen S. Adams, et al. v. United States, 471 F. 3d 1321 ments, 2003 (Washington, DC: Bureau of Justice Statistics,
(2006). May 2006), p. 9.
68 86
David A. Cleveland, Mark S. Vojodich, Andres W. Aston, Brian Lim et. al., To Protect and Serve: Enhancing the Efficiency of
Benavides v. City of Elmendorf, Texas, 388 F.3d 522 (2004). LAPD Recruiting, p. 60 and Michelle Comeau and John
69
Rogers v. City of Richmond, 851 F.Supp 2d 983 (2012) and Klofas, The Police Recruiting Process: Rochester: N.Y., p. 5.
87
Lisa Casabona, “Richmond, Virginia Settles Overtime Suit Kevin Johnson, “Long Odds to Join Las Vegas Force,” USA-
with City Police Officers for $7 M+,” Thompson Informa- Today, August 2, 2007, http://usatoday30.usatoday.com/
tion Services, August 23, 2012, p. 1, http://smarthr.blogs. news/nation/2007-08-01-vegascops_N.htm, (accessed
thompson.com/2012/08/23/richmond-va-settles-overtime- September 14, 2015).
88
lawsuit-with-city-police-officers-for-7m, (accessed See W. Payne and J. Harvey, “A Framework for the Design
September 10, 2015). and Development of Physical Employment Tests and Stan-
70
Brian Taylor, “Government Extending Federal Benefits to dards,” Vol. 53, Issue 7, (July 2010), pp. 858–871.
89
All Married Same-Sex Couples,” NPR (National Public Comeau and Klofas, The Police Recruiting Process: Roches-
Radio), July 9, 2015, pp. 1–2, http://www.npr.org/sections/ ter: N.Y., p. 7.
90
thetwo-way/2015/07/09/421489372/government-extend- United States v. City of Erie, 411 F.Supp.2d 524 (2005).
ing-federal-benefits-to-all-married-same-sex-couples,    91No author, “Justice Department Settles Sex Discrimination
(accessed September 11, 2015). Lawsuit Against City of Corpus Christi, Texas, Police Depart-
71
Gibbs and Drew v. City of New York Police Commissioner ment,” U.S. Department of Justice Press Release, Septem-
Bratton and Others, 2015 U.S. Dist. Lexis 7960 and ber 109, 2012, p. 1, http://www.justice.gov/opa/pr/
24 Wage and Hour Cas. 2d (BNA) 274 justice-department-settles-sex-discrimination-lawsuit-
72
Lee v. City of Elkhart, 2015 U.S. App. LEXIS 3712 (7th Cir. against-city-corpus-christi-texas, (accessed September 15,
Ind., Mar. 10, 2015) Prior history: Lee v. City of Elkhart, 2013 2015).
U.S. Dist. LEXIS 57624 (N.D. Ind., Apr. 22, 2013).    92Loc. cit.
73
Knussman v. State of Maryland, No. B-95-1255 (D. MD.    93Kassondra Cloos, “Lawsuit: Colorado Springs Female
February 2, 1999). Police Officers Allege Discrimination in Physical Fitness

M09_SWAN4056_09_SE_C09.indd 340 7/8/16 3:15 PM

 c h ap t er 9 • H U MA N RES OU RCE M ANAGEM ENT 341

Test,” The Gazette (Colorado Springs, Colorado), May 1, PsychCentral, 2015, p. 1, http://psychcentral.com/lib/min-
2015, pp. 1–2, http://gazette.com/lawsuit-colorado- nesota-multiphasic-personality-inventory-mmpi/?all=1,
springs-female-police-officers-allege-discrimination-in- (accessed September 16, 2015).
111
physical-fitness-test/article/1550705, (accessed John T. Chinall and Paul Detrick, “The Neo PI-R, Inwald
September 15, 2015). Personality Inventory and the MMPI-2 in the Prediction of
  94Charles Nathan Brown, Survey of Physical Agility Testing Police Academy Performance: A Case for Incremental
and Officer Fitness Levels in Kentucky Police Depart- Validity,” American Journal of Criminal Justice, Vol. 27,
ments, Martin School, University of Kentucky, Spring No. 2, (March 2003), pp. 233–248.
112
2005, p. 111. Boston Police Department v Jill Kavaleski, et al., J.V.
   95No author, Fact Sheet #36: Employee Polygraph Protection Kavaleski v Julia Reade, M.D., et. al, Opinion No. 128315
Act of 1988, U.S. Department of Labor, July 2008, http:// Docket Number, SUCV2009-04978-C, Superior Court of
www.dol.gov/whd/regs/compliance/whdfs36.pdf, Massachusetts at Suffolk, 2014 Mass. Super. Lexis 133,
(accessed September 16, 2015). 2014.
   96Code of Federal Regulations (CFR) 801.10, current to July 113
Lim et al., To Protect and Serve: Enhancing the Efficiency
2, 2010. of LAPD Recruiting, pp. 61, 69–70.
   97Hickman and Reaves, Local Police Departments, p. 8. 114
Matthew Hickman, State and Local Law Enforcement Train-
   98No author, Polygraph Testing May Be Flawed for Security ing Academies-2002 (Washington, DC: Bureau of Justice
Screening, National Academy of Sciences, October 8, Statistics, 2005), p. iii.
115
2002, p. 1. Hickman and Reaves, Local Police Departments, p. 9.
   99Charles Swanson, Neil Chamelin, Leonard Territo, and 116
Ibid.
117
Robert Taylor, Criminal Investigation (New York: McGraw- Hickman and Reaves, Local Police Departments, p. 9.
118
Hill, 2006), pp. 218–219. Lawrence W. Daly, “Police Officers Do Not Receive Ade-
100
United States, Petitioner v. Edward G. Scheffer 523 U.S. 303 quate Training to Prepare Them to Handle Child Sexual
(1998). Also see Christopher Domin, “Mitigating Evidence? Abuse Investigations,” Issues in Child Abuse Accusations,
The Admissibility of Polygraph Results in the Penalty Vol. 15, Issue 1, (Winter 2005), p. 1.
119
Phase,” University of California, Davis, Law Review, Vol. 43, Patricia Obst and Jeremy Davey, “Does the Police Acad-
No. 4, (April 2010), pp. 1461–1490 and Leonard Saxe and emy Change Your Life?” International Journal of Police
Gershon Ben-Shakhar, “Admissibility of Polygraph Tests: Science and Management, Vol. 5, Issue 1, (2003), p. 31.
120
The Application of Scientific Standards Post-Daubert,” Stephen J. Scarfo, “Validity Study Relationship Between
Psychology, Public Policy, and Law, Vol. 5, Issue 1, Police Academy Performance and Cadet Level of Educa-
(March 1999). tion and Cognitive Ability,” Applied H.R.M. Research,
101
Ibid. Vol. 7, No. 1, (2002), p. 39.
102 121
Lim et al., To Protect and Serve: Enhancing the Efficiency Allison Chappell, “Police Academy Training: Comparing
of LAPD Recruiting, p. 61. Across Curricula,” Policing: An International Journal of Police
103
Thomas J. Mullen v. County of Suffolk, Supreme Court of Strategies and Management, Vol. 31, No. 1, (2008): p. 52.
122
the State of New York, D16143 (2007). Nadine Post, “Police Academy to Set Stage for Scenario-
104
Lim et al., To Protect and Serve: Enhancing the Efficiency Based Training,” ENR: Engineering News-Record, Vol. 264,
of LAPD Recruiting, p. 60. Issue 6, (February 22, 2010).
105 123
William G. Doerner, “The Utility of the Oral Board in Hickman and Reaves, Local Police Departments, 2003, p. 8
Selecting Police Academy Admissions,” Policing: An Inter- and James Hannah, “Military Call-Ups Strain Police Forces
national Journal of Police Strategies and Management, in Ohio and Elsewhere,” The Enquirer (Cincinnati, Ohio)
Vol. 20, Issue 4, (1997), pp. 777–785. February 20, 2003.
106 124
Larry Gaines and Bruce Lewis, “Reliability and Validity of Ibid., p. 9.
125
the Oral Board in Police Promotions,” Journal of Criminal For more details, including forms, see www.Mesaaz.gov/
Justice, Vol. 10, Issue 5, (1982), pp. 403–420. police/FTO
107 126
This section draws on the 38 years of experience of Charles Francis L. McCafferty, “The Challenge of Selecting Tomor-
Swanson in designing oral boards, job simulations, and row’s Police Officers from Generations X and Y,” The Jour-
assessment, as well as training promotional panel mem- nal of the American Academy of Psychiatry and Law,
bers from over 26 states. Vol. 31, No. 1, (2003), p. 81. This note is only for the qualities
108
T. Mieczkowski, “Drug Testing The Police: Some Results of of the silent generation. As a separate matter, ­McCafferty
Urinalysis and Hair Analysis in a Major U.S. Metropolitan uses a 1930–1948 birth range for this group. Our own read-
Police Force,” Journal of Forensic Medicine, Vol. 3, (June ing of sources led us to use a 1925–1945 range.
127
2004), pp. 115–122. Population Division, U.S. Census Bureau, “Selected Charac-
109
Comeau and Klofas, The Police Recruiting Process: teristics of Baby Boomers,” (Washington, DC:, U.S. Census
­Rochester: N.Y., p. 8. Bureau, 2009), from unnumbered PowerPoint presentation.
110
Martin Sellbom, Gary L. Fischler, and Yossef S. Ben-Porath, Also see Jim Harter and Sangeeta Agrwal, “Many Baby
“Identifying the MMPI-2 Predictors of Police Integrity and Boomers Reluctant to Retire,” Gallup Poll, January 20, 2014,
Misconduct,” Criminal Justice and Behavior, Vol. 34, No. 8, p. 1, http://www.gallup.com/poll/166952/baby-boomers-
(August 2007), pp. 985–1004. Also see Jane Framingham, reluctant-retire.aspx, accessed May 13, 2016.
128
Minnesota Multiphasic Personality Inventory (MMPI), Ibid.

M09_SWAN4056_09_SE_C09.indd 341 25/08/2018 10:35

 342 cha pte r 9 • HUM A N R E SO UR CE MAN AG E MEN T

129 149
Commission on Peace Officers Standards and Training Liz Martinez, Real Life Recruiting, Officer.com, online
(POST), Recruitment & Retention (Sacramento, CA: POST, access, August 2006, pp. 2–3.
150
2006), p. viii. Lisa Perrine, “Job Sharing: A Viable Option for Law
130
Eric P. Werth, “Adult Learning: Similarities in Training Enforcement?” The FBI Law Enforcement Bulletin, Vol. 78,
Methods and Recruits Learning Characteristics,” The No. 3, (March 2009), pp. 14–15.
151
Police Chief, Vol. LXXVI, No. 11, (November 2009), p. 1, Lisa Perrine, “Is Job Sharing a Viable Option for Law
online access. Enforcement?” (Sacramento: California Commission on
131
“The Challenge of Selecting Tomorrow’s Police Officers Police Standards and Training), 2007 Paper for Command
from Generations X and Y,” p. 80. College 41, p. 5.
132 152
Ibid., p. 80. Donna Leinwand, “IRR Call-Up Puts Lives in Disarray,” USA-
133
Melinda Crowley, Generation X Speaks Out on Civic Today, August 5, 2004, Also see Leonard Territo, “Military
Engagement and the Decennial Census: An Ethnographic Combat Veterans: What They Mean to Your Department,”
Approach (Washington, DC: U.S. Census Bureau, June 17, The Florida Police Chief, August 2008, pp. 26–31. This com-
2003), p. 2. prehensive article also discusses the psychological issues
134
“The Challenge of Selecting Tomorrow’s Police Officers facing returning Veterans and the necessity for re-entry
from Generations X and Y,” p. 80. ­psychological evaluation of returning police officers.
135 153
Ibid., p. 80. Also see Marisa Dinatale and Stephanie Hickman and Reaves, Local Police Departments, 2003, p. 4.
154
Boraas, “The Labor Force Experience of Women from Hannah, “Military Call-Ups Strain Police Forces in Ohio and
Generation X,” Monthly Labor Review, Vol. 125, No. 3 Elsewhere.”
155
(March 2002), pp. 3–15. Palm Beach County Sheriff’s Office and PBC PBA, AAA
136
Elwood Carlson, 20th-Century Generations, Population Bul- Case No. 32-390-100713-04, 121 LA (BNA) 1624 (Smith,
letin, Vol. 64, No. 1, (2009), computed from Table 4, p. 11. 2005; Reported 2006).
137 156
“The Challenge of Selecting Tomorrow’s Police Officers United States Code, Sections 4301 to 4335, December 19,
from Generations X and Y,” p. 80. 2005.
138 157
Ibid., p. 82. Code of Federal Regulations (CFR) 1002.193(6), current to
139
Generation X Speaks Out on Civic Engagement and July 1, 2010.
158
the Decennial Census: An Ethnographic Approach, Fink v. City of New York, 129 F.Supp.2d 511 (E.D. N.Y. 200 (1)).
159
pp. 10–16. Missy Diaz, “Former Fla. Officer Gets 90 Days for Faking
140
“The Challenge of Selecting Tomorrow’s Police Officers Military Call-Up,” PoliceOne.Com, August 26, 2007. www.
from Generations X and Y,” p. 82. PoliceOne.com
141 160
Tamara Erickson, “Don’t Treat Them Like Baby Boomers,” Samuel Walker, Early Intervention Systems for Law Enforce-
Business Week, Issue 4097, (August 25, 2008), p. 1, online ment Agencies: A Planning and Management Guide
access. (Washington, DC: Office of Community Oriented Policing
142
Neil Simons, “Leveraging Generational Work Styles to Services, 2003), p. 48.
161
Meet Business Objectives,” Information Management, Susan Sward and Elizabeth Fernandez, “The Use of Force/
Vol. 44, Issue 1, (January/February 2010), p. 29. Counting Without Consequence/Police System of Track-
143
“The Challenge of Selecting Tomorrow’s Police Officers ing is Outdated, Often Ignored, SFGate.com, February 6,
from Generations X and Y,” p. 81. 2006. SFGate is the online version of the San Francisco
144
No author, “Social Networking Fact Sheet,” Pew Research Chronicle. The study covered 1996–2004.
162
Center, undated, but contents reveal it was written in late No Author, Conduct of Law Enforcement Agencies, Civil
2014 or 2015, http://www.pewinternet.org/fact-sheets/ Rights Division, U.S. Department of Justice, current to July
social-networking-fact-sheet, (accessed March 2, 2016) and 7, 2010. www.Justice.Gov.
163
Maeve Duggan, Nicole B. Ellison, Cliff Lampe, Amanda Tami Abdollah, Los Angeles Daily News, “Early Warning
Lenhart, and Mary Madden, “Social Media Update, 2014,” Systems Aim to Identify Problem Officers, September 7,
Pew Research Center, January 9, 2015, p.1, http://www. 2014, p. 1, http://www.dailynews.com/government-and-
pewinternet.org/2015/01/09/social-media-update-2014, politics/20140907/early-warning-systems-aim-to-id-­
(accessed March 2, 2016). troubled-police-officers, accessed March 2, 2016.
145 164
No author: “Top 15 Most Popular Social Networking Sites,” Ibid., p. 2.
165
eBizMBA Rank, March 2016, p. 1, http://www.ebizmba.com/ Ibid.
166
articles/social-networking-websites, (accessed March 2, 2016). Ibid.
146 167
No author, “2015 Social Media Survey Results,” Interna- Samuel Walker, Early Warning Systems: Responding to the
tional Association of Chiefs of Police, 2015, p. 1, http:// Problem Officer, (Washington, DC: Office of Justice
www.iacp.org/portals/0/documents/pdfs/2015SocialMedia ­Programs, July 2001), p. 2.
168
SurveyResults.pdf, (accessed March 2, 2016). Early Intervention and Personal Assessment FAQs, Phoenix
147
See Christopher D. Licher, Devon Reister, and Christopher (AZ) Police Department, p. 5.
169
Mason, Vermont Statewide Law Enforcement Study Walker, Early Warning Systems: Responding to the Prob-
­(Chicago: I/O Solutions, Inc., 2006). lem Officer, p. 3.
148 170
See Major Cities Chiefs and the Federal Bureau of Stuart MacIntyre, Tim Prenzler, and Jackie Chapman, “Early
­Investigation, National Executive Institute, Retention: Intervention to Reduce Complaints,” International Journal
Understanding the Generations, Recruitment, and of Police Science and Management 10, no. 2 (Summer
­Selection, Employee Leadership Development, 2007. 2008), 238–250.

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 C H AP T ER 9 • H U MAN RES OU RC E M ANAGEM ENT 343
171
Denver Police Department, Discipline Handbook (2012), Policing: An International Journal of Police Strategies
pp. 13–14. and Management Vol. 27, Issue 1 (2004), pp. 67–81. Also
172
Ibid., p. 13 see David Lilly and Sameer Hinduja, “Police Officer
173
No Author, Internal Affairs Policy and Procedures, N.J. ­Performance Appraisal and Overall Satisfaction,” Journal
Office of the Attorney General, November 2000, p. 11–20. of Criminal Justice, Vol. 35, Issue 2, (March/April 2007),
174
Ibid. pp. 137–150.
175 192
Helen LaVan, “Public Sector Employee Discipline: Thomas Whetstone and Deborah G. Wilson, “Dilemmas
­Comparing Police to Other Public Sector Employees,” Confronting Female Police Officer Promotional Candi-
Employee Responsibilities and Rights Journal, Vol. 19, dates,” p. 69, in Jim Ruiz and Don Hummer, Handbook of
No. 1 (March 2007), pp. 17–30. Police Administration (Boca Raton, FL: CRC Press, 2008).
176 193
Mark Iris, “Police Discipline in Houston: The Arbitration Ibid.
194
Experience,” Police Quarterly, Vol. 15, No. 2, (June 2002), No Author, Former Police Officer Convicted in Hudson
pp. 132–151. County Promotional Exam Cheating Case, N.J. Office of
177
Lisa Halverstadt, The Arizona Republic, July 9, 2010. the Attorney General, March 6, 2006 press release.
178 195
David Weisburd et al., Police Attitudes Toward Abuse of Gregory Smith, “Ex-Chief Who Helped Officers May Face
Authority: Findings From a National Study (Washington, Pension Cut,” The Providence (R.I.) Journal, June 12, 2007.
196
DC: Bureau of Justice Statistics, 2000), 5. These points are repeatedly mentioned by agency person-
179
Ibid. nel to Charles Swanson.
180 197
Jennifer Manis, Carol A. Archbold, and Kimberly D. H ­ assell, Mark Schneider, “National Assessment of Educational
“Exploring the Impact of Police Officer Education Level on Progress,” February 22, 2007. http://NCES.ed.gov
198
Allegations of Police Misconduct,” International Journal of Ibid.
199
Police Science and Management, Vol. 10, Issue 4, (Winter For the most current standards see No Author, Guidelines
2008), pp. 509–523. and Ethical Consideration for Assessment Center Opera-
181
No Author, “For Florida Police, Higher Education Means tions, International Journal of Selection and Assessment
Lower Risk of Disciplinary Action,” Law Enforcement Vol. 17, No. 3, (September 2009), pp. 243–252.
200
News, October 31, 2002, pp. 1 and 10. This history is recited in numerous publications; for exam-
182
Ibid. ple, see Kris Hogarty and Max Bromley, “Evaluating the
183
James J. Fyfe et. al., “Gender, Race, and Discipline in the Use of an Assessment Center Process for Entry Level Police
New York City Police Department,” paper presented at Officer Selections in a Medium Sized Agency,” Journal of
the Annual Meeting of the American Society of Criminol- Police and Criminal Psychology, Vol. 11, No. 1, (March
ogy, Washington, DC, 1998. 1996), p. 27.
184 201
Jeff Rojek and Scott H. Decker, “Examining Racial Disparity George C. Thornton and Michael J. Potemra, “Utility of
in the Police Discipline Process,” Police Quarterly, Vol. 12, Assessment Center Promotion of Police Sergeants,”
Issue 4, (December 2009), pp. 388–407. ­Public Personnel Management, Vol. 39, No. 1, (Summer
185
The data is for 2002. Matthew J. Hickman, Citizen Com- 2010), p. 57.
202
plaints About Police Use of Force (Washington, DC: On the relationship of dimensions and exercises, see Filip
Bureau of Justice Statistics, June 2006), p. 1. Lievens, Stephen Dilchert, Deniz S. Ones, “The Impor-
186
Matthew J. Hickman and Jane E. Poole, “National Data on tance of Exercise and Dimension Factors in Assessment
Citizen Complaints about Police Use of Force: Data Qual- Centers,” Human Performance, Vol. 22, Issue 5 (November
ity Concerns and the Potential (Mis)use of Statistical Evi- 2009), pp. 375–390.
203
dence to Address Police Agency Conduct,” Draft For example, see Oliver v. Scottsdale, 969 F.Supp.564
unpublished paper dated January 26, 2015, https://nacole. (D.Ariz. 1996).
204
org/wp-content/uploads/Hickman.National-Data-on-Citi- F.2d 1140 (2nd Cir. 1991).
205
zen-Complaints-about-Police-Use-of-Force_Data-Quality- On this point see Jim Ruiz and Erin Morrow, “Retiring
Concern-and-the-Potential-Mis-Use-of-Statistical-Evi- the Old Centurion: Life After a Career in Policing: An
dence-to-Address-Police-Agency-Conduct.DRAFT_.pdf, Exploratory Study,” International Journal of Public
(accessed September 17, 2015). Hickman has previously Administration, Vol. 28, Issue 13/14, (December 2005),
published on police misconduct. pp. 1151–1186.
187 206
With modification, from Samuel Walker, Conference Rick Bella, The Oregonian, OregonLive.com, Lake Oswego
Report, “The Disciplinary Matrix: An Effective Police Police Chief Dan Duncan Dies,” May 20, 2010.
207
Accountability Tool?” January 2003, University of Nebraska Michelle Perin, “Police Suicide,” Law Enforcement Tech-
at Omaha. nology, Vol. 34, Issue 9 (September 2009), pp. 8, 10, 12, 14,
188
Ibid., with modification. and 16.
189 208
Bernd Debusmann, “Performance Reviews-A Global Organizational culture and workload remain as key stress-
Scourge,” June 1, 2010. Online access http://blogs. ors; see P. A. Collins and A. Gibbs, “Stress in Police
Reuters.com/great-debate, p. 1. ­Officers: A Study of the Origins, Prevalence, and Severity
190
Ibid., p. 2. of Stress-Related Symptoms with a County Police Force,”
191
Larry M. Coutts and Frank W. Schneider, “Police Officer Occupational Medicine, Vol. 53, No. 4, (2003), p. 256. The
Performance Appraisal Systems: How Good Are They?” findings are based on a sample of 1,206 officers.

M09_SWAN4056_09_SE_C09.indd 343 7/8/16 3:15 PM

 PART 3 The Management of Police Organizations
Chapter 10 | Organizational and Interpersonal Communication
Chapter 11 | Labor Relations
Chapter 12 | Financial Management

This section addresses three core issues of managing law enforcement agencies that if mis-
managed invariably lead to thorny problems: communication within the organization, the
leaders’ relationship with a unionized workforce, and obtaining financial resources and be-
ing a good steward of them.
In an earlier chapter it was asserted that communication was a crucial skill. This assertion was
justifiable by a single sentence: Without communication, no new activities can be initiated
and programs in progress cannot be steered. An agency that cannot be guided is akin to
a ship without a rudder and renders leadership ineffective. Illustratively, the most common
complaints that police officers have about their immediate supervisors is a lack of com-
munication. Where this deficiency exists, officers lack clarity about what they are to do and
it shakes confidence in their supervisors, sometimes leading to them having less influence
with those they supervise. Chapter 10. “Organizational and Interpersonal Communication”
examines these issues, including how to communicate effectively, the dangers when both
senders and receivers miscommunicate, the importance of the grapevine, effective use of
e-mail, using social networking site for organizational purposes, proper use of such venues
when officers are posting personal thoughts, cross-gender, multicultural, and trans genera-
tion, communication, as well as the special attention that is required when relating to people
with disabilities.
Chapter 11, “Labor Relations” traces the multiple forces that led to the creation of pub-
lic sector collective bargaining. Among these forces were the maladaptive personnel prac-
tices used in some law enforcement agencies, such as uncompensated court appearances
on off-duty days. There is no national public sector collective bargaining law. As a result, it
was developed in a number of different states whose respective laws have both similar and
different provisions for the bargaining process.
The traditional “big stick” in private sector collective bargaining has been the right of
many categories of employees to strike, withhold their services. This right is very limited or
non-existent for public sector employees.
Although in the early days of police collective bargaining there were some strikes, they
were notable exceptions and not widespread. This was followed by a period of unofficial job
actions by officers, such as work slowdowns, for example, to put pressure on their unit of
government by depriving it of revenue, officers only wrote traffic tickets for the most egre-
gious violations. Deprived of the right to strike, states have provided various ways of resolv-
ing bargaining impasses short of the strike. However, unofficial job actions still occasionally
occur. Chapter 11 also examines how the collective bargaining relationship is established,
administered, its impact on police administration, involvement in the political process, and
its setbacks in the last several years.
Frederick Mosher (1913–1990) was one of the preeminent scholars of public admin-
istration. One of his concise observations was not the least among the qualifications of
an administrator is his ability as a tactician and gladiator in the budget process, which
underscores the importance of Chapter 12, “Financial Management.” While Mosher’s

344

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 Par t 3 • T h e Man ag e m en t of P ol i c e O rganiz at ions 345

statement has always been true, it assumed even greater importance for law enforcement
executives from December 2007 to 2009, a period that is called the Great Recession.
During this period the American economy went into a deep economic recession and
its effect on many police agencies was profound. As an illustration, this chapter contains a
case study of Stockton, California, where the police department was cut so severely that
it could only respond to crimes-in-progress calls many hours of some days. The city went
bankrupt and among the measures taken were substantial cuts to police pensions. Other
common cost-cutting measures across the country included lay-offs, closing precincts and
selling police patrol boats, motorcycles, mounted patrol horses, and helicopters, and slash-
ing overtime spending. Some municipalities simply closed their police departments and
contracted with the county for such services. The cuts went well beyond fat and muscle into
hitting bone.
Although the Great Recession nominally ended in 2009, the recovery has been slow
and may take a decade or more if there are no intervening economic problems. Some cuts
to police budgets may never be restored because citizens are asking questions such as did
we really need the police department we had. Financial management is much broader than
someone adding and subtracting figures in different columns. Chapter 12 examines a full
range of financial management information from what a budget is, budgeting as a political
process, and budget formats and strategies.

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 c h a p t e r t e n

ORGANIZATIONAL
AN D INTERPERSONAL
CO MMUNICATION
Learning Objectives
1. Identify five types of downward communications within an organization.
2. List the order of effective communication from most effective to least effective.
3. Discuss the steps necessary to eliminate some of the missteps in e-mail
communications within an organization.
4. Discuss the recent trends by police departments to use social media with the public.
5. Discuss what a law enforcement agency can do to insure a more culturally
aware workforce.
6. L ist the five categories of people with disabilities that law enforcement officers are most
likely to come in contact with.

INTRODUCTION

Research in recent years has indicated that communication is the number

one problem in management and that lack of communication is the employees’
primary complaint about their immediate supervisors. There are many components
to the communication process and it is essential for police administrators to
understand not only what they are but also why they are so important. These
include (1) what important steps are involved in the communication process?
(2) describe those barriers that can impede the communication process, (3) the
variety of organizational systems of communication for familiarization with the many
forms of organizational electronic communication, (4) the role of social media in law
enforcement communication, (5) the ways in which social media can be used by law
enforcement to communicate with the public, (6) a cautionary tale for officers who
are posting on social media websites while representing themselves as law
enforcement officers, (7) the role of the public information officer in organizational
communication, (8) the importance of interpersonal communication and how police
managers can become more effective communicators, (9) different ways in which
males and females communicate, (10) important variations in cross-cultural
communication, (11) the difference in communication styles and needs of those

346

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 cha p t er 10 • ORGANIZATIONAL AN D INTER P ERSONAL CO M M U NICATION 347

officers are classified as Generation X and clearly, “I need to talk to you about last month’s dramatic
increase in burglaries in your patrol sector.”
Generation Y (Millennials), and (12) how best
Channel (medium)—Several communication channels,
to communicate with people with disabilities. or media, are usually available for sending messages in
organizations. Typically, messages are spoken (as in this
case), written (increasingly electronically), or a
THE COMMUNICATION PROCESS combination. When a message is spoken, it is typically
accompanied by nonverbal signs, such as a frown, smile,
An explanation of communication begins with the basic problem or hand gesture.
that it cannot be examined as an isolated event. Communication is
Receiver—A communication is complete only when
a process, so it must be understood as the totality of several inde-
another party receives the message and understands it
pendent and dynamic elements. An aggregate communication
properly. Perceptual distortions of various types act as filters
can be defined as the process by which senders and receivers
that can prevent a message from being received as intended
interact in both professional and social contexts.
by the sender.
Feedback—Messages sent back from the receiver to the
Steps in the Communication Process
sender are referred to as feedback. Without feedback, it is
To understand the steps in the communication process, assume difficult to know whether a message has been received and
that a midnight shift lieutenant informs a midnight shift patrol understood. The feedback step also includes the receiver’s
sergeant that there has been a dramatic increase in the number reactions. If the receiver—in this case, the patrol sergeant—
of burglaries in the sergeant’s patrol sector during the past month takes appropriate action as intended by the lieutenant, then
and then suggests it might be the result of inattention on the part the message has been received satisfactorily. Effective
of the sergeant and the sergeant’s subordinates. The following interpersonal communication involves an exchange of
are the steps that are occurring in this communication process: messages between two people. The two communicators
Sender—The sender (in this case, the lieutenant) is take turns being receivers and senders.
attempting to send a spoken message to the sergeant. The Environment—A full understanding of communication
perceived authority and credibility of the sender are requires knowledge of the environment in which messages
important factors in influencing how much attention the are transmitted and received. The organizational culture
message will receive. Because of the authority and rank of (attitudes and atmosphere) is a key environmental factor
the lieutenant, it is very likely the patrol sergeant will not that influences communication. It is easier to transmit
ignore the message. controversial messages when trust and respect are high
Message—The heart of the communication event is the than when they are low.
message—a purpose or an idea to be conveyed. Many Noise—Distractions, such as noise, have a pervasive
factors influence how a message is received. Among them influence on the components of the communication
are clarity, the alertness of the receiver, the complexity and process. However, within this context, noise can also mean
length of the message, and how the information is anything that disrupts communication, including the
organized. The patrol lieutenant’s message might have attitudes and emotions of the receiver, such as stress, fear,
commanded even more attention if the lieutenant had said negative attitudes, and low motivation1 (see Figure 10.1).

ENVIRONMENT Figure 10.1 c A basic model of the

communication process. Source: Dubrin, Andrew
J., Human Relations: Interpersonal, Job-Oriented Skills,
Noise 8th edition, © 2004. Reproduced by permission
of ­Pearson Education, Inc., Upper Saddle River,
E E
N N New Jersey.
V V
I Channel I
R R
O Sender Receiver O
N N
Message
M M
E E
N N
T T
Feedback

Noise

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 348 cha p te r 1 0 • ORGANIZATIONAL AN D INTER P ERSONAL CO MMU NICATION

Quick Facts: What Happens When Senders

and Receivers Both Miscommunicate?

In 2009, Harvard Professor Henry Louis Gates, an African- entered the home. Dr. Gates, a Harvard Professor, showed
American, was arrested at his home by Cambridge (Massa- Sgt. Crowley identification that established he lived there. At
chusetts) Police Sergeant James Crowley. some point, an angry Dr. Gates followed Sgt. Crowley out-
A neighbor saw two African-American men with backpacks side of the home and there was a confrontation between the
on pushing against the door to the Gates home and called the two men. Gates was arrested for disorderly conduct, a charge
police, thinking there was a burglary in progress. However, the that was later dismissed.
neighbor had misread the situation. The two men at the door President Obama was critical of the arrest, calling it “stu-
were actually Dr. Gates and his limo driver who were trying to pid,” but later invited both men to the White House. An inde-
open a jammed door. Before the police were on the scene, the pendent report on the incident concluded that the arrest
limo driver had departed and Dr. Gates was inside his home. could have been avoided and was caused by a mutual “mis-
Sgt. Crowley arrived with a man unknown to him in the understanding and failed communication.”2
house. The man refused to come outside and so Sgt. Crowley

COMMUNICATION BARRIERS dd The sender uses language that causes the receiver to stop
listening, reading, or receiving.
Barriers to communication, or communication breakdowns, can dd The sender analyzes the audience improperly.
occur at any place in the system. Barriers can be the result of dd The sender’s background, experiences, and attitudes are
improper techniques on the part of either the sender or different from those of the receiver, and the sender does
the receiver. not take this into account.
The sender hinders communications when the following
conditions occur: The receiver hinders communication when the follow-
ing occur:
dd The sender is not clear about what the message is
intended to accomplish. dd The receiver is a poor listener, observer, or reader and
dd The sender assumes incorrectly the receiver has the therefore misinterprets the meaning of the message.
knowledge necessary to understand the message and its dd The receiver jumps to conclusions.
intent and does not adapt the message to the intended dd The receiver hears or sees only certain parts of
receiver. For example, experienced criminal justice the message.
instructors who teach at the community college and dd The receiver tends to reject messages that contradict
university level understand that when they have a class beliefs and assumptions.
comprised primarily of pre-service students, as opposed dd The receiver has other concerns or emotional barriers,
to in-service police practitioners, the way in which the
such as being mentally preoccupied.
material is presented, if done correctly, is quite different
even when the same textbook is being used. They will Some other barriers to communication are as follows:
also tell you that among the more challenging classes to dd Noise, temperature, and other physical distractions
teach are those comprised of an almost equal number of
pre-service and police in-service students.
dd Distance or an inability to see or hear the message
being sent
dd The sender uses a communication medium not suited for
the message. For example, some messages are better
dd Sender–receiver relationship, power structure, roles,
transmitted face-to-face, others in writing, while others and personality differences
most effectively transmitted with the use of visual aids. Still
others are best taught with direct, hands-on experience.
Figure 10.2 displays a scale of sensory perceptions that can ORGANIZATIONAL SYSTEMS OF
be useful as a guide in determining which medium of
communication is most effective for a particular message. COMMUNICATION
dd The sender does not develop a mechanism for receiving Organizational systems of communication are usually created by
feedback to determine if the message was understood setting up formal systems of responsibility and explicit delega-
correctly. tions of duties, such as the nature, content, and direction of
dd The sender does not interpret feedback correctly or fails communication that are necessary for the performance of the
to clarify the message on the basis of feedback from the group. Consequently, formal communication is required by the
receiver. organization and follows the accepted pattern of hierarchical

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 cha p t er 10 • ORGANIZATIONAL AN D INTER P ERSONAL CO M M U NICATION 349

Abstract

WORDS Lectures; printed matter

Scale of Sensory Experience

GRAPHICS Charts; diagrams; graphs

AUDITORY AID Recordings; tapes

STILL PICTURE Photos; slides; slidefilms

MOTION PICTURE Documentaries; animations

LIVE TELEVISION Immediate, visual shows

EXHIBIT Display of objects

FIELD TRIP Familiarizations

DEMONSTRATION Lab, instruction

SIMULATION Devices; role plays

DIRECT EXPERIENCE Guided, actual work

Concrete

Figure 10.2 c Scale of sensory perception.

structure. Delegated authority and responsibility determine the allows them to increase their status, belong to a more presti-
path that communication should take, whether upward or down- gious group, attain more power to influence decisions, or
ward. Messages that travel through the formal channels of any expand their control.
organization can follow routine patterns; they may be expected
at a given time or presented in a standard form and receive a
regularized degree of consideration.3 Multi-Level and Multi-Agency
Most police managers prefer a formal system, regardless of Communication
how cumbersome it may be, because they can control it and The moving transaction identified as organizational commu-
because it tends to create a record for future reference. How- nication can occur at several levels and can result in under-
ever, motivational factors of the individual and organizations standing, agreement, good feeling, and appropriate behavior;
affect the flow of communication. Employees typically com- the converse may also be true.4
municate with those who help them achieve their aims and
avoid communicating with those who do not assist or who may
retard their accomplishing those goals. They direct their com- Downward Communication
munications toward those who make them feel more secure and Law enforcement agencies substantially rest on classical manage-
gratify their needs and away from those who threaten or make ment theories with emphasis on control, chain of command, and
them feel anxious or generally provide unrewarding experi- downward flow of information. Downward communication
ences. In addition, employees communicate in a manner that is used by management for sending orders, directives, goals,

Quick Facts: The Boston Nuclear Attack

Warning That Went Awry

In 2005, an FBI Agent was called out of a meeting with The story quickly hit the newspapers and produced an uproar.
approximately 100 local government officials, as well as some After several days of investigation, the FBI concluded that the
consultants. When the Agent returned, he reported in what report was false. An unnamed FBI source blamed the uproar
was described as “heavy detail” an uncorroborated threat on officials in the meeting because information was leaked
report that two Iraqis and four Chinese chemists might be and some of them responded by saying the federal govern-
conspiring to launch some sort of nuclear attack on Boston. ment was trying to make them scapegoats.5

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 350 cha p te r 1 0 • ORGANIZATIONAL AN D INTER P ERSONAL CO MMU NICATION

policies, procedures, memorandums, and so forth to employees Upward Communication

at lower levels of the organization. Five types of communication
Even though police administrators might appreciate the need for
within an organization can be identified:6
effective upward communication, they often do not translate the
1. Job instruction—Provides information about what an information received into action.10 It becomes apparent at once that
officer’s duties are and how to properly perform the to swim upstream is a much harder task than to float downstream.
associated tasks; But currents of resistance, inherent in the temperament and habits
2. Job rationale—Explains why the job exists and why of supervisors and employees in the complexity and structure of
the tasks must be performed in a certain way, for modern police agencies, are persistent and strong. In the following
example, officer safety or laws. section, deterrents to upward communication are examined.
3. Procedures and practices—Are presented in the form
of departmental policies, procedures, rules, and Barriers Involving Police Organizations
regulation during the entry level training. As these are The physical and other types of distances between superior and
updated or new ones issued, officers must acknowledge subordinate impedes upward communication in several ways. If
in writing their receipt and assert that they have read there is a central headquarters building as well as a number of
and understood them. In some cases inservice training precincts/districts, police chiefs may wonder if the officers “out
may also be provided to be certain the employee there” really understand what the Chief’s communications mean
understands the new policy, for example, adoption of a and what actions the officers should take. Moreover, the pre-
more restrictive pursuit policy, or a new procedure cinct/district officers may read a message or new policy and
dealing with how to appropriately handle calls dealing conclude that headquarters is really out of touch with what they
with domestic violence that involves police officers. are dealing with “out here.” Likewise, when the command staff
4. Feedback—Supervisors provide officers with is seldom seen, they forfeit some credibility with street officers.
information about their performance, both about
what they are doing right as well as areas which Barriers Involving Superiors
need improvement. This is done informally in
The attitudes of superiors and their listening behaviors play a
conversations and formally during the written
vital role in encouraging or discouraging communication
performance appraisals. The goal for employees is to
upward. If, in listening to a subordinate, a supervisor seems
have a clear understanding of what they need to do
anxious to end the interview, impatient with the subordinate, or
going forward.
annoyed or distressed by the subject being discussed, a major
5. Indoctrination—Orients new officers to the norms of barrier to future communication may be created.
the department and assists in assimilating them into the There is always the danger that a supervisor may assume the
department. Orientation is also provided for all officers posture that “no news is good news” when, in fact, a lack of
in law enforcement agencies when new programs are complaints or criticism might be a symptom that upward com-
introduced, such as the shift from traditional policing to munication is operating at a dangerously low level: officers have
community-oriented policing.7 “learned” the messages they send up the chain of command die
someplace but they don’t know why.
Most Effective to Least Effective Supervisors may also assume, often incorrectly, that they
know what subordinates think or feel and believe that listening
Downward Communication to complaints from subordinates, especially complaints about
Studies of the flow of communications within complex organiza- departmental policies or even specific supervisors, is an indica-
tions repeatedly demonstrate that each level of management can tion of disloyalty. This attitude tends to discourage officers with
act as a barrier to downward communication.8 In perhaps the justifiable complaints from approaching their superiors.
best-controlled experimental research in downward communica- One of the strongest deterrents to upward communication is
tion, Dahle9 proved the efficacy of using oral and written media a failure of management to take action on undesirable conditions
together. His findings indicate the following order of effective- previously brought to their attention. The result is that subordi-
ness (from most effective to least effective): nates lose faith both in the sincerity of management and in the
1. Oral and written communication combined value of communication.
To avoid this, leaders must provide feedback to subordinates
2. Oral communication only
as to why something was not done or what was done with the
3. Written communication only complaint or criticism.
4. The bulletin board
5. The organizational grapevine Barriers Involving Subordinates
In the final analysis, attempts at disseminating information Communication can flow more freely downward than upward
downward in an organization should not depend exclusively on because a superior is free to call in an officer and talk about a
a single channel. problem at will. Officers do not have the same freedom to

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 cha p t er 10 • ORGANIZATIONAL AN D INTER P ERSONAL CO M M U NICATION 351

intrude on the superior’s time and are discouraged from circum- communicate with sergeant B. The time being wasted and the
venting the chain of command by going over the superior’s head level-to-level message distortion occurring in the classically man-
directly to the Chief. Even memos from officers that are marked aged organization was recognized by Fayol12 in 1916. Fayol pro-
“To Chief Smith, Through the Chain of Command” may be prob- posed the creation of a horizontal bridge (see Figure 10.3B) that
lematic for the officer submitting the memo. If a memo merits would allow more direct communications between individuals
attention from senior commanders, it will be referred up the within an organization. The major limiting factor to the use of
chain of command. Thus, neither the system available nor the Fayol’s bridge is a loss of network control and the subsequent
rewards offered to the subordinate for upward communication weakening of central authority and the random transmission of
equal those for downward messages. messages throughout the system.13
Despite the need for formal horizontal communication in
Horizontal Communication an organization, there may be a tendency among peers not to
formally communicate task-related information horizontally.
When an organization’s formal communication channels are not
For instance, rivalry for recognition and promotion can cause
open, the informal horizontal channels are almost sure to thrive
competing subordinates to be reluctant to share information.
as a substitute.11 If there is a disadvantage in horizontal com-
Subordinates may also find it difficult to communicate with
munication, it is that it is much easier and more natural to
highly specialized people at the same level as themselves in
achieve than vertical communication and, therefore, it often
other divisions.
replaces vertical channels rather than supplementing them.
In the main, then, formal horizontal communication channels
Actually, the horizontal channels that replace weak or nonexis-
are vital as a supplement to the vertical channels in an organiza-
tent vertical channels are usually of an informal nature. There
tion. Conversely, the informal horizontal channels, although
are, of course, formal horizontal channels that are procedurally
socially necessary, can be detrimental to the vertical channels. They
necessary and should be built into the system. Formal horizon-
may also introduce false or distorted information into the agency.14
tal channels must be set up between various bureaus and divi-
sions for the purposes of planning, interwork task coordination,
and general system maintenance functions, such as problem The Grapevine
solving, information sharing, and conflict resolution. The best-known system for transmitting informal communication
We can begin by acknowledging that horizontal communica- is the grapevine, so-called because it meanders back and forth
tion is essential if the subsystems within a police organization like a grapevine across organizational lines. The grapevine’s
are to function in an effective and coordinated manner. Horizon- most effective characteristics are that it is fast, it can be highly
tal communication among peers may also furnish the emotional selective and discriminating, it operates mostly at the place of
and social bond that builds esprit de corps or a feeling of team- work, and it supplements and relates to formal communication.
work. Psychologically, people seem to need this type of com- These characteristics can be divided into desirable or undesir-
munication, and police managers would do well to provide for able attributes.
this need and thus allow peers to solve some of their own work The grapevine can be considered desirable because it gives
problems together (see Figure 10.3). management insight into employees’ attitudes, provides a safety
Suppose, for example, that patrol sergeant A is having great valve for employees’ emotions, and helps spread useful informa-
difficulty communicating certain mutually beneficial information tion. Dysfunctional traits include its tendencies to spread rumors
to detective sergeant B because the police department requires and untruths, its lack of responsibility to any group or person,
strict adherence to the chain of command in transmitting infor- and its uncontrollability. Attributes of the grapevine—its
mation. As indicated in Figure 10.3A, sergeant A would have to speed and influence—may work either to the good or to the
go up through the various hierarchical complexities of the patrol detriment of the organization. The actual operation of the grape-
division and back down through the detective division to vine can be visualized in four ways (see Figure 10.4):15

1. The single strand—A tells B, who

tells C, who tells D, and so on.
2. The gossip chain—A seeks and tells
everyone, thus becoming the
organizational Paul Revere.
3. The probability chain—A
communicates randomly to D and F,
then with the laws of probabilities, D
and F tell others in the same manner.
4. The cluster chain—A tells three
Figure 10.3 c Horizontal lines of communication: (A) message path from selected others; perhaps one of them
sergeant A to sergeant B following the usual structured channels; (B) message tells two others and one of these tells
path from sergeant A to sergeant B following Fayol’s bridge. one other person.

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 352 cha p te r 1 0 • ORGANIZATIONAL AN D INTER P ERSONAL CO MMU NICATION

Y
J

C
D B B
H I
K I
C G G
E
F H I D
B C D
D J F F
J C
B K
A A A A

Single strand Gossip Probability Cluster

(Each tells (One tells all.) (Each randomly (Some tell
one other.) tells others.) selected others:
most typical.)

Figure 10.4 c Grapevine patterns. Source: John W. Newstrom and Keith Davis, Organizational Behavior:
Human Behavior at Work, 9th ed., p. 445. © 1993 McGraw Hill Companies. Reproduced with permission from The McGraw
Hill Companies.

The grapevine is a permanent factor to be reckoned with in dd Avoid flowery prose, which lengthens the message
the daily activities of management, and no competent manager without adding value. Write in a sparse, tight manner.
would try to abolish it. Rather, the astute manager should ana- Limit the e-mail to a single topic and group the content
lyze it and consciously try to influence it.16 in short paragraphs that are sequenced logically.
dd Don’t slow the system down with very large attachments,
and avoid using the blind copy (BC) line; it suggests that
ORGANIZATIONAL ELECTRONIC there is something to hide.
dd Respond to e-mail promptly, even if only to
COMMUNICATION acknowledge initial receipt and that a more detailed
In recent years, the nature of organizational communication has response will follow.
changed dramatically, mainly because of breakthroughs in elec- dd Check e-mail frequently but do not allow it to interrupt
tronic communication technology, and the future promises even other scheduled tasks.
more changes. Decades ago, electric typewriters and photocopy- dd Read and reread your e-mails for quality, tone,
ing machines were considered cutting-edge technology. The grammar, spelling, and punctuation before sending
photocopier, for example, made it possible for a police manager them. Do not rely solely on grammar or spell check to
to have a typed report distributed to large numbers of personnel catch errors. Moreover, spell check may change the
in an extremely short period of time. Personal computers accel- spelling of words, giving the message a different
erated the process. E-mail networks, the Internet, and corporate or no meaning.
intranets have carried communication technology even further dd Remember that e-mail is not private correspondence and
and it is imperative that police managers continue to avail them- can easily become public without intent or consent. It is
selves of the latest communications technology as it develops. a permanent record of written communication.
dd Do not use business e-mail for jokes or frivolous and
Tips for Successful E-Mail Use offensive messages.
The following suggested tips if followed would do much to dd If you write an e-mail while angry, even if provoked,
eliminate the unfortunate consequences that too often results don’t send it until you can reread it in a calmer moment
from violations of commonsense etiquette in the communica- and are able to be more dispassionate. Venting in an
tion process when this technology is being used in e-mail reflects poorly on the sender.
correspondence. dd Deal with personal or sensitive issues in person, not
dd Maintain professionalism in e-mail correspondence. through an impersonal electronic medium.
People who do not know you will form an impression dd Treat an e-mail inbox similar to a paper one: Review
based on what they read. As in any other business the document, act on it, and move on.
correspondence, business etiquette does not change dd The agency’s e-mail is very effective in getting
when a message is digitized. information to a number of people in an expeditious

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 chap t e r 10 • OR G A N I Z AT I ON A L A N D I N TERPERS ON A L C OM M U NICATION 353

fashion and to quickly involve others, but do not send advances. Police managers may unwittingly drop out of the orga-
copies to persons who do not need to receive it. nizational grapevine and miss out on very important informal
dd Use caution when responding to e-mails. How something communication that takes place. Moreover, the use of electronic
is said in an e-mail language is just as important as what communication at the expense of face-to-face meetings and con-
is said, no matter how emotional the issue or the versations makes it more difficult to build a strong culture, develop
contents of the e-mail received.17 solid working relationships, and create a mutually supportive
atmosphere of trust and cooperativeness.

The Use of Technology

in Police Administration SOCIAL MEDIA AND LAW
A television ad proclaims “This is not your father’s Buick,” imply-
ing that today’s version is substantially improved. Likewise, the
ENFORCEMENT
current generation of technology tools available to law enforce- COMMUNICATION
ment leaders is also more advanced. Chiefs and the command
staff can use teleconferencing to hold meetings with law enforce- American law enforcement can learn a great deal about social
ment executives in several states and to discuss matters with their media from the corporate sector because businesses have
own far-flung precinct commanders. They can also Skype on an already encountered some of the same challenges in this new
individual basis with anyone who has that capability on their environment and have more experience dealing with it than
smart phone or personal computer. A wide range of databases police departments. However, police departments are not cor-
can be tapped into to obtain a variety of administrative informa- porations, businesses nor even run-of-the-mill government agen-
tion, such as (1) model law enforcement policies on the use of cies; they have unique powers and responsibilities along with a
force, high-speed pursuits, and domestic violence by police offi- unique relationship with the public. Police need their own mod-
cers from the International Association of Chiefs of Police (IACP); els, their own best practices, and their own discussions and
(2) the details of the jail certification program operated by the philosophies about how to incorporate social media to achieve
National Sheriffs’ Association; (3) a publication on how to mea- their distinct purposes.18
sure performance in the modern police organization issued by
the National Institute of Justice (NIJ), (4) police leadership chal- Social Media Management
lenges in a changing world, a monograph from the National Three factors should be considered in the process of social
Criminal Justice Reference Service (NCJRS). Both NIJ and NCJRS media management, namely, (1) selecting the right personnel to
have substantial publication lists of interest to students, scholars, run the program, (2) having a good understanding of voice and
and other publications from the Combatting Terrorism Center, tone, and (3) the role of the public information officer with the
located at West Point (New York), the home of the U.S. Military press (previously discussed in Chapter 4, Politics and Police
Academy, (5) data and studies from the National Highway Traffic Administration).19
Safety Institute, and (6) the police-related studies at the Centers
for Disease Control (CDC). In light of the public and media atten- Selecting the Right Personnel
tion devoted to police use of deadly force, the CDC’s series
“National Violent Death Reporting System” is illuminating. Finding the right personnel to manage a social media program
The databases listed here is not exhaustive; instead it is offered is critical. While some agencies have chosen a centralized
as an example of the breadth of information available to law approach with tight controls over who within the department
enforcement administrators. has access to post information from a single agency account,
others have chosen a decentralized approach and have
allowed the creation of multiple users, each with sub-
The Use of Teleconferencing accounts, to distribute information. Both approaches are dra-
and Cell Phones matically different and have their own unique sets of benefits
The ubiquitous use of cellular telephones has also made it even and risks. Regardless of which approach an agency chooses
easier for police managers to communicate with one another and to use, though, the selection of the right personnel involved
their subordinates. Capabilities such as Twitter, Facebook, You- cannot be overemphasized. Social media management is
Tube, and Nixle have all revolutionized how police organizations really no different than many areas of police work: Having
effectively reach the public when seeking help with an investiga- the right people in the right places can make all of
tion, warning of impending mega storms, what streets will be the difference.
closed during parades, and other matters. Free Wi-Fi “hot spots” Having personnel in place who are already familiar and com-
allow the public to access to the social media capabilities police fortable with the platforms will save time and training costs. A
use without the cost of using their cellular networks. person familiar with the technology will be able to step into the
However, as already suggested, these rapid technological technical side of the role very easily, and they will accordingly
advances are not without their side effects and psychologists are have more time available to devote to content development and
beginning to associate some problems with these communication other necessary tasks.

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However, if it were as simple as that, agencies could simply show compassion, empathy, and humor are more often shared
authorize access to the social media passwords to any 21-year- or retweeted, leading to a broader audience and more exposure
old officer fresh out of the academy. Instead, a second key con- to the agency’s humanity. This, in turn, often leads to an
sideration is the selection of personnel who command a grasp increased follower base.21
of the “big picture” for the agency. It is important to find employ-
ees who have an understanding of the local politics and current
events; who have an understanding of broad issues of depart-
ment concern and the agency’s official stance on them; and who
THE USE OF SOCIAL MEDIA
have a level of foresight about the important issues that are likely WITH THE PUBLIC
to be forthcoming in the near future. This point cannot be over-
stated, as everything broadcast on social media, even down to a The Police Executive Research Forum (PERF) conducted a
single 140-character tweet, amounts to a press release. And any- national survey to determine the extent to which police depart-
thing broadcast, if written in the wrong manner or with the ments are sharing information and developing relationships with
wrong words, can instantly and irreparably bring negative atten- their communities using social media.22 What they discovered
tion to the agency.20 was that 80 percent of those agencies responding said that they
use social media to share information with the public. As a mat-
The Importance of Voice and Tone ter of fact, more than 2,80023 law enforcement agencies in the
Once the right people are in place, special consideration should United States have social media accounts and that number is
be given to the agency’s social media voice and tone. As any growing every day.24
public information officer will attest, the way in which a message Following is specific information provided by several law
is delivered often has more impact on the audience than the enforcement officials regarding their agency’s use of social
actual words used. This is also true in the messages sent via media.
social media. Consistency in voice is key; each agency, particu-
larly those using multiple posters, should strive for uniformity Sacramento, California Police
with how messages are conveyed. This can give the department Department (SPD)
an online identity that the public comes to recognize, appreciate, The SPD is active on Facebook and Twitter and also have used
and depend upon. By way of example, consider an agency that YouTube. The SPD uses the Internet to interact with the public.
has two employees who share posting duties on the official They post “dumb crook” stories, which are very popular. Once
department Twitter account. One employee may choose to members of the public visit the site, many of them look at other
tweet, “If you drink and drive tonight, we will arrest you, tow information. They also post all their press releases, including
your car, and throw you in jail. Don’t drink and drive.” The other commendations to their employees as well as posting anniver-
employee may take a softer approach, and choose to tweet, “If saries of officers’ deaths, which gets a considerable amount of
you are going out tonight, have fun, but please be safe and attention as well (see Figure 10.5).
designate a non-drinking driver!” While there’s nothing inher- They also put video clips on their Facebook page, for exam-
ently wrong with either tweet, having both messages come from ple, crime prevention videos. In the last couple of years, there
the same agency account on consecutive weekend nights will has been a significant increase in the amount of rapes committed
confuse followers and can even be off-putting. Having a consis- (see Figure 10.6). The SPD analyzed the reports and found that
tent message, delivered in a reliable voice that remains the same at least 90 percent of the suspects and victims knew each other
day-in and day-out, regardless of who actually authors it, makes and as a result decided to find a way to educate the public about
the agency seem more professional and dependable. date rape and other types of rape in which the perpetrator is not
Many agencies choose to use a stoic and unemotional tone a stranger. They have partnered with Women Escaping a Violent
in their social medial platforms, a sort of 21st-century “just the Environment (WEAVE) and started a campaign to post educa-
facts, ma’am” approach. Consider, though, that several depart- tional messages about the consequences of committing any kind
ments have had great social media success by relaxing the tone of rape. The messages were designed for different groups of
slightly when appropriate and by choosing to show some per- people. One targeted 16- to 25-year-olds, while another targeted
sonality and even humor at times. Just like in-person interactions those who were 25 years and older.
at a block party or at a local park, online social interactions give
departments the chance to show the human side of their person-
nel. Agencies have long recognized that communities who get
Los Angeles County, California Sheriff’s
to know their officers usually like them, as well. With the current Department (LASD)
commonality of online “friendships’ and other interactions, get- The LASD reports that as technology changes, the public expects
ting to know a department virtually can have the same effect. them to communicate in new ways. They now have the ability
A tone that always projects professionalism, competence, and to instantly send out notifications when emergencies or other
confidence is fundamental. However, an agency really can go situations arise that the public should be aware of and to do so
the extra mile and win over the public by remaining approach- using the most effective technology available. The agency has
able and human on their social media channels. Messages that also made major upgrades in their website and frequently sends

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 cha p t er 10 • ORGANIZATIONAL AN D INTER P ERSONAL CO M M U NICATION 355

Figure 10.5 c The home

page of the Sacramento,
California Police Department’s
website, available at: http://
portal.cityofsacramento.org/
Police.

Figure 10.6 c The Facebook

page for the Sacramento,
California Police Department,
available at: https://www.
facebook.com/pages/Sacramento-
Police-Department/137481202396.

department messages using systems popular with the public media outlets. One might expect this to lead to an antagonistic
including Nixle, as well as Twitter, Facebook, and YouTube. relationship with the local news media because they are no
They realized that the general public usually does not have longer dependent on them anymore for communications. But in
much of an opportunity to interact with the police unless they reality, they found it actually resulted in a closer relationship
see them while on patrol or they do something wrong. But by with the media. The media still likes to be the first ones to report
using technology such as Nixle, Facebook, and Twitter mes- police-related stories, so they are often given the story first. In
sages, they are able to engage citizens who would like to have addition, the agency still works closely with the media to provide
more interaction with the department. accurate information. The overall effect is that most of the local
These new forms of communication allow them to release media are reporting law enforcement stories in a more balanced
news stories themselves instead of relying solely on traditional and factual way.

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Boston, Massachusetts Police Under the provisions of the department’s new policy, the
chief must approve all photos depicting the department before
Department (BPD) they are posted. Anything from vulgar posts to divulging infor-
Recently, the Police Commissioner noticed teens standing around mation about investigations can result in a verbal reprimand or
the yellow tape at crime scenes and sending text messages. The even termination.25
commissioner thought that there might be a way for the agency
to harness the information these individuals were gathering at Arlington, Texas Police Department (APD)
the crime scene. The agency created an advertising campaign in
which it set up the software that would be needed to develop a The APD reported that an officer who was at the scene at a criti-
“text-to-tip” line. The program was so well received that people cal incident took photographs with his personal camera. Later
were texting in tips from across the country not just from Boston this officer posted these pictures and messages to his social
and they also saw a dramatic increase in the volume of calls to media page. To deal with the situation, the Austin Police Depart-
their 1-800 tip line. ment cited a policy of unbecoming conduct which prevents offi-
Today, the BPD has developed a blog to help them communi- cers from bringing the city into disrepute. He was ultimately
cate with the public and they have seen an incredible response to suspended for his actions. Since then, they have developed a
that. Their blog, bdnews.com, gets about 70,000 visitors a month. social media policy.
They have reached that number through the application of a variety Social media issues also are involved in recruiting and hiring
of publicity techniques, including printing the websites on the side personnel. The APD evaluates numerous people during the hiring
of all police vehicles. Having a very visible website has helped the process and inevitably some of them will present themselves
agency avoid any of the confusion that can occur when people put poorly through media outlets. Their postings reflect on their char-
up fake websites, in an effort to make it appear that they are the acter and provide the agency with a much better idea about
actual BPD website. The BPD has benefitted from having the blog whether a particular candidate has the qualities they are looking
as a forum to put out news about the department before the local for in an officer. The APD also reports learning quite a bit about
papers. When people are getting their police news—both good applicants based on the friends they have when they post and
and bad—straight from the law enforcement agency, it provides a what they are doing online. When the agency does this, they con-
higher level of assurance that the public is receiving accurate infor- sider the totality of the circumstances such as the age of the appli-
mation and avoiding some of the sensationalizing that sometimes cant when the posting was made. A single posting on Facebook
occurs when news agencies are racing to “break” the story. in poor taste will not automatically eliminate someone from their
hiring process but if there is a consistent pattern of behavior or
something that raises a red flag, it lets the agency know that they
need to dig a little deeper during the background investigation.
ISSUES REGARDING OFFICERS’
PERSONAL POSTINGS ON Specific Elements of Internet Sites/Web
Page/Social Network Police Policy
SOCIAL MEDIA SITES The Northampton Police Department has developed the follow-
Of those police agencies responding to the PERF survey on this ing instructions for their personnel to follow in order to avoid
topic, 57 percent reported that they have had issues, disputes, some of the embarrassing situations discussed thus far.
or controversies resulting from employees’ personal postings on dd Photographs or other depictions of departmental
social media sites, and 58 percent of agencies responded they uniforms, badges, patches, marked units, other
now have policies regarding what may or may not be appropri- departmental property, or on-duty personnel, including
ate for employees to post on social media sites. Following are incident scenes, shall not be posted on Internet sites by
some examples: department personnel without the approval of the Chief
of Police.
Albuquerque, New Mexico Police dd Employees are prohibited from posting, transmitting,
Department (APD) and/or disseminating any pictures or videos of official
The APD now has an officer specifically assigned as part of his/ departmental training, activities, or work-related
her job description to monitor all of the agency’s officers who assignments, without the expressed, written permissions
have Facebook accounts. The agency recently drafted a four-page of the Chief of Police.
social media policy for its officers as a result of one of its gang dd Employees shall treat as confidential, all the official
unit officers caught describing his job on Facebook as “human business of the department.
waste disposal.” Officials found the post after the officer shot and dd No employee shall release, either directly or indirectly,
killed a suspect in an incident that got a lot of media attention. information concerning crimes, accidents, or violations of
The new policy allows officers to identify themselves as Albu- ordinances and/or statutes to persons outside the
querque officers, on the Internet but what they write is under department, except as authorized by departmental policy
close watch. under Public Information Function.

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 cha p t er 10 • ORGANIZATIONAL AN D INTER P ERSONAL CO M M U NICATION 357
dd No employee should gossip about the affairs of the From the journalists’ point of view, the police are among the
department with persons outside the department. organizations that especially bear watching, since they have
dd No sexual, violent, racial, ethically derogatory material, enormous power and history is replete with examples of police
comments, pictures, artwork, video, or other references corruption. Also, members of the media believe the police with-
may be posted along with any department-approved hold far more information than they need to—or should—and
reference. but for the watchful eye of the media, would likely keep the
dd Employees shall not post any material on the Internet public in the dark about everything from crime and police mis-
that brings discredit to or may adversely affect the conduct to how taxpayer money is spent and what procedures
efficiency or integrity of the Northampton Police are used to do the job of law enforcement.27
Department. In disparage or harass, another Despite advances that enable police to communicate directly
department or city employee, as well as any other with large segments of the public, much—if not most—of their
citizen. time and resources are still devoted to traditional media relations
activities. And until recently, this made sense. Not long ago,
dd Employees should consider the possible adverse
when a police agency wanted to communicate with a large num-
consequences of Internet postings, such as future
ber of citizens, the traditional mass media was pretty much the
employment, cross-examination in criminal cases, and
only game in town. Departments had little if any funding for
public, as well as private, embarrassment.
public information campaigns and rarely attracted enough peo-
dd Employees are reminded to exercise good judgment and
ple to a community meeting to considerate critical mass. The
demonstrate personal accountability when choosing to
news media not only controlled the mass distribution channels
participate on social networking sites such as Facebook,
but also influenced how public viewed the police.28 The books
MySpace, and Twitter. Use of these types of sites while
and articles that address police public information programs
on duty shall be restricted to official departmental
have invariably focused almost exclusively on ways the police
business only.
could improve media relations.29 Most highlight the media’s dis-
dd Employees becoming aware of or having knowledge of a semination and perception-shaping roles, and therefore, stress
posting or of any website or web page in violation of the the importance of courting the local media for coverage. While
provision of this policy are strongly encouraged to notify good media relations still make good sense, it has taken on new
his/her supervisor immediately for follow-up action. qualities, new players, and the necessity to fully understand
today’s media technology.

THE EVOLUTION OF POLICE–MEDIA Today’s Media Technology and

COMMUNICATION IN THE the Public Information Officer
Nearly every news organization has a 24-hour assignment editor
DIGITAL AGE or news director watching wires and rival television newscasts
and reading Web logs and feeds. Even non-24/7 outlets, such as
There is little dispute that both law enforcement and the news
alternative papers and weekly editions, still demand access to
media play essential roles in a democratic society and are, to a
information about incidents that occur outside normal business
great extent, mutually dependent. The media provides the police
hours. Public Information Officers (PIOs) can exploit this by
with broad access to the public, and the media relies on the
developing their own news-producing feeds online that can
police for a steady stream of stories to fill the endless space and
become the official message of an agency during routine days,
time requirements of their respective mediums. Although much
as well as crises 30 (see Figure 10.7).
of the coverage is focused on the crime du jour, investigative
reporters may delve into issues about budgets, resource alloca- Real Simple Syndication Feeds—Subscribers to Real
tions, policies, procedures, allegations of police misconduct, Simple Syndication (RSS) feeds automatically receive
political infighting, or other controversies.26 notification when a web site they follow is updated; they
The quality of police–media communication varies from also choose the type of content to which they want to be
department to department, and even from day to day within a alerted.31 For example, RSS users who subscribe to CNN’s
department. For many, police–media communications are often site can elect to receive notification only when a new story
characterized as tense and adversarial. Even agencies that enjoy post that contains the word police or their town name. They
generally positive relationships with the media in their markets do not have to manually check each site of interest or stay
find themselves at odds from time to time. From the law enforce- logged on and click “refresh” every few seconds. RSS feeds
ment perspective, some argue that the media’s “watchdog” role take away all of this work. Similarly, journalists can avoid
conveys inherent distrust, which sets up a defensive posture being inundated with news releases and story ideas by
from the start. Others maintain that in pursuit of the “scoop,” controlling and monitoring the feeds. This proves especially
oriented reporters care little about issues of privacy or accuracy helpful in large markets where reporter with different
and even less whether disclosing certain information may assignments can subscribe to separate feeds from the same
impede an investigation. web site; a crime reporter can opt to learn about arrests

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 358 cha p te r 1 0 • ORGANIZATIONAL AN D INTER P ERSONAL CO MMU NICATION

Figure 10.7 c A Public Information Officer is on call 24 hours a

day, 7 days a week in order to handle media requests for police-
related information. (Courtesy of Colorado State Patrol)

and investigations, while a school reporter may select only secure facilities, resulting in an enhanced level of security
juvenile intervention programs. and reliability for municipal agencies.33
Twitter—Twitter claims that it has 175 million accounts Similar to Twitter, Nixle requires users to confine their
and 600 million people who visit or “follow” one or more messages to a 140-character message. Anyone can set up a
of those accounts from daily to monthly. For the most part, network and send messages about their activities, breaking
Twitter postings are about someone’s daily activities and news, or other details. However, Nixle offers users the
personal news, with details that sometimes are mundane. opportunity to have their own network that allows them to
Followers can view a user’s postings, also known as send secure instant emergency messages to all users in a
“tweets.” In contrast, when a PIO is posting updates, designated geographic area.34 This works well in
readers can see organizational events in real time. communicating directly to those who need the information
Among social networking sites, Twitter is unique in that quickly. Users simply log in, enter their message, and then
it limits postings to 140 characters; forcing postings to be select the area on a map affected by the incident. The
short and to the point. During times of crisis message goes only to users who choose to accept alerts in
communication, PIOs can take advantage of this; instead of those areas. This ability to limit information distribution to
preparing, editing, and distributing a full news release, they those who need it offers a substantial advantage for other
simply can use Twitter to put the basic facts into a single, networking sites. Reducing the number of messages ensures
short message. Further, PIOs can continue to provide that readers pay attention relevant to them.
information in a timely manner through regular updates and, Nixle has demonstrated its usefulness to law
if necessary, schedule a full news conference and prepare a enforcement: For example, an elderly resident in a
news release, all from a command post or office.32 California community failed to return home after she went
Nixle—Nixle is the first social networking company to out for a brief walk. Local police quickly sent out a
include government agencies as part of their target description to all subscribers within one-half mile of her
audience. Daily, Nixle processes messages from 8,000 home and a short time later expanded the message to
public safety and government agencies. Examples of law include more information and more subscribers within a
enforcement agencies using Nixle are the Spring Hill larger search area. The woman was found safe and returned
(Tennessee) Police Department, the Pocatello (Idaho) Police to her family.35
Department, the Indiana State Police, the Lyon County YouTube—YouTube has one billion active users each
(Minnesota) Sheriff’s Office, and the West Milford (New month.36 Many departments use it to publish recruiting
Jersey) Police Department. videos and news conferences. The primary attraction to
Nixle’s inclusion of government agencies has earned it YouTube is that agencies can have a department profile
some unique partners. In 2008, Nixle became the first and create and post videos for free. This allows large
public networking site to partner with the National Law agencies to focus media dollars on “slick” productions
Enforcement Telecommunications System (NLETS). Because and smaller ones to establish a Web presence. In
of this relationship, Nixle can house its servers in NLETS’ addition, PIOs can use YouTube to promote new

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 cha p t er 10 • ORGANIZATIONAL AN D INTER P ERSONAL CO M M U NICATION 359

initiatives that are sometimes difficult to have covered of speech; they give examples, tell stories, and relate anec-
in the traditional media.37 dotes; they draw word pictures; and they offer quotations
Facebook —Facebook reports that it has 1.44 billion and recite slogans.41
monthly active users,38 more than half logging on once a Group members and other constituents generally have more
day looking for some type of information. As in the case exposure to the spoken words of leaders, yet clearly the
with other sites, the potency of Facebook is harnessed by increased use of e-mail, printed memos, and the written word
understanding how it works. Law enforcement agencies exerts considerable influence. The following are some sugges-
provide information and videos about news, arrests, and tions for dynamic and persuasive oral and written
promotions, and academy class graduation, as well as other communication.
content. Visitors to the site choose to follow an agency by
becoming a “friend.” Especially important in organizations,
friends can opt to receive instant notification when the
Be Credible
agency posts new information and content, and they can Attempts at persuasion, including inspirational speaking and
respond with their own comments. writing, begin with the credibility of the message sender. It
To illustrate, a law enforcement agency can post a has long been recognized that credibility is a powerful ele-
Friday afternoon status update reminding friends of ment in the persuasive process. If the speaker is perceived as
checkpoints targeting drunk driving. Every friend will get highly credible, the attempt at persuasive communication is
this information as they make plans for Friday night more likely to be successful.42 The perception of credibility
activities and, thus, hopefully will remember to use a is influenced by many factors. Being trustworthy heavily influ-
designated driver. Similarly, a single posting can spread ences being perceived as credible. A leader with a reputation
AMBER Alerts and other breaking news around the world, for lying will have a difficult time convincing people of the
both to citizens and to the media. PIOs no longer need to merits of a new initiative. Being perceived as intelligent
e-mail, fax, and call numerous outlets to promote a and knowledgeable is another major factor contributing
story and then wait hours or days for them to air or to credibility.
publish it.39
Gear the Message to the Listener
An axiom of persuasive communication is that a speaker must
INTERPERSONAL adapt the message to the listener’s interests and motivation. A
review of the evidence concludes that the average intelligence
COMMUNICATION and experience level of the group is a key contingency factor in
designing a persuasive message. People with high intelligence
The information available about how to communicate persua- tend to be more influenced by messages based on strong, logical
sively and effectively is extensive.40 In this section, we focus arguments. Also, bright people are more likely to reject messages
primarily on creating the high-impact communication that based on flawed logic.43
contributes to effective leadership. Both formal and informal
leaders must be persuasive and dynamic communicators.
Effective interpersonal communication skills often help
Persuade Group Members on the
informal leaders be selected for formal leadership positions. Benefits of Change
Suggestions for becoming effective communicators can be Sometimes, a leader is constrained by the unwillingness of
divided into the following two categories: (1) speaking and agency members to accept the leader’s initiatives for change.
writing and (2) nonverbal communication. We will also discuss To counter this “slowness of spirit,” the leader must explain to
certain basic principles of persuasion. agency members how they will benefit from what is being
proposed.
Speaking and Writing For example, let us assume that the head of a law enforce-
ment agency has decided to radically modify the agency’s
Many people are already familiar with the basics of effective
policy on high-speed pursuits (a topic discussed in much
spoken and written communication, yet the basics, such as writ-
greater detail in Chapter 14, Legal Aspects of Police Administra-
ing and speaking clearly, maintaining eye contact, and not mum-
tion). In the past, the agency has had a very liberal policy that
bling, are only starting points. Most effective leaders have extra
allowed officers considerable latitude to pursue fleeing motor-
energy in their communication style. The same excitement is
ists irrespective of the violation, but the agency head is now
reflected in both their speaking and their writing styles. Kouzes
seriously considering restricting the policy, so that officers will
and Posner underscore the importance of colorful language in
only be permitted to pursue known dangerous felons.
communicating a vision (one of the leader’s most important
Selling agency members is quite often done more effectively
functions) in these words:
when the persuader takes the time to build consensus rather
Language is among the most powerful methods for express- than to change the policy through administrative fiat. Instead of
ing a vision. Successful leaders use metaphors and figures trying simply to order a change without any discussion, it might

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be more effective to win over key personnel within a reasonable automobile accidents, many of which occurred during high-
time frame. Persuasion guru Jay Conger notes that successful speed pursuits for what turned out to be, in many cases, minor
persuasion often requires ongoing effort and suggests that the traffic violations or misdemeanors.
following sequence be followed:
dd At the first meeting, appeal to them to consider the Minimize Vocalized Pauses and Parasitic
initiative carefully. Words/Junk Words
dd At the second meeting, after they have had the The use of words and phrases that dilute the impact of a speech,
opportunity to think about the modification, see if the such as “you know,” “you know what I mean,” as well as the
key members have concluded that it is necessary to make distracting unintentional utterances such as “umm” and “uhhhh-
adjustments in the policy. hhh,” should be minimized. The use of parasitic words (also
dd At the final meeting, it is imperative to have all the key known as “junk words”) conveys the impression of low self-
members to reach a consensus. If a consensus cannot confidence—especially in a professional setting—and detract
be obtained and the final decision has been made to from a sharp communication image. The word “like” has emerged
modify the policy, it is important that key personnel as one of the words used most frequently, especially by young
understand the importance of not undermining the people. For example, “the test was like so hard”; “the weather
policy with their constituents.44 was like so bad”; and “I am like so tired.” All of these vocalized
pauses and parasitic or junk words make the job of listening a
challenge and diminish the credibility of the speaker.
Use Heavy-Impact and Emotion- An effective way to decrease the use of these distracting
Provoking Words vocalized pauses and extraneous words is to tape record or
video record one’s own side of a conversation and then play it
Certain words used in the proper context give power and force
back. Many people are not aware that they possess these short-
to a presentation. Used comfortably, naturally, and sincerely,
comings as a part of their speech.
these words project the image of a self-confident person with
It is always important to speak with precision and convey the
leadership ability or potential.
impression of being articulate, well informed and confident.
Closely related to heavy-impact language are emotion-
provoking words. An expert persuasive tactic is to sprinkle
one’s speech with emotion-provoking—and therefore inspir- Write Crisp, Clear Memos and Reports,
ing—words. Emotion-provoking words bring forth powerful Including a Front-Loaded Message
images. For example, the chief executive must convince According to Mercer, high achievers write more effective reports
agency personnel that the existing policy on high-speed pur- than do their less-highly achieving counterparts. Mercer exam-
suits increases the likelihood of “death” and/or “injury” to ined the writing (memos, letters, and reports) of both high
them, as well as to “innocent” third parties, the fleeing motor- achievers and low achievers. He observed that the high achiev-
ist and, in some cases, “innocent” passengers in the fleeing ers’ writing was distinctive in that it had more active verbs than
vehicles. It will also result in “lawsuits” against the officer and passive verbs, more subheadings and subtitles, and shorter
the agency and, in some rare cases, when a death has paragraphs.46
occurred, officers have been criminally charged, convicted, Writing, in addition to speaking, is more persuasive when key
and sent to prison. ideas are placed at the beginning of a conversation, an e-mail
message, a paragraph, or a sentence. Front-loaded messages are
Back Up Conclusions with Data particularly important for leaders because people expect leaders
to be effective communicators.
A message either spoken or written will be more persuasive if
it is supported with solid data. Published sources provide con-
vincing data for arguments. Supporting data for many argu- Use a Power-Oriented Linguistic Style
ments can be found in incidents from the agency’s history, A major part of being persuasive involves choosing the right
professional journals, in government studies, in scholarly linguistic style, which is a person’s characteristic speaking pat-
research, in books, on the Internet, on TV, and in newspapers. tern. According to communications specialist Deborah Tannen,
Specific examples and statistics can be extracted from those linguistic style involves such aspects as amount of directness,
various documents to support the previously discussed signifi- pacing and pausing, word choice, and the use of such com-
cant changes in the agency’s high-speed pursuit policy. For munication devices as jokes, figures of speech, anecdotes,
example, the National Law Enforcement Officers Memorial questions, and apologies.47 Linguistic style is complex because
Fund has reported that the second-leading cause of deaths of it includes the culturally learned signals by which people com-
law enforcement officers were auto accidents (the leading municate what they mean, along with how they interpret what
cause was officers being shot in the line of duty).45 These fig- others say and how they evaluate others. The complexity of
ures do not include the many thousands of police officers who linguistic style makes it difficult to offer specific prescriptions
have been seriously injured and disabled as a result of for using one that is power-oriented. However, there are

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several components of a linguistic style that will, in many situ- feelings by just focusing on the words spoken. Leaving aside
ations, give power and authority to the message sender. Some whether the percentages are about right and they are appli-
of these, as observed by Tannen and other language special- cable to presentations not about feelings, it remains true that
ists, are the following: effective leaders are masterful nonverbal as well as verbal com-
municators. Nonverbal communication is important because
dd Downplay uncertainty. If you are not confident of your
leadership involves emotion, which words alone cannot com-
opinion or prediction, make a positive statement anyway,
municate convincingly.50
such as saying, “I know this new restrictive high-speed
A self-confident leader not only speaks and writes with assur-
pursuit policy will reduce deaths, injuries, and litigation.”
ance but also projects confidence through body position, ges-
dd Keep an open mind and accept verbal opposition to tures, and manner of speech. Not everybody interprets the same
ideas, especially at staff meetings, rather than becoming body language and other nonverbal signals in the same way, but
upset and defensive. some aspects of nonverbal behavior project a self-confident,
dd Emphasize direct rather than indirect talk, such as by leadership image in many situations. For example:
saying “I need your report by noon tomorrow” rather dd Using an erect posture when walking, standing, or sitting.
than “I’m wondering if your report will be available by
Slouching and slumping are almost universally interpreted
noon tomorrow.”
as an indicator of low self-confidence.
dd Speak without expressing uncertainty, for example, “I will dd Standing up straight during a confrontation. Poor posture
have my portion of the strategic plan completed by no
may be a sign of low self-confidence and poor leadership
later than the Wednesday before Thanksgiving.” This will
qualities.
give the staff time to sift through the information.
dd Speaking at a moderate pace, with a loud, confident
dd Know exactly what is needed. The chances of selling an
tone. People lacking in self-confidence tend to speak too
idea increase to the extent that it is clarified in the mind
rapidly or very slowly.
of the presenter. The clearer and more committed the
person is at the outset of the session, the stronger he or
dd Smiling frequently in a relaxed, natural-appearing manner
she will be as a persuader and the more powerful the dd Maintaining eye contact with those around you
language becomes. dd Gesturing in a relaxed, nonmechanical way, including
dd Strive to be confident when making statements, but be pointing toward others in a way that welcomes rather
sensitive to the possibility of unintentional criticism than accuses, such as using a gesture to indicate “You’re
being directed toward those who preceded you and right” or “It’s your turn to comment.”51
who may still have powerful friends and supporters A general approach to using nonverbal behavior that projects
within the agency. For example, if an agency head says confidence is to have a goal of appearing self-confident and
that “I believe that our new high-speed pursuit policy powerful. This type of autosuggestion makes many of the behav-
will significantly reduce injuries and deaths to our iors seem automatic. For example, if you say to yourself, “I am
officers and citizens, as well as result in a reduction in going to display leadership qualities in this meeting,” you will
liability to our agency,” then it is an idea that is being have taken an important step toward appearing confident.
attacked and not one’s predecessor who may have been External image also plays an important role in communicating
reluctant to implement a more conservative high-speed messages to others. People have more respect and grant more
pursuit policy.48 privileges to those they perceive as being well dressed and
Despite these suggestions for having a power-oriented lin- neatly groomed. An old adage is “you don’t get second chance
guistic style, Tannen cautions that there is no one best way to to make a first impression.” Self-confidence is projected by such
communicate. How one projects power and authority is often items as the following:
dependent on the people involved, the organizational culture, dd Neat uniform or suit with appropriate accessories and
the relative rank of the speakers, and the other situational fac- polished shoes
tors. The power-oriented linguistic style should be interpreted as dd Clean fingernails
a general guideline.
dd Well-maintained hair
Nonverbal Communication dd Good oral hygiene
Effective leaders are masterful nonverbal as well as verbal com- A subtle mode of nonverbal communication is the use of
municators. Nonverbal communication is important because time. Guarding time as a precious resource will help project
leadership involves emotion, which words alone cannot com- an image of self-confidence and leadership. A statement such
municate convincingly. as “I have 15 min to go over this with you on Thursday at
One research study concluded that when communicating 4 p.m.” connotes confidence and control. Other ways of pro-
about feelings 55 percent of the message is nonverbal, jecting power through the use of time include such behaviors
38 ­percent is tone of voice, and 7 percent is the actual words as being prompt for meetings and starting and stopping meet-
spoken.49 If true, you miss 97 percent of a message about ings on time.

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GROUP VS. INTERPERSONAL atmosphere of polarization and controversy. Using the previous
two examples, patrol officers may be sharply divided concerning
COMMUNICATION the benefits of the new shift hours or have strong feelings
regarding the location of the social gathering.
For our purposes, interpersonal communication is defined as the During the emergence phase of group interaction, there is
sharing of information between two persons. Group commu- more emphasis on positive statements. This phase allows dis-
nication involves interaction among three or more individuals senting members to save face by moving toward the majority’s
in a face-to-face situation. The three people have a common position. Officers who oppose the new shift hours may begin to
need that is satisfied by the exchange of information.52 However, find other benefits not previously discussed. Similarly, the loca-
there are important variables that can affect the group commu- tion for the social gathering may be a third alternative that is
nication process. These include the following: acceptable to all members.
The final phase is reinforcement. In this phase, group mem-
Size of the Group bers comment on the positive aspects of the group and its prob-
The definition of group communication does not set limits on lem-solving ability.
the ultimate size of the group. However, practical considerations The preceding discussion focused on the dynamics that
inherent in the definition do define a maximum number of peo- normally occur in a problem-solving group; however, this
ple who would be able to interact effectively. Individuals attend- interaction is usually present in most groups.56 A police officer
ing a professional sporting event may have a commonality of may determine what phase a group is in by listening to the
interest, but their opportunities for face-to-face interaction is types of comments being made by members of the group, and
likely limited to those seated in their immediate area and while then use that information to express personal views in the
standing in line at the refreshment stand. If we compare the most effective manner. Group interaction is an important
Super Bowl, with an attendance of 100,000 people, to a group aspect of any organization. Law enforcement officers need to
of five fans planning a tailgate party before the game, it is easy understand these group dynamics in order to carry out their
to see that the size of the group is a factor in determining the duties effectively. Once a group has been established, certain
ability of individuals to communicate with each other. communication networks begin to emerge.
Numerous scholars have examined the dynamics of group
communications.53 Various research has determined that the
range between 3 and 20 is a natural size for purposes of defining CROSS-GENDER COMMUNICATION
group interactions.54 Once the size of the group exceeds 20
people, the ability of individual members to influence each other Generally, an examination of the differences in the ways men
diminishes. The nature of the gathering takes on more of the and women communicate would be confined to scholarly books
characteristics of a mass meeting or conference, in which one in the area of linguistics or perhaps to books in the popular
person may influence the group but the ability of individual market that examine male/female relationships. However, it is
members within the group to influence each other is limited. The essential that police supervisors who must evaluate the actions
size of the group has a direct bearing on the type of communica- of their subordinates understand that men and women in our
tion involved. Therefore, we will limit our discussion of com- society often communicate quite differently and may solve
munication to groups that do not exceed 20 individuals. Once problems in dramatically different ways. A failure to understand
the size of the group involved in the communication process has these differences can result in erroneous evaluations of police
been determined, group interaction must be addressed. officers’ actions and even result in unfair criticism by fellow
officers and superiors.
The following scenario was witnessed by one of the authors.
Group Interaction A young woman pulled up to the gas station to fill up her
It is generally accepted by leading scholars that there are four car. While at the pump, her boyfriend pulled up behind her in
phases in group interaction: (1) orientation, (2) conflict, (3) his vehicle. They had had a dispute the evening before and she
emergence, and (4) reinforcement.55 walked out on him. He had been driving around looking for her
In the orientation phase, group members attempt to get to when he observed her pulling into the filling station. Initially,
know each other and discover the problems that face the group. she did not see him pull up. He exited his car, walked up to her
This may occur as strangers meet in a group for the first time, or from behind, forcefully turned her around and slapped her
it may happen with people who know each other and attend across the face. An off-duty police officer in plainclothes and in
periodic meetings, such as roll call before the beginning of patrol his personal car was filling up his car at an adjoining pump and
shifts. In the latter situation, group members already know each witnessed the assault. He immediately identified himself as a
other, and the orientation is aimed at common problems facing police officer and advised the man he was under arrest. The
the group. These problems could range from new shift hours to officer requested that the filling station attendant call for a patrol
planning a social gathering after the shift. unit. Prior to the arrival of the patrol unit, the assailant was
The second phase, conflict, involves disagreement among the placed in the front seat of the off-duty police officer’s car
members of the group. This phase is characterized by an unhandcuffed. Two uniformed officers arrived in separate

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 cha p t er 10 • ORGANIZATIONAL AN D INTER P ERSONAL CO M M U NICATION 363

police cars. One was a male, and the other was a female. The supervisor, she has to be overly aggressive, more confrontational,
off-duty officer explained to the uniformed officers what he had and more physical. This is not to suggest that assertiveness is not
witnessed and requested their assistance in filling out the neces- a positive quality for police officers to possess. However, like
sary paperwork and transporting the assailant to the county jail. anything else, too much can lead to unfortunate consequences.
However, as the officers were conversing, the assailant, who
was still agitated, was loudly expressing his anger at his female
companion, who had apparently been out with another man
the evening before. The female officer walked over to the assail- COMMUNICATION WITH
ant and in a very conciliatory way attempted to calm him down,
which did not work. After a couple of minutes, the male officer
OTHER CULTURES
became agitated with the prisoner still “running his mouth.” He The United States has been considered a melting pot (or, as
walked over to the assailant and, in very close physical proxim- some have characterized it, a salad), for many races and cultures
ity, said very angrily, “If you don’t shut your damn mouth, your throughout its history. With the increase of Southeast Asian refu-
ass is really going to be in trouble.” At that point, the man gees and especially the rapidly increasing Hispanic population,
became quiet. the problem of communicating with persons who do not speak
Now let us assume that this scenario was being witnessed English as a primary language is critical within the law enforce-
by a traditionally trained male supervisor. He might believe that ment community.57
the female officer should have been less conciliatory and more Development of a cross-cultural training course titled “Sur-
assertive and that her failure to be more assertive could have vival Spanish for Police Officers” began in mid-1986 at Sam
been interpreted as a sign of weakness by the arrested man, Houston State University in Texas in a cooperative effort between
thereby encouraging him to become more belligerent. The the police academy and a faculty member of the university’s
supervisor might have assessed the male officer’s approach as Spanish department. The course grew from a minor part of the
being more effective because he did, in fact, get the individual language component when it became apparent that cultural bar-
to quiet down and there were no further difficulties. However, riers were just as important as the language barrier and had to
let us assume, on the other hand, as sometimes happens, that be addressed in more detail.
the individual being arrested was sufficiently agitated that, Even with the awareness that minority populations con-
when the agitated male officer spoke to him, he in turn tinue to expand in the United States, the ability to communi-
responded angrily and decided he would rather fight than go cate with them will continue to be a problem for many law
peaceably to jail. If this had occurred, the outcome could have enforcement agencies unless a concerted effort is made to
been quite different, and someone could have been injured or address the problem such as being done by the New York City
perhaps even killed. Police Department.
The fact of the matter is that the female officer was behaving For many New York officers, their second language is simply
in a way that women in our society learn to behave when part of their culture. Officer Michael Belogorodsky, a native of
attempting to resolve a conflict—namely, in a nonconfronta- Ukraine, helped investigate a suspected con artist who had tar-
tional, conciliatory, and nonphysical manner. In fact, this tech- geted non-English speakers by posing as a travel agent. After
nique is recommended and employed in conflict resolution in speaking in Russian with several alleged suspects, police arrested
many facets of police work. There is some merit to the old a 40-year-old man and charged him with stealing more than
proverb that “a soft word turneth away wrath.” $26,000 from a dozen people (see Figure 10.8).
Insights into the differences between the ways males and In Chicago, the nation’s second-largest police force with
females communicate are important for police supervisors. Super- roughly 13,000 officers, some 3,835 speak additional languages,
visors lacking such insight might unfairly judge the actions of the most commonly Spanish, Polish, and German. The department
female officer. Worse yet, if a female officer is criticized, she may is also in its first year of requiring officers to take a 24-hour Span-
believe that, in order to be accepted by her peers and her ish course during their academy training.

Quick Facts: Hispanics as the Fastest Growing Minority

The Hispanic population of the United States as of July 1, 3.6 percent Cuban, 3.0 percent Dominican, and 2.3 percent
2012, was 53 million making people of Hispanic origin the Guatemalan. The remainder was of some other Central
nation’s largest ethnic or racial minority. Hispanics constituted American, South American, or other Hispanic/Latino origin.
17 percent of the nation’s population. The percentage of The projected Hispanic population of the United States in
Hispanic-origin people in the United States who were of 2060 is 128.8 million. According to this projection, the His-
Mexican background was 65 percent. Another 9.4 percent panic population will constitute 31 percent of the nation’s
were of Puerto Rican background, 3.8 percent Salvadoran, population by that date.58

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Figure 10.8 c The presence of a bilingual officer at the scene of an incident is

often useful in assisting victims, obtaining important information, and effectively
resolving conflicts. (Seth Wenig/AP Images)

The Los Angeles Police Department gives raises to as many as Other Multicultural Issues
3,305 officers who become fluent in another language—one-third
The term culture can be applied to various population catego-
of the department. And in Dallas, where 358 members speak
ries. However; it is normally associated with race and ethnicity.
Spanish and another 20 or so speak Asian languages, officers can
It is this diversity that both enriches and obstructs a law enforce-
earn an extra $150 a month after they become certified that they
ment officer’s involvement and interaction with other persons,
are fluent in another language.
groups, and cultures.
In Lexington, Kentucky, officers spend a year practicing
Officers should remember that most minorities have devel-
Spanish and are then sent to Mexico to improve their language
oped a sharp sense for detecting condescension, manipulation,
skills and learn about the culture. The department’s Spanish
and insincerity. There is no substitute for compassion as the
speakers have increased from two to more than 100, according
foundation, and sincerity as its expression, in carrying out law
to the Vera Institute.
enforcement services equally and fairly.
Recent census data shows more than 20 percent of
The first contact minorities have with law enforcement offi-
­Americans speak a language other than English and 12 percent
cers will either confirm or dispel suspicion as to how they will
are foreign-born. Many smaller cities are also attracting increas-
be treated. Proper pronunciation of a person’s surname is an
ing numbers of immigrants. Managing that change is a chal-
excellent place to begin contact with him or her. Surnames have
lenge for law enforcement.
histories and meanings that allow for conversation beyond the

Quick Facts: Multi-Culturalism and

the New York City Police Department

One-third of NYPD employees can speak a second lan- own officers. Nearly all of the city’s 76 precincts and most
guage. Of those, 785 are certified linguists, or expert trans- transit facilities are equipped with a dual-handset phone
lators, in 63 languages, including Bengali, Dari, Farsi, that can get a third-party translator instantly. There are soft-
Arabic, and Urdu. Bilingual officers do everything from ware applications (Apps) that allow the officer to speak
intelligence gathering to undercover work to community English into the phone and then the words are spoken or
outreach. But New York police do not rely solely on their displayed on the phone in Spanish.59

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introduction. In working with immigrant, refugee, or native pop- Nigerians, it may be less than 15 inches, whereas 2 feet represents
ulations, it is helpful to learn a few words of greeting from those a comfortable conversation zone for Americans.
cultures. This willingness to go beyond what is comfortable and Another nonverbal communication behavior is eye contact.
usual conveys the officer’s intent to communicate. Anglo Americans expect eye contact during conversation; the lack
Listening is fundamental to human relationships. The princi- of it usually signifies deception, rudeness, defiance, or an attempt
ples and manner of listening, however, differ among cultures. to end the conversation. In Nigeria, however, people often show
Asians and Pacific Islanders, for example, deflect direct eye con- respect and humility by averting their eyes. While the officer saw
tact in conversation as a sign of patient listening and deference. the cabbie defiantly “babbling to the ground,” the Nigerian
These groups therefore consider staring to be impolite and con- believed he was sending a message of respect and humility.
frontational. Many Western cultures, on the other hand, value Most likely, the cab driver was not even aware of his exag-
direct eye contact as a sign of sympathy or respect. Misunder- gerated gestures, high-pitched tone of voice, or rapid speech.
standing in the communication process will occur if some allow- But the officer believed him to be “out of control,” “unstable,”
ance is not made for these differences. Multicultural issues must and probably “dangerous.” Had the cab driver been an Anglo
be understood by all law enforcement officers. Understanding American, the officer’s reading of the cabbie’s nonverbal behav-
that “different” does not mean “criminal” will assist officers ior would have been correct.
attempting to communicate in an environment that continues to One of the primary results of a breakdown in communica-
be increasingly diverse. tions is a sense of being out of control, yet in law enforcement,
Consider the following hypothetical scenario. control and action are tantamount. Unfortunately, the need for
control combined with the need to act often makes a situation
A cab driver from Nigeria runs a red light. An officer pulls worse. “Don’t just stand there. Do something!” is a very Anglo
him over in the next block, stopping the patrol car at least American admonition.
three car lengths behind the cab. Before the police officer can With the cab driver, the officer took control using his cultural
exit the patrol car, the cabbie gets out of his vehicle and common sense when it might have been more useful to look at
approaches the officer. Talking rapidly in a high-pitched what was actually taking place. Of course, in ambiguous and
voice and making wild gestures, the cab driver appears to be stressful situations, people seldom take time to truly examine the
out of control, or so the officer believes.60 motivating behaviors in terms of culture. Rather, they view what
As the officer steps from his car, he yells for the cab driver is happening in terms of their own experiences, which is ethno-
to stop, but the cabbie continues to walk toward the officer. centric—and usually wrong.
When he is about 2 feet away, the officer orders the cabbie Law enforcement professionals need to develop cultural
to step back and keep his hands to his sides. But the cab empathy. They need to put themselves in other people’s cultural
driver continues to babble and advance toward the officer. shoes to understand what motivates their behavior. By under-
He does not make eye contact and appears to be talking to standing internal cultures, they usually can explain why situa-
the ground. tions develop the way they do. And if they know their own
Finally, the officer commands the cab driver to place his internal cultures, they also know the reasons behind their reac-
hands on the patrol vehicle and spread his feet. What began tions and realize why they may feel out of control.
as a routine stop for a traffic violation culminates in charges Here’s another scenario.
of disorderly conduct and resisting arrest.
During face-to-face negotiations with police at a local youth
This scenario is present in some encounters that take place center, the leader of a gang of Mexican American adolescents
daily in the United States between law enforcement personnel suddenly begins to make long, impassioned speeches, punc-
and people of other cultures. A simple traffic violation escalates tuated with gestures and threats. Other members of the group
out of control and becomes more than a matter of miscommu- then join in by shouting words of encouragement and
nication and common sense. It represents—different cultures— agreement.
colliding and producing unnecessary outcomes. A police negotiator tries to settle the group and get the
To understand the final outcome, we need to examine the negotiations back on track. This only leads to more shouting
breakdown in nonverbal communication. First, most Americans from the Chicano gang members. They then accuse the police
know to remain seated in their vehicles when stopped by the of bad faith, deception, and an unwillingness to “really
police. But the cab driver exited his cab because he wanted to negotiate.”
show respect and humility by not troubling the officer to leave Believing that the negotiations are breaking down, the
his patrol car. The suspect relied on his own cultural experience, police negotiator begins to leave, but not before telling the
which conveyed a completely different message to the officer, leader, “We can’t negotiate until you get your act together
who viewed it as a challenge to his authority. where we can deal with one spokesperson in a rational dis-
The cab driver then ignored the command to “step back.” Most cussion about the issues and relevant facts.”
likely, this did not make any sense to him because, in his eyes, At this point, a Spanish-speaking officer interrupts. He tells
he was not even close to the officer. The social distance for con- the police negotiator, “Negotiations aren’t breaking down.
versation in Nigeria is much closer than in the United States. For They’ve just begun.”

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Among members of certain ethnic groups, inflammatory Because of naive assumptions, the criminal justice community
words or accelerated speech are often used for effect, not intent. seldom views cross-cultural awareness and training as vital, yet
Such words and gestures are a means of getting attention and as society and the law enforcement workforce become more
communicating feelings. diverse, the ability to manage cultural diversity becomes essen-
For example, during an argument, it would not be uncom- tial. Those agencies that do not proactively develop cultural
mon for a Mexican American to shout to his friend, “I’m going knowledge and skills fail to serve the needs of their communi-
to kill you if you do that again.” In the Anglo culture, this clearly ties. More importantly, however, they lose the opportunity to
demonstrates a threat to do harm. But in the context of the His- increase the effectiveness of their officers.
panic culture, this simply conveys anger. Therefore, the Spanish Unfortunately, cross-cultural training in law enforcement often
word matar (to kill) is often used to show feelings, not intent. occurs after an incident involving cross-cultural conflict. If
In the gang scenario, the angry words merely indicated sin- ­provided, this training can be characterized as a quick fix, a
cere emotional involvement by the gang members, not threats. once-in-a-lifetime happening, when in reality it should be an
But to the police negotiator, it appeared as if the gang was angry, ongoing process of developing awareness, knowledge, and skills.
irrational, and out of control. In reality, the emotional outburst At the very least, officers should know what terms are the
showed that the gang members wanted to begin the negotiation least offensive when referring to ethnic or racial groups in their
process. To them, until an exchange of sincere emotional words communities. For example, most Asians prefer not to be called
occurred, no negotiations could take place. Orientals. It is more appropriate to refer to their nationality of
Each culture presents arguments differently. For example, origin, such as Korean American, assuming that the officer is
Anglo Americans tend to assume that there is a short distance positive about their nationality of origin.
between an emotional, verbal expression of disagreement and Likewise, very few Spanish speakers would refer to them-
a full-blown conflict. African-Americans think otherwise.61, 62 selves as Hispanics. Instead, the term “Chicano” is usually used
For African-Americans, stating a position with feeling shows by Mexican Americans, while the term “Latino” is preferred by
sincerity. However, White Americans might interpret this as an those from Central America. Some would rather be identified by
indication of uncontrollable anger or instability and, even worse, their nationality of origin, such as Guatemalan or Salvadoran.
an impending confrontation. For most African-Americans, Many American Indians resent the term “Native American”
threatening movements, not angry words, indicate the start of a because it was invented by the U.S. government. They would
fight. In fact, some would argue that fights do not begin prefer being called American Indian or being known by their
when people are talking or arguing but rather when they tribal ancestry, such as Crow, Menominee, or Winnebago.
stop talking. The terms “Black American” and “African-American” can usu-
Anglo Americans expect an argument to be stated in a ally be used interchangeably. However, “African-American” is
factual–inductive manner. For them, facts presented initially more commonly used among younger people.
in a fairly unemotional way lead to a conclusion. The greater Law enforcement executives need to weave cross-cultural
number of relevant facts at the onset, the more persuasive awareness into all aspects of law enforcement training and real-
the argument.63 ize it is not enough to bring in a “gender expert” after someone
African-Americans, on the other hand, tend to be more files sexual harassment charges or a “race expert” after a racial
affective–intuitive. They begin with the emotional position, incident occurs. 3-hour workshops on a specific topic do not
followed by a variety of facts somewhat poetically connected solve problems. Cross-cultural issues are interrelated; they can-
to support their conclusions. African-Americans often view the not be disconnected.
mainstream presentation as insincere and impersonal, while
White Americans see the Black presentation as irrational and
too personal. Many times, arguments are lost because of dif- Developing a Culturally Aware Workforce
ferences in style, not substance. Deciding who’s right and who What can the law enforcement community do to ensure a more
is wrong depends on the cultural style of communication and culturally aware workforce? To begin, law enforcement profes-
thinking used. sionals must know their own culture. All personnel need to
Differences in argumentative styles add tension to any dis- appreciate the impact of their individual cultures on their values
agreement. As the Chicano gang leader presented his affec- and behaviors. Sometimes, the best way to gain this knowledge
tive–intuitive argument, other gang members joined in with is by intensively interacting with those who are culturally differ-
comments of encouragement, agreement, and support. To the ent. However, law enforcement professionals must always bear
police-negotiator, the gang members appeared to be united in in mind that culture, by definition, is a generalization. Cultural
a clique and on the verge of a confrontation. rules or patterns never apply to everyone in every situation.
Sometimes, Anglo Americans react by withdrawing into a The next step is to learn about the different cultures found
superfactual–inductive mode in an effort to calm things down. within the agency and in the community. However, no one
Unfortunately, the emphasis on facts, logical presentation, and should rely on culturally specific “guidebooks” or simplistic “dos
lack of emotion often comes off as cold, condescending, and and don’ts” lists. While such approaches to cultural awareness
patronizing, which further shows a disinterest in the views are tempting, they do not provide sufficient insight and are often
of others. counterproductive.

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First, no guidebook can be absolutely accurate, and many generations communicate. In Chapter 9, Human Resource
cover important issues in abstract or generic terms. For exam- Management, certain important characteristics were discussed
ple, several nations constitute Southeast Asia. Therefore, when about the various generations; however, this chapter focuses
promoting cultural awareness, law enforcement agencies primarily on the communication characteristics of the two gen-
should concentrate on the nationality that is predominant erations that make up most of the employees in police depart-
within their respective communities—that is, Vietnamese, Lao- ments today—namely, Generation X (those born between
tian, Cambodian, and so on. At the same time, these agencies 1965 and 1980) and Generation Y or Millennials (born
should keep in mind that cultures are complex and changing. between 1981 and 1994).
Managing cultural diversity also means being able to adjust to
the transformations that might be occurring within the ethnic Some Generalizations
community thus necessitating the incorporation of this infor- There are certain characteristics each of these two groups have
mation into both police academy training as well as in-service in their communication style, and it is important for each group
training courses. to be aware of the differences so miscommunications are less
Second, relying on a guidebook approach can be disastrous likely to occur. The following represent what can best be
if it does not provide the answers needed to questions arising described as some broad but useful generalizations about the
during a crisis situation. It is much more useful to have a broad communication styles of these two groups.
framework from which to operate when analyzing and interpret-
ing any situation. Such a framework should focus on internal,
Generation X
not just external, culture. Knowing values, beliefs, behaviors, and
thought patterns will assist law enforcement professionals to The generation of officers who have grown up with sophisti-
avoid catastrophic misunderstanding. cated communications technology are most certainly different
Law enforcement professionals should also understand the from previous generations. Their way of thinking has been char-
dynamics of cross-cultural communication, adjustment, and con- acterized as having an information age mindset. Some of the
flict. When communication breaks down, frustration sets in. characteristics of this mindset include:
When this happens, law enforcement reacts. This presents a dd Computers are not technology—Officers falling into
potentially dangerous situation for officers because of the this category have never known life without computers
emphasis placed on always being in control. Understanding the and the Internet. To them computers are unquestioned
process of cross-cultural interaction gives a sense of control and part of their life.
allows for the development of coping strategies. dd The Internet is considered better than TV—In recent
Finally, law enforcement professionals should develop years, the number of hours spent watching TV by this
cross-cultural communicative, analytic, and interpretive skills. group has declined, supplanted by time spent online.
Merely having a casual familiarity about the history and religion Among the reason for the changes are interactivity and
of a particular culture or ethnic group will not in and of itself the use of the Internet for socializing.
allow police officers to communicate effectively or understand dd Doing is more important than knowing—
someone from that group. Although the ability to communicate
Knowledge is no longer perceived to be the ultimate
effectively is often best learned through experience, police offi-
goal, particularly in light of the fact that the half-life
cers can also gain valuable insights into the various facets of
information is so short. Results and actions are
these groups by inviting respected leaders from these groups
considered more important than the accumulation
to participate in police academy training or specifically
of facts.
designed in-service training course. All related training should
be designed to provide insights into important characteristics
dd Learning more closely resembles Nintendo than
of these groups. These can also be accomplished by reading logic—Nintendo symbolizes a trial-and-error approach to
authoritative books about these groups or by listening to lec- solving problems; losing is the fastest way to mastering a
tures from experts in the field. All of these combined will assist game because losing represents learning. This contrasts
law enforcement officers in analyzing and understanding the with the problem-solving approaches of previous
ways in which people of different cultures or ethnic groups generations, who employ a more logical, rule-based
communicate and resolve conflict. approach.
dd Multitasking is a way of life—Generation X officers
appear to be quite comfortable when simultaneously
engaged in multiple activities, such as listening to music,
COMMUNICATING ACROSS texting, and talking on the phone. Multitasking may
also be a response to information overload.
GENERATIONS dd Typing is preferred to handwriting—Generation X
In the communicating process the biggest stumbling block officers prefer typing to handwriting and many admit
does not always result from gender or cultural differences. It their handwriting is atrocious. Penmanship has been
can also result from differences in the way the various superseded by keyboard skills.

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dd Staying connected is essential—Generation X officers Generation Y/ Millennials

stay in touch both on and off duty via multiple devices,
Many officers from Generation Y, also called Millennials, are
as they move throughout the day. Cell phones, smart
increasingly assuming positions as supervisors and in middle
phones, personal digital assistants (PDAs), netbooks,
management. This is a generation that has been raised in one of
Blackberries, tablets and pads, and computers ensure that
the most child-centric times in our history. Perhaps because they
they remain connected anyplace and anytime. As the
were showered with attention and felt high expectation from
network becomes more ubiquitous, increasing numbers
their parents, they display a great deal of self-confidence, to the
of Generation Xers participate in real-time dialogues from
point that they have sometimes been characterized as having an
anywhere using a variety of devices.
attitude of entitlement. They are certainly the most technically
dd There is zero tolerance for delays—Having grown literate generation ever because they have spent their entire lives
up in a culture that places a strong demand on working with the Internet, computer, cell phones, Blackberries,
immediacy, Generation Xers have little tolerance for PDAs, netbooks, digital readers, and so on.
delays. They expect services to be available 24/7 in a Like Generation X officers, they are good multitaskers, having
variety of modes (cell phone, texting, social media juggled sports, school, and social interests as children and can
(Facebook, Twitter, e-mail, camera phone, SKYPE, and be expected to work hard. Millennials seem to expect structure
in person) and that responses will be quick.64 This in the workplace. They acknowledge and respect positions and
generation is equally comfortable giving feedback to titles and want a relationship with their superiors.
others. Because Generation Yers are new to the professional work-
dd They are comfortable in multicultural settings—This place, no matter how smart and confident they are, they are
group tends to work well in multicultural settings and definitely in need of mentoring. Also, they will respond well to
takes a pragmatic approach to accomplishing tasks.65 the personal attention. Because they appreciate structure and
dd They have a need for effective mentoring—A stability, mentoring Millennials should be more formal, with set
mentoring program is essential. They seem to like meetings and a more authoritative attitude on the mentor’s part.
feedback on their performance and appreciate the They prefer lots of challenges but also need the structure to
opportunity to create new ways to accomplish tasks. It is back it up. This means breaking down goals into steps, as well
important to inform Generation Xers of the agency’s as offering any necessary resources and information they will
expectations and how their progress will be measured. need to meet the challenge. Consideration should be given to
They work best when they are informed of the desired mentoring Millennials in groups because they work well in
outcome and given specific instructions on how to team situations. In this kind of a setting, they can act as each
achieve it.66 other’s resources or peer mentors.67

Quick Facts: Millennials Will Benefit and Suffer Due to Their Hyperconnected Lives

It is obvious from the millennials depicted in this

photo that they are not paying much attention to the
world around them. It has been suggested by some
that millennials will both benefit and suffer due to
their hyperconnected lives. On the benefit side, it is
believed that mastery of the technology will facilitate
the learning process and make it easier for millennials
to find the answers to complex questions. In addition,
mastery of the technology is absolutely essential for
millennials to be able to function effectively within
police departments that increasingly rely upon tech-
nology to maximize their investigative efficiency and
delivery of services to the public.
On the negative side, there are those in law
enforcement who believe this almost obsessive emer-
sion by millennials into the technology and their pref-
erence for it in lieu of face-to-face communication can
have a negative impact. Those who take this view believe it will result in: a failure of millennials to develop important nego-
tiating skills; a reduced ability to accurately assess body language; a reduction in their ability to accurately interpret facial
expressions; and most important, a reduced ability to adequately resolve conflicts involving emotional, profane, and
­potentially violent citizens or criminals.­

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Generational Differences in Formal social and political issues in favor of superficial “sound bites,”
failing to develop important negotiation skills; how to accu-
and Informal Styles of Communication rately assess body language, facial expressions, emotional vocal-
A particular problem area is that involving forms of address. For izations, how to empathize with others, patience, and, most
example, informal talk or an over familiarization with superiors important, self-reflection. All of these qualities are critically
from Generation Y (Millennials) may be offensive and seem essential for law enforcement officers to possess in order for
somewhat disrespectful to Generation X officers. In many them to be able to intelligently and effectively intervene in a
instances, the younger officers who engage in this informal con- wide variety of conflicting situations, especially those that have
versation do not mean to be disrespectful but just have a more enormous potential for danger. It is absolutely essential that
informal and casual style of communicating with friends and officers possess the necessary skills to safely diffuse such situ-
co-workers. ations. There also comes concern that the excessive immersion
One thing is certain: Some things are important to nearly all into technology could also reduce the development of one’s
employees, regardless of age. Simple gestures like listening, observational skills. For example, it is very common to see
acknowledging what others have said, and acting on their sug- individuals so involved in the texting process that they are
gestions when appropriate are all signs of respect. People tend totally oblivious to their surrounding environment. Most of us
to appreciate being addressed with a “hello” or a “good-bye” or have seen people on TV walking into water fountains and into
being greeted by name. Saying something like “yo, dawg” (mean- doors while texting. Also, increasingly many drivers are now
ing a friend and not a member of the canine variety) is probably texting and driving thereby jeopardizing their own personal
not going to be appreciated by all generations. safety and the safety of others.
The best solution is to try to be considerate of the views of Assuming these concerns are valid then law enforcement
members of other generations. If someone from another genera- agencies will have to make important changes in their training
tion says something problematic, or their manner or tone is regimes, mentorship, as well as their supervisory and leadership
causing a problem, efforts should be made to discuss it openly styles. We are in the very early stages of fully understanding this
to resolve the situation.68 phenomenon and simply recognizing it and assessing it is insuf-
Generational Lingo ficient. The emphasis must be placed on how to rectify any
A Millennial employee may use a term such as “phat” shortcomings that might result in order to provide officers with
(excellent or great) and mean it as a compliment. How- the vast array of skills they need to effectively communicate with
ever, an older co-worker may hear it as “fat” and take it a variety of people and resolve conflicts in an intelligent and
as an insult. This is not meant to be an insult. However, equitable manner.71
unless it is understood, intergenerational communication Creeping Computerese
can jeopardize workplace morale and productivity when Technology is not just changing the ways we communicate but
employees of different generations miscommunicate.69 is also changing the words or phrases with which we communi-
Preference to Texting as a Major Means of cate. Items of computerese, which many see as acceptable in
Communication e-mail or instant messaging, are starting to find their way into
Millennials, especially those at the younger end of the nonelectronic communication as well. Computerese, such as btw
age spectrum, clearly prefer to communicate via texting (by the way) or imo (in my opinion), may be acceptable to some
rather than either face-to-face or telephone contact. number of people in an e-mail; however, for many others, espe-
There are those in law enforcement who are arguably con- cially older people, it may not be acceptable or even understand-
cerned that the increasing immersion and preference for this able if included in professional writings or even e-mails.
form of communication, especially if started at an early age, Computer emoticons (e.g., animated smiley faces used in
could possibly negatively impact the normal development of e-mails) to indicate humor, for example, are more likely to be
intellectual interpersonal skills. This could include a reduced acceptable to younger generations.72
pursuit of deep knowledge and understanding of important What Is Said Is Not Always What Is Heard
Regardless of the generational category an employee falls into, it
is important to understand that what is said needs to be com-
pletely understood by each generation. It is advisable to anticipate
intergenerational miscommunications as much as possible and
Quick Facts: Generational Variations tailor all messages to be as clear as possible to all generations.73
Learning how to communicate across the generations can
According to the Pew Research Center, cellphone owners eliminate many of the misunderstandings. If a Generation X
between ages 18 and 24 exchange an average of 109.5 manager says, “We need to get this report written,” another Gen-
texts a day or more than 3,200 texts per month. However, eration X employee would correctly interpret this as a nicely
a third of U.S. adults also prefer texting to talking on stated command. On the other hand, if that same Generation X
the phone.70 manager made the same statement to a Millennial, the Millennial
could well hear this comment as an observation and not as an

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 370 cha p te r 1 0 • ORGANIZATIONAL AN D INTER P ERSONAL CO MMU NICATION

order. Thus, cross-generational communication is not always dd Do not cover your mouth or chew gum.
clear. It is important to understand that what a person in one dd If a person is wearing a hearing aid, do not assume he or
generation hears may not be what the person of another genera- she can hear you clearly.
tion means to communicate. dd Minimize background noise and other distractions
whenever possible.
dd When you are communicating orally, speak slowly and
COMMUNICATING WITH PEOPLE distinctly. Use facial expressions to reinforce what are
you saying.
WITH DISABILITIES dd Use visual aids whenever possible such as pointing to
Thus far, all of our discussions about communications, both orga- printed information on a citation or other document.
nizationally and interpersonally, have been based on the assump- dd Generally, for those who are deaf or hard of hearing,
tion that we are dealing with individuals who do not have special only one-third of spoken words can be understood by
needs that would affect their ability to engage in normal com- speech reading.
munication. However, there are in fact literally millions of indi- dd When communicating in writing, keep in mind that some
viduals living in the United States who have special needs and individuals who use sign language may lack good
law enforcement officers must be aware of the most effective English reading and writing skills.
means of communications in dealing with such individuals. dd If someone with a hearing disability cannot understand
Within the special need groups are individuals who are blind
you, write a note to ask them what communication aids
or visually impaired, deaf or hard of hearing, mobility impaired,
or service are needed.
speech impaired, or have cognitive disabilities.
The following are some suggestions that will assist law
dd If a sign language interpreter is requested, be sure to ask
enforcement officers in more effectively communicating and via a note which language the person uses. American
dealing with individuals they encounter who have special needs. Sign Language (ASL) and Signed English are the most
common.
When interviewing a witness or a suspect or engaging
Individuals Who Are Blind dd

in any complex conversation with a person whose

or Visually Impaired primary language is sign language, a qualified
interpreter is usually needed to ensure effective
dd Speak to the individual as you approach him or her.
communication.
dd State clearly who you are; speak in a normal
dd When using an interpreter, look and speak directly to the
tone of voice.
deaf person and not to the interpreter.
dd When conversing in a group, remember to identify
dd Talk at your normal rate or slightly slower if you
yourself to the person to whom you are speaking.
normally speak fast.
dd Never touch or distract a service dog without first asking
dd Only one person should speak at a time.
the owner’s permission.
dd Use short sentences and simple words.75
dd Tell the individual when you are leaving.
dd If you telephone an individual who is hard of hearing,
dd Do not attempt to lead the individual without first asking.
let the phone ring longer than usual. Speak clearly and
Also, allow the person to hold your arm, thus allowing
be prepared to repeat the reason for the call and who
him/her to control their own movements.
you are.
dd Be descriptive when giving directions; verbally give the
dd If you do not have a Text Telephone (TTY), dial 711 to
person information that is visually obvious to individuals
reach the national telecommunications relay service,
who can see. For example, if you are approaching steps,
which facilitates the call between you and the individual
mention how many steps.
who uses a TTY.
dd If you are offering a seat, gently place the individual’s
hand on the back or arm of the chair so that the person
can locate the seat.74 Individuals with Mobility Impairments
dd If possible, put yourself at the wheelchair user’s
Individuals Who are Deaf eye level.
or Hard of Hearing dd Do not lean on a wheelchair or any other assistive
device.
dd Before speaking, get the person’s attention with a wave of dd Never patronize people who use wheelchairs by patting
the hand or a gentle tap on the shoulder. them on the head or shoulders.
dd Face the person and do not turn away while speaking. dd Do not assume the individual wants to be pushed—
dd Try to converse in a well-lit area. ask first.

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 cha p t er 10 • ORGANIZATIONAL AN D INTER P ERSONAL CO M M U NICATION 371
dd Offer assistance if the individual appears to be having Individuals with Cognitive Disabilities
difficulty opening a door.
About three out of every 100 people have developmental
dd If you telephone the individual, allow the phone to ring disabilities, so it is likely that a law enforcement office will at
longer than usual to allow extra time for the person to some point come in contact with an individual who has this
reach the telephone. disability. A successful interaction with a person who has
developmental disabilities can yield accurate and useful infor-
mation while, at the same time, protecting his or her rights as
Individuals with Speech Impairments an individual.77
dd If you do not understand something the individual says, dd If you are in a public area with many distractions,
do not pretend that you do. Ask the individual to repeat consider moving to a quiet or private location.
what he or she said and then repeat it back. dd Be prepared to repeat what you say, orally or in writing.
dd Be patient. Take as much time as necessary. dd Offer assistance completing forms or understanding
dd Try to ask questions that require only short answers or a written instructions and provide extra time for
nod of the head. decision making. Wait for the individual to accept
dd Concentrate on what the individual is saying. the offer of assistance; do not “over-assist” or be
dd If you are having difficulty understanding the individual, patronizing.
consider writing as an alternative means of dd Be patient, flexible, and supportive. Take time to
communicating, but first ask the individual if this is understand the individual and make sure that the
acceptable.76 individual understands you.78

Chapter Summary
Summary by Learning Objectives acknowledge initial receipt and that a more detailed
response will follow; Check e-mail frequently, but do
1. Identify five types of downward communications not allow it to interrupt other scheduled tasks; Read
within an organization. and reread e-mails for quality, tone, grammar, spell-
ing, and punctuation before sending them. Do not
1. Job instruction—communication relating to the
rely solely on spell check to catch errors; Remember
performance of a certain task.
that e-mail is not private correspondence and can
2. Job rationale—communication relating a certain
easily become public without intent or consent. It is
task to organizational tasks.
a permanent record of written communication; Do
3. Procedures and practices—communication
not use business e-mail for jokes or frivolous mes-
about organization policies, procedures, rules,
sages; Deal with personal or sensitive issues in per-
and regulations.
son, not through an impersonal electronic medium;
4. Feedback—communication appraisal of how an
Use business e-mail as a means to get information
individual performs the assigned task.
to a number of people in expeditious fashion and to
5. Indoctrination—communication designed to
quickly involve others but do not send e-mails to
motivate the employee.
persons who do not need to receive it; Use caution
when responding to e-mails. How something is said
2. List the order of effective communication from
in e-mail language is just as important as what is
most effective to least effective.
said. No matter how emotional the issue or the con-
1. Oral and written communication combined; tents of the e-mail received and the resultant need
2. Oral communication only; to verbalize emotions, do not vent and send; and
3. Written communication only; treat an e-mail inbox similar to a paper one: Review
4. The bulletin board; the document, act on it, and move on.
5. The organizational grapevine.
4. Discuss the recent trends by police departments
3. Discuss the steps necessary to eliminate some of to use social media with the public.
the unfortunate missteps in e-mail communica- The Police Executive Research Forum (PERF) con-
tions within an organization. ducted a national survey to determine the extent to
Maintain professionalism in e-mail correspondence, which police departments are sharing information
as in any other business correspondence; business and developing relationships with their communi-
etiquette does not change when a message is digi- ties with the application of social media. What they
tized; Respond to e-mail promptly, even if only to discovered was that 80 percent of those agencies

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 372 cha p te r 1 0 • ORGANIZATIONAL AN D INTER P ERSONAL CO MMU NICATION

responding said they use social media to share The next step is to learn about the different cultures
information with the public. As a matter of fact, found within the agency and in the community. How-
more than 2,800 law enforcement agencies in the ever, no one should rely on culturally specific “guide-
United States have social media accounts and that books” or simplified “dos and don’ts” lists. While
number is growing every day. such approaches to cultural awareness are tempting,
they do not provide sufficient insight and are often
5. Discuss what a law enforcement agency can do to
counterproductive.
insure a more culturally aware workforce.
To begin, law enforcement professionals must know 6. List the five categories of people with disabilities
their own culture. All personnel need to appreciate that law enforcement officers are most likely to
the impact of their individual cultures on their values come in contact with.
and behaviors. Sometimes, the best way to gain this
knowledge is by intensively interacting with those who 1. Individuals Who are Blind or Visually Impaired;
are culturally different. However, law enforcement pro- 2. Individuals Who are Deaf or Hard of Hearing;
fessionals must always bear in mind that culture, by 3. Individuals with Mobility Impairments;
definition, is a generalization. Cultural rules or pat- 4. Individuals with Speech Impairments; and
terns never apply to everyone in every situation. 5. Individuals with Cognitive Disabilities.

Chapter Review Questions

1. Discuss the steps in the communication process. 7. What are the major differences between the way
2. What are some of the barriers that result because that female and male officers communicate,
of improper techniques used on the part of either especially during conflict resolution?
the sender or receiver? 8. What are the main issues in communication
3. What have psychologists said about the potential between law enforcement and citizens from other
problems associated with an administrator’s cultures, and how are law enforcement agencies
dependence upon technology in the trying to address these changes?
communication process? 9. What are the major characteristics of the ways
4. Why is it necessary for departments to monitor Generation X officers communicate?
what their officers may be posting on their 10. What are the major characteristics of the
personal social media sites? ways Generation Y (Millennial) officers
5. What is the role of the public information officer in communicate?
organizational communication? 11. What are some of the possible long-term
6. What suggestions were made for becoming an consequences of preferring texting as a major
effective communicator? means of communication?

Critical Thinking Exercises

1. Cross-Cultural Communication. Your community d. How would you go about identifying leaders within
has recently received a major influx of immigrants the newly arrived immigrant community who would
from a non-white, non-Judeo-Christian country. be in a position to serve as a useful conduit with
your agency in order to assist the recently arrived
a. There have been some unfortunate clashes
immigrants to better understand the expectations
between your uniformed police officers and some
of your agency both in its personal and profes-
young males from this community.
sional interactions?
b. You believe that many of these clashes have
resulted because of a failure of your officers as well 2. Communication Across Generations. Your
as members of this recently arrived immigrant com- agency is now recruiting officers primarily from
munity to understand important aspects of each Generation Y/Millennials and you note a big
other’s culture. difference in their interpersonal communication
c. Who would you turn to provide the necessary train- styles from previous generations as well as what
ing so your officers can become familiar with appears to be their lack of skills necessary to
important aspects of the recently introduced cul- resolve personal and professional conflicts.
ture in order to reduce some of the unfortunate Following are some examples of how
misunderstandings and confrontations that have these perceived deficiencies are showing up in
recently occurred? the organization.

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 cha p t er 10 • ORGANIZATIONAL AN D INTER P ERSONAL CO M M U NICATION 373

a. In some cases, the style of informal communication and some academy staff members believe that
used by Millennials is viewed by older officers as this is attributable in part to their constant use of
being disrespectful. impersonal electronic communication instru-
b. Also, because Millennials prefer texting as their ments. There is also some concern that the
principal means of communication many older dependency on this form of communication has
officers believe that this has resulted in their fail- contributed to their inadequacies in developing
ing to develop the skills necessary to assess and the face-to-face skills necessary to effectively
resolve interpersonal and professional conflict. resolve hostile conflicts.
This assessment has been supported by the police How would you go about working with older
academy director and staff who say in a number ­officers in your agency so they have a better under-
of recent cases where recruit officers were inten- standing of the communication styles of Millenni-
tionally exposed to verbal abuse and aggressive als? Also, how would you go about being certain
behavior in role playing situations some of them that newly employed Millennials have the skills
broke down and cried. This applied to both male necessary to assess, identify, and effectively resolve
and female officers. The police academy director confrontational situations?

Key Terms
communication grapevine multicultural settings
culture group communication multitasking
downward communication group interaction noise
feedback horizontal communication upward communication
Generation X interpersonal communication
Generation Y mentoring

Endnotes
1 10
A. J. DuBrin, Human Relations: Interpersonal Job-Oriented E. Planty and W. Machaver, “Upward Communications:
Skills, 8th ed. (Upper Saddle River, NJ: Prentice Hall, 2004), A Project in Executive Development,” Personnel 28
pp. 42–46. (January 1952), pp. 304–319.
2 11
Krissah Thompson, “Arrest of Harvard’s Henry Louis Gates Jr. R. K. Allen, Organizational Management through
Was Avoidable, Report Says,” Washington Post, June 30, Communication (New York: Harper & Row, 1977),
2010; Katie Zezima, “Officer and Professor Faulted for pp. 77–79.
12
Confrontation at Home,” New York Times159 Issue 55088, H. Fayol, General and Industrial Administration (New York:
(July 1, 2010), p. 21. Op. Pitman, 1949), p. 34.
3 13
P. V. Lewis, Organizational Communication: The Essence of Allen, Organizational Management, p. 78.
14
Effective Management (Columbus, Ohio: Grid, 1975), p. 36. Ibid., pp. 78–79.
4 15
Ibid., pp. 36–37. K. Davis, “Management Communication and the
5
Siobhan Gorman, “How Boston Terror Warning Went Awry,” Grapevine,” Harvard Business Review (September–
National Journal 37, No. 8 (February 19, 2005), p. 542. October 1953), pp. 43–49, as cited by Lewis,
6
Ibid., pp. 37–38. Organizational Communication, p. 41.
7 16
D. Katz and R. L. Kahn, The Social Psychology of Lewis, Organizational Communication, pp. 41–42.
17
Organizations (New York: John Wiley & Sons, 1966), James D. Sewell, “Handling the Stress of the
p. 239, as cited in Lewis, Organizational Electronic World,” FBI Law Enforcement Bulletin,
Communication, p. 38. August 2003, p. 14.
8 18
R. L. Smith, G. M. Richetto, and J. P. Zima, “Organizational Edward F. Davis III, Alejandro A. Alves and David Alan
Behavior: An Approach to Human Communication,” in Sklansky, Social Media and Police Leadership: Lessons
Readings in Interpersonal and Organizational from Boston New Perspectives in Policing Bulletin
Communication, 3rd ed., ed. R. C. Huseman, C. M. Logue, (Washington, DC: U.S. Department of Justice, National
and D. L. Freshley (Boston: Holbrook Press, 1977), p.11. Institute of Justice, 2014.) NCJ 244760, p. 2.
9 19
T. L. Dahle, “An Objective and Comparative Study of Five Dennis Burns and Zach Perron, “Considerations for Social
Methods of Transmitting Information to Business and Media Management and Strategy,” The Police Chief
Industrial Employees” (Ph.D. dissertation, Purdue (April 2014), 30–32.
20
University, 1954), as cited in Smith et al. “Organizational Ibid., p. 31
21
Behavior,” p. 12. Ibid.

M10_SWAN4056_09_SE_C10.indd 373 7/8/16 8:15 PM

 374 cha p te r 1 0 • ORGANIZATIONAL AN D INTER P ERSONAL CO MMU NICATION

22 42
The Police Executive Research Forum (PERF) is a professional Roberta H. Krapels and Vanessa D. Arnold, “Speaker
organization of progressive chief executives of city, county, Credibility in Persuasive Work Situations,” Business
and state law enforcement agencies. In addition, PERF has Education Forum (December 1997), pp. 24–25.
43
established formal relationships with international police Stephen P. Robbins and Phillip L. Hunsaker, Training
executives and law enforcement organizations from around in Interpersonal Skills: Tips for Managing People at Work
the globe. PERF’s membership includes police chiefs, (Upper Saddle River, NJ: Prentice Hall, 1996), p. 115.
44
superintendents, sheriffs, state police directors, university Refer to Jay A. Conger, Winning ’Em Over: The New Model
police chiefs, public safety directors, and other law for Management in the Age of Persuasion (New York:
enforcement professionals. Established in 1976 as a Simon & Schuster, 2001).
45
nonprofit organization, PERF is unique in its commitment to From 2000 through 2009 469 deaths. “Causes of Law
the application of research in policing and the importance Enforcement Deaths,” From the National Law
of higher education for police executives. Enforcement Officers Memorial Fund website, available
23
Numbers throughout this paper that represents certain from http://www.nleomf.org/facts/officer-fatalities-data/
online metrics, such as the number of likes, shares or causes.html
46
retweets received, or the number of agencies present on Michael W. Mercer, “How to Make a Fantastic Impression,”
social media, may change frequently and are accurate as HR Magazine, March 1993, p. 49.
47
of December 2013. Deborah Tannen, “The Power of Talk: Who Gets Heard and
24
See IACP Center for Social Media Directory, http://www. Why?” Harvard Business Review (September–October
iacpsocialmedia.org/Directory.aspx. 1995), pp. 138–148.
25 48
“Facebook Detail?” American Police Beat, (June 2011), p. 16. Ibid, “How You Speak Shows Where You Rank,” Fortune,
26
Darrel W. Stephens, Julia Hill, and Sheldon Greenberg, February 2, 1998, p. 156 “Frame Your Persuasive
Strategic Communication Practices: A Toolkit for Police Appeal,” Executive Strategies, September 1998, p. 7
Executives, Community Oriented Policing Services, U.S. “Weed Out Wimpy Words: Speak Up without
Department of Justice (September 2011), p. 23–24. Backpedaling, Qualifying,” Working Smart, March
27
Ibid., p. 23. 2000, p. 2.
28 49
Ibid. Albert Mehrabian and M. Wiener, “Decoding Inconsistent
29
E. M. Morley and M. J. Jacobson, “Building a Successful Communications,” Journal of Personality and Social
Public Information Program,” Police Chief Magazine vol. Psychology 6 (1947), pp. 109–114.
50
74, no. 12 (2007); (accessed June 2015), www. Several of these suggestions are from Body Language for
policechiefmagazine.org/magazine/index. Business Success (New York: National Institute for
cfm?fuseaction=display&article_id=1345&issue_ Business Management, 1989), pp. 2–29 and “Attention
id=122007; S. Braunstein and W. Cheek. (eds). Best All Monotonous Speakers,” Working Smart, March
Practices in Law Enforcement Public Information 1998, p. 1.
51
(Alexandria, VA: IACP, 2006); M. Motschall and L. Cao. Several of these suggestions are from Body Language for
2002. “An Analysis of the Public Relations Role of the Business Success (New York: National Institute for
Police Public Information Officer.” Police Quarterly 5, no. 2 Business Management, 1989), pp. 2–29 and “Attention All
(2002), 152–180. doi: 10.1177/109861102129198084; R. Monotonous Speakers,” Working Smart, March 1998, p. 1.
52
Surette, 2001. “Public Information Officers: The Harvey Wallace, Cliff Roberson, and Craig Steckler, Written
Civilianization of a Criminal Justice Profession.” Journal of and Interpersonal Communication Methods for Law
Criminal Justice 29, no. 2, (March-April): 107–117. Enforcement (Upper Saddle River, NJ: Prentice Hall, 2001),
doi:10.1016/0047-2352(95)00023-J. pp. 39, 40. Reprinted by permission of Pearson Education,
30
Patrick Davis, “The Public Information Officer and Today’s Inc., Upper Saddle River, NJ.
53
Digital News Environment,” FBI Law Enforcement Bulletin, See Michael Burgoon, Judee K. Heston, and James
July 2010, p. 3. McCroskey, Small Group Communication: A Functional
31
David Scott, The New Rules of Marketing and PR: How to Approach (New York: Holt, Rinehart & Winston, 1974),
Use News Releases, Blogs, Podcasts, Viral Marketing, and pp. 2–3, 12, 39.
54
Online Media to Reach Your Buyers Directly (New York, See Robert Ardrey, The Social Contract (New York:
NY: John Wiley and Sons, 2007), 191. Atheneum, 1970), p. 368, where the author theorizes
32
“The Public Information Officer,” pp. 4–5. that the range for a natural group is 11 or 12, and
33
Ibid., p. 5. Marvin E. Shaw, Group Dynamics (New York: McGraw-
34
Http://www.nixle.com; accessed June 16, 2015. Hill, 1971), which places the maximum number of
35
“The Public Information Officer, p. 5. persons at 20.
36 55
Ibid., p. 6 B. Aubrey Fisher, “Decision Emergence: Phase in Group
37
Ibid., p. 7. Decision-Making,” Speech Monographs 37 (1970), pp.
38
Ibid. 53–66.
39 56
Ibid. Field, “The Abilene Paradox,” p. 89.
40 57
Andrew J. Dubrin, Leadership (New York: Houghton Mifflin, Spanish is not the only language that officers will encounter.
2004), pp. 364–371, 373, 374. For a discussion of law enforcement agencies’ experiences
41
James M. Kouzes and Barry Z. Posner, The Leadership with Chinese, see C. Fredric Anderson and Henriettee Liu
Challenge: How to Get Extraordinary Things Done Levy, “A Guide to Chinese Names,” FBI Law Enforcement
in Organizations (San Francisco: Jossey-Bass, 1987), p. 118. Bulletin, March 1992, p. 10.

M10_SWAN4056_09_SE_C10.indd 374 7/8/16 8:15 PM

 cha p t er 10 • ORGANIZATIONAL AN D INTER P ERSONAL CO M M U NICATION 375
58 70
Source: “Profile America Facts for Features,” U.S. Census “Texting 911 for Help Could be a Lifesaver,” Tampa Bay
Bureau News, U.S. Department of Commerce, Times, May 24, 2014, p. 14A.
71
Washington, DC, July 30, 2013 (accessed June 2015) For a more detailed discussion of this topic see Sherry
http://www.census.gov/newsroom/releases/archives/facts_ Turkle, “The Flight From Conversation,” The New York
for_features_special_editions/cb13-ff19.html; U.S. Census Times, April 21, 2012, page SR1 of the New York edition;
Bureau, 2011 American Community Survey: Table B03001 Sherry Turkle, “The Tethered Self: Technology Reinvents
(accessed June 2015); http://factfinder2.census.gov/faces/ Intimacy and Solitude,” Continuing Higher Education
tableservices/jsf/pages/procudtview.xhtml?=table; Review 75 (2011), pp. 28–31; Sherry Turkle, “The Creep of
Population Projections (accessed June 2015) http://www. Social Media Raises Big Questions,” The New York Times,
census.gov/newsroom/releases/archives/population/ updated June 20, 2012, The Opinion Pages.
72
cb08-123.html. Ibid., p. 170.
59 73
Colleen Long, “Police Departments Offer Raises, Immersion Ibid., pp. 170–171.
74
Programs for Bilingual Cops,” Associated Press, March 11, U.S. Department of Labor, Office of Disability Employment
2010. Writers Cristian Salazar in New York and Jeff Carlton Policy; the Medial Project, Research and Training Center
in Dallas, and AP photographer Bebeto Matthews in New on Independent Living, University of Kansas, Lawrence, KS;
York contributed to this report. and the National Center for Access Unlimited, Chicago, IL.
60
This section is adapted from Brian K. Ogawa, Focus on the About 9 percent of the American population is either deaf
Future: A Prosecutor’s Guide for Victim Assistance or hard of hearing. And as baby boomers reach their
(Washington, DC: National Victim Center, 1994). senior years, the percentage is going to increase. So the
61
G. Weaver, “Law Enforcement in a Culturally Diverse chance of an officer dealing with a deaf person or
Society,” FBI Law Enforcement Bulletin, September 1992, someone who is hard of hearing is a distinct possibility,
pp. 3–7. (This discussion of cross-cultural diversity in which the officer should be prepared to deal with.
communication was taken with modification from this Retrieved from; http://www.dol.gov/odep/pubs/fact/
source.) comucate.htm (accessed February 17, 2014).
62 75
Thomas Kochman, Black and White Styles in Conflict Amaury Muragado, “Dealing with the Deaf,” Police Beat,
(Chicago: University of Chicago Press, 1981). September 20, 2013; (accessed February 17, 2014)
63
Edmund Glenn, D. Witmeyer, and K. Stevenson, “Cultural http://www.policemag.com/channel/careers-training/
Styles of Persuasion,” International Journal of Intercultural articles/2013/09/dealing-with-the-deaf.aspx.
76
Communication 1 (1977), pp. 52–66. U.S. Department of Labor, Office of Disability Employment
64
Diana Oblinger, “Boomers & Gen-Xers, and Millennials: Policy.
77
Understanding the New Students,” Educause Review Police Officer’s Guide for Working with People with
(July/August, 2003), p. 40. Developmental Disabilities and Achieving Positive
65
Diane Thielfoldt and Devon Cheef, “Generation X and the Outcome, Community Mental Health for Central
Millennials: What You Need to Know About Mentoring the Michigan; (accessed February 17, 2014) http://www.
New Generations,” Law Practice Today (2010). thearcofmidland.org/wordpress/wp-content/
66
Ibid. uploads/2013/11/A-Police-Officers-Guide-for-Working-
67
Ibid. with-People-with-Developmental-Disabilities-and-
68
Linda A. Panszczyk, HR How-to: Intergenerational Issues Achieving-Positive-Outcome.pdf.
78
(Chicago, IL: CCH KnowledgePoint, 2004), p. 168. U.S. Department of Labor, Office of Disability Employment
69
Ibid., pp. 168–170. Policy.

M10_SWAN4056_09_SE_C10.indd 375 21/06/2018 15:55

 c h a p t e r e l e v e n

L A B O R R E LATI ONS
Learning Objectives
1. Identify the seven significant factors that led to public sector collective bargaining.
2. Discuss the ways in which police unions impact the community.
3. Explain briefly the differences between the three models of collective bargaining.
4. Identify who generally serves on management and union teams during negotiations.
5. Describe the four potential major types of job actions a police union can take and the
appropriate administrative actions that can be taken in response by police administrators.
6. Understand why many police departments around the country are facing funding cutbacks.

376

M11_SWAN4056_09_SE_C11.indd 376 7/8/16 3:23 PM

 C H AP T E R 11 • L ABOR RELAT IONS 377

INTRODUCTION support for their “war on crime,” (4) personnel practices in

police agencies, (5) salaries and benefits, (6) violence directed
NO SINGLE FORCE IN the past 60 years has had at the police, and (7) the success of other groups.1
a greater impact on the administration of police
agencies than collective bargaining by officers. The Needs of Labor Organizations to
Police unions represent a major force with which Expand Their Membership
The attention of labor organizations was devoted almost entirely
police managers must reckon. It is important for the
to obtaining members from the private sector until the 1960s. How-
police administrator to possess the following ever, because of this exclusive focus on the private sector the
information in order to enhance their effectiveness opportunity to gain new members was limited. Therefore, unions
looked at the possibility of organizing public employees in order
in dealing with police unions: (1) the historical
to increase their membership rolls. Illustratively, in 1965, there
aspects of the creation of police unions in the were 10.6 million employees in local, state, and federal govern-
United States, (2) the impact police unions have ments, who were almost entirely non-unionized.2 With barriers to
the unionization of public employees falling, combined private and
had on their communities and their respective
public sector unions peaked in 1979 with 21 million members.3
agencies, (3) the general structure of laws In the decades following 1979, union membership declined. By
governing collective bargaining for law 2014, the total number of unionized employees fell to 14.6 mil-
lion.4 Some 35.7 percent of public sector employees were union-
enforcement officers, (4) how a bargaining
ized in 2014 with members from education and protective services
relationship is formed, (5) the various job actions being most numerous.5 Overall, the share of the total workforce
that police unions will sometimes take when they that is unionized has fallen to 11.3 percent, a 97-year low.6
There are multiple reasons for the reduction in union member-
are dissatisfied with the negotiation process or
ship7: (1) new laws that rolled back the power of unions in states
other political issues arising in the community, such as Indiana, Michigan, New Jersey, and Wisconsin with right
(6) the most efficient ways for police administrators to work laws. Such laws allow people to be employed without an
obligation to join the applicable union, commonly called a union
to handle job actions, and (7) how to most effectively
“closed shop”; (2) manufacturers have been expanding into the
respond to the most recent funding cutbacks. 25 states with right to work laws8; and (3) the growth in sectors
such as retail and restaurants, where unions have little presence.

UNIONIZATION OF THE POLICE: The Reduction of Legal Barriers

Although workers in the private sector had been given the right
A HISTORICAL PERSPECTIVE to bargain collectively under the federal National Labor Relations
From 1959 through the 1970s, a number of events combined to Act of 1935, it was another quarter-century before the first state
foster public-sector collective bargaining. These significant forces enacted even modest bargaining rights for public employees.
were (1) the needs of labor organizations, (2) the reduction of Beginning with the granting of public-sector collective bargain-
legal barriers, (3) police frustration with the perceived lack of ing rights in Wisconsin in 1959, many of the legal barriers that

Quick Facts: The Boston Police Strike of 1919 and Its Aftermath

The first campaign to organize the police started shortly after filed charges against several union officials. Commissioner
World War I, when the American Federation of Labor (AFL) Curtis called on the union to give up its charter and when it
reversed a long-standing policy and issued charters to police refused it suspended more than a dozen policemen. As a
unions in Boston, Washington, DC, and about 30 other cities. result, three-quarters of the force went out on strike. On
August Vollmer and many other police chiefs promptly con- orders from Governor Calvin Coolidge, the Commonwealth
demned this move. Following the logic of the military anal- fired the strikers and destroyed the union. This action was
ogy, they insisted that policemen had no more right to join a hailed by President Woodrow Wilson, who claimed that
union than soldiers and sailors and therefore no right to affili- policemen had the same obligation as soldiers branded the
ate with the AFL. walkout “a crime against civilization.” By 1920, efforts to
Boston Police Commissioner E.U. Curtis refused to recog- organize the police in America effectively ended for the next
nize the police union, forbade the rank and file to join it, and 40 years.9

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 378 CHA PTE R 1 1 • L A B O R R E L ATIO NS

FIGURE 11.1 c The Boston

police strike of 1919 (Courtesy of
the Boston Post)

had been erected in the wake of the Boston police strike of 1919 police officers. First, it created anger with its implied allegation
began to tumble (see Figure 11.1). that the police could not, or would not, keep their own house
Other states that also extended such rights to at least some in order. Second, it fostered the notion that politicians were
classes of employees at an early date included California (1961) ready to “throw the police to the wolves” and thus were part of
and Connecticut, Delaware, Massachusetts, Michigan, Oregon, “them.” However, the previously high public opinion of the
Washington, and Wyoming, all in 1965. Many other states fol- police presently has declined dramatically in recent years. A 2015
lowed this lead, particularly from 1967 to 1974.10 President John Gallup poll found confidence in the police at its lowest in two
F. Kennedy granted limited collective bargaining rights to federal decades, a mere 52 percent, matching the level in a 1991 poll
workers in 1962 by Executive Order 10988. The courts, too, were taken after African-American motorist Rodney King was beaten
active in removing barriers; for example, in Atkins v. City of by Los Angeles police officers.16 Perhaps the string of unarmed
Charlotte (1969), the U.S. District Court struck down a portion of African-American men killed by the police during 2014 and 2015
a North Carolina statute prohibiting public employees from being has had a similar effect on public opinion.
or becoming a union member as an infringement on the First
Amendment right to free association.11 While Atkins involved The Impact of the Due Process
firefighters, the federal courts reached similar conclusions involv-
ing Atlanta police officers in Melton v. City of Atlanta (1971)12
Revolution
and a Colorado deputy sheriff in Lontine v. VanCleave (1973).13 Particularly among street-level officers, the reaction of the
police to the whirlwind of Supreme Court decisions, discussed
in Chapter 4, Politics and Police Administration, was one of
Police Frustration with the Perceived dismay at being “handcuffed” in attempts to control crime. It
Lack of Support for Their War on Crime tended to alienate the police from the Supreme Court and to
Historically, the police have felt isolated in their effort to control contribute to a general feeling that social institutions that should
crime. This stems from two factors: (1) perceived public hostility support the police effort in combating crime were, instead, at
and (2) the impact of the due process revolution. odds with that effort.

Perceived Public Hostility Personnel Practices in Police Agencies

As an illustration of this historic, a 1967 survey of a larger city Past practices become precedent, precedent becomes tradition,
police department revealed that over 70 percent of the officers and tradition in turn becomes the mighty anchor of many orga-
had an acute sense of citizen hostility or contempt.14 In contrast, nizations, sometimes impeding change. By the late 1960s, the
a survey conducted by the National Opinion Research Center tendency to question the appropriateness of certain traditions
that same year revealed that 77 percent of the respondents felt was pervasive. Police rank-and-file members were no exception.
the police were doing a “very good” or “pretty good” job of This tendency was heightened by the increased educational
protecting people in their neighborhoods.15 These data notwith- achievement of police officers. Although management’s general
standing, the police saw the public as hostile, and the most performance was often judged to be suspect, traditional person-
persuasive “evidence” of this emerged in the attempts to create nel practices were the greatest concern, as these directly affected
civilian review boards, which carried several latent messages to the individual officer.

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 C H AP T E R 11 • L ABOR RELAT IONS 379

Quick Facts: Did the Report Really Need Attention That Quick?

A 1960s police officer had worked the evening watch. He was could wait until he came back on duty. The sergeant insisted
assigned a late call and was 3 hours late getting off. He that the officer needed to return to the station. The officer
turned his incident report into the then-on duty patrol ser- was in a difficult situation: tell the sergeant he wasn’t going
geant because his supervisors were gone. The sergeant to do it and risk discipline for failure to obey an order or
reviewed it and signed and the tired patrol officer headed simply return to the station. He returned as instructed.
home, 14 miles away. Several years later the officer was trying to decide whether
Shortly after he got home, the sergeant called and said he or not to vote for unionization. His decision to vote for union
just noticed something in the report that needed to be representation was influenced, in part, by the inconsiderate
changed and ordered the officer back to the station. He dis- actions of the sergeant who made him come back to the
missed the officer’s point that the matter was not critical and station.

Among the practices that were most distasteful to rank-and-file Violence Directed at the Police
members were: the requirement to attend, unpaid, a 30-min roll
In 1964, there were 9.9 assaults per 100 officers; in 1969, this
call immediately before the 8-hour tour of duty; uncompensated
figure rose to 16.9. Before 1968, the killing of police officers by
court attendance during off-duty time; short-notice changes in
preplanned ambushes was unheard of; in that year, there were
shift assignments; favoritism in both work assignments and selec-
seven such incidents.21 The escalating violence had considerable
tion for attendance at prestigious police training schools; and
psychological impact on the police, who saw themselves as sym-
arbitrary disciplinary procedures.
bolic targets of activists attacking institutional authority. Rank-
Gradually, the gap between officers and management wid-
and-file members began pressing for body armor, special
ened. Officers began turning to employee organizations to rectify
training, the placement of special weapons in police cars, and
collectively the shortcomings of their circumstances. Subse-
sharply increased death benefits. The Islamic State has recently
quently, the solidarity of police officers was to prove a great
encouraged jihadists to kill American police officers, raising the
benefit to employee organizations.
specter that ambushes of the police may increase, even as many
are calling for the demilitarization of the police.
Salaries and Benefits
As did other government workers in the 1960s, police officers
felt their salaries, fringe benefits, and working conditions were
The Success of Other Groups
not adequate. In 1961, mining production workers were averag- During the 1960s, the police witnessed mass demonstrations on
ing $111 a week in earnings, lithographers $114, tire and inner- college campuses that used many of the tactics associated with
tube producers $127, and telephone line construction workers the Civil Rights movement. The college campus protests were
$133,17 whereas the pay of police officers averaged far less. Even against the Vietnam War. Among the campus demonstrations
by 1965, the salary range for patrol officers in the larger cities— that were highly publicized were the University of Chicago
those with more than 100,000 in population—was only between (1965), Columbia University (1968), and San Francisco State
$5,763 and $6,919 annually.18 The rank-and-file members College (1969). By 1970, campus demonstrations reached the
believed increasingly that, if what was fairly theirs would not be point that, within 10 days of President Richard Nixon’s
given willingly, they would fight for it. In New York City, the announcement that he was expanding the Vietnam War and
Patrolmen’s Benevolent Association (PBA) was believed to have invading enemy sanctuaries in Cambodia, a total of 448 cam-
been instrumental, from 1958 to 1969, in increasing entry-level puses were either shut down or otherwise affected by campus
salaries from $5,800 to $11,000 per year; obtaining longevity pay, unrest.22 One lesson the police learned from this is that collec-
shift differential pay, and improved retirement benefits; and tive action can produce results.
increasing the death benefit from $400 to $16,500.19 In 1968, the
Boston PBA, in negotiating its first contract—which required
mediation—obtained increased benefits for its members, such as
an annual increase of $1,010; time and a half for all overtime, THE IMPACT OF POLICE UNIONS
including court appearances; and 12 paid holidays.20 However, ON THE COMMUNITY
in recent years, police unions have been called upon not only
to fight for pay raises for their members but also to oppose and There is little question that the presence of a police union in a
effectively deal with threatened pay cuts, reductions in pension community has an impact upon both the police department and
benefits, and forced layoffs (discussed in greater detail later in the community it serves. There are essentially four areas that
this chapter). need to be examined in order to fully understand and appreciate

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 380 CHA PTE R 1 1 • L A B O R R E L ATIO NS

the impact of police unions, both within their respective issues of the police subculture and of organizational cultures
a­ gencies and in the community. These include (1) the impact on within police departments have not yet received sufficient
discipline and accountability, (2) the impact on the police scholarly attention.29
­subculture, (3) the impact on city or county finances, and (4) the A Community Oriented Policing (COPS) report argues that
impact on politics. “failing to understand and respect the culture of the agency” is
one of the major factors explaining the failure of police chiefs
Impact on Discipline and Accountability to be effective and retain their jobs. This conclusion represents
a recognition of the importance of the police culture and the fact
The impact of police unions on discipline and accountability is
that local police cultures vary, but like other references to this
arguably the issue that causes the greatest concern among com-
phenomenon, it is based on anecdotal evidence.30 There is an
munity activists, public officials, and many police executives. The
expression in policing that “culture eats policy for lunch,” thus
impact is felt in several different ways.23
suggesting when there is a conflict between culture and policy,
For example, police unions play a role in reinforcing the
culture will prevail.
norms of police subculture. One of the most important aspects
of this involves the code of silence, which results in the refusal
of officers to testify against other officers who are accused of The Relationship Between Police Unions
misconduct. The code has been widely cited as perhaps the most and the Police Subculture
familiar obstacle to the effective investigation of alleged allega-
We can formulate three tentative hypotheses regarding the rela-
tions of misconduct against officers.24 Missing from these discus-
tionship of police unions to the police subculture: (1) following
sions, however, is any analysis of the extent to which the police
Herbert’s discussion, the police subculture is a multi-dimensional
union sustains the code of silence by (1) providing tangible
phenomenon, of which the police union is only one aspect or
support for accused officers in the form of experienced legal
influence; (2) there are great differences in the informal cultures
representation, (2) providing moral support for accused officers
among police departments, and the relative influence of the
through organized group solidarity, and (3) negotiating a con-
police union varies from department to department; and (3) the
tract that inhibits thorough investigations of misconduct. As an
differences in local police subcultures have some significant and
example, there are specific provisions in many collective bar-
measurable difference in all aspects of policing, including overall
gaining agreements that inhibit investigations. Police union con-
management practices, accountability and discipline, police offi-
tract provisions typically specify detailed procedures for the
cer interactions with citizens, and local politics.
investigation of alleged misconduct, including the time, place,
The idea of a distinct police subculture originated in the
and manner of interviews or interrogations. Many, if not most of
1950s and early 1960s, emphasizing group solidarity, hostility to
these provisions represent legitimate due process protections for
the public, secrecy and toleration of misconduct, and even vio-
employees. These include the right to notice of charges, the right
lence against citizens.31 Much has changed for the better in
to legal representation, the right to a hearing, and the right to an
policing since publication of the works that defined the police
appeal, among others.25
subculture. At that time, African Americans and Hispanics were
About 14 states also have state Police Officers Bills of Rights
grossly under-represented among sworn officers, and women
(POBR), which contain provisions similar to those in police
were not employed on a basis equal to men. In the past 45 years,
union contracts. In their content analysis of these statutes, there
the composition of the rank-and-file has changed dramatically
are a few provisions that inhibit accountability. For example, the
as a result of both equal employment opportunity considerations
Maryland POBR prohibits questioning of officers by investiga-
and a significant rise in educational levels of officers.32 One
tors who are not sworn officers. Such a prohibition precludes
index of the growing diversity of the rank-and-file is the preva-
the investigation of complaints by an independent citizen over-
lence of nonunion employee associations based on race, ethnic-
sight agency.26
ity, and gender.
Police unions have had a major impact on the development
As a result, the entire concept of a distinct police subculture
of citizen oversight agencies, whether in the form of civilian
needs consideration. Herbert has described a complex, multi-
review board or police auditors, or some other arrangement.
dimensional view of the police subculture that is far more
Most famously, pressure by the local police unions was respon-
sophisticated than the original concept.33 There is evidence of
sible for the demise of the two major civilian review boards in
very different attitudes on the part of African-American officers
the 1960s, in New York City and Philadelphia.27
compared with Whites, particularly on the issue of the use of
force.34 In some departments, African-American associations
Impact on the Police Subculture have been publicly critical of positions taken by both manage-
Another important area of policing is the so-called police sub- ment and police unions that tend to be dominated by White
culture. The Christopher Commission report on the Los Angeles males. A significant body of research, however, has found no
Police Department released in 1991, for example, contains a meaningful differences on the street behavior among White,
chapter with “LAPD Culture” in the title. The report does not, African American, Hispanic, or female officers. The exception to
however, contain any substantive discussion of that culture or this rule is that female officers appear to be far less involved in
the role of the local union in maintaining it.28 The related serious misconduct, repeated misconduct, and as recipients of

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 C H AP T E R 11 • L ABOR RELAT IONS 381

citizen complaints.35 (See Chapter 10, Organizational and “employer” and are not brought within the scope of that federal
Interpersonal Communication for the possible reasons for law. As a result, laws regulating collective bargaining for state,
gender differences.) county, and city law enforcement officers have developed on a
state-by-state basis and, occasionally, on a local basis. Most states
Impact on City or County Finances that allow public sector collective bargaining have created a
Public Employees Relations Commission (PERC) to administer
Until the most recent funding cutbacks faced by many communi-
the enabling law.
ties police unions have been generally successful in negotiating
Although public employee collective bargaining laws in each
good salary and fringe benefit packages for their members. The
state are different, the general thrust of the laws can be sum-
resulting contract provisions undoubtedly have some significant
marized by three simplified models: the binding arbitration
impact on the finances of cities and counties. The nature of this
model, the meet and confer model, and the bargaining not
impact is not known, however. It is believed that police (and
required model.39
sometimes firefighters) negotiations set the standard for negotia-
tions by other municipal employees, although this proposition
has not been researched. It is not known to what extent negoti- Binding Arbitration Model
ated police salaries and benefits force cities and counties to In states following the binding arbitration model, public
reduce expenditures for other services such as streets, parks, employees are granted the right to select exclusive representa-
and libraries.36 tives for the purposes of bargaining with their employers. In
On the positive side, it is generally accepted that the advent such states, the public employer and the labor organization are
of police unionism in the late 1960s and early 1970s resulted in required to bargain in good faith until impasse, then to submit
significant improvements in police salaries and fringe benefits. any unresolved disputes to a process known as “interest arbitra-
This in turn has helped to improve the relative attractiveness of tion,” in which a neutral third party selected by the parties makes
law enforcement as a career. It should be noted that the Presi- a final and binding resolution of those issues.
dent’s Crime Commission on Law Enforcement and Administra- In binding arbitration, the neutral third party decides what the
tion of Justice released in 1967 reported both lagging salaries terms and conditions of the new collective bargaining agreement
and benefits and an inability of some agencies to attract qualified will be, usually using standards established by state statute. For
recruits.37 It might also be noted that 20 years later, a report on example, Michigan’s collective bargaining law contains standard
police education found that the educational levels of police language governing the right of law enforcement labor organiza-
recruits had risen dramatically in the two previous decades.38 tions to binding arbitration, a right that is always accompanied
by a ban on the right of law enforcement officers to strike:
Impact on Local Politics
It is the public policy of this state that in public police and
Police unions are well-organized, may have substantial financial
fire departments, where the right of employees to strike is by
resources, and possess political clout. Police unions regularly
law prohibited, it is requisite to the high morale of such
endorse or oppose political candidates for office, support or
employees and the efficient operation of such departments
oppose proposed ordinances or referenda, and influence city or
to afford an alternate, expeditious, effective and binding pro-
county budgets.
cedure for the resolution of disputes, and to that end the
provisions of this act, providing for compulsory arbitration,
shall be literally constructed.40
THE GENERAL STRUCTURE OF There are three general types of binding arbitration laws,
LAWS GOVERNING COLLECTIVE reflecting differences in the latitude given arbitrators to render
decisions. Under the first type, known as an “issue-by-issue” law,
BARGAINING FOR LAW an arbitrator has the obligation to render a decision on each
ENFORCEMENT OFFICERS issue independently and to craft an award on each issue that
best accomplishes the purposes of the arbitration statute. Under
Without question, the broadest grant of rights to law enforcement the second type of law, known as “final offer, issue-by-issue,”
officers exists in collective bargaining agreements. Under col- each party submits a final offer on each issue. The arbitrator then
lective bargaining agreements, the wages and benefits of law renders a decision on each issue independently, but must award
enforcement officers are guaranteed for the duration of the agree- the final offer made by one of the parties, and is not free to craft
ment. Most significantly, officers who dispute a decision of their a compromise position that has not been specifically proposed
employer concerning working conditions usually have the right by either party. The third type of law, known as “total package”
to appeal that decision through a grievance procedure that cul- arbitration, requires the arbitrator to select the most reasonable
minates with a final and binding decision by a neutral third party. of the total packages submitted by each party, even if selected
Under the terms of the federal National Labor Relations Act, elements of that party’s total package might not have been
state governmental bodies and their political subdivisions, such awarded by the arbitrator on an issue-by-issue basis. All states
as cities and counties, are excluded from the definition of with binding arbitration require an arbitrator to analyze a set of

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 382 CHA PTE R 1 1 • L A B O R R E L ATIO NS

criteria established by statute, usually including factors such as dd Interference, restraint, or coercion of employees because
the wages and benefits paid in comparable jurisdictions, the cost employees have exercised their collective bargaining
of living, and an employer’s ability to pay.41 rights
Employers have challenged binding arbitration laws under a dd The “domination” of a labor organization by an employer
variety of theories, including arguments that binding arbitration dd The failure to furnish information relevant to the
is an unconstitutional delegation of legislative authority and that collective bargaining process
binding arbitration inappropriately interferes with a city or coun- dd Inappropriate “interference” by an employer with the
ty’s home rule status. Almost uniformly, such challenges have not
internal activities of a labor organization
been successful, with courts upholding binding arbitration as a
rational means to bring about the resolution of bargaining dis- dd Discrimination against employees who have exercised
putes involving law enforcement officers.42 their collective bargaining rights45
The usual form of challenging any of these practices is through
Meet and Confer Model the filing of an “unfair labor practice” or “prohibited practice”
Labor leaders commonly refer to the meet and confer model complaint with the state agency responsible for administering
as “collective begging” because it confers little or no bargaining the collective bargaining laws. Most states have a relatively quick
rights on employees. There are variations in meet and confer statute of limitations—some as short as six weeks—for the filing
models, but most commonly they permit the governmental of such complaints.46
employer and the employees representative to meet and discuss
“permissible” topics, such as wages, benefits, and working condi- Categories of Collective Bargaining Topics
tions. Some topics, such as pensions, may be specifically
Where a law enforcement employer is obligated to bargain col-
excluded from discussion. The governmental employer has the
lectively, the bargaining topics over which bargaining may be
final decision on any topics discussed and there is no neutral
conducted are generally classified under one of three catego-
impasse resolution mechanism.
ries—mandatory, permissive, or illegal topics of bargaining.47
Meet and confer laws may be established by state statute or
Mandatory subjects of bargaining—usually those described as
local enactments. They may describe how officers select their
topics pertaining to wages, hours, and terms and conditions of
representatives, the obligation to freely exchange information,
employment—must be bargained if raised by either side.48 Per-
meet for reasonable periods of time, bargain in good faith, and
missive subjects of bargaining—usually falling under the gen-
that agreements be in writing and approved by a majority of the
eral heading of “management rights”—are those over which
officers being represented and the governing body. Under the
bargaining may occur but is not compelled.49 Illegal subjects of
least labor friendly meet and confer laws, neither the govern-
bargaining are those over which the employer is forbidden by
mental employer nor the employees are required to meet. Such
law from bargaining.50 The distinction among the categories of
meetings are often only an opportunity, not a requirement.
bargaining subjects is particularly important when interest arbi-
tration is the last step in the bargaining process because only
Bargaining Not Required Model mandatory subjects of bargaining may generally be referred to
The third model for police-sector collective bargaining laws, the interest arbitration.51
bargaining not required model, is found in states that do Where the obligation to bargain exists, it has importance,
not statutorily require or, in some cases, allow collective bargain- not only when negotiations for an actual contract are being
ing for law enforcement officers. In some of these states, bar- conducted, but also during the term of the contract and after
gaining laws have been enacted by the state legislature, only to the contract expires. The obligation to bargain is continual, a
be declared unconstitutional later by the courts (Indiana, for characteristic that can significantly limit an employer’s flexibil-
example, has such a history) or even have the bargaining rights ity in making certain decisions. If a matter is a mandatory
rescinded by a state’s governor. In the majority of such states, a subject for bargaining, an employer cannot make changes in
statewide collective bargaining statute covering law enforcement past practices affecting the matter without first negotiating with
officers has never been enacted. In some states where collective the labor organization representing its officers.52 This restric-
bargaining has not been granted on a statewide basis, certain tion applies whenever a labor organization has been certified
cities and counties within the state have voluntarily chosen to as the bargaining representative for employees. The continuing
bargain with their law enforcement officers.43 duty to bargain can even invalidate an employer’s efforts to
change its past practices through enacting a charter
Unfair Labor Practices amendment.53
Two cases from the state of Washington provide a good
States with collective bargaining almost always have statutes that
example of this so-called continuing duty to bargain. In one
list a number of labor practices deemed to be “unfair.” The usual
case, the collective bargaining agreement covering a city police
list of unfair labor practices includes the following:
department had expired when the employer decided to change
dd A refusal to bargain in good faith over subjects that are from a fixed-shift system, in which shifts were selected by senior-
mandatory for bargaining44 ity, to a system in which shifts rotated every few months. In the

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 C H AP T E R 11 • L ABOR RELAT IONS 383

second case, the employer made changes in the method of allo- Agreement, unless mutually agreed otherwise between the
cating standby assignments. Even though a contract was in effect Employer and the Association.60
at the time of the changes, the contract did not address the
Maintenance of benefits clauses enhance a labor organiza-
method of standby assignment allocation. In both cases, the
tion’s ability to prevent changes in past practices. When under
employers were held to have committed unfair labor practices
the general continuing duty to bargain, a labor organization
by making the changes without first negotiating with their
has the ability to demand only that an employer bargain to
respective unions. The Washington State Public Employment
impasse over changes in past practices that are mandatory
Relations Commission held that, absent a clear waiver of the
negotiable; a maintenance of benefits clause allows a labor
union’s right to bargain, the continuing duty to bargain prohib-
organization simply to refuse to agree to the change, even if
ited the implementation of any changes in such mandatorily
the employer is willing to bargain over the issue. This distinc-
negotiable hours of work issues.54
tion is particularly important in states where the bargaining
A labor organization can waive the right to bargain over
process does not culminate with binding arbitration but,
changes in past practices in one of two ways: by “inaction” and
instead, allows an employer to unilaterally implement its last
by “contract.” A waiver by inaction occurs when the labor orga-
best offer on a bargaining issue.
nization has knowledge that the employer intends to make a
When a topic is mandatory for bargaining, the employer must
change in past practice (or has actually made such a change) but
negotiate about the topic with the labor organization, not with
does not demand to bargain over the change in a timely man-
individual union members. For example, because discipline is
ner.55 Even a 6-week delay in demanding the right to bargain
mandatorily negotiable, an employer would violate its bargaining
has been held to waive bargaining rights.56 In order to have a
obligation if it entered into a “last chance” agreement with a
labor organization’s demand to bargain held untimely, the
troubled employee unless the employee’s labor organization also
employer generally must establish that it provided actual and
was a party to the agreement.61 This ban on one-on-one con-
timely notice of its intended action.57
tracts with individual union members is a strong one and has
A waiver by contract exists when the labor organization
invalidated a wide variety of employer agreements with indi-
has contractually given the right to the employer to make
vidual union members, including the payment of a signing
changes in mandatory subjects of bargaining. To be effective,
bonus,62 a contract with the newly hired officers that they will
“contract waivers” must be specific and clearly articulated.
repay the costs of their training if they quit to go to work for
For example, a management rights clause that generally gives
another law enforcement employer,63 and an agreement with a
the employer the right to establish hours of work would
probationary employee to extend the probationary period.64
likely not be specific enough to allow the employer the uni-
lateral right to change work shifts or to change from fixed to
rotating shifts.
For bargaining rights to exist mid-contract, the labor organiza- ESTABLISHING THE BARGAINING
tion must establish that the past practice the employer is intend-
ing to change has been consistent and long-standing.58 The labor RELATIONSHIP
organization must also establish that there has been an actual
change in past practices in order to demand bargaining during The Process
the term of the contract. In one case, the police association in Assuming the existence of a legal provision for collective nego-
New York City was attempting to bargain over a department tiations, the process of establishing a bargaining relationship is
directive that banned “hog-tying” of suspects. The court ruled straightforward, although fraught with the opportunity for dis-
the directive was not negotiable because the labor association putes. The mere fact that most members of a police department
failed to prove the existence of a past practice that allowed hog- belong to a single organization does not mean that it automati-
tying, resting its decision on testimony that hog-tying was not cally has the right to represent its members for the purpose of
taught during training and on the word of the supervisor of the collective bargaining.65 Those eligible to be represented may, in
patrol force that, in 41 years of service, he had never seen hog- fact, select an organization to which they already belong for this
tying used in the department.59 In addition, an employer’s right purpose, or they may select another one. This choice must be
to make changes in mandatory subjects of bargaining can also made, however, in ways that conform to the legislation provid-
be limited by a collective bargaining agreement. Contractual ing the collective bargaining if the employee organization hopes
clauses typically labeled “maintenance of benefits” or “existing to gain certification by the Public Employment Relations
conditions” forbid an employer from changing wages, hours, or Commission (PERC).
working conditions. The contract covering Buffalo, New York The union begins an organizing drive, working to get 30 percent
police officers contains an example of such a clause: of the class or classes of employees it seeks to represent to sign
authorization cards, of which Figure 11.2 is typical. Once this
All conditions or provisions beneficial to employees now in goal is reached, the union notifies the police department. An
effect which are not specifically provided for in this Agree- election is held, and the union must get 50 percent plus one
ment or which have not been replaced by provisions of this officer to prevail. If management believes that the union has
Agreement shall remain in effect for the duration of this obtained a majority legitimately and that it is appropriate for the

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 384 CHA PTE R 1 1 • L A B O R R E L ATIO NS

INTEREST CARD
INTERNATIONAL UNION OF POLICE ASSOCIATIONS, AFL-CIO

DATE _____________________

I, the undersigned, hereby authorize the International Union of Police Associations, AFL-CIO,
to represent me for the purpose of collective bargaining with my employer.

______________________________________________
(Name of employer; and/or its successor)
and to seek an election for that purpose.
(PLEASE PRINT CLEARLY) RANK ___________________

NAME _________________________________________________________________ _________________________________

Social Security Number

ADDRESS __________________________________________________________________________________________________
Number and Street

_________________________________________________________________________________________________
City State Zip Code

HOME PHONE __________________________________ WORK PHONE _____________________________________

SIGNATURE _____________________________________ WITNESS __________________________________________

FIGURE 11.2 c A typical authorization card. Source: Reprinted with permission from the International Union of Police
Associations.

class or classes of officers to be grouped together as proposed union at the same time that the union is mounting its organizing
by the union, it will recognize the union as the bargaining agent drive. The employee organization may wish access to bulletin
of the officers that it has sought to represent. Once recognized boards, meeting space, and mailing lists to publicize the advan-
by the employer, the union will petition the PERC or another tages of unionizing to the officers, all of which management may
body responsible for administering the legislation for certifica- not wish to provide. The decision as to what is an appropriate
tion. In such cases, the PERC does not check the authorization grouping of officers for the purposes of collective bargaining,
cards but only the appropriateness of the grouping of the offi- technically referred to as “unit determination,” is profoundly sig-
cers. If the grouping is deemed appropriate by the PERC or a nificant and one about which management and the union may
similar administrative body, then the employee organization is have sharp differences.
certified as the bargaining representative. Questions such as the following may arise: Are lieutenants
If the employee organization is not recognized by manage- part of management and therefore not eligible for representation
ment, it can petition the PERC for an election; the petition must by the union for purposes of collective bargaining? Should civil-
be accompanied by signed and dated representation cards from ian radio dispatchers be part of the same bargaining unit as
30 percent of the group of employees the union seeks to repre- uniformed officers? Should detectives be in a bargaining unit by
sent. A secret vote is then held at the direction of the PERC, with themselves? These decisions are important because they can
the ballot including the union or unions that are contesting the affect the operation of the police department and can determine,
right to represent the officers, along with the choice of no union. to some degree, the dynamics of the employee organization.
The union that receives a majority of the votes from among the They can impact the scope of bargaining and affect the stability
officers who are eligible to be represented by the employee of the bargaining relationship, or they can even be decisive in
organization and who actually cast ballots is then certified. Alter- the outcome of a representation election.66
nately, a majority of those casting ballots might vote for no Both the union and management are pragmatic when it
union. In the event that no majority is achieved, a runoff election comes to defining the appropriate bargaining unit. In general,
is necessary. both might prefer a broad unit, the union, because the numbers
will give it strength, while management resists the proliferation
of bargaining units because each one that is recognized officially
The Opportunity for Conflict must be bargained with separately. Here, too, despite a similar
In establishing the bargaining relationship, there is ample oppor- orientation, disputes can arise. The union may know that it has
tunity for disputes to develop. Management may undertake a the support of only one category of employees (e.g., detectives)
campaign to convince officers they are better off without the and seeks to represent them as a single bargaining unit.

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 C H AP T E R 11 • L ABOR RELAT IONS 385

Management may feel that particular union is too militant and, the consumer price index, and copies of recent contracts for
consequently, favors, as a part of a hidden agenda, the inclusion similarly sized jurisdictions—with them. Although there will be
of detectives in a wider unit as a means of promoting the elec- only several union research team members at the table, they will
tion of a more moderate union that is also seeking to represent have had assistance in gathering their information from others
employees. What constitutes an appropriate unit may be defined in the union. Unless the union’s chief negotiator is an attorney,
by state law. The most common method of unit determination, there will seldom be an attorney sitting at the table with the
however, is for the PERC or a similar administrative body to union’s team.
make decisions on a case-by-case basis, applying certain criteria The chief negotiator for management may be the director of
stipulated in the legislation.67 Among the criteria often identified labor relations or the human resources director of the unit of
are the desires of the employees, the “community of interests” government involved or may be a professional labor relations
shared by the employees, the need to avoid creating too many specialist. Some jurisdictions prefer the latter because, if there
bargaining units, the effects on efficiency of operations, and the are acrimonious occurrences, once the bargaining is over the
history of labor relations in the police department. director of labor relations can step back into the picture and
assume a relationship with the union that is unscarred by any
incidents. The chief of police should not appear at the table
NEGOTIATIONS personally, but a key member of the command staff who has his
or her confidence should. The appearance of the chief at the
table makes the task of leadership more difficult; to appear there
Selection of the Management and Union
on equal footing with the union’s bargaining team on one day
Teams and then to step back atop the organizational hierarchy on the
Figure 11.3 depicts a typical configuration of the management next requires greater adjustments by both the chief and the
and union bargaining teams. The union’s chief negotiator will union members than the creation of any benefits associated with
usually not be a member of the bargaining unit; rather, he or she his or her presence are worth.
will be a specialist brought in to represent it. The way in which issues are presented, and the flexibility that
This ensures a certain level of expertise, wider experience, both sides have, will impact strongly on how the bargaining ses-
an appropriate degree of objectivity, and an autonomy that sions will go. Perhaps equally important are the decisions made
comes from knowing, once the bargaining is over, he or she will as to who will represent each side at the table, and in what role.
not be working daily for the people sitting across the table. It is The proper training of all involved in the negotiation process is
not automatic that the union president will be a member of the absolutely essential.
bargaining team, although customarily a union officer is, and
often it is the president. Accompanying the union’s chief nego-
tiator and president will be two or three team members who Personality Types to Be Avoided
have conducted in-depth research on matters relating to the There are certain personality types that should not be called
bargaining issues and who will have various types of data, facts, upon to participate in the negotiation process. This includes
and documents—such as wage and benefit surveys, trends in individuals with “axes to grind,” as well as those with sarcastic,

Assistant City Manager Human Resources Representative Lead Negotiator Scribe Senior Police Commander
(Legal Matters) (HR Policy) (City’s Positions) (Recorder) (Chief’s Representative)

Union Vice President Union Secretary Union Treasurer Lead Negotiator Union Executive Union Executive
(Union Policy/Research) (Recorder) (Finance/Research) (Union’s Positions) Board Member Board Member
(Financial Specialist) (Newest member-
training for him/her)

FIGURE 11.3 c The management and union bargaining teams. Although the composition of management’s
and the union’s bargaining teams varies somewhat from one jurisdiction to another and even within jurisdictions
over time, the configuration shown here approximates the “typical” municipal situation. Occasionally, a member
of the city council also sits in as an observer. Source: Courtesy of Chuck Foy, past president of the Arizona Conference of Police
and Sheriffs Local 7077 and past president of the Peoria [Arizona] Police Officers Association.

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 386 CHA PTE R 1 1 • L A B O R R E L ATIO NS

acrid, or abrasive personalities. The purpose of bargaining is to If management has done a good job, there will be relatively
produce a bilateral written agreement to which both parties will few surprises when the proposed contract is submitted. Surprises
bind themselves during its lifetime. This is not only a profoundly do not indicate that management’s preparation was wasted; the
important task but also one that is sufficiently difficult without knowledge gained through the process of anticipating the
including people on either side who have an agenda other than union’s demands adds to the negotiating team’s depth of under-
negotiating in good faith or whose personalities create yet standing and overall confidence, key ingredients of bargaining
another obstacle. For these reasons, management must exercise table success. It is difficult to know precisely when manage-
careful consideration in deciding who will represent the police ment’s bargaining team is prepared, but the employee organiza-
department at the table and, if necessary, influence the selection tion will easily detect and capitalize on a lack of preparation.
of the city’s other representatives.

The Negotiating Sessions

Preparing for Negotiations The publicity and attending atmosphere preceding the negotiat-
Management can ill afford to simply wait until the employee ing sessions focus considerable attention on them and can be
organization prepares its demands and presents them; effective barometers of or may influence how the sessions unfold. How-
action requires considerable effort on management’s part before ever, prebargaining publicity is also part of attempts to influence
it receives the union’s proposal. Management’s negotiating team public opinion, to impress the public or rank-and-file members
must be selected, agreement with the union obtained on the site with the city’s or union’s resolve, and to create a façade behind
where the negotiations will take place; the bargaining schedule which both sides can maneuver for advantage. Thus, one should
established in conjunction with the union; and various types of not be too encouraged or discouraged about the content of such
data and information gathered, tabulated, and analyzed. publicity; it should be considered and evaluated but not relied
Although final preparations for negotiating will begin several on solely as an informational source.
months before the first bargaining sessions, the preparation pro- The number of bargaining sessions can run from one to sev-
cess is a continuous one; management should begin preparing eral dozen, lasting from 30 min to 10 or more hours, although
for the next negotiations as soon as these are completed. The half-day sessions are more common, depending on how close
demands not obtained by the union in the past year may be or far apart the union and management are when they begin to
brought up again in this year’s bargaining sessions, and manage- meet face to face. Traditionally, any means of making verbatim
ment should be prepared for this. transcripts, such as the use of a stenographer or tape recorder,
Various types of records should be kept and summaries made have generally been excluded from the bargaining sessions, as
of such factors as the union membership; the types and out- it was believed that they tended to impede the progress of nego-
comes of grievances; the costs of settling grievances; the num- tiations because people would begin speaking for the record.
bers, kinds, and consequences of any contract violations by the In a related vein, the enactment of Florida’s “sunshine law”
employee organization; the subject matters brought before the opened up many previously closed government meetings to the
union–management committee during the life of the expiring general public, including bargaining sessions, and stirred up
contract and the disposition of them; and the themes reflected some controversy. Advocates of the legislation argued it opened
in the union’s newsletter. Additionally, just as the employee orga- up government to the people, making it both more responsive
nization’s bargaining team is doing, the management team must and responsible. With respect to its application to collective
be familiarizing itself with changes in the consumer price index negotiations, critics of the law maintained the real bargaining
and the provisions of recent contracts in similarly situated juris- would be done secretly, the scheduled public bargaining ses-
dictions and conducting its own wage and benefit survey or sions would be merely a ritualistic acting out of what had been
cooperating with the union on one. agreed on privately, and real negotiating would be difficult
From all of these sources, and others, it is essential that man- because both sides would tend to “play to the audience.” This
agement do three things. First, it must develop fairly specific last point is underscored by one negotiator’s wry observation
anticipations as to what the union will be seeking and the rela- that bargaining under the sunshine law was like “a Roman circus
tive importance of each demand to the union. Second, it must with kibitzers.”68
develop its position with respect to the anticipated preliminary At the first meeting, friendly conversation might be passed
demands it believes the union will present. Third, it must develop across the table, or there may be merely strained greetings
the objectives it seeks to achieve during the forthcoming process before the formal session begins. Much like the prenegotiations
of bilateral determination. If it is not already an institutionalized publicity, this may or may not reflect how the session will go.
practice, arrangements should be made to have the union submit Friendly conversation might suggest that rapid and amicable
its demands in writing prior to the first scheduled round of nego- bargaining will follow but instead no mutually acceptable posi-
tiations. These demands may be submitted either in the form of tions will be reached because the friendly conversation has
a proposed contract or as a “shopping list,” which simply lists the veiled only thinly the hostility or aggressiveness of one or both
demands being made. The presentation of the demands in writ- sides, which quickly comes to the fore. On the other hand,
ing before the first bargaining session allows for a more produc- strained greetings might reflect the heavy responsibility each
tive use of the time allotted for the first negotiating session. party to the negotiations feels, and quick progress may follow.

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 C H AP T E R 11 • L ABOR RELAT IONS 387

In the initial session, the chief negotiator for each party will the items upon which agreement can be reached immediately
make an opening statement; management’s representative will or fairly rapidly. Such an approach helps foster a spirit of mutual-
often go first, touching on general themes, such as the need for ism that can be useful in dealing with the issues about which
patience and the obligation to bargain in good faith. The union’s there are substantial differences. As bargaining enters the final
negotiator generally will follow this up by voicing support for stages, the issues that must be dealt with usually become fewer
such sentiments and will outline what the union seeks to achieve but also more difficult in terms of securing agreement.
under the terms of the new contract. Ground rules for the bar- At such points, “side trips” may threaten to make the sessions
gaining may then be reviewed, modified as mutually agreed on, unproductive. These side trips might involve wild accusations,
or developed. The attention then will shift to the terms of the old recriminations, character assassinations, or discussion of a
contract that the union is proposing, and the contract will be specific clause in philosophical or intellectual terms as a means
examined thoroughly in a “walk-through,” during which time of not dealing with the concrete realities that may be threatening
management will seek to learn what the union means by particu- and anxiety provoking for one or both parties. At these times, a
lar wording. This is a time-consuming process but of great caucus or even a slightly longer space of time than ordinary until
importance because both parties need to have a common under- the next session may give enough time for tempers to calm or
standing of what it is they are attempting to commit each other for more perspective to be gained. At other times, the police
to, or there will be frequent unresolved conflicts and many com- union may feel the need to “up the stakes” by engaging in pick-
plex and expensive grievances filed during the lifetime of the eting as a form of political pressure.
contract. For purposes of illustration, the union may have pro- Ultimately, unless a total impasse is reached, agreement will
posed that “vehicles will be properly maintained to protect the be obtained on the terms of a new contract. The union’s mem-
health and safety of officers.” Discussion of this proposal may bership will vote on the contract as a whole. If approved by the
reveal that their expectations are much more specific: membership, the contract then goes before the necessary gov-
ernment officials and bodies, such as the legislative unit that
1. This is to apply to all vehicles, including marked,
appropriates the funds, for its approval.
semimarked, and unmarked.
2. Each patrol vehicle, whether marked, semimarked, or
unmarked, will be replaced at 60,000 miles.
GRIEVANCES
3. All vehicles will be equipped with radial tires.
4. Plexiglas protective shields will be installed between Why Grievances Are Inevitable
the front and rear seats.
There is a notion that, once the bargaining is completed and an
5. Shotguns or rifles in locking mounts accessible from agreement signed, the most difficult part of labor relations has
the front seat will be provided in all marked and been passed through and easy times are ahead. Such a notion is
semimarked cars. natural. Bargaining is high drama, with a great deal of attention
6. First-aid kits of a particular type will be placed in all focused on it by the news media and the community. The pro-
vehicles. duction of an agreement acceptable to both the union and man-
7. Comprehensive blood body fluid pathogen protection agement is, in fact, a significant achievement. Beyond it, however,
kits will be provided. is the day-to-day administration of the contract during its life-
time. Because the contract outlines the duties and rights of each
For bargaining purposes, the union will have categorized each
party in its dealings with the other, it is ironically the basis not
clause in the proposed contract as being (1) “expendable,”
only for accord but also for conflict:
meaning that under certain circumstances it will be withdrawn
as a symbol of good faith; (2) a “trade-off,” indicating that it will It would, of course, be ideal for all concerned, including the
be dropped as total or partial payment for obtaining some other public, if in the negotiation of the agreement both parties
benefit; (3) “negotiable,” meaning that the benefit needs to be were able to draft a comprehensive document capable of
obtained in one form or another; and (4) “non-negotiable,” foreseeing and forestalling all potential disputes which might
meaning that the benefit is wanted exactly as proposed.69 Man- arise during its life. Unfortunately, such crystal-ball vision is
agement will study the information gained from the walk- usually lacking, particularly when the parties are pressured
through for several days and then both parties will return to the to obtain agreement in a period of negotiation tensions and
table. Management then will respond to the union’s proposal by time deadlines. It is not humanly possible in a new collective
indicating which clauses it has (1) “accepted,” (2) “accepted with bargaining relationship to draft such a perfect document.
minor modification,” (3) “rejected,” and (4) wished to make its Therefore, it is inevitable that questions will arise concern-
own proposals and counterproposals. Management cannot sim- ing the interpretation and application of the document drafted
ply reject a clause out of hand; to do so would not constitute in the haste and pressure of contract negotiations. What is the
bargaining in good faith. Instead, it must give a reason for the meaning of a particular clause of the agreement? How does
rejection that is reasonable, such as an actual inability to pay. it apply, if at all, to a set of facts which occurred after the
Having been told formally of management’s position on the agreement was signed? These questions are not at all uncom-
contract proposed, the bargaining begins, concentrating on mon in any contractual relationship.70

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 388 CHA PTE R 1 1 • L A B O R R E L ATIO NS

The Definition of a Grievance Step 4. If the grievant is not satisfied with the response
of the chief of police, he/she will forward his
Whereas in common usage a grievance is a complaint or an
written grievance within 5 working days to the
expression of dissatisfaction by an employee with respect to
city manager, who will have 10 working days to
some aspect of employment, what can be grieved formally is
reply, in writing.
usually defined within the contract itself. Grievances may be
Step 5. If the grievance has not been settled to the
limited to matters discussed specifically in the contract, that are
satisfaction of the grievant in Step 4, the matter
primarily contract-related, or that pertain to the job, as is seen in
will be subject to arbitration. An arbiter will be
these clauses from three different agreements:
selected, without undue delay, according to the
1. A grievance is defined as a complaint arising out of the rules of the American Arbitration Association.
interpretation, application, or compliance with the The arbiter will hold an arbitration hearing.
provisions of this agreement. When the hearing has ended, the arbiter will be
2. For the purpose of this agreement, the term asked to submit his/her award, in writing, within
“grievance” shall mean the difference of dispute 15 days. His/her decision shall be final and
between any police officer and the city, or a binding on both parties.71
superior officer in the chain of command, with Because the union must share equally the cost of arbitration
respect to the interpretation, application, claim or with management, the decision to take a grievance to the last
breach, or violation of any of the provisions of this step is customarily the prerogative of the union rather than the
agreement, or with respect to any equipment individual officer who is grieved.
furnished by the city. Enumerated in the agreement are not only the steps of the
3. A grievance, for our purposes, shall be defined as any grievance procedure but also such matters as the manner of
controversy, complaint, misunderstanding, or dispute selecting the tripartite panel or the single neutral, along with
arising between an employee or employees and the their duties and powers. If the panel is used, management and
City, or between the Brotherhood and the City. the union each appoints one member, and those two appoint the
third; where the two cannot agree on the neutral, the contract
The Grievance Procedure may provide for the referral of the choice of a chairperson to a
The grievance procedure is a formal process that has been the designated agency,72 such as the Federal Mediation and Concili-
subject of bilateral negotiations and is detailed in the contract. It ation Service, or a state agency. Where a single arbitrator is
involves seeking redress of the grievances through progressively used, a variety of techniques are employed in selection, ranging
higher levels of authority and most often culminates in binding from agreement on the person by the union and management
arbitration by a tripartite panel or a single neutral. A typical on a case-by-case basis, to the appointment of a permanent
sequence of steps includes the following: arbitrator during the lifetime of the contract, to having an out-
side agency submit a list of qualified arbitrators from which
Grievances shall be presented in the following manner and management and the union take turns eliminating names until
every effort shall be made by the parties to secure prompt only one remains or they agree to accept any of some number
disposition of grievances: remaining, such as three.
The arbitration hearing is quasi-judicial, with more relaxed
Step 1. T he member shall first present his/her grievance
rules of evidence than are found in either criminal or civil pro-
to his/her immediate supervisor within 5 days of
ceedings. The burden of proof is on the grieving party, except
the occurrence which gave rise to the grievance.
in discipline cases, where it is always on the employer. The par-
Such contact shall be on an informal and oral
ties may be represented by legal counsel at the hearing, and the
basis, and the supervisor shall respond orally to
format will generally include obtaining agreement on what the
the grievance within 5 working days.
issue is, an opening statement by each side (with the grieving
Step 2. Any grievance which cannot be satisfactorily settled
party going first), examination and cross-examination of wit-
in Step 1 shall be reduced to writing by the member
nesses, and closing arguments in the reverse of the order in
and shall next be taken up by his/her division
which the opening statements were made.
commander. Said grievance shall be presented to
the division commander within 5 working days from
receipt of the answer in Step 1. The division
commander shall, within 5 working days, render Arbitration Issues and Decision Making
his/her decision on the grievance in writing. Despite the many types of matters that can be and are grieved,
Step 3. Any grievance not satisfactorily settled in Step 2 the largest single category of cases, about 90 percent of the total,
shall be forwarded, in writing, within 5 working brought to an arbitration hearing are those involving discipline
days, to the chief of police, who shall render his/ against an officer. Some arbitration decision making is not dif-
her written decision on the grievance within 5 ficult because one side, perhaps the union, chooses to take a
working days. losing case to arbitration, because of its symbolic importance,

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 C H AP T E R 11 • L ABOR RELAT IONS 389

and the need to appear supportive of union members. This sometimes generate a great deal of negative publicity that causes
rationale can also be applied on management as well in order a police chief to make a decision to resign.
to show support for managers.
If an employee is found to have done what he or she has Work Slowdowns
been accused of, the arbitrator may then consider certain fac-
Although officers continue to work during a work slowdown,
tors that might mitigate the severity of the penalty, including
they do so at a leisurely pace, causing productivity to fall. As
the officer’s years of service to the department; the provocation,
productivity drops, the unit of government employing the offi-
if any, that led to the alleged offense; the officer’s disciplinary
cers comes under pressure to restore normal work production.
history, including the number, types, and recency of other
This pressure may be from within the unit of government itself.
violations; the consistency with which the applicable rule is
For example, a department may urge officers to write more
enforced; and the penalties applied for similar offenses by
tickets, so more revenue is not lost. Or citizens may complain
other officers.73
to politicians and appointed leaders to “get this thing settled,”
One study of arbitrated police grievances reveals that the
so the police will answer calls more rapidly and complete the
officer involved in the grievance was assigned to uniformed
reports citizens need for insurance purposes. In New York City,
patrol 84 percent of the time, another police officer was involved
police officers protesting stalled contract negotiations staged a
in the incident slightly more than half the time (56 percent of the
ticket-issuing slowdown that resulted in a loss of $2.3 million
cases), the grieving officer’s supervisor supported him or her
in just two months. This action also produced strong conflict
14 percent of the time, and in exactly three-quarters of the cases
within the rank-and-file among officers who did and did not
the involved officer had a clean disciplinary record.74 Given that
support the slowdown. In order to counter New York City
police unions must be selective in terms of the cases they take
Police Department pressure to stop the ticket slowdown, the
to arbitration, the results are not too surprising: The union won
Patrolmen’s Benevolent Association—which represents the city’s
77 percent of the grievances.
29,000 officers—picketed outside traffic courts, denouncing
A key advantage of arbitration is the speed with which issues
what it called the administration’s traffic ticket quota policy.77
are heard and a decision is made, as compared with seeking
The adoption of new technologies in a police department,
resolution of the dispute in court. The deadline for issuance of
intended to speed up police responses, also offers the opportu-
the award may be established by statute; the parties; a govern-
nity to create a work slowdown. For example, several years ago
ment authority, such as the PERC; the arbitrator, if he or she is
before department-issued cell phones were regularly provided
acting as an independent; or the body appointing the arbitrator.75
to police officers, 150 police officers in Alexandria, Virginia
The AAA requires arbitrators to render their decisions in writing
turned in their department-issued pagers to protest a pay scale
within 30 days of (1) the conclusion of the hearing; (2) the
that lagged behind those of neighboring jurisdictions. The pag-
receipt of the hearing transcript, if one has been made; or (3) the
ers were used to call in off-duty officers in specialized units,
receipt of posthearing briefs.76 In general, except in such
such as homicide and hostage negotiations, when needed.
instances as fraud or bias by the arbitrator, the hearing officer’s
Detective Eric Ratliff, president of Local 5, International Union
decision, where binding arbitration is provided for, will not be
of Police Associations, said, “I won’t sugar-coat it. The response
reviewed by the courts.
time of specialized units . . . will be slower. What this does is
take us back to the early ’80s, before we had pagers, which is
basically where our pay is.”78 In East Hartford, Connecticut, the
JOB ACTIONS police union contract approved by the city council included a
provision to pay officers required to carry pagers an extra $1,500
Job action is a label used to describe several types of activities annually, avoiding the wholesale return of pagers that Alexandria
in which employees may engage to express their dissatisfaction experienced.79
with a particular person, event, or condition or to attempt to
influence the outcome of a matter pending before decision mak-
Work Speedups
ers, such as a contract bargaining impasse. Job actions carry the
signal, “We are here, organized, and significant, and the legiti- Work speedups are an acceleration of activity, resulting in the
macy of our position must be recognized.” Four types of job overproduction of one or more types of police services. The
actions are recognizable: the vote of confidence, work slow- purpose is to create public pressure on elected and appointed
downs, work speedups, and work stoppages. government leaders to achieve a union-desired goal. The pur-
pose of a work speedup may be to protest a low pay increase
proposed by the employer, to force the employer to make more
The Vote of Confidence or particular concessions at the bargaining table, or to pressure
The vote of confidence, which typically produces a finding of the employer to abandon a policy change that adversely affects
no confidence, has been used somewhat sparingly in law union members. Examples of speedups include “ticket blizzards”
enforcement. Such a vote is how rank-and-file members signal and sudden strict enforcements of usually ignored minor viola-
their collective displeasure with the chief administrator of their tions, such as jaywalking, littering, or smoking in prohibited
agency. Although such votes have no legal standing, they areas. The intent with this type of job action is to so anger the

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 390 CHA PTE R 1 1 • L A B O R R E L ATIO NS

public that citizens will direct their hostility toward public Order of Police, asked the federal government to take over the
officials—via angry e-mails, phone calls, letters, etc.—who are police department because the public and officers were in a “kill-
likely to be in a position to solve or at least ameliorate the prob- ing field.”82 Two days prior to Robertson’s request, an officer work-
lem so the issue causing their dissatisfaction can be resolved ing alone was shot four times and killed as he sat in his patrol car
politically in their favor. at a traffic light outside a nightclub. The city’s inability to staff two
officers to a car had been a continuing union concern.
Work Stoppages While contract negotiations were ongoing between the state
and the State Police Association of Massachusetts (SPAM), the
The ultimate work stoppage is the strike, which is the with-
association opted at the last minute not to air an ad that blamed
holding of all of labor’s services. This tactic is most often used
(now former governor) Governor Weld for the death of a state
by labor in an attempt to force management back to the bargain-
trooper gunned down by a convicted murderer who had been
ing table when negotiations have reached an impasse. However,
released early by the parole board. In the midst of the state–
strikes by public employees are now rare. In 1969, public
SPAM negotiations, Governor Weld reappointed one of the mem-
employee strikes peaked at 412.80 Today, there are fewer than
bers of the parole board. This member had voted for the
50 a year and police strikes by police unions have all but disap-
murderer’s early release, prompting the preparation of the ad.
peared in the past 30 years. The reasons for the sharp decline in
Despite the fact that the ad was not aired, a controversy ensued.
strikes include the extension of collective bargaining rights to
Weld aides asserted the union’s tactics were designed to make
many public employees, state laws prohibiting strikes, the fines
the governor capitulate to the union’s demands, and one of the
that may be levied against striking unions and employees, and
governor’s political allies, a state senator, called the ad “the low-
the fact that striking employees may be fired. In 1981, President
est.” The union responded by stating the state senator was
Ronald Reagan fired 11,000 air traffic controllers and it remains
“intruding into the collective bargaining process and acting
a potent lesson for unionists. Additionally, the climate starting in
beyond his realm.”83
the 1990s and continuing today has not been favorable to union-
When Riverside County, California deputies beat two suspected
ism. This is so because of the growing conservatism in this
undocumented Mexican immigrants after a well-documented
country and the view that the unions are adept at getting what
high-speed chase seen on the evening news, the AFL-CIO took
they want at “our expense” are also factors that make both pri-
strong exception. AFL-CIO Executive President Linda Chavez-
vate and public unions less likely to strike.81 In states where
Thompson said, “The movement will not tolerate this kind of
public-sector bargaining is not allowed, tough laws affecting
brutality, nor will we excuse officers because the situation [was]
strikers have made public employees think long and hard before
volatile. . . . This is not a question of immigration rights, but of
striking. Even in those states, many public employers know what
basic civil and human rights.”84
they have to do in order to reap the benefits of a well-trained
The Lautenberg Amendment to the federal “Brady Bill” gun
and seasoned workforce, and they do so to prevent the labor
control legislation retroactively denies anyone convicted of a
unrest that would impede economic development. Companies
domestic violence misdemeanor from having a gun. When
are not likely to relocate to cities that cannot govern effectively,
applied to police officers and federal agents, this law ends their
for example, manage their own workforce well. Without these
careers. Women’s rights groups have supported the law because
relocations, a city’s budget becomes increasingly tight because
it denies a firearm to “cops who batter.” Police unions have been
tax revenue is flat or falling; residents and business are hit with
angered by the retroactive application of the law, claiming it is
increased and new taxes, and they begin to leave to find more
unfair to take away an officer’s livelihood with no advance
hospitable locations in which to live and work.
notice. The Grand Lodge of the Fraternal Order of Police filed a
Briefer work stoppages may affect only specialized assign-
lawsuit challenging the constitutionality of the law, a move
ments or involve a large number of police officers but not all of
supported by a number of unions, including the Detroit Police
them. Epidemics of the blue flu, as they are often characterized,
Officers Association.
can last only a few days. Work stoppages of this type are an
Police unions also use high-visibility, high-impact tactics to
important police labor tactic. While, like strikes, these briefer
further their objectives. Fraternal Order of Police Lodge 89 in
collective actions may be intended to force management back
Prince George’s County, Maryland, spent $7,000 to erect bill-
to the table, they are also used occasionally to punctuate the
boards assailing what they saw as County Executive Wayne
extreme displeasure of officers with a policy (e.g., one unreason-
Curry’s inaction on rising crime and an understaffed police
ably restricting moonlighting by officers) or with particular
department. Other police unions have used radio stations to
actions by officials inside and outside the department (e.g., the
broadcast 30- to 60-second messages designed to “bring heat”
decision of a district attorney to prosecute a police officer on
on politicians by mobilizing the public to their side. Some police
what is seen as a public image-enhancing but “thin” case).
unions also have in-state toll-free numbers that can be automati-
cally connected to the offices of key legislators, so members can
Police Unions: The Political Context lobby for their bills. When a sheriff spoke against the FPBA
Although union job actions frequently center on economic factors, before a legislative committee, the FPBA campaigned against
unions also take stances on other issues. In the 1990s, in him in the next election; the incumbent was defeated, thus
Washington, DC, Ron Robertson, president of the local Fraternal showing strong political muscle by the union.

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 C H AP T E R 11 • L ABOR RELAT IONS 391

Administrative Reaction to Job Actions invoked for government buildings and property? What
are the minimum levels of personnel and supplies
Anticipatory Strategies There are no simple answers
required? What special communications arrangements
for what police administrators should do in the face of a
are necessary? Does the city’s insurance cover potential
job action. A short period of ignoring a work slowdown
liabilities to employees and property? What legal
may see its natural dissipation, or it may become more
options exist, who has authority to invoke them, and
widespread and escalate. Disciplinary action can effec-
under what circumstances? What coordination
tively end a job action, or it might simply aggravate the
arrangements are needed with other police departments
situation further, causing the job action to intensify and
and government agencies? What effect will various job
become more protracted. In choosing a course of action,
action policies have on labor relations after the job
one must read the environment, assess the situation, re-
action? How will nonparticipating officers and the
view alternatives, decide on a course of action, imple-
public react to various policies? Can an employee
ment it, monitor the impact, and make adjustments as
participating in the job action who is injured on the
necessary. In short, it is a decision-making process, albeit
picket line be placed on sick leave? Do such employees
a delicate one.
accrue sick leave and retirement credit for the time they
The best way to handle job actions is for both management
are out?
and the union to take the position that they have mutual
responsibilities to avoid job actions. This may not, however, be dd In attempting to determine the possibility of various job
uniformly possible; a union leadership that is too cooperative actions, management must assess the philosophy,
with management might, for example, be discredited by rank- capabilities, strengths, weaknesses, and propensities of
and-file members or negotiations fall short of militant union the union—its officers, negotiators, legal counsel, and
members, however unrealistic, may result in job actions, such members. That, along with an estimate of the financial
as a sick out.85 resources of the union, will be useful in anticipating the
Among the steps that can facilitate the bargaining process and actions in which it is likely to engage and toward which
reduce the possibility of labor strife are the following: planning can be directed. Although the hallmark of
good planning is that it provides for future states of
dd The appropriate city officials (both appointed and affairs, management is most likely to underestimate the
elected), union leaders, and management must be trained union’s capabilities, and the planning bias should
in the tenets and practices of collective bargaining, therefore be toward an overstatement of what is
particularly as they relate to mutual trust and the possible.
obligation to bargain in good faith.
dd Formal and informal communications networks should During the Job Action
be used freely within city government, the police agency,
Police managers must appreciate the long-range implications of
and the union for the transmission of messages between
any job action such as the “blue flu.” The officers involved in
them. The timely sharing of accurate information is
the job action are engaging, as is the employer, in a power
essential to good labor relations in that it reduces the
struggle that has an economic impact on both parties. The
opportunity for misinformation or non-information to
union is not attempting to divest itself of its employer, and for
create distance and build barriers.
both legal and practical reasons, the employer cannot unilater-
dd On a periodic basis, key managers from the police ally rid itself of its relationship with the union; at some point in
department, along with the staff and its labor relations the very near future, it is most likely that they will resume their
unit, should meet with union leaders and the former relationship.87 Considering this, managers must be tem-
representatives, including elected officials, of the city perate in their private and public remarks regarding officers
who are responsible for the implementation of its labor involved in the job action; emotionally laden statements and
relations program. This strengthens existing cynical characterizations regarding these individuals may pro-
communications networks, it allows new networks to vide a degree of fleeting satisfaction, but at some cost to the
open, and it is a continuing affirmation of the rapidity with which antagonisms can be set aside and the orga-
mutualism that is central to the process of collective nization restored to its normal functioning. The union leader-
bargaining. ship and the rank-and-file membership have the same
dd Well before any job actions occur, management must obligation; in the face of either management or the union not
develop and publicize the existence of a contingency fulfilling its obligation, it becomes even more important that the
plan that contemplates as many of the problems as other side be restrained in its remarks, or the ensuing trail of
reasonably can be foreseen with respect to each type of recriminations and biting comments will lead only to hostility
job action. For example, in planning for a job action, and a degeneration of goodwill, both of which will have nega-
one must consider such things as how the rights and tive effects on future relations.
property of those not participating in the job action will Maintaining a Fair and Balanced Posture Managers
be protected.86 What security measures are to be should strive to maintain a fair and balanced posture on the

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 392 CHA PTE R 1 1 • L A B O R R E L ATIO NS

subject of the job actions, and their dominant focus should be on return to the bargaining table on the return of personnel to the
ending it. In addition, the following points should be noted: job. Often, a tense atmosphere will prevail for some time.
dd No reaction to a job action should be taken without Employees who did not participate in the job action will resent
first anticipating the consequences of a reaction from any threats made and any damage to their personal property.
the union and the officers involved. For example, the Those who walked out will view those who continued to work
decision to seek an injunction ordering the officers to as not having helped maintain the solidarity necessary for effec-
terminate the action and return to work could result in tive job actions. Union members dissatisfied with what the job
the officers disobeying the order and forcing a action did or did not produce may engage in the petty harass-
confrontation with the court issuing the order. A ments of nonparticipants, display thinly veiled contempt for
public statement that all officers involved in the action management, or surreptitiously cause damage to city property.
will be fired places the chief in the difficult position Management’s posture during the job action can in part reduce
after the conflict is terminated of either firing the tensions inherent in the post job action adjustment period,
participating officers or losing credibility with his or but it cannot eliminate the need for responsible action by the
her employees. union or overcome the intransigence of a subversively militant
union.
dd All management responses to a job action should be
As soon as an agreement ending the job action is reached,
directed toward terminating it only, not toward an ulterior
a joint statement with the union should be released, announc-
purpose, such as trying to “bust” the union. There have
ing the settlement and highlighting its key features, and letters
been job actions in which the employer’s real objective
should be sent to the homes of all officers, urging them to
was to destroy the union, an objective that frequently
put aside the matter and return to the business of public
results in aggravated hostility between the employer and
service with renewed commitment. All personnel in the
the union, between the chief and the officers
department should take particular care not to discriminate
participating in the action, and among the officers
between those who were involved in the job action and those
themselves. The long-range effect of this approach is to
who were not.
injure the morale of the police department, affecting the
Other items of business that must be handled after a job
quality of police services and ultimately the service to the
action relate to whether the employees participating are to be
public.88
disciplined, although the union will typically insist on amnesty
For a department whose workforce is depleted by a job for all involved officers as a precondition to returning to the job;
action, personnel are a scarce resource, and not to invest in in addition, it must be determined what disciplinary measures
communications efforts is a natural temptation tinged heavily by are to be taken against those who destroyed private or public
the reality of other needs that must also be considered. To be property during the course of the job action; what measures are
borne in mind, however, is the perspective that the effective use to be taken against those who undertook various actions against
of some personnel in communications efforts may shorten the officers who did not participate; and the securing of a union
job action. commitment not to act in any way against those employees who
It is essential during a job action that communications be did not participate and to actively discourage such actions by
rapid, accurate, consistent, and broadly based. Employees not union members.
participating in the job action can be kept informed by the use There has been some experimentation with reconciliation
of the daily bulletin, briefings, or other devices. Letters can be meetings of parties to promote goodwill. Experience has
sent to the homes of job action officers, informing them of the demonstrated that, in most cases, the wounds are so fresh and
applicable penalties for their actions, the status of negotiations, the feelings so intense that it simply creates the opportunity
and management’s present position with respect to these for an incident. In one notable instance, a reconciliation party
issues. Facsimile letters for this and other actions should already resulted in each of the groups remaining separated for 2 hours.
have been prepared as part of the development of the contin- Finally when each group reached the buffet table, a fight
gency plan. broke out.89
Personal appearances by police managers before neighbor-
hood groups, professional associations, civic clubs, and similar
bodies can be useful in maintaining calmness in the community, LABOR-MANAGEMENT
in providing one means of informing the public of special pre-
cautionary measures they can take to protect themselves, and in RELATIONS IN THE FACE OF
galvanizing public opinion for management’s position. Care
must be taken to ensure that in this effort the needs of lower-
FUNDING CUTBACKS
socioeconomic groups are not overlooked. Special attention In the wake of the recent economic crisis and cuts in govern-
must be given to how they will be informed and how their ment funding, police departments have had to seriously reevalu-
needs will be listened to. ate the way they operate. Many police chiefs do not see the
In the Aftermath At some point, the job action will collapse budget cuts of the past few years as a temporary inconvenience
or an agreement will be reached, or both sides will agree to but rather as a “new normal.”90

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 C H AP T E R 11 • L ABOR RELAT IONS 393

Quick Facts: A Paradigm Shift Because of Budget Cutbacks

In the past, police agencies in many jurisdictions were immune longer considered untouchable, and in many cities, police
to budget-cutting even when other government agencies were departments account for the largest share of municipal operat-
being cut because no elected official wanted to be seen as a ing spending. Therefore, when the most recent economic crisis
politician whose decisions resulted in the firing of police officers. hit, politicians realized that police budgets, like all other bud-
But the “new normal” is that police department budgets are no gets, had to be carefully re-examined for possible reductions.

Setting New Priorities by asking officers to contribute more to their retirement fund
and/or agreeing to reduce pay and benefits. In this way, the chief
Many police chiefs are faced with significant cuts in funding
may be able to avoid making layoffs while still maintaining the
while at the same time having enormous responsibilities, such
strength of the workforce. However, sometimes even a union’s
as combating terrorism. Many of these chiefs have decided that
willingness to accept these reductions may not be sufficient to
keeping patrol officers is their top priority, so they have been
meet the externally imposed budget cuts. For example, recently
forced to cut what some consider “special programs,” such as
San Jose, California police budget cuts forced the layoffs of 66
community policing initiatives and special units that focus on
officers because of a $115 million budget shortfall. This was so
gangs or drug crime. This is one of the types of decisions that
even though the police union had agreed to a 10-percent pay
must be made in response to communities’ growing fiscal crises.
cut. However, the savings were not sufficient enough to avoid
However, others have resisted that trend, believing that the huge
the layoff of an additional 156 officers92 (see Figure 11.4). The
gains in crime fighting that occurred during the 1990s and 2000s
only positive news was that because of the high quality of San
were as a direct result of the community policing and problem-
Jose, California police officers dozens of these police officers that
oriented policing programs.
were laid off were hired by other California police departments
Some police chiefs are also looking at the state of policing
who were not facing the same economic crisis that San Jose was.
from a broader perspective and are asking whether the police
Nevertheless, not all unions are so inclined and some take
are “pricing themselves out of the market.” This is so because
the position that management should not be asking workers to
some community services that have been traditionally provided
give back benefits they worked so hard to obtain. In some
by the police agencies are increasingly being taken over by the
cases, a majority of union members, especially those with
private security industry, at a lower cost.91
seniority, prefer to keep all of the benefits they have negoti-
Other police chiefs are, for example, trying to cope with
ated, even if it results in recently hired officers having to be
budget cuts by making their departments more efficient by
laid off.
using technology as a force-multiplier. Some communities have
Similarly, a chief facing budget cutbacks may wish to reassign
made the decision to consolidate their police departments with
employees from one unit to another, or change their shifts, or
larger agencies while others have completely abolished their
make other decisions that the chief believes are in the best inter-
police departments and made a decision to contract for police
est of the departments’ overall effectiveness and efficiency. But
services with their state police or local sheriff’s department.
a union may refuse to compromise on work rules negotiated in
Others are discussing possible changes in the entire mission
the past.93
of police agencies. Thus, there has been a good deal of new
In other cases, retired police officers have seen their pensions
thinking about what the police should do and how they should
dramatically reduced because their communities were no longer
do it. Police managers are also carefully analyzing every dollar
able to meet their fiscal obligations.
that is spent, and there is a greater sense of urgency about
ensuring that police resources are being allocated efficiently.

SPECIFIC RECOMMENDATIONS
A New Reality Regarding Budgets
Today, chiefs and union officials understand that they share the ON HOW BEST TO DEAL WITH
common goal of protecting the public and wanting officers to be
as effective as possible. At the same time, some previously nego-
BUDGET REDUCTIONS
tiated collective bargaining agreements may have established A meeting with police executives and labor officials was held by
benefits and working conditions that are problematic in today’s the Police Executive Research Forum (PERF). The goal was to
more austere economic times. Therefore, when a mayor, city determine how they were dealing with some of the Draconian
manager, or city council instructs a police chief to start making cuts that they were being forced to make. Following are some
plans for a 5- or 10-percent budget cut, the chief may, for exam- summaries of their reactions to these cuts as well as how they
ple, try to convince the police union to help achieve the savings are addressing them.94

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 394 CHA PTE R 1 1 • L A B O R R E L ATIO NS

FIGURE 11.4 c San Jose,

California police officers display
collective sadness and support for
one of their officers who as just
notified he was being laid off as a
result of budget cuts. (Patrick Tehan/
Mercury News)

Los Angeles, CA Assistant Chief Michel Columbus, OH Deputy Chief Tim Becker:
Moore: We Have Cut Civilian Jobs, and Have Been Forced to Move
You Cannot Eliminate 800 Employees and Be as Effective as You Officers into Those Roles
Were Before With all the agencies being downsized, I think we need
In Los Angeles, we have eight bargaining units. The primary to look at what part of our job we can afford to cut. We are
one is for officers but there are also separate unions for our com- trying to do as much as we were doing a year ago, but we
mand officers and our civilian work force. Our civilian work force have 120–130 fewer officers today than we had this time last
has taken a huge hit during the economic downturn. About two year. So assuming we were being efficient last year, we can-
and a half years ago, we had 3,600 civilian employees, but those not continue carrying out all our responsibilities with the
numbers have since been reduced to 2,800, and these 800 posi- same level of efficiency.
tions were not just vacant positions that had not been filled.95 We have also had to cut a lot of civilian positions. Gener-
We know we cannot eliminate 800 people and continue to ally, politicians like to keep the number of sworn officers up
be as efficient and effective as we have been before. For exam- but they do not talk about keeping the number of civilians
ple, backlogs are developing and service delays are being up. This is so even though many civilians are performing
encountered. Service curtailment is something we have been very crucial roles within our agencies. We have had to move
looking at for the last couple of years. We will continue to strat- sworn officers into these roles, but they are probably less
egize and prioritize about what police services we can cut. We efficient at performing some of these tasks. Also they cost
now have to operate within a framework of this a “new normal” more because of higher salaries, as well as leaving fewer
in terms of the type of work we can provide to the city. officers available to act in an enforcement capacity.96

Quick Facts: Communities File for Bankruptcy

and Pensions Are Going Up in Smoke

Some cities are now unable to pay pensions of retirees. In premiums and filed for bankruptcy with U.S. Bankruptcy
a drastic move that wipes out the contracts of police, fire- Court in Boston.97 Other cities filing bankruptcy include
fighters, teachers, and other town employees. Cuts have San Bernardino and Stockton, California, and Jefferson
been made in pension checks by as much as 50 percent. County, Alabama. In 2013, Detroit became the largest city
The small Rhode Island town of Central Falls found itself to declare bankruptcy, which was based on debts totaling
unable to pay for retiree pensions and health care $7 billion.98

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 C H AP T E R 11 • L ABOR RELAT IONS 395

Philadelphia, PA Commissioner Chuck The fact is that we are currently being viewed by some as greedy
public servants who want more and want to give less. So our
Ramsey: conversations about this needs to continue. The good news is
Budget Cuts May Be Imposed, But We Still Must Get the Job Done that if we put our heads together as a team, we can develop a
I am not anti-union at all. But I do think that we have to find clearly, defined message that transforms the public perception
some common ground in this climate of a significant economic into something that will benefit everyone.
downturn. The labor issue that is probably most problematic and In other words, we cannot lose focus of why we are here.
of concern to me is operational flexibility—the ability to deploy We have talked a lot about contracts, salaries, pensions, and
people as you need them, at the time that you need them. benefits, all of which are very important issues that affect
People will tell you, “Sure, you can do that”—but at time-and-a- everybody from a Commissioner down to the newest officer
half, at double-time-and-a-half, at pay levels we cannot afford. in your organization. However, we need to make sure that
Ninety-seven percent of the police budget in Philadelphia is for we do not lose focus of why we are here to begin with, which
personnel. That leaves me 3 percent to do everything else. is to work as police officers and as public servants, serving
When budgets are tightened, there will be cuts in certain over- the community.
time categories. The increased cost of overtime payment is one
area in which we have taken a tremendous hit in our budget. But Darryl Clodt, Sergeant at Arms, Las
when you have a smaller force to work with, the only way to
deliver high-quality service is to have the limited number of officers
Vegas, NV Police Protective Association:
available to work overtime. It puts you in a terrible position when Labor and Management Must Come Together to Fight for Funding
you have to make these cuts but still have to get the job done. I think one measure of our success is being able to help elect
Having said all that, I will add that I would still rather have a people in government who are going to vote for our needs and
small, well-trained, well-equipped police force than a very large, be there to support the issues of greatest concern to us.
ill equipped and poorly trained police department. Our economy is weak and our property taxes are down
almost 25 percent. The lost tax revenue takes away a quarter
of our operating budget. It is difficult and we have recog-
Camden, NJ Deputy Chief Mike Lynch: nized that. Over the last several years, we have had to make
We Need to Remember that We Are Public Servants Working for some concessions.
the Community The prior union leaders are going to be remembered for the
To overcome some of the challenges we are facing, I think it agreements they reached that have given us what we have today.
is important to have a discussion about the “market value” of the I will be remembered—for what we will be able to hang on to
police, how we market to our constituency, and who that con- for our membership.
stituency is. We are clearly losing the battle of public perception, I think we may have to change our thinking and not view our
particularly when it comes to issues like pension reform. Imme- interactions as a battle but rather change our philosophy to one
diately after 9/11, there was no doubt that public opinion of in which labor and management stand together to accomplish
police officers spiked upward but that has since subsided. the mutual objectives of servicing the public.

Chapter Summary
Summary by Learning Objectives the refusal of officers to testify against other officers
who are accused of misconduct.
1. Identify the seven significant factors that led to
It Can Impact on the Police Subculture
public sector collective bargaining.
We can formulate three tentative hypotheses
These significant forces were (1) the needs of labor regarding the relationship of police unions to the
organizations, (2) the reduction of legal barriers, police subculture: (1) the police subculture is a
(3) police frustration with the perceived lack of sup- multi-dimensional phenomenon, of which the police
port for their war on crime,” (4) personnel practices union is only one aspect or influence; (2) there are
in police agencies, (5) salaries and benefits, great differences in the informal cultures among
(6) violence directed at the police, and (7) the success police departments, and the relative influence of
of other groups. the police union varies from department to depart-
2. Discuss the ways in which police unions impact the ment; and (3) the differences in local police subcul-
community. tures have some significant and measurable
It Can Impact on Discipline and Accountability difference in all aspects of policing, including over-
Police unions play a role in reinforcing the norms of all management practices, accountability and disci-
police subculture. One of the most important aspects pline, police officer interactions with citizens, and
of this involves the code of silence, which results in local politics.

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 396 CHA PTE R 1 1 • L A B O R R E L ATIO NS

It Can Impact of City or County Finances 4. Identify who generally serves on management and
Until the most recent funding cutbacks faced by union teams during negotiations.
many communities, police unions have been gener- On the Management Team: Assistant City Managers
ally successful in negotiating good salary and fringe (Legal Matters); Human Resources Representative
benefit packages for their members. The resulting (HR Policy); Lead Negotiator (City’s Positions); Scribe
contract provisions undoubtedly have some signifi- (Recorder); Senior Police Commander (Chief’s
cant impact on the finances of cities and counties. Representative).
The nature of this impact is not known, however. It is On the Union Team: Union Vice President (Union
believed that police (and sometimes firefighters) Police Research); Union Secretary (Recorder); Union
negotiations set the standard for negotiations by Treasurer (Finance/Research); Lead Negotiator
other municipal employees, although this proposi- (Union’s Positions); Union Executive Board Member
tion has not been researched. It is not known to what (Financial Specialist); Union Executive Board Member
extent negotiated police salaries and benefits force (Newest member—training for him/her).
cities and counties to reduce expenditures for other
services such as streets, parks, and libraries. 5. Describe the four potential major types of job
actions a police union can take and the appropri-
It Can Impact on Local Politics
ate administrative actions that can be taken in
Police unions are well-organized, may have substan-
response by police administrators.
tial financial resources, and possess political clout.
Police unions regularly endorse or oppose political The Vote of Confidence
candidates for office, support or oppose proposed Such a vote is how rank-and-file members signal their
ordinances or referenda, and influence city or collective displeasure with the chief administrator of their
county budgets. agency. Although such votes have no legal standing,
they sometimes generate a great deal of negative public-
3. Explain briefly the differences between the ity that causes a police chief to make a decision to resign.
three models of collective bargaining. Work Slowdown
Binding Arbitration Model Although officers continue to work during a slow-
In the binding arbitration model, public employees down, they do so at a leisurely pace, causing produc-
are granted the right to select exclusive represen- tivity to fall. As productivity drops, the unit of
tatives for the purposes of bargaining with their government employing the officers comes under
employees. In such states, the public employer pressure to restore normal work production. This
and the labor organization are required to bargain pressure may be from the unit of government itself.
in good faith until impasse, then to submit any Work Speedups
unresolved disputes known as “interest arbitra- Work speedups are an acceleration of activity, result-
tion,” in which a neutral third party selected by the ing in the overproduction of one or more types of
parties makes a final and binding resolution of police services. The purpose is to create public pres-
those issues. sure on elected and appointed government leaders
Meet and Confer Model to achieve a union-desired goal.
There are variations in meet and confer models, Work Stoppages
but most commonly they permit governmental The ultimate work stoppage is the strike, which is the
employer and the employees representative to withholding of all of labor’s services. This tactic is
meet and discuss “permissible” topics, such as most often used by labor in an attempt to force man-
wages, benefits, and working conditions. Some agement back to the bargaining table when negotia-
topics, such as pensions, may be specifically tions have reached an impasse. However, strikes by
excluded from discussions. The governmental public employees are now rare.
employer has the final decision on any topics
discussed and there is no neutral impasse resolu- 6. Understand why many police departments around
tion mechanism. the country are facing funding cutbacks.
Bargaining Not Required Model In the wake of the recent economic crisis and cuts in
The third model for police-sector collective bargain- government funding, police departments have had
ing laws, the bargaining not required model, is to seriously reevaluate the way they operate. Many
found in states that do not statutorily require or, in police chiefs do not see the budget cuts of the last
some cases, allow collective bargaining for law few years as a temporary inconvenience but rather as
enforcement officers. a “new normal.”

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 C H AP T E R 11 • L ABOR RELAT IONS 397

Chapter Review Questions

1. What were the consequences of the Boston 5. What personality types should not be part of the
Police Strike of 1919 on the efforts by the police bargaining team on either side?
to organize? 6. What steps are involved in the grievance process?
2. What three hypotheses have been formulated to 7. Describe five anticipatory strategies police
explain the relationship between the police unions administrators can employ to reduce the possibility
and the police subculture? of job actions.
3. What are considered unfair labor practices? 8. What have been some of the most significant
4. Explain the process involved in establishing the effects of the reduction of funding for law
bargaining relationship. enforcement agencies?

Critical Thinking Exercises

1. Mandatory Wearing of Body Armor. Most police 2. Police Officers’ Statutory Bill-of-Rights. There
departments have a mandatory policy which requires has been an increase in concerns by police
their officers to wear department-issued body armor. unions in your state that the rights of law
However, there are some officers who are resisting it enforcement officers are not always observed in
because they say it is too hot, too uncomfortable, the internal officer investigation process. The
and it limits their upper body mobility. police unions in the state generally believe that
a. What course of action should a chief take if an what it needed is a statutory bill-of-rights
officer will not wear body armor no matter how specifically for police officers.
many times he/she is told to wear it? a. You are to review the existing statutory bill-
b. If the police chief decides to take disciplin- of-rights of the following states: California,
ary action against an officer to force compli- Delaware, Florida, Illinois, Louisiana, Maryland,
ance to wear the body armor, will the union Minnesota, Nevada, New Mexico, Rhode Island,
have a legal grievance claiming that it should and Wisconsin.
not be mandatory? b. When you complete your review, you are
c. What arguments would you provide to these to identify which elements of each of these
reluctant officers to convince them that it is in statutory bill-of-rights you feel would pro-
their best interest to wear the body armor? vide the best balance to protect managerial
d. If an officer is not wearing body armor and is shot prerogatives, while at the same time provid-
and killed in the line of duty, should the benefits ing protection for the individual rights of
his or her family would have derived be withheld? police officers.

Key Terms
bargaining not required model grievance vote of confidence
binding arbitration job action work slowdowns
blue flu meet and confer model work speedups
code of silence Public Employment Relations work stoppages
collective bargaining Commission

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 398 CHA PTE R 1 1 • L A B O R R E L ATIO NS

EndNotes

1 22
These themes are identified and treated in detail in Hervey William W. Scranton, Report of the President’s Commission
A. Juris and Peter Feuille, Police Unionism (Lexington, MA: on Campus Unrest (Washington, DC: U.S. Government
Lexington Books, 1973). Printing Office, 1970), p. 18.
2 23
Data 360; http://www.data360.org/dsg.aspx?Data_Set_ Samuel Walker, “The Neglect of Police Unions: Exploring One
Group_Id=228 (accessed June 21, 2015). of the Most Important Areas of American Policing,” Police
3
Gerald Mayer, “Union Membership Trends in the United Practice and Research 9, No. 2 (May 2008), pp. 102–107. (This
States,” Congressional Research Service, p. CRS -10, discussion has been adapted from this source.)
24
August 31, 2004; http://digitalcommons.ilr.cornell.edu/cgi/ Christopher Commission, Report of the Independent
viewcontent.cgi?article=1176&context=key_workplace Commission to Investigate the Los Angeles Police
(accessed June26, 2015). Department (Los Angeles, CA: City of Los Angeles,
4
Union Members Summary, Economic News Release, 1991), p. 120, available from http://www.parc.info;
Department of Labor, Bureau of Labor Statistics, Human Rights Watch, Shielded from Justice (New York:
January 23, 2015, p. 1; http://www.bls.gov/news.release/ Human Rights Watch, 1998); Mollen Commission Report
union2.nr0.htm (accessed June 26, 2015). (New York: Mollen Commission, 1994), p. 53, available
5
Ibid. from http://www.parc.info; J.H. Skolnick and J.J. Fyfe,
6
Steven Greenhouse, “Share of the Work Force in a Union Above the Law (New York: Free Press, 1993),
Falls to a 97-Year Low, 11.3%,” The New York Times, pp. 108–112.
25
January 23, 2013; http://www.nytimes.com/2013/01/24/ H. A. Juris and P. Feuille, Police Unionism (Lexington:
business/union-membership-drops-despite-job-growth. Lexington Books, 1973), pp. 142–145.
26
html?_r=0 (accessed June 26, 2015). K. Keenan and S. Walker, “An Impediment of Police
7
Loc. Cit., with additions by the authors. National Right to Accountability? An Analysis of Statutory Law Enforcement
Work Legal Defense Foundation; http://www.nrtw.org/b/ Officers’ Bill of Rights,” Boston University Public Interest
rtw_faq.htm (accessed June 26, 2015). Law Journal 14 (2005), pp. 189–243.
8 27
Ibid. S. Walker, Police Accountability: The Role of the Citizens
9
Robert M. Folgeson, Big-City Police (Cambridge, MA: Oversight (Belmont, CA: Wadsworth, 2001).
28
Harvard University Press, 1977), 193–195. Christopher Commission, Report of the Independent
10
Public Service Research Council, Public Sector Bargaining Commission, 1991, pp. 97–106.
29
and Strikes (Vienna, VA: Public Service Research Council, B. Armacost, “Organizational Culture and Police Miscon-
1976), pp. 6–9. duct,” George Washington Law Review 72 (2004),
11
296 F. Supp. 1068, 1969. pp. 515–547.
12 30
324 F. Supp. 315, N.D. Ga., 1971. S. Greenberg, “Police Chief Selection and Survival: Loom-
13
483 F. 2d 966, 10th Circuit, 1973. ing Crisis in America’s Major Police Departments,” in
14
President’s Commission on Law Enforcement and Adminis- Police Labor-Management Relations 1 Vol. 1, pp. 47–57
tration of Justice, Task Force Report: The Police (Washington, (Washington, DC: Office of Community Oriented Policing
DC: U.S. Government Printing Office, 1967), p. 144. Services, Department of Justice, 2006), p. 51.
15 31
Ibid., p. 145. J. H. Skolnick, Justice Without Trial (New York: MacMillan,
16
Suzannah Gonzales, “Opinion Poll: Confidence in Police 1994); W. Westley, Violence and Police (Cambridge, MA:
Hits a 22-Year Low,” The Columbus Dispatch, June 20, MIT Press, 1970).
32
2015; http://www.dispatch.com/content/stories/national_ S. Walker, “Racial Minority and Female Employment in
world/2015/06/20/confidence-in-police-hits-22-year-low. Policing: The Implications of ‘Glacial’ Change,” Crime and
html (accessed June 26, 2015). Delinquency 31, No. 4 (1985), pp. 555–572.
17 33
From various tables, U.S. Department of Labor, Employ- S. Herbert, “Police Subculture Reconsidered,” Criminology
ment and Earnings 8, No. 4 (October 1961). 36, No. 2 (1998), pp. 343–368.
18 34
Bureau of the Census, Statistical Abstract of the United D. Weisburd et al., Police Attitudes Toward Abuse of
States, 1975 (Washington, DC: U.S. Government Printing Authority: Findings from a National Study (NCJ 181312)
Office, 1975), p. 162. (Washington, DC: Department of Justice, 2000), available
19
John H. Burpo, The Police Labor Movement (Springfield, IL: from http://www.njcrs.gov
35
Charles C Thomas, 1971), p. 34. National Academy of Sciences, Fairness and Effectiveness
20
Albert, A Time for Reform, p. 29. Several studies have in Policing: The Evidence (Washington, DC: National
reported that market forces other than unions explain Academy Press, 2004), chap. 4; S. Walker and C. M. Katz,
better the rise in public employees’ salaries than does The Police in America: An Introduction, 6th ed. (New York:
union activity. McGraw-Hall, 2008); S. Walker et. al., The Color of Justice:
21
The data were extracted from the Federal Bureau of Investi- Race, Ethnicity, and Crime in America, 4th ed. (Belmont,
gation’s Uniform Crime Reports (Washington, DC: U.S. CA: Wadsworth, 2007), chap. 4.
36
Government Printing Office, 1965, 1970). Juris and Feuille, Police Unionism, pp. 53–55.

M11_SWAN4056_09_SE_C11.indd 398 7/8/16 3:23 PM

 C H AP T E R 11 • L ABOR RELAT IONS 399
37 53
President’s Commission on Law Enforcement and Adminis- Plains Township Police Bargaining Unit v. Plains Township,
tration of Justice, Task Force Report: The Police (Washington, 33 PPER ¶33,019 (Pa. LRB ALJ 2001).
54
DC: Government Printing Office, 1967), pp. 163–178. City of Bremerton, PEB ¶45,352 (Wash.) (CCH, 1987).
38 55
D. L. Carter, The State of Police Education (Washington, City of Iowa City, 17 NPER IA-26005 (Iowa PERB ALJ 1995)
DC: Police Executive Research Forum, 1989). delay of 90 days in filing unfair labor practice charge);
39
Will Aitchison, The Rights of Law Enforcement Officers, County of Nassau, 35 NYPER ¶4583 (NY PERB ALJ 2002);
5th ed. (Portland, OR: Labor Relations Information Sys- City of Reading, 17 NPER PA-26132 (Pa. LRB ALJ 1995));
tems, 2004), pp. 8–11, 18–21. (This discussion and City of Philadelphia, 13 NPER PA-22042 (Pa. LRB Hearing
accompanying references were adapted from this source Examiner 1991) (six-week delay between filing of unfair
with permission.) labor practice charge and violation of duty to bargain did
40
See §423.231 et seq., Michigan Comp. Laws Annotated not render the charge untimely).
56
(West, 1994). Throop Borough, 16 NPER PA-25012 (Pa. LRB ALJ 1993).
41 57
Hillsdale PBA v. Borough of Hillsdale, 644 A. 2d 564 Law Enforcement Labor Services, Inc. v. City of Luverne, 463
(N.J. 1994). N.W.2d 546 (Minn.App.1990).
42 58
Municipality of Anchorage v. Anchorage Police Department Peekskill Police Association, 35 NYPER ¶3016 (N.Y. PERB
Employee’s Association, 839 P.2d 1080 (Alaska 1992); City 2002).
59
and County of San Francisco, 43 Cal. Rptr.2d 421 (Cal.App. Caruso v. Board of Collective Bargaining of the City of
1995); City of Detroit v. Detroit Police Officers’ Association, New York, 555 N.Y.S.2d 133 (A.D. 1990).
60
294 N.W.2d 68 (Mich. 1980); City of Richfield v. Local 1215, Quoted in Model Law Enforcement Contract, 1993 Edition
Intern. Ass’n of Fire Fighters, 276 N.W.2d 42 (Minn. 1979); (Portland, OR: Labor Relations Information System, 1993).
61
Medford Firefighters’ Association v. City of Medford, 595 Washington State Patrol, 3 (8) Public Safety Labor News 7
P.2d 1268 (Or. App. 1979). But see County of Riverside v. (Wash. PERC 1995).
62
Superior Court, 30 Cal. 4th 278 (Cal. 2003) (binding arbitra- City of Grosse Pointe Park, 14 MPER ¶32051 (Mich.
tion violates unique provision of California state constitu- ERC 2001).
63
tion); Salt Lake City v. Inter. Assn. of Fire Fighters, 563 P.2d City of Mt. Vernon, 23 GERR 667 (New York) (BNA 1986).
64
768 (Utah 1977) (overturns binding arbitration as unconsti- Howard County, 1 (9) Public Safety Labor News 5
tutional delegation of legislative authority). (Fishgold, 1993).
43 65
This “local option” has been adopted by such cities as William J. Bopp, Police Personnel Administration (Boston:
Phoenix, Arizona; Boise, Idaho; Denver, Colorado; and Holbrook HSS, 1974), p. 345.
66
San Antonio, Texas. In states that follow the meet and con- See Richard S. Rubin et al., “Public Sector Unit Determina-
fer model, there usually exists a local option to allow inter- tion Administrative Procedures and Case Law,” Midwest
est arbitration as the last step in the bargaining process. Center for Public Sector Labor Relations, Indiana Univer-
For example, even though for years California followed sity Department of Labor Contract J-9-P-6–0215, May 31,
the meet and confer model, cities in California such as 1978.
67
Oakland and San Jose had local laws providing for In this regard, see Stephen L. Hayford, William A. Durkee,
interest arbitration. and Charles W. Hickman, “Bargaining Unit Determination
44
For example Village of Dixmoor, 16 PERI ¶2038 (Ill. SLRB Procedures in the Public Sector: A Comparative Evalua-
Gen. Counsel 2000). tion,” Employee Relations Law Journal, 5, No. 1 (summer
45
For example California Correctional Peace Officers Associa- 1979), p. 86.
68
tion v. State California, 25 PERC 32,015 (Cal. PERB ALJ 2000). Donald Slesnick, “What Is the Effect of a Sunshine Law on
46
Borough v. Pennsylvania Labor Relations Board, 794 A.2d Collective Bargaining: A Union View,” Journal of Law and
402 (Pa.Cmwlth. 2002). Education 5 (October 1976), p. 489.
47 69
A good early discussion of bargaining topics can be found Charles W. Maddox, Collective Bargaining in Law Enforce-
in Clark, The Scope of the Duty to Bargain in Public ment (Springfield, IL: Charles C Thomas, 1975), p. 54.
70
Employment, in Labor Relations Law in the Public Sector Arnold Zack, Understanding Grievance Arbitration in the
81 (A. Knapp ed. 1977). Public Sector (Washington, DC: U.S. Government Printing
48
Portland Firefighters Association v. City of Portland, 751 P.2d Office, 1974), p. 1.
71
770 (Or. 1988). Maddox, Collective Bargaining, p. 109.
49 72
If an employer chooses to agree to include a permissive Zack, Understanding Grievance Arbitration, p. 4.
73
subject of bargaining in a collective bargaining agree- Maurice S. Trotta, Arbitration of Labor–Management Dis-
ment, and finds the provision to its distaste, it may simply putes (New York: Amacon, 1974), p. 237, with changes.
74
refuse to include the provision in a subsequent agree- See Helen Lavan and Cameron Carley, “Analysis of Arbi-
ment. Paterson Police Local v. City of Paterson, 432 A.2d trated Employee Grievance Cases in Police Departments,”
847 (N.J. 1981). Journal of Collective Negotiations in the Public Sector 14,
50
City of Portland, 8 PECBR 8115 (Or. 1985). No. 3 (1985), pp. 250–251.
51 75
City of Buffalo, 13 NPER NY-13036 (N.Y. PERB 1990). Zack, Understanding Grievance Arbitration, p. 32.
52 76
County of Perry, 19 NPER IL-124 (Ill. LRB 2003). Ibid.

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 400 CHA PTE R 1 1 • L A B O R R E L ATIO NS

77 85
Michael Cooper, “Police Picket Traffic Courts, as Pact Pro- On September 29, 1976, Richard M. Ayres presented a paper,
tests Go On,” The New York Times, January 27, 1997, p. B3. “Police Strikes: Are We Treating the Symptom Rather Than
78
Peter Finn, “Police Officers Send Pointed Message: More the Problem?” at the 83rd International Association of
Than 150 Pagers Turned in to Protest Alexandria Pay Chiefs of Police meeting, Miami Beach, Florida. Although it
Scale,” The Washington Post, January 24, 1997, p. B6. is not quoted here, some of his themes may be identifiable,
79
Stephanie Reitz, “Council Approves Police Contract in East and his contribution in that regard is acknowledged.
86
Hartford,” Hartford Courant, March 19, 1997, p. B1. This list of questions with modifications and additions is
80
Jack Rabin, Thomas Vocino, W. Bartley Hildreth, and Gerald drawn from Charles C. Mulcahy, “Meeting the County
J. Miller, eds., Handbook of Public Sector Labor Relations Employees Strike,” in Collective Bargaining in the Public
(New York: Marcel Dekker, 1994), p. 6. Sector, pp. 426–430. See also Carmen D. Saso, Coping
81
On these and related points, see Robert P. Engvall, “Public with Public Employee Strikes (Chicago: Public Personnel
Sector Unionization in 1995 or It Appears the Lion King Association, 1970).
87
Has Eaten Robin Hood,” Journal of Collective Negotia- Harold W. Davey, Contemporary Collective Bargaining
tions in the Public Sector 24, No. 3 (1995), pp. 255–269. (Englewood Cliffs, NJ: Prentice Hall, 1972), p. 195.
82 88
Detroit Free Press, February 8, 1997. John H. Burpo, Labor Relations Guidelines for the Police
83
Don Aucoin, Boston Globe, September 27, 1997. Executive (Chicago: Traffic Institute, Northwestern Univer-
84
http://204.127.237.106/newsonline/96apr22/beatings.html sity, 1976), p. 14, with modifications and additions.

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 C H AP T E R 11 • L ABOR RELAT IONS 401
89 94
Lee T. Paterson and John Liebert, Management Strike Some of the specific recommendations made at the 2011
Handbook (Chicago: International Personnel Management PERF meeting and discussed herein have been slightly
Association, 1974), p. 42. edited in order to reduce some unintentionally awkward
90
Labor-Management Relations in Policing: Looking to the wording. However, the authors have made every effort
Future and Finding Common Ground, Critical Issues in possible to be faithful to the original transcription that
Policing Series (Washington, DC: Police Executive was itself also summarized from much more detailed
Research Forum, October 2011), p. 1. discussions by these chiefs and labor union
91
Chris Stein, “As Cities Lay Off Police, Frustrated Neighbor- representatives.
95
hoods Turn to Private Cops,” Christian Science Monitor, Ibid., pp. 1–2.
96
April 5, 2105; http://www.csmonitor.com/USA/2013/0405/ Ibid., p. 3.
97
As-cities-lay-off-police-frustrated-neighborhoods-turn-to- “Town files Chapter 11, pensions go up in smoke,”
private-cops (accessed June 27, 2015). American Police Beat (September 2011), p. 51.
92 98
John Woolfolk, “66 Officers Turn in Badges in San Jose’s “Bankrupt Cities, Municipalities List and Map,” Governing
First Police Layoffs,” San Jose Mercury News, June 30, the States and Localities, November 7, 2014, p. 62;
2011; http://www.mercurynews.com/san-jose-police/ http://www.governing.com/gov-data/municipal-cities-
ci_18384442 (accessed June 26, 2015). counties-bankruptcies-and-defaults.html (accessed June
93
Labor-Management Relations in Policing, p. 1. 26, 2015).

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 c h a p t e r t w e l v e

FI NANC I AL
M A NAGE ME NT
Learning Objectives
1. State the five ways in which the Great Recession affected many law enforcement agencies.
2. Identify seven strategies used by law enforcement agencies to counter fiscal stress.
3. Give three definitions of the budget.
4. Explain why budgeting is inherently a political process.
5. Define operating and capital budgets.
6. Identify the key objectives of citizen-centric reports.
7. Provide five quick budgeting tips.
8. List and briefly describe the four major steps in the budget cycle.
9. Identify six common ways in which a police budget can be adjusted.
10. Describe the nature of the line item budget.
11. Identify the feature that is increasingly found in program budgets.
12. Provide three reasons why cost measures for performance budgets/
performance-based budgets are carefully selected.
13. Explain how service level and zero line item budgeting work.
14. Explain hybrid budgets and why they exist.
15. Identify eight different jobs a volunteer could do in a law enforcement agency.

402

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 403

INTRODUCTION 2015, some police departments had slivers of their cuts

restored, but conservatives and Tea Party members continue to
This chapter is important to the argue for smaller and more efficient government. Some citizens
development of police leaders for the following are asking, “Can we really afford the police department we
used to have?” It seems likely that as we progress slowly toward
reasons: (1) Budgeting does not occur simply in a a recovery of some sort that policing may also be on the path
police context; it occurs within a larger framework to becoming institutionally different. With deep cuts in staffing,
of state laws and regulations, city or county many law enforcement agencies are actually a thin blue line
and unpredictable events, such as landslides, wildfires, torna-
charters, local ordinances, guidance from city/ does, rioting, floods, hurricanes (see Figure 12.1), terrorist
county chief executives, finance officers, attacks, and protracted union strikes may stretch agencies too
legislative bodies, regulations, the terms of far. Moreover, cutting staffing and overtime funding are
­incompatible strategies. Technology is a force multiplier for law
collective bargaining agreements, citizen and enforcement agencies, but if staffing cuts are severe enough
special interest groups, the political climate, and technology cannot overcome the absence of officers.
the financial markets. Complete police The Great Recession affected many law enforcement agencies
because it (1) introduced fiscal distress, (2) reduced their
administrators must understand the larger context resources, (3) forced law enforcement executives to make pain-
and their own departmental budgeting practices ful decisions, (4) left a lingering impact on many agencies, and
to be effective, (2) Essentially, three things fuel (5) provided useful and sometimes painful lessons about finan-
cial management.
law enforcement agencies: funding, people, and
information; continuous learning about all three is
Stockton: Bankrupt and Only Responding
essential; (3) Responsibilities in the budget
to Crimes in Progress Many Hours of
process increase as the rank ladder is climbed; the Day
learning now prepares one for the future. Fourteen months after the onset of the recession, CNN found
Moreover, some agencies solicit budget input that 84 percent of cities surveyed were in financial trouble and
from all levels of the agency. In those instances, that number was expected to rise to 92 percent by the end of
the year.2 The states also had their financial problems. Between
your knowledge of the budget will serve you well 2009 and 2012, state budget shortfalls amounted to $376 billion;
from the beginning of any career in law state debts soared; and just in 2010 alone, 39 states made mid-
enforcement; (4) The budget process is closely budget year cuts totaling $18.3 billion.3
How did all of this indebtedness happen? Broadly, although
watched by more senior appointed and elected the specifics vary somewhat from one situation to another,
officials, police associations and unions, auditors, falling property values and increasing unemployment figures
and the news media; to a large degree the caused tax revenues to decline, consumer spending slowed,
people relocated to find greener economic pastures, mortgage
measure of police administrators is how well they foreclosures, loan defaults, and personal bankruptcies spiked,
prepare, present, and execute their department’s and many businesses reduced the number of employees or
budget; (5) A reputation as a good financial were forced to close their doors. In some jurisdictions, plain-
tiffs received large settlements or were awarded substantial
manager is a major asset when facing cutbacks or judgments for police misconduct, resulting in budget tighten-
seeking appropriations for new programs. ing. In the 10 years before 2014, lawsuits against the police cost
Chicago taxpayers $521 million.4 In just 2014 and 2015 that
figure was $106 million for settlements, judgments, legal fees,
and other related expenses.5 That amount was an additional
THE ECONOMY AND POLICE staggering expenditure for Chicago, already saddled with bil-
BUDGETS lions of dollars in unfunded pension obligations, mental health
clinic shutdowns, reduced library hours, and higher fees for
The Great Recession began in December 2007 and was the water, parking, and other services.6 Elsewhere, a few cities
longest since the 1930s.1 It was officially declared over in 2009, discovered their municipal charters prohibited reducing police
yet recovery is slow, uneven, and economic indicators continue salaries.
to be mixed. All of this is consistent with the rule of thumb that Stockton provides a case study of the complexities of local
recovery from a major recession takes roughly a decade. In government financial management. It a city of 300,000 located

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 404 cha pte r 1 2 • FIN A N CIA L M A N A G EME N T

FIGURE 12.1 c New Orleans,

Louisiana, 2 days after Hurricane
Katrina struck (2005). A sheriff’s
deputy helps an elderly man, too
weak to lift his bottle of water,
take a drink. (FEMA/Win Henderson)

in Northern California’s San Joaquin Valley. In the decade lead- of fiscal mismanagement, described by one as a “slow
ing up to 2007, it became an economic engine. Just a few years moving train wreck.”11
later it filed for bankruptcy. Unemployment reached 18 percent,
Nearly 30,000 children lived below the poverty line and crime 2. Voters in California in 1978 used the initiative and
increased substantially;7 It became one of the most dangerous approved Proposition 13 to cap property taxes at
California cities in which to live.8 In 2013, the city manager 1 percent of the appraised value and other initiatives
reported: “There are still an unacceptable number of hours in further constrained the governmental finances (see
a day when police will only respond to crimes in progress.”9 Quick Facts: What is the Initiative? and the
In 2009 and 2011, Stock led Forbes list of “America’s Most Mis- accompanying informational link). Although distant in
erable Cities.”10 No single factor propelled the city into insol- time, Proposition 13 is one of the root causes that
vency in 2012; instead, it was a volatile mix of factors: cumulatively, along with other events, propelled
Stockton and other California cities into dire fiscal straits.
1. A widespread, but undue optimism, that the “good”
economic times would continue unabated, a prime ex- 3. Starting in the mid-1990s, the city began attracting
ample of the danger of linear thinking. Some investors buyers from San Francisco and the Bay area who were
and analysts generally saw Stockton as an extreme case seeking bargain homes.12 This surge drove median

Quick Facts: What Is the Initiative?

California and 21 other states include the initiative and referen- There are two types of referendums: (A) the legislative referen-
dum in their state constitutions; South Dakota was the first to dum, in which the legislative body refers a law to voters for their
do so, in 1898.13 These states are for the most part concen- approval or disapproval and (B) the popular referendum, which
trated in the West. Initiatives allow voters to propose new laws. allows voters, with valid petitions, to place on the ballot the
During any given year in California, a dozen initiatives may approval or repeal of an existing act of their legislature.
appear on the ballot. The initiative is a process that allows citi-
zens with sufficient valid petition signatures to bypass their Informational Link: 50-State Interactive Initiative
legislatures and place proposed statutes, and in some states MAP
new Constitutional amendments, on the ballot for determina-
tion by popular vote. It is direct democracy (See Quick Facts: This link connects with an excellent interactive 50-state map
James Madison and Direct Democracy), as opposed to repre- that displays information about where each state stands with
sentative democracy. In contrast, the subject of a referendum initiative and referendum, along with the applicable histories.
is an existing law that is subject to approval or repeal by voters. Visit: http://www.iandrinstitute.org/statewide_i%26r.htm.

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 405

Quick Facts: James Madison and Direct Democracy

James Madison (1751–1836) was America’s fourth President. them to turn freely, stand up, sit down, and unfold their
He believed, like many of his contemporaries, in representa- wings. Now, all eggs sold in California must come from
tive democracy and was suspicious of direct democracy, of chickens housed in that manner. At least four states have
which the modern day initiative is an example. Madison filed suit on the basis it is an unreasonable restraint of
regarded direct democracy as the “tyranny of the masses.” interstate commerce14 and
Some officials and citizens believe that too much use has 2. Proposition 23, defeated in 2000, would have required
been made of the initiative in California, usurping the role of “None of the above” to be included on all election
the legislature to some degree. Two examples of the use of the ballots. The proposal seemingly comes from a Richard
initiative follow. The first example was a victory for animal rights Pryor comedic movie, Brewster’s Millions (1985). On the
activists and kindred spirits, while the second one was defeated. other side of the Jordan River, James Madison must be
1. Proposition 2, which went into effect in 2015. It required shaking his head.
that all chickens must be confined in spaces sufficient for

home prices from $110,000 to nearly $400,000 between continued to worsen Stockton became a ghost town at
2000 and 2006.15 Permits for new home construction night with boarded up businesses and rubbish in the
soared to nearly 3,000 annually and the additional streets (see F­ igure 12.2).19
property taxes seemingly made Stockton a wealthy
­municipality.16 The California home market began its 4. As the national financial markets plummeted, so did
ugly crash in 2007 and 2 years later Stockton’s home Stockton’s return on investments, which were used for
values retreated to their 2000 level, by 2010 there a variety of purposes, including pension payouts. In
were only 152 building permits issued.17 The housing 2007, the city borrowed $125 million and invested it in
­collapse hit Stockton in two ways: (1) Upside down Calpers (California Public Employees Retirement Sys-
on their mortgages, many people lost their homes tem, a state agency that manages pension and health
to f­ oreclosures18 and other property owners simply funds).20 Calpers lost money in the market downturn,
walked away from their mortgages and fled to other reducing the value of Stockton’s investment in 2010 to
jurisdictions, depriving the city of property tax revenue $93 million.21 Stockton was left with both bond and
and (2) the decline in population negatively impacted pension liabilities: the combined pension liabilities
local businesses, to a discernible degree. As times became a major driver in Stockton’s insolvency.

FIGURE 12.2 c Crumbling

sidewalks and shuttered busi-
nesses line a downtown street in
Stockton as hard times hit the city.
(Kevin Bartram/Reuters/CorbisKevin
­Bartram/Reuters/Corbis)

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5. The turbulent and sometimes swift changes in Law Enforcement Agencies and Fiscal
­financial markets and Stockton’s own economic crisis
­complicated making accurate planning and fiscal
Stress
­decisions. Illustratively, as Stockton prepared its 2012 Law enforcement agencies have been using the following strate-
budget, it had already announced a fiscal emergency gies in some combination to counter fiscal stress: (1) freezing
in the two prior budget years and made substantial new hires and eliminating positions; (2) cancelling recruit and
cuts in an attempt to remain solvent.22 The city had many advanced training classes;31 (3) requiring officers to take
reduced the police department by one-fourth, the fire furlough/unpaid days off; (4) reducing salaries;32 (5) closing
department by 30 percent, slashed other departments precincts;33 (6) delaying the purchase of replacement vehicles;
as well, and workers who kept their jobs had their pay (7) selling helicopters;34 (8) closing police stations to the pub-
cut by as much as 22 percent.23 Stockton also defaulted lic;35 (9) slashing police programs;36 (10) eliminating mounted
on three sets of bonds, losing control of three parking patrol, motorcycle, accident investigation, burglary, and marine
garages and an 8-story building that was to have been patrol units;37 (11) laying off officers and slashing overtime fund-
the new city hall and still faced a deficit. Since 2009, ing; (12) achieving reductions in force by not filling vacancies
the city had cut its budget $90 million.24 created by attrition; (13) replacing sworn officers with fewer and
less-expensive civilians; and (14) increasing the numbers and
6. In times of plenty Stockton spent freely and made
breadth of assignments for volunteers.
compensation commitments that just a few years later
The financial management skills of law enforcement execu-
became unsustainable.25 The starting point appears to
tives have been severely tested by the circumstances of our
have been 1996, when Stockton gave firefighters full
economy for almost a decade. Even their best efforts have some-
health care coverage for life and it spread to other
times not been sufficient. Hundreds of small towns have abol-
public safety employee groups.26 Even if revenues
ished their police departments.38 Typically, these small towns
decreased compared to the previous year, employee
contract with the state police or a sheriff’s office for minimal law
salaries would still automatically increase by 2.5 to 7
enforcement services or consolidate with another law enforce-
percent and unionized employees would get a pay
ment agency.
increase that could not be less than comparable cities.27
For many police departments, all fat had been trimmed and
Although Stockton cut positions and implemented other
the continuing cuts were well into muscle and bone, affecting
measures, it was still accumulated annual deficits starting
service delivery, such as increased response time, in ways that
in 2007, steadily pushing the city toward the brink.
citizens can feel. Slashed budgets are particularly vulnerable to
To meet its pension funding requirements, the city needed an deficit spending because there are so many “budget busters” that
annualized return on investments of 7.75 percent, but its bonds only cannot be foreseen—for example, natural disasters,39 such as
paid 5.46 percent, leaving the city to fund the difference, which even- hurricanes, tornadoes, earthquakes, floods, mudslides, and wild-
tually it could not28 and fell $41 million deeper into debt.29 Stockton fires. Other budget busters include searches for missing children,
was further rocked when it calculated a terrible truth: Retiree health hunters, and seniors who walk away from their care situations
benefit costs were increasing even faster than pensions. Moreover, protracted strikes, complex investigations involving serial offend-
these health care costs were taken from the annual operating budget, ers, unforeseeable surges in the price of gasoline, terrorist
further constraining what Stockton otherwise might have been able attacks, demonstrations, and the cost of using private labs to
to allocate elsewhere. By 2011, the projected liability for future/post process key evidence in significant cases. In many of these
employment health care was $544 million, entirely unfunded.30 If examples, cutting staffing and reducing overtime funds in the
bankruptcy had not happened when it did, it is clear than just salaries police budget are not compatible strategies because the need to
and pensions and health care liabilities would have forced Stockton respond to special circumstances quickly overspends
into it within a very short time horizon. the overtime budget. In very small departments, the budget may
Stockton exited federal bankruptcy in late 2014, but still be “busted” by lesser events, such as having to replace a copier
deeply in debt. The saddest part of the saga of Stockton is what machine or buying a new patrol car because of an accident.
happened to those who worked for the city in good faith for Without question, the deep cuts resulted in some people becom-
years, earned a pension, and retired. Under California state law ing crime victims, some criminals escaped investigation and
the pensions of public employees cannot be cut. However, the prosecution due to elimination of positions, and police work
federal bankruptcy court ruled otherwise and Stockton became more dangerous because of less or no backup on calls
­pensioners suffered as their income in their “Golden Years” was where it previously had been provided (See box 12.1).
­substantially slashed and their health care was quickly phased Police executives are not going to be criticized about financial
out. Some retirees discovered that health care insurance would management when unforeseeable “budget busters” occur. How-
cost as much as roughly one-third to one-half of their new ever, when mistakes are made on basic matters, budget appro-
monthly retirement earnings. priators are typically unsympathetic. A state police commissioner
The Stockton bankruptcy case study illustrates the point failed to request $4 million to train the new troopers the state
that policing is affected by the currents of the society in which legislature had authorized hiring. To express its displeasure, the
it is embedded. state legislature froze trooper hiring for 1 year.

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 407

Box 12.1: Two Examples of Under Supported and Overloaded Investigators

Southwest Missouri Cyber Crimes Task Force The Oakland, California, Police Department
The Task Force was crippled by budget cuts and may be In 2015, the OPD only had eight detectives in its robbery
forced to disband. Its work: investigating online predators investigation unit and they were charged with investigat-
targeting Missouri children and selling child pornogra- ing more than 3,300 crimes or a staggering 419 cases a
phy. 40 Last year, the Governor vetoed $1.5 million year each. As a practical matter, only 20 percent of all
to ­support cyber units across the state and was character- robbery cases were investigated and few of those were
ized as being “anti-law enforcement.” However, scarce solved. Consequently, the Alameda County District Attor-
resources may have actually accounted for the Governor’s ney’s Office was only able to bring charges in just 231 or
decision. less than one percent of all robbery cases.41

Quick Facts: The Distinction Between Budgeting and Accounting

Some police personnel are dismissive about budgeting, Budgeting is prospective, future oriented; accounting is ret-
claiming it’s “accountant’s work.” The claim reveals a lack of rospective, past oriented.42
information about how the two concepts are related.

POLITICS AND FINANCIAL vote on appropriations. Appropriators consider their own views,
as well as those expressed by constituents, political donors, the
MANAGEMENT news media, police unions, polls, special interest groups, lobby-
ists, and colleagues, as well as deals made to secure support for
Anything done by government involves the expenditure of pub- their own interests. Politics do not stop when a budget is
lic funds.43 Budgeting is inherently a political process because adopted; in some circumstances, the politics can actually inten-
elected members of city councils, county commissions, state leg- sify during the time a budget is executed (see Figure 12.3).
islatures, and the Congress express their preferences when they

FIGURE 12.3 c Glendale,

Arizona, police officers attended a
2012 city council meeting during
which a $20 million budget cut
was discussed. The cuts were not
as deep as feared; the police
department lost 19 of 425 sworn
and 14 of 152.5 civilian positions.
(Ross D. Franklin/AP/Corbis)

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 408 cha pte r 1 2 • FIN A N CIA L M A N A G EME N T

This is especially true when a law enforcement agency has budget. For example, it is a plan expressed in dollars, it is the
scarce resources and must cut back or end different services. use of financial resources to meet human needs, and it is a con-
Some citizens and groups effected by such decisions will try to tract between those who appropriate the money and those who
get their preferred services restored. execute the budget.46
A budget year is called a fiscal year (FY), and it may coin-
cide with the calendar year. Often, a FY runs from July 1 of one
year until June 30 of the next year. A budget, which begins on
STATE AND LOCAL INFLUENCES July 1, 2018, and ends on June 30, 2019, is called the FY ’19
ON FINANCIAL MANAGEMENT budget. Some local units of ­government have changed their fiscal
year to October 1 of 1 year until September 30 of the next year
Cities and counties are under the authority of their respective state to coincide with the federal budget year and the funding of its
governments, which have considerable authority over them, grant programs. At various times, the Congress has considered
including their financial management. Local governments cannot adopting a biennial budget but never changed to one. In 1940,
be created, nor can they levy taxes or deliver services without the 44 states were using a b ­ iennial budget, which covers a 2-year
prior approval of the state. Following the economic crash of 1929, period, by 2015 only 19 states were using one.47,48
thousands of local governments went bankrupt because they could Budgets can also be defined as operating and capital:49
not meet their financial obligations. As a result, many states passed An operating budget usually covers a 12-month period
laws that regulate local finance in such areas as revenue sources, and consists of annually recurring costs such as salaries, fringe
tax collection, level of permissible indebtedness, budgeting proce- benefits, uniforms, crime scene supplies, ammunition, training,
dures, and audits. Typically, states prohibit cities and counties from telephone service, gasoline, and kindred expenses. Operating
borrowing to fund annual operating budgets; historically such bor- budgets are overwhelmingly funded by a city or county’s annual
rowing signaled bankruptcy was on the near horizon.44 States also stream of revenues into its general fund, with a few exceptions
require detailed financial reports from local governments, which such as grants and donations. As its name suggests, the general
are carefully studied for signs of fiscal weakness. fund contains a local government’s revenues that are not obli-
In addition to whatever requirements the state establishes, local gated to other funds. Both operating and capital budgets must
financial management is guided by a maze of other guidelines, be approved by the appropriate legislative body which autho-
including the city or county charter, ordinances, executive orders, rizes appropriations, such as a city council, county commis-
regulations, and customary practices. The form of local govern- sioner, state legislature, or the congress.
ment shapes who the dominant figures are in finance. In a strong Capital budgets were introduced in the United States d ­ uring
mayor system, the mayor is the key player, whereas in the weak the 1940s and the use of them slowly spread.50 Capital budgets
mayor form, the council is the predominant force. In a mayor–city are made up of individual “high cost” capital improvement
manager system, the manager holds great power. These general- ­projects (CIPs). There is variation in local government capital
izations are affected by other factors, such as how much influence budgeting practices across the United States. As an example,
a long-serving finance director has accrued and the degree to there is no generally accepted definition of a capital budget
which a city council is more or less activist in scrutinizing and because the definition of what is a “capital” item varies by state,
revising the mayor’s or city manager’s budget. and across local governments by their size, population, or other
factors. For example, in Minnesota, state guidance on capital
budgets for small units of local government is different than for
KEY BUDGET TERMS large ones. Over the next two decades capital budget expendi-
tures will be higher as aging/inadequate facilities are replaced
Every year, the most important statement governments make is and the population increases, creating further police service
the approval of their budgets because it reveals in financial terms demands.
what their priorities are. There are different ways to define a

Quick Facts: Origination of

Quick Facts: State Control of Local the Term “Budget”
Government Finance
“Budget” comes from the French bougette, meaning a
There are four broad category areas in which states com- leather bag. Originally, it referred to the bag in which the
monly exert at least some control of local government Chancellor of the Exchequer carried budget documents
finance by law or regulation: (1) budgeting practices and to the English Parliament. Later, it came to mean the docu-
format, (2) raising revenue, (3) indebtedness and debt man- ments themselves.51 The first Exchequer budget was
agement, and (4) fiscal reporting requirements to the state.45 taken to Parliament in 1284 and the office still exists.

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 409

A single car may be identified as a capital expense in one build a new jail for the Sheriff’s Office/Department because the
jurisdiction while in another it may be part of the separate existing one is antiquated and continuously overcrowded.
operating budget. This is usually because jurisdictions are Unlike operating budgets, capital items are not an annually
operating on different financial t­hresholds that determine into recurring expense because once paid for the item no longer
which budget an item goes. As an example, in many small appears in the budget. Commonly, capital items are paid for by
jurisdictions the cost of purchasing an automobile is automati- multiple sources, including revenues, grants, and donations.
cally in the capital budget. In ­contrast, in New York City, unless Some jurisdictions have a preference to “pay as you go” as much
the cost of purchasing a car is more than $35,000, its cost goes as possible, but very large projects, such as purchasing a heli-
into the annual operating budget. The advantage of placing an copter for surveillance and rescue, may force counties to issue
item in the capital budget is that it can be paid for over mul- a bond, creating an indebtedness. Bond investors are repaid
tiple years as opposed to 1 year in an annual operating semiannually over a fixed number of years.
budget. A number of cities and counties have a combined operating
Illustrations of CIPs include the purchase of land, major and capital budget that the legislative body considers, usually
rehabilitation of buildings, construction of new facilities, over several meetings. The Government Finance Officers Asso-
sewer, gas, and water lines, bridges, dams, parks, and airports. ciation (GFOA) recommends that when a combined operating
Equipment and machines, such as increasingly sophisticated and capital budget is used, the operating and capital budgets
computers and vehicles, firearms, and forensic laboratory should be distinctly separated.52
equipment, may also be in the capital budget. The $250,000
Rapid Hit 200, which completes DNA testing in 90 min, as
opposed to 2 days, would be in the capital budget of almost
all local governments.
THE BUDGET CYCLE
CIPs vary in terms of the number of years over which they At its heart, the budget cycle is a stream of four sequential
are paid off and each of them are reviewed annually and steps that are repeated at about the same time every year in a
adjusted. The subsequent maintenance of many newly acquired jurisdiction: (1) preparation and submission of the budget by
capital items, for example, cars, buildings, and a new police all of a city or county’s departments, which includes getting
­station comes out of the operating budget. Some CIPs may be input from stakeholders, such as citizens and advisory boards
required as a matter of law, such as a court order to a county to (see Box 12.2); (2) review and approval by the legislative body,

Box 12.2: Citizen-Centric Reports (CCRs)

Citizens in the United States generally have multiple oppor- are we doing? This page is a performance report of key mis-
tunities to learn about and provide input on budget priorities sions and services and AGA encourages that public input,
and appropriations. Such opportunities are enhanced by a such as a survey, be used to gather data. A usual survey
technique loosely referred to as a “citizen guide,” citizen- question is, “How much confidence do you have in your
centric report, “performance report” or some similar title. police department?” This question is used with other
The key objectives of citizen-centric reports are to increase departments as well; (3) What are the costs for servicing citi-
the transparency of government and citizen participation in zens and how is it paid for? On this third page, cost data is
governance. The contents vary, but frequently incorporate linked to the service delivery outcomes so citizens under-
color pie and bar graphs to summarize information about the stand what each service costs; and (4) The last page covers
budget, the accomplishments of the jurisdiction, and a survey challenges moving forward: What’s next and future chal-
of local citizens on their satisfaction with the city or county’s lenges, which summarizes emerging conditions and the eco-
services. Citizen guides are widely distributed in print and are nomic outlook.
often available on the city or country’s website. The advan- The more elaborate reports may also incorporate
tage of surveying citizens is that instead of a jurisdiction just ­information from the International City/County Management
telling people what the city or county has done, it is in a lis- Association’s (ICMA’s) National Citizen Survey (NCS), which
tening mode to the perceptions of citizens and may discover asks questions in eight different community domains to
new opportunities or conditions that need correction. determine citizen perceptions. Users jurisdictions can get
Used precisely, a “Citizen-Centric Report” (CCR) refers data about their own community as well as comparative data
to an initiative by The Association of Government Accoun- for comparable jurisdictions. NCS may be used in lieu of the
tants (AGA) to give citizens numbers that they can under- local survey or as a supplement.
stand. In plain language and limited to four pages, the Law enforcement agencies may be able to hone their
AGA’s CCR format answers four questions for citizens: (1) annual and other reports by discovering new ideas for them
Strategic Objectives/what are we chartered (required) to do? by studying the features of citizen-centric and other citizen
This explains the mandated services to be provided; (2) How guides on the internet.
(continued )

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 410 cha pte r 1 2 • FIN A N CIA L M A N A G EME N T

Box 12.2 (Conclusion)

Informational Link: Palo Alto, ICMA, and service and the eight domains: community engagement, edu-
Citizen-Centric Reports cation and enrichment, recreation and wellness, economy,
built environment, natural environment, safety, and mobility.
The City of Palo Alto has an excellent annual report to citizens,
AGA’s CCR initiative is intended to foster innovative
“FY 2015 Performance Report, The National Citizen Survey, and
means of communicating between governments and their
Citizen Centric Report.” Visit Palo Alto’s site (CityofPaloAlto.org)
citizens AGA’s survey can also be customized for local needs.
and search for more recent performance reports.
Information about the CCR, including the AGA’s format, is
Also, go to ICMA.org and search for “The National Citizen
found at Agacgfm.org.
Survey” to read more about this important subscription

which usually involve public hearings and occasionally heated later, but they do reduce some potential for it. Occasionally, dif-
exchanges; (3) execution of the budget, meaning doing the ferences arise in budgeting over seemingly minor programs (see
actual things for which the funds were appropriated, including Quick Facts: Geese Police Restored in Budget).
any budget adjustments after the budget is approved; and (4)
the audit and evaluation.53 An audit is an independent evalu-
ation of something, for example, a law enforcement agency’s
Step One: Budget Preparation in the
control of its petty cash fund, its annual expenditures, or its Police Department
performance on key indicators, such as use of force incidents. In small police departments, those with roughly 10 or fewer
Many of these four activities are going on simultaneously officers, the chief’s role in budget preparation is often limited.55
because different budget activities overlap or are “scrambled” Most frequently, strong mayors or city managers will have several
together.54 For example, while a sheriff’s, or police department conversations with such chiefs about their department and for-
is executing this year’s budget, last year’s budget is being mulate the budget themselves or delegate its preparation. In
audited and the next year’s budget is being prepared. larger departments with seven or eight layers of hierarchy, the
Well before a police department starts preparing its budget, budget process is more formal. In medium-sized and larger
the F/FSD has been at work preparing the revenue forecast for departments, the chief’s budget is shaped by the guidance given
the city, documenting the assumptions departments are required by a city or county manager and, in that context, is a top-down
to make during budget preparation, such as percentage increases process. However, to know what the actual needs are, the low-
for gasoline or equipment service, and other data, including the est-ranking supervisors in the department, sergeants or corporals
budget preparation manual. These manuals focus on the techni- may be involved in identifying them and, in that regard, the
cal aspects of putting the budget together and include defini- budget is a bottom-up process. Some departments go further and
tions, forms, and the budget calendar (see Figure 12.4). solicit budget input from non-ranking patrol officers, the usual
The city or county manager then sends the budget manual to entry-level position.
the department heads with specific guidelines on services to be The budget is built by reviewing, sometimes revising, and
emphasized and specific fiscal guidance as to the amount the then combining the budget requests from smaller units to form
budget may increase or must decrease, the upper percentage of much of the budgets of bureaus or divisions. The single most
employees raises, limits on new positions and programs, and important element in a police budget is people and their support
other fiscal data. Often, the budget message from the city or costs, such as salaries, medical insurance, life insurance, and
county manager, the budget preparation manual, and past bud- pension benefits, as well as overtime and training. In many
gets are available online, along with any software needed to departments, personnel and personnel support costs may con-
prepare the budget. Budget workshops can be held by the F/ sume 80 or more percent of the budget, limiting what cuts can
FSD to explain the process and establish uniformity in the bud- be made before staffing is reduced.
get process across departments. In a tight budget year, some chiefs cut back on training dol-
Before sending out the budget preparation manual, city and lars. This might make the budget work, but it is a poor strategy.
county managers usually meet with their mayor and council or Any chief who submitted a budget without dollars in it for
commission informally or formally to get their views on budget preventive maintenance of the police fleet would be criticized;
priorities to avoid major conflict later in the budget process. yet, training is the preventive maintenance on people. It keeps
Many jurisdictions conduct strategic planning and budget work- personnel fresh and at the cutting edge, prevents litigation or
shops at various points in the budget process to get citizen and can be a defense to it, and is a means of importing new ideas
city council or county commission input early in the process, and techniques into the police department. As to delaying the
especially with respect to goals, priorities, and target budget purchase of replacement vehicles, officers operating vehicles
figures. These measures do not guarantee there won’t be conflict with 100,000 and more miles are using cars that may be

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 411

Action Responsibility Deadlines

Budget kickoff: Budget manual and city manager’s City manager October 1, 2017
transmittal letter (the “budget call”) distributed to all
departments, often done in a meeting with additional
commentsa
Department heads issue their budget message to Police chief October 15, 2017
immediately subordinate unit commanders (e.g., deputy
chiefs or majors in charge of bureaus or divisions)
City holds budget preparation workshops; police F/FSD holds workshop October 22–23, 2017
representatives—may be mix of civilians and sworn
personnel—involved in preparing police budget attend
Recommended budgets for all police bureaus or divisions Bureau/division commanders February 1, 2018
developed with justification and submitted to police
budget office
Recommended bureau or division budgets reviewed Police budget office with February 18–22, 2018
with the respective commanders bureau or division commanders;
chief may participate
Bureau or division budgets consolidated into overall Police budget office March 1, 2018
department budget
Overall police budget reviewed by chief Chief, bureau or division March 4–15, 2018
commanders, police budget
office
Police department budget approved for submission Chief March 18, 2018
to city manager or F/FSD
City manager meets separately with department City manager, police chief, April 1–12, 2018
heads to review their budget requests other department heads
Department budgets revised per city manager’s guidance Chief, police budget office April 15–May 10, 2018
City manager forwards recommended budget to city City manager May 16, 2018
council
City council as a whole or through its finance/ways and City council May 17–31, 2018
means committee reviews departmental budgets
City manager and departments present their respective City manager, department June 3–14, 2018
budgets separately to city council and respond to questions heads, city council
City council holds public hearings on city budgetb City council June 17–21, 2018
City council approves budget and it becomes effective City council July 1, 2018

FIGURE 12.4 c A police department’s FY ’19 budget calendar.

a
Budget calendars vary widely in local government. This figure omits the handling of capital improvement projects (CIPs) and advanced financial
topics, such as the submission of departmental earnings estimates, setting the tax millage rate, and forums for getting citizen input on priorities
and programs.
b
The number of public hearings required may be set in the city/county charter, by local ordinance, or by state law.

Quick Facts: Geese Police Restored in Budget

The Eatontown, New Jersey, city finance staff cut the budget eliminate high concentrations of Canada Geese from parks
$12,000 by eliminating the “Geese Police,” a dog that chased and other public areas. A single Canada Goose produces
the geese from Wampum Memorial Park. The city council’s several pounds of “poop” daily. When there are larger popu-
president expressed anger at the cut. One council member said lations of them, this creates a health hazard and eyesore,
the program was very effective, the cut would reduce park use, both of which reduce public use of such facilities. Because
and the budget should be amended to fund the Geese Police.56 some number of animal control departments are located
On the “left coast,” There is an Oregon business, “Geese within the organizational structure of law enforcement agen-
Guys,” who use highly trained border collies to humanely cies, “geese herding” becomes their responsibility.

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dangerously worn out, no matter how well they have been explanation that seemingly justifies a budget increase: If crime
maintained. These ideas are easily written, but when chiefs are is up, more personnel and programs are needed to reduce it;
confronted with 25 percent cuts in their budgets or end up if things are going well, new funding will help keep crime in
where Stockton did after bankruptcy solid ideas perish under check.
the weight of ugly realities.
When the chief meets with bureau or division commanders
to review their budget requests, it is an opportunity to reward Step Two: Budget Review and Approval
the “faithful” and to informally discipline those who are seen as At some point, the city manager will meet with the police chief
“not toeing the party line” and are therefore “disloyal.” In lean to review the department’s request. Prior to that meeting, the
budget years, however, it is harder to reward the faithful and F/FSD will have reviewed the budget and had discussions
easier to harm a wayward subordinate. about it with the mayor or city manager. How the meeting goes
Chiefs are also concerned with budget strategy and making with the city manager depends on many factors, including the
the best case for funding. If solid justifications cannot be made chief’s reputation as a fiscal manager, his/her relationship with
for programs, they should not be included in the request lest it the city manager, the priorities and direction given by the city
set budget analysts in the F/FSD on a quest to also find other council, and the confidence the public has in the chief and the
programs to cut. As a matter of strategy, chiefs may include some police department. Even recent events can affect the outcome.
“fat” in the budget, so that they can withstand a certain degree For example, assume that a chief has a street crimes unit whose
of reductions. The fat is not wasteful spending; it represents new tactics often include using decoys who are similar to the types
positions or programs the department would like to have and of victims being targeted by predatory criminals (e.g., indi-
would make good use of but whose loss would not endanger gents, the elderly, and lone females). If in the past week, an
the delivery of important services. offender was killed attempting to rob a decoy, the newspapers,
In fiscally strained years, when transmitting the budget to and public sentiment may run toward disbanding this “killer”
the finance director or city manager, the chief’s cover letter will unit. No matter how effective the unit is, the question may
detail what cuts were necessarily made in his/her proposed become how much “bad press” can the city afford to have?
budget for the next year and what their probable impact will Ultimately, the city manager and chief come to an understand-
be and other difficulties created by budget cuts, for example, ing about the department’s request. That understanding is
reduced response times, increased citizen dissatisfaction of their reflected in the budget the city manager recommends to
perception of the police and with police services, lower clear- council.
ance rates, and future difficulties in recruiting. When a city or When making their budget “pitch” to the city council, chiefs
county’s revenues are more robust, the Chief or Sheriff will cite should be able to anticipate questions. For example, if the U.S.
accomplishments from the current budget, illustrated by suc- Department of Justice has just released a study on how the use
cess stories, and will call attention to the importance of new of body cameras leads to a reduction in complaints against
initiatives, and the lost opportunities and ills likely to arise if officers, the chief is likely to get this question: “Why aren’t
these initiatives are not funded. No matter what is happening there body cameras in your budget?” If there is a large foreign
in terms of the amount of crime, chiefs and sheriffs have an population, law enforcement executives should be prepared to

Quick Facts: Quick Budget Tips

Although there are many considerations in budgeting, these because it accounts for the bulk of your operating
are five quick tips: budget;
1. Don’t Grasp Your Favorite Projects too Tightly. Keep 4. Under-Promise and Over-Deliver. This is a well-known
an eye on the big picture of what your core needs are consultants’ saying and it’s true for budgeting too.
and be flexible; Appropriators have long memories and they will
2. Over Reliance on Workload Measures Can Create remember and perhaps punish your department
Problems. If you relied on workload measures to justify budgetarily for broken promises; and
prior budget increases, be prepared to counter
downsizing questions when statistics take a fall. Such 5. Paint a Realistic Picture of the Likely Results from
statistics may actually be 1-year anomalies; Proposed Budget Cuts. Don’t overstate the “doom and
gloom.” Appropriators do need to know that cuts in patrol
3. Keep Personnel as Your Top Priority. You can officer staffing will mean longer response times, fewer
lose positions faster than you acquired them and timely arrivals at crimes in progress scenes, and that there
this is category to be defended, if possible, will be increasing citizen complaints about slow service.57

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 413

Quick Facts: Elite New York Police Department’s

(NYPD) Street Crimes Unit (SCU) Disbanded

The NYPD’s SCU was elite, comprised of between 100 and the chiefs risk alienating their “bosses.” Conversely, if the
150 officers. Officers voted who came into the unit because cuts have gone too deep, chiefs as a matter of public safety
their lives depended on each other. The SCU was particu- may feel obliged to appeal for some funds to be restored
larly effective in detecting those who surreptitiously carried (see Figure 12.5). Safer than initiating the appeal on their
guns despite the strict gun laws. The almost legendary suc- own, experienced chiefs may plant key questions with
cesses of the SCU became a prime factor in its downfall. friendly members of council so that the discussion can be
Against the advice of the unit’s commanding officer, it had without them openly spearheading the discussion. City
was expanded by roughly another 300 officers. It is believed ­managers know this game and can tolerate it, versus having
the quality of unit personnel was reduced by this decision. their chiefs openly defy them. Generally, even council
In 1999, there was a wrongful fatal shooting while young and ­members who favor increasing the police budget may be
inexperienced SCU officers searched for a rapist suspect. reluctant to do so if it means voting for a tax increase.
The suspect, perhaps thinking the plainclothes officers were Following several years of severe major budget cuts, one
robbers, tried to move his wallet, which was mistaken for a chief wrote a “budget impact” statement, explaining in
move to draw a weapon. detail to the city council what the effect of mandated as a
Although the officers were indicted for murder, they were result of the planned cuts of 110 positions and several
acquitted. In the backlash that followed SCU was disbanded ­programs.59 This statement became a means of building
and as of 2015 had not been reactivated despite some calls budget support and mediating criticisms by citizens of slow
to do so in a city where gun crimes and violence are on the service by the police department. One immediate result was
rise.58 At budget hearings before their city councils, chiefs that through public donations the mounted patrol continued
must tread a narrow path. If they attempt to persuade to operate, albeit at about half its previous number of
­council members to restore cuts made by city managers, officers.

field a question such as: “What provisions have you made for Table 12.1 shows the operating budget approval process for
pro-immigration reform demonstrations?” (see Figure 12.6.) In a police department’s patrol function for FY 2016. The first
the final analysis, in some years chiefs, no matter how skilled ­column, “ORG” refers to the organizational unit (01474), which
they are or how good a presentation they made, simply have refers to the Patrol Division; each unit in the police department
to be political realists and gracefully take their “budgetary has a different “Org” number. “OBJ” is the number of the object
lumps.” of expenditure for each budget line; the object of expenditure for

FIGURE 12.5 c New York City

Police Commissioner Bill Bratton
(2nd right) speaks to the media in
his department’s Joint Operations
Command Room in 2016. The
federal government announced
plans to cut nearly $300 million
from its national Urban Area
­Security Initiative grant program.
In past years the Joint Operations
Command Room was in part
funded by grants from this source
and Commissioner Bratton was
speaking against the cuts and
­urging the $300 million be kept in
the grant program. (Andrew Burton/
Getty Images)

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 414 cha pte r 1 2 • FIN A N CIA L M A N A G EME N T

FIGURE 12.6 c A 2015 dem-

onstration in San Francisco by
immigrants and their supporters
against Presidential candidate
Donald Trump, whose remarks
about the shooting death of Kath-
ryn Steinle by an undocumented
Hispanic man who was just
released from custody and previ-
ously been deported multiple
times inflamed many people.
(Santiago Mejia/Demotix/Corbis)

“6003” is “Payroll-Regular.” The columns labeled “FY 2012 Actual” Mayor Proposed” is the budget recommendation of the mayor to
to “FY 2014 Actual” give the mayor and council members a quick the city council, which, as the legislative body, has the final
3-year summary of patrol’s budget trend. “FY 2015” is the current authority on budgets. The city council agreed with the mayor on
budget year and that budget was still being executed. “FY 2016 most lines in the patrol budget, but came to different conclusions

Table 12.1 F Y 2016 O perating B udget A ppro val P rocess

This table shows the operating budget approval process for one police department unit, the Patrol Division
FY 2016
FY 2012 FY 2013 FY 2014 FY 2015 Mayor Council Percent
ORG OBJ Police Patrol Actual Actual Actual Budget Proposed Approved Change
01474 6003 Payroll— 4,283,889 4,428,791 4,612,450 4,497,410 4,510,787 4,510,787 0.30%
Regular
01474 6008 Special Officers/ 67,297 90,414 149,508 60,480 122,823 112,823 86.55%
Events
01474 6009 Payroll— 202,006 226,554 188,437 240,000 140,000 140,000 -41.67%
Supplementary
01474 6020 Payroll— 137,398 204,775 127,687 84,000 125,000 125,000 48.81%
Overtime
01474 6021 Court Time Travel — — — 1,960 — — –100.00%
01474 6022 Shift Differential 113,690 125,089 117,547 124,460 124,460 124,460 0.00%
01474 6024 Callback 659,794 551,044 441,546 425,000 393,000 383,000 –9.88%
01474 6058 Uniform 64,991 69,774 72,282 64,800 69,600 69,600 7.41%
Maintenance
01474 6156 Prisoner Meals 5,358 6,557 2,665 2,500 2,500 2,500 0.00%
01474 6302 Equipment 19,533 20,198 10,360 19,600 19,600 19,600 0.00%
Service
5,553,956 5,723,198 5,722,482 5,520,210 5,507,770 5,487,770 –0.23%

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 415

on two others. The budget format used in Table 12.1 is a “line The Oregon Department of Revenue recognizes the following
item,” discussed in more detail in a later section of this chapter. reasons for changing an approved budget, some of which exist
in its State Statutes:
Step Three: Budget Execution 1. An occurrence or condition that was not known at the
This section deals with three key aspects of budget execution: time the budget was prepared requires a change in
(1) budget execution objectives, (2) budget execution adjust- financial planning.
ments, and (3) budget execution control. 2. A pressing necessity creates a need for prompt action.
3. Unexpected funds are made available by another unit
Budget Execution Objectives of federal, state or local government (see Figure 12.7).
Budget execution is the action phase of budgeting, the 4. A request for services or facilities is received and the cost
phase in which plans reflected in the police budget are will be paid for by a private individual, corporation or
put into operation.60 During this phase, police chiefs: company, or by another governmental unit, and the
1. must rigorously pursue achieving the goals of the agency; amount of the request could not have been known or
known for certain at the time the budget was prepared.
2. document service gaps, the variance between the types
and amounts of service delivery planned for versus 5. Proceeds from the involuntary destruction, involuntary
actual demand; conversion, or sale of property have necessitated the
immediate purchase, construction or acquisition of
3. provide timely information on expenditures, program
different facilities to carry on governmental operations.
accomplishments, and milestones for any CIP projects
to senior appointed and elected officials, as well as the 6. A sufficiently greater amount of ad valorem taxes than
legislative body, such as city council, which estimated are received during the fiscal year such that
appropriated the budget; the difference will significantly increase the level of
government operations that can be funded by those
4. publicize police department successes; and
taxes in the current year.
5. maintain budget execution control, a responsibility 7. A local option tax is approved by the voters and produces
which is shared with the F/FSD and discussed in a revenue that can be used in the current budget year.
subsequent section.
8. Less income from taxes and other mechanisms is
produced, requiring the governing body to reduce
Budget Adjustments appropriations.61
It is said that people plan and fate laughs; like other types of plans,
budgets must be monitored and adjusted as needed. Budget
adjustments may increase or decrease a police department’s bud- Budget Execution Controls
get. Any financial changes proposed for an adopted budget must Even if the budget is not changed during its execution, bud-
be approved by the legislative body that adopted it, e.g., city coun- get controls are crucial to public accountability for the use
cil or county commission. In some states if the change reaches a of resources entrusted to the unit of government involved.
certain dollar threshold, it requires the approval of the state. Means of control are specified by state law and regulations,
There are six common methods of adjusting the budget: (1) city/county charters and ordinances, and the policies and
accepting grants and donations; (2) transferring funds from one procedures established by the F/FSD, and the police chief.
category to another, subject to any approval that is needed. A Budget controls serve several purposes: (1) ensuring that laws,
department head may have limited authority to do so and for regulations, and accepted accounting procedures are followed,
larger transfers the approval of the legislative body, such as city (2) making sure the funds are expended for the purposes autho-
council, is required; (3) seeking a supplemental budget some rized by the appropriators, (3) protecting resources from misman-
months into the execution phase because of unforeseeable con- agement or fraud,62 (4) eliminating waste to preserve public
ditions or other grounds, for example, when it is clear that antici- funds, (5) preventing deficit spending, (6) identifying problems
pated demands for police services are outstripping resources. An so responsibility can be fixed and remedial action taken, and
example of this is when a smaller community suddenly becomes (7) identifying gaps in control procedures that must be rectified.
a college spring break destination; (4) freezing expenditures The single most important aspect of both external and inter-
when the city’s or county’s revenue collection may be slower nal controls is separating the responsibility for various functions,
than anticipated; (5) delaying expenditures due to signs of rev- which promotes the benefits of specialization and limits the
enue shortfalls; and (6) the city council or county commission ability of a few people to misuse or corrupt the system. Thus,
may reallocate funds from one department to another, reduce for example, the purchasing department obtains competitive bids
the budget in just one or a few departments or by an across the for equipment, but a different office, accounts payable, actually
board cut such as 3.5 percent (refer back to Figure 12.3). Some writes the checks, the police department verifies the delivery of
of these methods and related topics are discussed more fully in the equipment, and a separate inventory control office accounts
a later section of this chapter. for the placement and use of the equipment.63

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 416 cha pte r 1 2 • FIN A N CIA L M A N A G EME N T

FIGURE 12.7 c Budget Adjustment Document for City Council Approval (Courtesy City of Monrovia,
California). http://www.cityofmonrovia.org/sites/default/files/fileattachments/city_council/meeting/1869/cc-5.pdf

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 417

FIGURE 12.7 c (conclusion)

External Controls. Allotments allow the F/FSD to time the availability of funding in
External control is the control exercised on a police depart- the police department to the actual need for their expenditure.
ment’s budget from outside of the police department. Each Therefore, allotments may vary in their amount from 1 month or
city or county’s F/FSD is the primary external control agent quarter to another. This allows governments to invest funds not
for the police and other departments. The control methods immediately needed. Freezing expenditures and cutting the bud-
here are illustrations; the full range of controls is much richer. get are also external budget control measures.
One universal method of external control is the allotment In jurisdictions and particularly where there has been fraud
system. The F/FSD breaks each department’s budget into por- or abuse in agencies, the F/FSD may conduct a “pre-audit” of
tions, called allotments, which are amounts of money made transactions before purchases are made. The F/DSD periodically
available to the departments for specific periods of time, such as generates financial reports, such as Table 12.2, which they send
for a month or a 3-month period, called a quarterly allotment. to all departments. These budget status reports play a significant

Table 12.2 A Portion of a Police D epartment’s B udget Status Report,

December 31, 2016

To Date Encumbered Balance % Expended

Line Item Approved Expended
Salaries $1,710,788.00 $848,161.05 $0.00 $862,626.95 49.58%
Training $15,000.00 $5,374.47 $6,098.00* $9,625.53 35.83%
Professional $6,000.00 $2,000.00 $0.00 $4,000.00
33.33%
Services
Travel $8,500.00 $3,500.57 $1,500.25 $4,999.43 41.18%
Dues and Sub- $3,100.00 $1,800.00 $0.00 $1,300.00
58.06%
scriptions
Utilities $35,000.00 $17,213.81 $0.00 $17,786.19 49.18%
Office Supplies $22,000.00 $7,688.93 $634.39 $14,311.07 34.95%
Printing $8,300.00 $4,187.23 $0.00 $4,112.77 50.45%
Uniforms $38,000.00 $18,725.13 $0.00 $19,274.87 49.28%
Totals $1,846,688.00 $908,651.19 $8,232.64 $938,036.81 49.20%
*Before a contract is signed or a purchase order issued, the F/FSD first determines if the funds are available in the budget. If they are, the
amount involved is encumbered, meaning that it is held in reserve for payment upon delivery of the services or goods and is not part of the
available balance in the budget.

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 418 cha pte r 1 2 • FIN A N CIA L M A N A G EME N T

role in monitoring expenditures. The final element in external (FA). In most states, the annual FA is submitted to the Office of
control is audit and evaluation, discussed later in this chapter, as State Auditor, where it is reviewed and any needed follow-up
it is also the fourth and last component of the budget cycle. action taken. Financial auditors systematically collect and exam-
ine records and reports, conduct interviews, and otherwise rely
Internal Controls. on competent evidence to determine whether:
The objectives of a police department’s financial ­control
1. Required financial records and reports were made in a
system include: 1) safeguarding access to, and use of, orga-
timely and complete form;
nizational assets, 2) verifying financial ­transactions (such as
cash payments from the informant fund), 3) ­encouraging 2. Public funds were subject to any waste, fraud, or
operational efficiency, and 4) fostering adherence to fiscal abuse;
policies. Altogether, the fundamental purpose of internal 3. Unauthorized charges to the budget or reimbursements
controls is to prevent mistakes before they happen and to from the budget were made;
rectify them when they occur. 4. Computations were accurate;
Examples of internal controls include breaking the overall
5. Unauthorized transfers from one budget category to
budget for the police department into smaller, more easily man-
another were made;
aged amounts based on units or activities, often referred to as
cost centers (see Figure 12.8). Expenditures must be authorized 6. Procurement requirements were followed; and
in advance by appropriate documentation and authorizations. 7. Expenditures were at or less than the approved budget.
Internal controls are crucial not only in the budget context
but for the operation of the police agency as well. Illustrations Although there was some earlier movement, another type of
of operational controls include policies on the use of tasers, annual audit began stirring in the late 1970s, determining how
impact weapons, pursuits, and use of deadly force. good of a job an agency was doing—a performance audit
(PA). Today, in many jurisdictions, an “audit” often encompasses
both financial and performance components. Because financial
Step Four: The Audit and Evaluation audits have a longer history, the standards for them are well
Stated simply, an audit is a check on something; Governments established and they have a fixed focus to them.64 The U.S.
audit themselves on an on-going basis throughout the FY. Government Accountability Office’s (GAO) guidelines for both
­Historically, annual audits were of a department’s budget, expen- FAs and PAs are contained in its Government Auditing Standards
ditures, and financial management practices—a financial audit (2012), commonly referred to as the “Yellow Book.” It notes that
the focus of a PA is variable, according to the purpose stated for
its execution. PAs may focus on some aspect of a police depart-
Davenport Police Department
ment’s performance (e.g., compliance with legal mandates, pro-
Total FY 16 Budget $21,793,016 gram effectiveness and results, or a prospective analysis, such as
the future value of advanced training in conflict de-escalation for
police officers).65
Police Administration: $3,101,219 The essence of all audits is that an independent party who
Directs all aspects of department has no stake in the outcome of the audit does the checking. To
ensure the independence of auditors, some jurisdictions elect
them, in others the legislative body, such as a city council or
School Crossing Guards: $174,927 county commission, may appoint the auditor or a firm special-
Safety of children izing in auditing governments will be retained.
Before an audit report is submitted in any unit of government,
it is discussed with the chief of police and any errors of fact,
Police Patrol: $11,858,715 representation, interpretation, or conclusion are corrected. If
3 patrol shifts, traffic unit, 911 Center there is still content for which the auditor and the chief have
differing opinions, the chief may write a letter of exception,
setting forth the reasons why he or she believes that the audit
Criminal Investigations: $3,839,989 report is wrong or manifestly unfair. After the city council
Follow-up investigations reviews the audit report, the chief may be directed to appear
before the council to answer questions, or the council may sim-
ply task the city manager or finance director to make sure that
Police Services: $2,782,674 the police department takes any needed corrective action. No
Records, evidence collection,
one enjoys criticisms because they identify weaknesses, yet a
processing, control
wise chief knows that correcting deficiencies is a pathway to
FIGURE 12.8 c Major cost centers in the Davenport, enhanced performance and makes any needed changes without
Iowa, Police Department’s FY ’16 budget. rancor.

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 419

were at work. In 1899, the Model Municipal Corporation Act,

Quick Facts: Audit Leads to Police which proposed an executive budget under a mayor, received
Chief’s Arrest significant national attention. Executive budgets were also called
for by New York Bureau of Municipal Research’s Making a Munic-
ipal Budget (1907) and the National Municipal League’s model
In 2015, an audit was performed of the Greensburg (Indiana) 1916 city charter. Between roughly 1915 and 1925,69 the executive
Police Department’s Evidence Room. Thirteen property budget and standard budget cycles and formats gained consider-
receipts for cash were found, but no cash. According to able use in local government. These appeared in the federal gov-
subsequent court documents, the chief stole $73,000 from ernment with the passage of the 1921 Budget and Accounting Act.
it and gambled it away. She lost another $57,000 of family
These events are important because they (1) explain why substan-
money gambling that was intended to partially replace the
tial emphasis was placed on the control orientation in the early stages
missing cash. Her gambling problem also led her to
charge $30,000 on a credit card. The chief was arrested of budget reform and (2) underscore that budget control remains at
for one count of felony theft and another of official the heart of budget execution, regardless of the type of budget format
misconduct and plead guilty.66 used. The sections that follow address six major types of budget
formats: (1) line item, (2) program, (3) performance, (4) PPBS and
zero-based, (5) priority based, and (6) hybrid. Additionally, service
level, zero line item, and target budgeting are briefly discussed.
BUDGET FORMATS
At the beginning of the 20th century there was nothing resembling The Line Item Budget
the budget cycle previously described in this chapter. The power The line item, or object of expenditure, is the oldest and sim-
center in budgeting was the legislative body and its respective plest budget format; it remains widely used today, although it is
committees. Budgeting was a chaotic process because there was most closely associated with the period from 1915 to just after
no central point, such as a budget office, where budget requests World War II. The line item is the basic system on which all other
from departments were reviewed or revised. Moreover, commit- budget formats ultimately rest because of its excellence as a
tees, rather than a legislative body as a whole, often had the control device. It gets its name from its nature: The amount that
authority to appropriate funds for departments. Lump sum budgets is requested, recommended, appropriated, and expended is
were requested by the departments without any supporting details associated with a particular item or class of items which appears
and sent directly to the legislature. There was no uniform system as a separate numbered line in the budget.
of accounts because each department used its own method, and Table 12.3 is an example of line item budget for the Borough
audits were either not done or decades went by between them.67 of Colwn, incorporated in 1682. “Borough” is one of the legal
It is not surprising that legislative bodies had little interest in classes of cities in Pennsylvania and Colwn is a bedroom com-
giving up their central role in budgeting. When President Taft munity of 0.3 miles located adjacent to Philadelphia. The police
submitted an executive budget for FY 1914, Congress received it department consists of a full-time Chief and nine part-time offi-
coldly and practically ignored it.68 However, strong reform forces cers that provide 24-hour police coverage.

Table 12.3 The 2015 Line Item Budget for the Borough
of Colwn, Pennsylvania

410.122 # Salary—Police Chief 67,480.00

410.130 # Salary - Police Officers 0.00
410.135 # Salary—Part-time Police 269,680.00
410.137 # Police Overtime 5,000.00
410.145 # Salary—Crossing Guards 73,700.00
410.156 # Health\RX Insurance 108,924.00
410.157 # Dental Insurance 3,732.00
410.158 # Life Insurance 6,000.00
410.159 # Medicare 35,000.00
410.160 # Health/RX Deductibles 5,040.00
410.16-Fica 10,000.00
410.162 # Unemployment Compensation 15,000.00
(continued )

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 420 cha pte r 1 2 • FIN A N CIA L M A N A G EME N T

table 12.3 (CONCLUSION)

410.163 # Training 1,000.00
410.165 # Police Pension MMO 11,500.00
410.191-Cleaning Allowance 550.00
410.210 # Office Supplies 1,200.00
410.231 # Vehicle Fuel—Gasoline 24,000.00
410.238 # Uniforms—Officers and Crossing Guards 5,000.00
410.242 # Police Supplies 5,000.00
410.249 Ammunition 500.00
410.310 Professional Services—Animal Control 3,000.00
410.321 # Communication Telephone 2,000.00
410.351 # Automobile Liability Insurance 8,000.00
410.352 # General Liability Insurance 52,500.00
410.353 # Police Professional Liability Insurance 44,000.00
410.354 # Worker's Compensation Insurance 56,496.00
410.355 # Commercial Crime 22,375.00
410.374 # Vehicles - Maintenance 7,500.00
410.420 # Dues, Subscript. & Memberships 500.00
410.750 # Capital Purchases - Other Equip 50,000.00
410.900 # Miscellaneous Police Expenses 2,000.00
Ttal 410.000 # Police Protection 896,733.00
(Courtesy of the Borough Of Colwn) http://colwynborough.com/wp-content/uploads/2015-Final-
Adopted-General-Fund-Budget.pdf, pp. 3–4.

Some limited workload indicators for past years and the forth- established at that time, but its elements were clearly defined:
coming budget may also be included as part of a line item “For each department, the budget shall be separated to show the
budget, although they are not used in a classical, or “pure” line kinds of services to be provided.”70 The next year New York City
item budget format. Such workload indicators may include one adopted a program budget. Both DuPont and General Motors
or a few of the following (1) arrests by various categories, used program budgeting during the 1920s and it was used by
(2) calls for service, (3) response times for emergency calls, the federal government beginning in 1942. Program budgets
(4) traffic citations issued, (5) accident investigations, (6) criminal were “center stage” from the 1940s until the 1960s, although they
investigations, (7) Uniform Crime Reports Part 1 Offenses per continue to be used.
capita, and clearance rates. For present purposes, a basic police program budget is a
In police departments large enough for functional specializa- planning tool that links the expenditures for each program to
tion, there is an overall line item budget and that budget is the achievement of goals. Its basic components include (1) a
broken down into smaller line item budgets for the various orga- program structure, (2) the attachment of goals to each program,
nizational entities (cost centers; refer to Figure 12.8, such as and (3) a line item budget for control. Program budgets have
patrol, investigation, and crime prevention. These smaller bud- increasingly added another feature: Objectives to Meet Goals.
gets further facilitate control and serve as the basis of allocations This feature identifies the activities that must be undertaken to
within the police department. Cost centers can be used with any achieve the goals.
budget format. Table 12.4 summarizes the advantages and dis- Table 12.5 is a portion of a program budget for the Clovis
advantages of the line item budget format. Police Department. It shows the name of the program (Youth
Services Section), its five goals, and the four objectives to
reach the goals. A line item budget for the Youth Section
The Program Budget immediately followed and totaled $790,900. Just two lines in
The roots of the program budget spring from work by the the budget, regular salaries and benefits, totaled $490,100. In
(New York) Bureau of Municipal Research, which called for a as much as the line item budget has been previously dis-
new budget format in 1907. The term program budget was not cussed, another such formatted budget is not repeated.

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 421

Table 12.4 Ad vantages and D isadvantages of a L ine Item Budget

Advantages Disadvantages
• Focus is on controlling expenditures • Perpetuates the status quo: Once items become a line in the
• Simplest format budget, they tend to stay there, creating inertia
• Expenditures organized around categories or object of • No specific, measurable goals, without which police agencies
expenditures (e.g., SWAT Training, Paper for Copy Machines, have nothing to drive toward and measure their accomplish-
or Gasoline) ments/performance
• Easy to prepare, present, and understand • No program structure (e.g., “DUI Enforcement” or “Abate-
ment of Open-Air Drug Markets)
• Every item or class of items for which expenditures made is
controlled • Budget changes tend to be incremental, small changes up or
down in various categories
• Control systems prevents overspending budget
• Inhibits reviews of what the valuable activities in the police
• “Behind” all other budget formats there is a line item budget
department are versus the need to downsize, recombine, or
for control
eliminate some units that exist simply by the weight of tradition
• Long-range planning is neglected
• Limited information is provided to decision makers

Table 12.6 summarizes the advantages and disadvantages of a data for the type of work being done. The weight of these two
program budget.71 recommendations led to the adoption of what is now called a
performance budget or a performance-based budget
(PB/PBB). The absence of computer systems made implement-
The Performance Budget/Performance- ing the PB/PBB labor intensive and it soon developed a reputa-
Based Budget (PB/PBB) tion for being costly to implement, and unwieldy. Many cities that
The (New York) Bureau of Municipal Research quickly improved were early adopters of PB/PBB, such as New York City, tried it
on its program budget format by advocating that each program briefly and quickly dropped it.
should now be accompanied by cost data, such as the cost for In the 1930s, during the Depression, some cities (e.g., San Diego)
sweeping each mile of road. Such data is now included in what made brief use of PB, although generally there was little
is called performance measures (PMs). The 1912 Taft Commission ­experimentation with it until the 1950s. Faced with a large debt
on E­ conomy and Efficiency also called for a budget with cost from World War II, the federal government sought to achieve

Table 12.5 Clov is, Police Department 2016 Budget for Y outh S ervices
Section Program

2015–2016 Goals
1. Provide youth-related services that reduce the need to utilize the resources in patrol.
2. Deter and prevent juvenile crime by holding youth accountable through the Juvenile Work Program.
3. Maintain a 15 percent recidivism rate for juveniles referred to the Diversion Program.
4. Keep the City clean of graffiti.
5. Provide opportunities for youth to get involved in positive activities.
Objectives to Meet the Goals:
1. Plan and coordinate proactive police operations to identify, prevent, and break up juvenile parties where there is
underage drinking and/or drug use.
2. Conduct on-going investigations to identify, arrest, and prosecute juveniles that commit drug- and alcohol-related
offenses.
3. Provide youth leadership opportunities through the Police Explorer Post and Youth Leadership Institute for City of
Clovis Youth.
4. Remove graffiti within 24–48 hours after the initial report.
(Courtesy City of Clovis, California, http://www.ci.clovis.ca.us/Portals/0/Documents/Finance/2015-2016%20Annual%20Budget.pdf, p. 136).

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Table 12.6 Ad vantages and D isadvantages of a Program Budget

Advantages Disadvantages
• Focus is on achieving broad police goals • More Labor intensive to develop than line item budgets
• Links programs, expenditures, and goals (e.g., 85% of citizens • Some police goals are hard to measure.
will feel safe) • Ineffectual program may be difficult to reduce or cut due to
• Budget justifications are concrete political champions of it.
• Appropriators can easily shift resources from one program to • Lacks a full system of performance metrics, such as
another number of new gang graffiti eradicated within 24 hours of
• An excellent management tool for police chiefs discovery
• Because of goal orientation, easier to explain to public and • Doesn’t reveal the relative priority of each program.
garner their support

greater spending efficiency. In 1949, the Commission on the The actual wording of PMs is dependent on what m ­ easurement
­Organization of the Executive Branch (the “Hoover Commission”) they are trying to express. However, there are basic categories
recommended a performance budget and Congress passed the of PMs: 1) input: the resources (e.g., dollars and number of posi-
­Reorganization Act that same year requiring its use. PB/PPB was tions) that are used in a program/activity to deliver services to
used in the federal government in the1950s and part of the 1960s. the public; 2) output: as a result of using the inputs, what was
During the 1960s, the federal adoption of the Planning, produced, such as the number of fatal auto/pedestrian collisions
­Programing Budgeting System ended its use of PB/PBB and that investigated; and 3) outcome/impact: changes in the number of
format also lost momentum in state and local government. PPBS is such collisions and their clearance rate.75
discussed later in this chapter. PB/PBB regained some traction in Many law enforcement simply use PMs without reference to
state budgeting not later than the 1990s and also in local govern- the basic categories, but which are illustrations of them.
ments, but as the Great Recession played havoc with budgets, some ­Examples include effectiveness (To what extent was the goal/
jurisdictions retreated to a line item budget because there was sim- objective achieved?), efficiency (creating the lowest cost for pro-
ply less revenue over which to preside.72 As the Great Depression viding a given unit of output, such as the average hourly cost for
receded, there was renewed interest in state and local government operating the Police Harbor Patrol Boat) and quality (This mea-
in PB/PBB and some of its techniques. To some degree, this interest sure often determines to what degree are citizens satisfied with
was fed by the government transparency movement. the quality, accuracy, or timeliness of police service.
Presently, all 50 states and Puerto Rico use some form of As currently practiced, the cost measures for PB/PBB are care-
performance measures in their budgets; however, only three fully selected because (1) good measures are difficult to develop,
states use a “pure” form of the new PB/PBB.73 The remaining (2) cost accounting requires a high level of expertise, for exam-
states use some PMs in conjunction with their primary budget ple, determining the average cost is for an officer to respond to
format, such as the line item. a call for service, and (3) it is expensive to collect and analyze
In local governments under 25,000, the new PB/PBB is often not the data for them. As a result, measures are often based on avail-
practical because of limited resources and perhaps the ­expertise to able data and costs may be stated in lump sum amounts instead
implement it. However, the most significant contribution of PB/PBB of the average cost for producing a unit of work.
may not be its pure form, but the substantial interest it has gener- Table 12.7 shows the PB/PBB 2015 Police budget of Prince
ated in PMs. Measuring what you are doing becomes the pathway William County for its Support Service program. Some number
to improved public service and being a better steward of resources of PB/PBB include data to compare their jurisdiction to the aver-
allocated to the police department. Even in smaller jurisdictions age of some number of similarly sized police departments or
there may be linkages between the budget and the outcomes pro- cities in their state, for example, clearance rates for Uniform
duced, even if they are not robust. ­However, even measurements Crime Reports Part I offenses. The outcome measure may specify
of “Planned For” versus “Actual” for different activities, e.g. number that a police department must be in the upper third or half as
of burglaries investigated, is useful. Jurisdictions have to start where compared to the other similarly situated cities. Table 12.8 sum-
they are with what they have and improve going forward. As juris- marizes the advantages and disadvantages of PBB.
dictions grow in size, their use of PMs increases. Mayors are less The Support Services Division provides support services to
likely to use PMs than city managers.74 While descriptions of PB/ the Office of the Chief, the Financial and Technical Services Divi-
PBB continue to vary, a common set of elements is: 1) a program/ sion, the Operations Division and the Criminal Investigations
activity s­ tructure; 2) goals (multi-year effort to reach) and/or objec- Division. Located within the Support Services Division are the
tives (one year or less to achieve); 3) a description of the strategies Administrative Support Bureau, the Personnel Bureau, the Ani-
to be used to achieve the goals/objectives; 4) the resources (alloca- mal Control Bureau, the Criminal Justice Academy, and Public
tions/expenditures) connected to the program/activity; 5) use of Safety Communications (which is jointly administered with the
PMs; and 6) a line item budget undergirding it for control. Department of Fire & Rescue).

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Table 12.7 The Prince William County, Virginia, PB/PPB B udget F or

S upport S ervices in the police department
Key Measures FY 12 FY 13 Trend FY 14 FY 15
Actual Actual Adopted Adopted
OSHA recordable incident rate among police employees 9.3 10.6 c — … 10.8
Animal control effectively protects citizens and animals 88% 88% 4 88% 88%
(community survey)
Total number of identifications made from fingerprint 310 385 c 250 250
impressions
Sworn turnover rate without retirement and terminations 4.4% 4.6% c 4.2% 4.7%
Discrepancies found from audit of property evidence 0 0 4 0 0
material
c Trending Upward 4 Stable T Trending Downward
Support Services Program Activities & Workload Measures
FY 12 FY 13 FY 14 FY 15
Actual Actual Adopted Adopted
Administrative Services Bureau $6,011,981 $6,254,422 $5,469,274 $5,652,057
Property received entered into systems within 95% 100% 95% 100%
48 hours
Permits and licenses reviewed 1,928 3,254 2,000 2,800
Records Section $1,528,531 $1,510,346 $1,549,930 $1,596,118
Service requests 36,616 36,861 25,000 36,000
Forensics Services Section $1,412,237 $1,524,190 $1,543,249 $1,595,915
Fingerprint packages recovered 1,233 1,284 1,500 1,300
Personnel Bureau $1,634,788 $1,407,058 $1,491,820 $1,616,434
Applications reviewed — 4,143 — 4,200
In-Service Training Section $2,707,097 $2,490,813 $2,795,031 $3,263,862
Total hours of in-service training — 42,625 — 48,000
Compliance with VA mandatory training stan- 100% 100% 100% 100%
dards
Basic Recruit Training Section $3,593,670 $1,554,051 $2,125,502 $2,986,826
Total hours of basic training — 21,200 — 42,000
Supervisors and field training officers reporting 100% 96% 95% 95%
satisfactory preparedness of recruits
Animal Enforcement Section $990,620 $1,250,600 $1,053,598 $1,136,414
Calls for Animal Control services 10,351 9,631 11,600 9,500
Animal Care Section $838,400 $784,375 $844,964 $841,636
Animals entering shelter 5,867 5,558 5,500 5,500
Animals adopted 38% 43% 36% 40%
(Courtesy Prince William County, Virginia). http://www.pwcgov.org/government/dept/budget/SiteAssets/Pages/default/11—PS-Police.pdf, p. 412

The Planning, Programming Budgeting federal agencies using it; PPBS made almost no headway in state
and local government and by the very early 1970s it
System (PPBS), and Zero-Based disappeared.
Budgeting (ZBB) Another short-lived budget format in its pure form was
During the 1960s, federal government used the Planning, ­Zero-Based Budgeting (ZBB), developed at Texas ­Instruments
­Programming Budgeting System (PPBS). PPBS’s dominant in the early 1970s and introduced into the federal government
feature was planning and required extensive use of cost-effective- in 1977 by President Carter. Pure ZBB requires that every
ness data. The process was cumbersome and unpopular with the ­governmental program or activity must justify its entire existence

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Table 12.8 Advantages and Disadvantages of a Performance -Based Budget

Advantages Disadvantages
• Focus is on costs and performance measures. • May measure what is easy rather than what is important.
• As presently practiced, the limited and carefully selected cost • Expensive if extensive cost measures are used.
measures substantially reduces expensive cost accounting • Can tell whether current programs are being done right, but
techniques. not whether the right things are being done.
• Provides sufficient data to decision to strengthens oversight • How do you determine if the results are “good enough”?
by appropriators. Benchmarking? Ad hoc comments by appropriators, ­citizens,
• Performance measures assist police chiefs in allocating special interest groups? Citizen Centric Reports?
resources, a plus in strategic planning and management, as • Additional resources dedicated to successful programs do
well as being able to demonstrate being responsive to the not guarantee even better results.
community, e.g. adding more school crossing guards at the
• May be time consuming to distinguish between poorly per-
request of the Parent Teacher Association (PTA).
forming police programs that are under resourced and those
• Performance measures can be useful in program evaluation. that must be abandoned.
• Chiefs can use on-going performance measurement data to • Some poorly stated performance measures may imply quotas
guide and control current programs, identify deviations, and and provoke public controversy, e.g., number of traffic cita-
“keep things are on track.” tions to be issued.
• Like Citizen Centric Reports, PBB makes government more
transparent, enhancing government openness, which is
­associated with greater citizen satisfaction.

each new operating budget year. In ZBB, each program or control. The reason for this lack of “pure” formats is that each juris-
­activity requested in a budget is organized into a decision diction, and by extension its police department, uses a system that
­package (DP) and includes three alternative funding levels: elim- makes sense to it. History, unique city charter provisions, state laws
inated or reduced, current, and enhanced. No program or activ- and local ordinance, past practices, the preferences of key people
ity is considered essential; its existence must be tightly justified. in the budgeting process, and other variables contribute to the real-
New service DPs could also be submitted. Police chiefs who ity that many budgeting systems incorporate features from one or
used ZBB prioritized their DPs and appropriators determined more formats. The test of a budget format is how it’s constructed,
what DPs would be funded at what level but tended to carefully not what it’s labeled. Many budgets are hybrid budgets, incorpo-
consider their Chiefs’ priorities. The massive paperwork required rating features of several different types of budget formats. There
doomed ZBB as a budgeting process and it also faded, although are also different philosophies that can be attached to the budget
here and there a less comprehensive use of DPs can be found formats. As an illustration, “target budgets” is when agencies are
as part of program or performance budgeting. given a target amount that their budget cannot exceed unless
Today, the use of pure ZBB is seldom encountered, although compelled by special circumstances.
remnants are still found, e.g., service level budgeting and zero line
item budgeting. Service level budgeting (SLB) assumes, unlike
ZBB, that programs and activities have previously been justified.
The key question is at what level should they be funded? Depart-
ASSET FORFEITURE, GRANTS,
ments using SLB prepare a required number of packages for their POLICE FOUNDATIONS AND
programs and activities, each package describe a different level of
service and cost for appropriators to consider. In “zero line item DONATION PROGRAMS, AND THE
budgeting” departments receive a blank budget request form with
zeros filled in for each line item, instead of last year’s budget or
WIDE USE OF VOLUNTEERS
actual expenditures as the starting point. Departments must rebuild This section provides more detailed information about some of
their budgets from the ground up and justify each line,76 but do not the common ways budget adjustments can be made, as well as
use decision packages. several other topics, such as asset forfeitures and the wide use
of volunteers.
The Hybrid Budget
Budget formats can be described with a great deal more purity than Asset Forfeiture
actually exists in many real-world applications. The lone exception In 11th-century England, horses, carts, and other property
may be the line item because so many of the numerous smaller involved in a fatal accident were deemed deodand (literally, to
jurisdictions use it and even in larger cities and counties where be given to God) and forfeited to the king for “pious use”; the
more advanced formats are used the line item is still relied on for practice was abandoned by an act of Parliament in 1846 due to

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 425

the seizure of trains involved in fatal accidents.77 Generally, Allowing a portion of or all assets forfeited to go to the police
property can be subject to forfeiture in the United States if it is has fairly raised the criticism that it gives the police an incentive
(1) contraband, (2) the proceeds of criminal activity, (3) used to to focus on forfeitures (see Figure 12.9). There may be some
facilitate criminal activity, or (4) connected to criminal validity to that criticism. In a budget reviewed for this chapter, a
enterprise.78 performance measure was to increase forfeiture cases by a cer-
In addition to their own state forfeiture laws, state and local tain number. Other jurisdictions may not be so frank as to openly
law enforcement agencies were long able to retain, unless espouse such an increase, but the possibility exists that under
­otherwise directed by state laws, 80 percent of their seizures by fiscal stress a police department may be under pressure to essen-
asking the federal government under the Equitable Sharing pro- tially help fund itself.
gram to “adopt” their seizures.79 After 9/11 to 2014, state and
local law enforcement agencies made 61,998 cash seizures
­totaling $2.5 billion.80 In 2015, the U.S. Department of Justice Grants
barred state and local law enforcement agencies from using The largest amount of grant funds flowing to the police has
federal law to seize almost all types of assets unless it was under always been through the federal government. However, the
warrant or involved criminal charges. A few exceptions to ­dollar amount of federal grants to law enforcement agencies has
this policy exist, such as illegal firearms, explosives, and child been trending downward since 1996. Although a number of
pornography.81 federal agencies, such as the Department of Homeland Security
State laws regulating forfeitures have not changed much since and the National Highway Traffic Safety Administration, provide
2015. Generally, such laws have not been required a search war- grants for law enforcement agencies, the U.S. Department of
rant as a pre-condition to seizing assets. However the U.S. Justice has provided a wider array of grant opportunities, such
Department of Justice’s action may foreshadow similar actions as those for community-oriented policing, reduction of gun and
by some states. State forfeitures may follow a criminal conviction gang crimes, DUI abatement, enhancement of crime analysis,
or be by civil forfeiture, which is independent of criminal pro- acquisition of new technologies, reduction of violence against
ceedings.82 The standard of proof for forfeiture cases varies by women (including stalking and human trafficking), enforcement
state and in some states by the type of asset seized. States laws of protective orders, and date and domestic violence.
that regulate the distribution of forfeitures may be restricted or Some large corporation foundations have an interest in the
generous. Some allow none or 100 percent of the assets to be police; the Met Life Foundation makes grants nationally to
retained by the police. Missouri is one of eight states where asset ­support innovative partnerships between community groups and
forfeitures go to education and that distribution has not reduced the police to promote neighborhood safety and neighborhood
police asset seizures.83 Because of these variations asset forfei- revitalization.
tures were not included in the earlier section on budget One of the most spectacular awards to a law enforcement
adjustments. agency by a community foundation was made by the Caruth

FIGURE 12.9 c City of

Tenaha, Texas, which serves a
community of 1,000. In a single
year Tenaha seized nearly
$1.2 million in cash, mostly from
­out-of-town motorists. (San Antonio
Express-News/ZUMA Press/Alamy Stock
Photo)

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Donations to law enforcement agencies are widely varied.

Quick Facts: Black Asphalt Two examples of good corporate citizenship illustrate this point.
When four police officers were killed in Lakewood in 2009, all
of the Papa John’s Pizza restaurants in the state of Washington
A private intelligence network has assisted law enforce- gave 100 percent of 2 days’ receipts to the families of the slain
ment agencies across the country in seizing assets. The officers.88 Law enforcement agencies also rally to help their own
Black Asphalt Electronic Networking & Notification Sys- when tragedy strikes. In the “home department” where the
tem has allowed agencies to share information about driv- ­tragedy occurred, officers and civilian employees personally
ers, both criminal and innocent, including social security
make donations and hold fund-raising activities to help the fami-
numbers, addresses, tattoos, and hunches about which
drivers to stop. The driving force behind it also made a
lies of officers killed in the line of duty. In 2010, QualComm and
movie in 1989, Desert Snow, which trained law enforce- Leap Wireless International gave 200 cell phones and 2 years of
ment officers in recognizing potential stops.84 service to the San Diego Police Department. Among the units
that had been facing a loss of cell phones were child abuse, sex
crimes, narcotics, and auto theft.89 Individually, actor David
Spade donated $100,000 to the Phoenix, Arizona, Police Depart-
Foundation in 2008. The Dallas Police Department (DPD) ment to help purchase new firearms. Another sign of hard times
received $9.5 million from it to train a new generation of ­leaders are police websites, like that for Oshkosh, W ­ isconsin, which
for the 21st century, leading to the creation of the Caruth Police prominently feature a donations section advising readers how to
Institute (CPI). An endowment for perpetual ­support was created help the department by making donations.
with $6 million and the remaining $3.5 million was dedicated to
startup costs. In 2010, CPI graduated the first class—23 DPD Wide Use of Volunteers
Lieutenants, who completed a 6-week course taught by leading Police departments have long been aware of the advantages of
national experts. The graduates reported that the course taught involving volunteers. Often, this was limited to Reserve/Auxil-
them to think differently and to set higher goals. Even the small- iary police and a few other positions. In the midst of budget
est foundations, which may restrict applicant eligibility to one slashes, many agencies have, and seem likely to continue, a
county, make police awards. Illustratively, the Harrison County much more robust use of qualified volunteers. The volunteers
(Indiana) Community Foundation funds small police projects, often have diverse backgrounds in business, are well-qualified
often for the acquisition of a single piece of equipment. retirees, or simply may be local citizens who want to help
make a difference in their community. Among the uses made
Police Foundations and Donations of volunteers are:
Nonprofit police foundations have proliferated over the past dd Bilingual services, including verbal and document
30 years, literally dotting the landscape from Los Angeles to New translations
York City. Their prominence is such that the International dd Coordinate neighborhood watch programs
­Association of Chiefs of Police (IACP) has a Police Foundations dd Crime prevention activities
Section. Police foundations are a conduit from the public and dd Maintaining computer systems
businesses that wish to promote excellence in their police
dd Counsel victims of domestic abuse
departments through the donation of money, goods, and ser-
vices.85 The goal is to provide resources unavailable to depart- dd Parking enforcement
ments through the budget process. Most police foundations dd Crime scene protection
serve multiple purposes, such as promoting wellness, recogniz- dd Vacation checks
ing valorous officers, and making purchases of equipment and dd Bike registration
newer technology, such as license plate scanners. In Indianapolis dd Traffic control
during 2015, the Police Foundation was raising $200,000 to help
dd Legal research
officers injured in the line of duty. CompStat may have never
been or its development delayed without a $15,000 check from dd Crime analysis
the New York City Police Foundation, which was ready 2 days dd Purchasing
after the request was initiated.86 Police foundations in smaller dd Editing/Writing departmental publications, for example,
jurisdictions have a narrower focus and may be limited to a newsletters and brochures
single purpose. The Jackson, Mississippi, Police Foundation dd Administration of volunteer program
funds one-time purchases such as noise decibel readers to
dd Recruiting volunteers, especially those with specific
enforce the noise pollution ordinance; the foundation also
skill sets
engages in advocacy for the Jackson Police Department (JPD),
orchestrating an agreement with a local hospital to perform dd Planning departmental events
police physicals, saving the JPD $100,000.87 dd Communications and Records assistance

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 c h ap t e r 12 • F I N A N C I A L M A N AG E M EN T 427

Quick Facts: Volunteers in Police Service

VIPS has been an important catalyst to the movement toward program and for citizens who wish to volunteer their time
broader use of volunteers. The International Association of and skills with a community law enforcement agency. The
Chiefs of Police (IACP) manages and implements the Volun- program’s ultimate goal is to enhance the capacity of state,
teers in Police Service (VIPS) Program in partnership with the local, campus, tribal, and territorial law enforcement to utilize
Bureau of Justice Assistance, U.S. Department of Justice. VIPS volunteers. The VIPS staff shares information and resources
is administered by individual agencies and its origin was in with law enforcement agencies that want to expand their
President George W. Bush’s 2002 State of the Union Address. programs, increase the use of volunteers in existing pro-
The VIPS Program provides support and resources for grams, help citizens learn about and become involved in
agencies interested in developing or enhancing a volunteer VIPS program.90

Chapter Summary
Summary by Chapter Objective 4. Explain why budgeting is inherently a political
process.
1. State the five ways in which the Great Recession Budgeting is inherently a political process because
affected many law enforcement agencies. elected members of city councils, county commis-
The Great Recession: (1) introduced fiscal distress, sions, state legislatures, and even Congress express
(2) reduced their resources, (3) forced law enforce- their preferences when they vote on appropriations.
ment executives to make painful decisions, (4) left a The appropriators’ personal views and those of their
lingering impact on many agencies, and (5) pro- constituents, political donors, the news media,
vided useful and sometimes painful lessons about police unions, polls, special interest groups, lobby-
financial management. ists, colleagues, and other entities often shape
these decisions, as well as deals to secure support
2. Identify seven strategies used by law enforce-
for their own interests. Politics do not stop when a
ment agencies to counter fiscal stress.
budget is adopted; in some circumstances, the poli-
Any seven of the following 14 strategies fully
tics can actually intensify during the time a budget
responds to this objective:
is executed.
(1) freezing new hires and eliminating positions;
(2) canceling recruit and many advanced training
5. Define operating and capital budgets.
classes; (3) requiring officers to take furlough/
Most operating budgets are for a single fiscal year,
unpaid days off; (4) reducing salaries; (5) closing
although some jurisdictions use the 2-year biennial
precincts; (6) delaying the purchase of replace-
operating budget. Operating budgets are for recur-
ment vehicles; (7) selling helicopters; (8) closing
ring expenses, such as salaries, gasoline, paper,
police stations to the public; (9) slashing police
uniforms, and kindred items. Except for grants and
programs; (10) ­ e liminating mounted patrol,
donations, the operating budget is overwhelmingly
motorcycle, accident investigation, burglary, and
funded by the general fund.
marine patrol units; (11) laying off officers and
The definition of what goes into the capital budget
slashing overtime funding; (12) achieving reduc-
varies widely. This is because the threshold for plac-
tions in force by not filling vacancies created by
ing items in a capital budget is not uniform. In one
attrition; (13) replacing sworn officers with fewer
city, it might be $2,500 or less, while in another, the
and less expensive civilians; and (14) increasing
cost must exceed $35,000. Capital budgets are for
the numbers and breadth of assignments for
larger cost “big ticket” items which last multiple
volunteers.
years, are an aggregation of capital improvement
3. Give three definitions of the budget. projects (CIPs), may necessitate issuing a bond and
Those definitions are (1) a plan expressed in dollars, going into debt, although some jurisdictions have a
(2) the use of financial resources to meet human pay-as-you-philosophy, are reviewed and adjusted
needs, and (3) a contract between those who appro- annually, bond debt is paid on semi-annually to
priate the money and those who execute the investors and after it is retired, there are no recur-
budget. ring capital budget costs for it. However, in the

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case of a new police station or other facility, the unforeseeable conditions or other grounds, for
­maintenance cost for it comes out of the operating example, when it is clear that anticipated demands
budget. for police services are outstripping resources. An
Some CIPs may be required as a matter of law, such example of this is when a community suddenly gets
as a court order to a county or a consent decree to caught “on the radar” of students in Spring break
build a new jail for the Sheriff’s Office/Department and couldn’t anticipate the traffic congestion and
because the existing one is antiquated and continu- accidents, the volume of visitors, and the substantial
ously overcrowded. increase in calls for service, (4) freezing expenditures
Some local governments have moved away from hav- when the city’s or county’s revenue collection may
ing separate operating and capital budgets and com- be slower than anticipated, (5) delaying expendi-
bine them in a single document. Appropriators usually tures due to signs of revenue shortfalls, and (6) the
consider the operating portion first and the capital city council or county commission reallocates funds
section last, usually over a series of meetings. from one department to another or reduces the
budget in just one or a few departments or by an
6. Identify the key objectives of citizen-centric across the board cut such as 3.5 percent.
reports.
The key objectives of citizen-centric reports are to 10. Describe the nature of the line item budget
increase the transparency of government and citi- Every amount that is requested, recommended,
zen participation in governance appropriated, and expended is associated with a
particular item or class of items that appear as a
7. Provide five quick budgeting tips. separate numbered line in the budget. It’s wide use
is because it provides excellent budget control.
1. Don’t grasp your favorite projects too tightly.
2. Over-reliance on workload measures can create 11. Identify the feature that is increasingly found in
problems. program budgets.
3. Keep personnel as your top priority. Program budgets have increasingly added “Objec-
4. Under-promise and over-deliver. tives to Meet Goals.” It identifies the activities that
5. Paint a realistic picture of the likely results of must be undertaken to achieve the goals.
proposed budget cuts.
12. Provide three reasons why cost measures for per-
formance budgets/performance-based budgets
8. List and briefly describe the four major steps in
are carefully selected.
the budget cycle.
Cost measures for PB/PBB are carefully selected
The budget cycle has four sequential steps that are
because (1) good measures are difficult to develop,
repeated at about the same time every year in a juris-
(2) cost accounting requires a high level of expertise, for
diction: (1) preparation and submission of the budget
example, determining what the average cost is for an
by all of a city or county’s departments, which includes
officer to respond to a call for service, and (3) it is often
getting input from stakeholders, such as citizens and
expensive to collect and analyze the data for them.
advisory boards; (2) evaluation and appropriation by
the legislative body, which may involve public hear- 13. Explain how service level and zero line item
ings and occasionally heated ­exchanges; (3) ­execution ­budgeting work.
of the budget and supplemental budgets, which Both are variants of ZBB. Service level budgeting
means actually doing the things for which public (SLB) assumes, unlike ZBB, that programs and activi-
funds have been appropriated; and (4) the audit, ties have previously been justified. The key question
which is an independent evaluation of something, for is at what level should they be funded? Depart-
example, a law enforcement agency’s control of its ments using SLB prepare a required number of
petty cash fund, its annual expenditures, or its packages for their programs and activities, each
performance on key indicators, such as use of force. package describes a different level of service and
cost for appropriators to consider. In “zero-line item
9. Identify six common ways in which a police bud- budgeting” departments receive a blank budget
get can be adjusted. request form with zeros filled in for each line item,
These common methods are (1) accepting grants instead of last year’s budget or actual expenditures
and donations, (2) transferring funds from one cat- as the starting point. Departments must rebuild
egory to another, subject to any approval that is their budgets from the ground up and justify each
needed. A department head may have limited line, but do not use decision packages.
authority to do so and for larger transfers the
approval of the city council and in some cases the 14. Explain hybrid budgets and why they exist.
state is required, (3) seeking a supplemental budget Hybrid budgets are not a “pure” budget format and
some months into the execution phase because of incorporate features from two or more different

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 c h ap t e r 12 • F I N A N C I A L M ANAGEM ENT 429

formats. Many budgets are hybrids because of his- Crime prevention activities
tory, unique charter provisions, state laws local Maintaining computer systems
­ordinances, past practices, the preferences of key Counsel victims of domestic abuse
people in the budget process, and for other reasons.
Parking enforcement
It seems likely that the line item budget is used in a
“pure” form more than any format. It dominates the Crime scene protection
budgets of the numerous small jurisdictions and in Vacation checks
larger cities and counties that use a more advanced Bike registration
format, the line item budget is also there for Traffic control
control. Legal research
Crime analysis
15. Identify eight different jobs a volunteer could do
in a law enforcement agency. Purchasing
Any eight of the following 19 jobs fully responds to Editing/Writing departmental publications, for
this objective: example, newsletters and brochures
Bilingual services, including verbal and document Administration of volunteer program
translations Recruiting volunteers, especially those with specific
Coordinate neighborhood watch programs skill sets
Maintaining the agency’s website/keeping it Planning departmental events
updated Communications and Records assistance

Chapter Review Questions

1. In terms of financial management, how did the 4. What are financial and performance audits? Why
economic crash of 1929 affect the relationship of are performance audits more varied in their
states with their local units of government? approach?
2. What is a fiscal year? Give examples of two 5. What is the focus of a line item budget versus a
different fiscal years. program budget?
3. Before appearing before city council to present 6. Why is it argued that law enforcement agencies
their departments’ budgets chiefs may plant should not receive any portion of the assets that are
questions with a friendly member. Why? forfeited as the result of their investigative actions?

Critical Thinking Exercises

1. Assume that you were the Chief of Police in 2. Read the section on performance audits. Assume
Stockton from the time that city had substantial you are a Sergeant in the Patrol Division. One of
revenues until the court issued its adverse ruling on your officers hands you a report to approve that only
pensions in that jurisdictions. From an overall states in the narrative section that the “Subject was
financial management situation, what things did injured while resisting arrest and transported to the
you learn? hospital.” What information do you think is missing?

Key Terms
allotments budget cycle operating budget
audit budget execution performance audit (PA)
benchmarking capital budget performance budget (PB)
biennial budget capital improvement project (CIP) Planning, Programming Budget
Black Asphalt fiscal year (FY) System (PPBS)
budget Great Recession program budget
budget adjustment letter of exception results-based budget (RBB)
budget calendar line item budget zero-based budget (ZBB)

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 430 cha pte r 1 2 • FIN A N CIA L M A N A G EME N T

Endnotes
1 11
See No author, “Longest Recession Since 1930s Ended in Jim Christie, “How Stockton Went Broke: A 15-Year Spend-
June 2009, Group Says,” Los Angeles Times, Septem- ing Binge,” Reuters, July 3, 2012, p. 2, http://www.reuters.
ber 20, 2010, p. 1, http://articles.latimes.com/2010/sep/20/ com/article/us-stockton-bankruptcy-cause-
business/la-fi-recession-20100920, accessed May 27, 2016. idUSBRE8621DL20120703, accessed May 28, 2016.
2 12
Tahmi Luhby, “84% of Cities in Money Trouble,” CNN, Ibid., p. 2.
13
­February 4, 2009, p.1, http://money.cnn.com/2009/02/04/ No author, “Initiative, Referendum, and Recall, National
news/economy/city_troubles/?postversion=2009020418, Conference of State Legislatures, September 20, 2012,
accessed May 27, 2016. p. 1, http://www.ncsl.org/research/elections-and-
3
Robert Jay Dilger, State Government Fiscal Stress and campaigns/initiative-referendum-and-recall-overview.aspx,
­Federal Assistance (Washington, DC: Congressional accessed May 29, 2016.
14
Research Service, February 4, 2014), unnumbered sum- See Dan Charles, “How California’s New Rules Are
mary page at the front of the document and National ­Scrambling the Egg Industry,” NPR (National Public
­Governors Association and the National Association of Radio), December 29, 2014, pp. 1-3, http://www.npr.org/
State Budget Officers, “The Fiscal Survey of States,” sections/thesalt/2014/12/29/373802858/how-californias-
(Washington, DC: National Association of State Budget new-rules-are-scrambling-the-egg-industry
15
Officers, 2011), p. Xiii. S. Evans, B. Kosenko, and M. Polyakov, “How Stockton
4
Nick Wing, “We Pay a Shocking Amount for Police Miscon- Went Bust: A California’s Decade of Policies and the
duct, and Cops Want Us to Accept It. We Shouldn’t,” Financial Crisis that Followed,” U.S. Common Sense,
­Huffington Post, May 29, 2015, p. 1, http://www. May 24, 2012, p. 5, http://uscommonsense.org/research/
huffingtonpost.com/2015/05/29/police-misconduct- how-stockton-went-bust-a-california-citys-decade-of-
settlements_n_7423386.html, accessed May 27, 2016. policies-and-the-financial-crisis-that-followed, accessed
5
Andrew Schroedter, “Chicago Police Misconduct-A Rising May 29, 2016. U.S. Common Sense is a 501©3 non-profit,
Financial Toll,” Better Government News, January 31, non-partisan entity dedicated to “opening up” or mak-
2016, p. 1. http://www.bettergov.org/news/chicago-police- ing government more transparent.
16
misconduct-%E2%80%93-a-rising-financial-toll, accessed “How Stockton Went Bust: A California’s Decade of Policies
May 27, 2016. and the Financial Crisis that Followed,” p. 5.
6 17
Charles Thomas, “City Council Passes Budget, Praises Loc. Cit.
18
Mayor,” ABC/WLS-TV Chicago, November 16, 2011, pp. 1-2, “How Stockton Went Broke: A 15-Year Spending Binge,”
http://abc7.com/archive/8433801, accessed May 28, 2016. p. 3.
7 19
No author, U.S. Bureau of Labor Statistics Data, “Data- Joe Goldeen, “Thieves Taking Advantage of Abandoned
bases, Tables, and Calculations By Subject,” May 28, 2016, Rural Homes,” Recordnet.com, February 10, 2008, p. 1,
p. 1, http://data.bls.gov/timeseries/ http://www.recordnet.com/article/20080210/A_BIZ/
LAUMT064470000000004?data_tool=XGtable, accessed 802100302, accessed May 29, 2016.
20
May 28, 2016, Kevin Parrish, “In Stockton, Nearly 30,000 “How Stockton Went Bust: A California’s Decade of Policies
Youngsters Live Below the Poverty Line,” Recordnet.com, and the Financial Crisis that Followed,” p. 4.
21
July 29, 2013, p. 1, http://www.recordnet.com/ “How Stockton Went Bust: A California’s Decade of Policies
article/20130729/A_NEWS/307290312, accessed May 28, and the Financial Crisis that Followed,” p.14.
22
2016, and John Rudolph, “Stockton’s Poor Mired in Taves and White, “On The Mend, But Going Bust,” p. 4.
23
­Violence After Police Cuts, Recession,” Huffington Post, Evans, Kosenko, and Polyakov, “How Stockton Went Bust: A
March 19, 2012, p. 2, http://www.huffingtonpost. California City’s Decade of Policies and the Financial Crisis
com/2012/03/18/stockton-poor-poverty-crime- That Followed,” p. 2.
24
california_n_1346096.html, accessed May 28, 2016. Billy Hamilton, ‘The Ask’: What’s at Stake in Stockton’s
8
For a period of several years Stockton was in the top 4 Bankruptcy? State Tax Notes, 65, July 30, 2012,
of the highest crime plagued cities in California. p. 2. State TaxNotes is the publication of a non-profit
­Conditions have improved and Stockton should be organization created in 1970 to provide tax news and
­recognized for the improvements made. analysis to tax specialists around the world, see
9
Alan Greenblatt, “What It’s Like Living in a Bankrupt City,” Taxanalysts.com.
25
NPR (National Public Radio), September 6, 2013, p. 2, Evans, Kosenko, and Polyakov, “How Stockton Went Bust: A
http://www.npr.org/2013/09/06/219313881/what-its-like- California City’s Decade of Policies and the Financial Crisis
living-in-a-bankrupt-city, accessed May 28, 2016. That Followed” p. 7. 26.
10 26
Kurt Badenhausen, “America’s Most Miserable Cities,” Rich Danker, “Rich Danker: How Bad Pension Accounting
Forbes, February 6, 2009, p. 1, http://www.forbes.com/2009/ Sunk Stockton,” San Jose Mercury News, August 20, 2012,
02/06/most-miserable-cities-business-washington_0206_ p. 1. http://www.mercurynews.com/ci_21358657/rich-
miserable_cities.html, Accessed May 29, 2016 and Kurt danker-how-bad-pension-accounting-sunk-stockton
Badenhausen, “In Pictures: America’s Most Miserable Cities,” (accessed July 3, 2015).
27
Forbes, February 2, 2011, p. 1, http://www.forbes.com/ Evans, Kosenko, and Polyakov, “How Stockton Went Bust: A
2011/02/02/stockton-miami-cleveland-business-washington- California City’s Decade of Policies and the Financial Crisis
miserable-cities_slide_2.html, accessed May 29, 2016. That Followed”, p. 9.

M12_SWAN4056_09_SE_C12.indd 430 8/24/18 8:05 AM

 c h ap t e r 12 • F I N A N C I A L M ANAGEM ENT 431
28 46
Ibid., p. 11. Aaron Wildavsky, The Politics of the Budgetary Process,
29
Ibid., p. 9. 2nd edition, (Boston: Little, Brown, 1974), pp. 1–4.
30 47
No Author, “Stockton Bankruptcy Court Looks at Pension Ron Snell, “State Experiences with Annual and Biennial
Cuts,” Calpensions, May 19, 2014, p. 2, http:// Budgeting, National Conference of State Legislatures,
calpensions.com/2014/05/19/stockton-bankruptcy-judge- April 2011, p. 1, http://www.ncsl.org/research/fiscal-policy/
looks-at-pension-cuts/ (accessed July 8, 2015). state-experiences-with-annual-and-biennial-budgeti.aspx,
31
WSLS10 (Television), Angela Hatcher, “Losing Troopers: Vir- accessed July 10, 2015. Also see Jessica Tollestrup, Bien-
ginia State Police Hit Hard by Budget Cuts,” online access, nial Budgeting: Options, Issues, and Previous Congressio-
p. 3, WWW2.WSLS.com, November 11, 2008. nal Action, Congressional Research Service, February 2,
32
Dustin Gardiner, “Phoenix Imposes Cuts on Police Pay in 2015, http://www.ncsl.org/research/fiscal-policy/state-
Late, Tense Session.” The Republic, May 8, 2014, http:// experiences-with-annual-and-biennial-budgeti.aspx
www.azcentral.com/story/news/local/phoenix/2014/05/08/ (accessed July 12, 2015).
48
phoenix-imposes-cuts-police-pay-late-tense-session/ Bryan Leonard, “Are Biennial Budgets Better?” State Bud-
8838737, accessed May 25, 2016. The police were not get Solutions, April 18, 2011, http://www.statebudgetsolu-
singled out for a pay cut. The council voted for a 1.6% pay tions.org/publications/detail/are-biennial-budgets-better
cut for all employees to save $16.5 million in expenditures. (accessed July 11, 2015).
33 49
Todd South, “Police Satellite Precincts Closing,” Chatta- See David R. Shock, “Capital Budgets: The Building Blocks
nooga (TN) Times Free Press, online access, February 4, for Government Infrastructure,” Government Finance
2010, TimesFreePress.com Review, Vol. 23, No. 3, (June 2007), pp. 16–22.
34 50
Jeff Brady, “Facing Budget Gap, Colorado City Shuts Off Jill Wendorf, “Capital Budgeting from a Local Government
Lights,” National Public Radio, February 14, 2010, online Perspective,” SPNA Review Volume 1, Issue No. 1, (May
access, NPR.org 2001), p. 76, (accessed July 13, 2015).
35 51
Matt Bartosik, “Police Station: Sorry, We’re Closed,” A. E. Buck, The Budgets in Governments Today (New York:
NBCChicago.com, on-line access, July 29, 2009. Macmillan, 1945), p. 5.
36 52
Arlington (VA) Proposed Fiscal Year 2011 Budget Proposal. No author, “Presenting the Capital Budget in the Operating
37
Maxine Bernstein, “Portland Police Propose Cutting Budget Document,” Government Finance Officers Associ-
Mounted Patrol and Leaving Some Positions Vacant to ation, October 2008, p. 1, http://www.gfoa.org/presenting-
Balance Budget,” PortlandLive.com, on-line access, Janu- capital-budget-operating-budget-document (accessed
ary 14, 2010. July 13, 2015).
38 53
In Minnesota alone in the past few decades, more than Robert D. Lee, Ronald W. Johnson, and Philip G. Joyce,
100 small towns have disbanded their police department, Public Budgeting Systems (Boston: Jones and Bartlett,
merged with another one, or turned to their sheriff for ser- 8th Edition, 2008), p. 17.
54
vices,” See Tom Robertson, “Cass Lake Abolishes Police Ibid, p. 53.
55
Force, Seeks Enforcement Deal with County,” MPR News Because sheriffs are elected and police chiefs appointed,
Q: Minnesota’s On-Line News Source,” August 1, 2008, there are some differences in city and county budgeting
online access, August 1, 2008. because as an elected official, a sheriff would be more
39
See Vicki Wilson, “Being Prepared for Disasters,” Govern- independent. See LaFrance T. Casey and MaCherie,
ment Finance Review, Vol. 23, No. 6, (December 2007), “Sheriffs’ and Police Chiefs’ Leadership and Management
pp. 22–26 and Timothy McKeon, “Lessons from Recent Decisions in the Local Law Enforcement Process,” Interna-
Natural Disasters,” Municipal Finance Journal, Vol. 27, tional Journal of Police Science and Management, Vol. 12,
No. 4, (Winter 2007), pp. 27–53. issue 2, (Summer 2010), pp. 238–255.
40 56
Michelle Friedrich, “Funding Cuts Cripple Cyber Crimes Sherrry Conohan. “Geese Police Fall Victim to Borough
Task Force,” Standards-Democrat, February 9, 2015, p. 1, Budget Axe,” Atlanticville (Manalapan, New Jersey,
http://www.standard-democrat.com/story/2164589.html March 5, 2004, pp. 1-2, http://atl.gmnews.com/news/
(accessed July 9, 2015). 2004-03-05/Front_page/009.html (accessed July 16, 2015).
41 57
Mike Blasky, “Oakland Police: Too Many Robberies, Too Barry Reynolds, “Five Simple Rules for Managing Your
Few Detectives,” Contra Costa Times, May 13, 2015, p. 1, Police Agency’s Budget,” Policeone.Com News, August 7,
http://www.contracostatimes.com/breaking- 2014, pp. 1-2, http://www.policeone.com/police-leader/
news/ci_28109602/oakland-police-too-many-robberies- articles/7429369-5-simple-rules-for-managing-your-police-
too-few-detectives (accessed July 9, 2015). agencys-budget, accessed July 16, 2015. The names of
42
Robert D. Lee, Ronald W. Johnson, and Philip G. Joyce. some points made by Barry Reynolds and commentary
Public Budgeting Systems8th Edition (Boston: Jones and have been restated without losing their meaning.
58
Bartlett, 8th Edition, 2008), p. 17. Thomas A. Reppetto, “The Elite Unit the NYPD Must Revive
43
Roland N. McKean, Public Spending (New York: McGraw- to Fight Gun Crime,” New York Post, January 11, 2015,
Hill, 1968), p. 1. p. 1, http://nypost.com/2015/06/11/the-nypd-needs-to-
44
Robert J. Landry III and Cynthia S. McCarty, “Causal Factors revive-its-elite-anti-gun-unit, accessed March 3, 2016.
59
Leading to Municipal Bankruptcies,” Municipal Finance Police Chief Bruce G. Roberts, letter to the city of Ft.
Journal, Vol. 28, No. 1, (Spring 2007), p. 21. ­Lauderdale Commission, April 1, 2004.
45 60
Jack Rabin, Encyclopedia of Public Administration and ­Public Robert D. Lee and Ronald Johnson, Public Budgeting
Policy, (Boca Raton, Florida: CRC Press, 2003), p. 1154. ­Systems (Gaithersburg, MD: Aspen, 1998), p. 265.

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 432 cha pte r 1 2 • FIN A N CIA L M A N A G EME N T

Also see the execution phase of the budget in No Author, 2015, pp. 1-2, http://www.wthr.com/story/28128743/for-
North Carolina Budget Manual (Office of the State Budget mer-greensburg-police-chief-arrested-following-audit
and Management: Raleigh, North Carolina), January 1, (accessed July 17, 2015).
67
2015. Allen Schick, Budget Innovation in the States (Washington,
61
No author, Local Budgeting Manual (Oregon Department DC: Brookings Institution, 1971), pp. 14–15.
68
of Revenue: Eugene, Oregon, 2012), p. 65. A. E. Buck, The Budget in Governments of Today (New
62
See Jeffrey C. Steinhoff, “Forensic Auditing: A Window to York: Macmillan, 1945), p. 5.
69
Identifying and Combating Fraud, Waste, and Abuse,” In 1913, Ohio became the first state to adopt the
Journal of Government Financial Management, Vol. 57, executive budget.
70
No. 2, (Summer 2008), pp. 10–18. No Author, Purpose and Methods of the Bureau of Munici-
63
The organizational placement of procurement, purchasing, pal Research (New York: Bureau of Municipal Research,
payment of invoices, and property control varies. They 1907), p. 25.
71
may be clustered in a F/FSD or spread out over several John Worrall, Asset Forfeiture (Washington, DC: Center for
departments. In very small units of government, one or Problem-Oriented Policing, 2008), p. 5.
72
two people working in the same office may perform these Robert O’Harrow, Jr., Sari Horwitz, Steven Rich, “Holder
functions. For purposes of this text, we use a F/FSD that Limits Seized-Asset Sharing Process That Splits Billions
encompasses all of these functions, although in actual with Local, Stat, Police,” The Washington Post, January 16,
practice there are many variations. 2015, p. 1,http://www.washingtonpost.com/investigations/
64
Mark Schelker, “Public Auditors: Empirical Evidence from holder-ends-seized-asset-sharing-process-that-split-­­
U.S. States,” Center for Research in Economics, bill­i­ons-with-local-state-police/2015/01/16/0e7ca058-
­Management, and the Arts (CREMA: Basel, Switzerland, 99d4-11e4-bcfb-059ec7a93ddc_story.html (accessed
2008), p. 9. July 20, 2015).
65 73
No Author, Conducting Performance Audits in Accordance See Richard D. Young, “Performance Based Budget
with the Yellow Book (San Diego: Office of the City Audi- ­Systems, Public Policy and Practice, Vol. 2, No. 2, January
tor, 2009), pp. 4–6. 2003, about p. 4 of an unnumbered online copy, http://
66
Briefly summarized from Steve Jefferson, “Former Greens- ipspr.sc.edu/ejournal/performancebudgets.asp and No
burg Police Chief Pleads Guilty to Charges,” March 5, author, “Budget Processes Spotlight: How States Use

M12_SWAN4056_09_SE_C12.indd 432 8/29/18 8:33 PM

 c h ap t e r 12 • F I N A N C I A L M ANAGEM ENT 433
82
Performance Data,” (The National Association of State Pamela Delaney and Donald Carey, “Police Foundations:
Budget Officers: Washington, DC: August 4, 2015. Partnerships for the 21st century,” The Police Chief 74,
74
David H. Folz, Reem Abdelrazek, and Teonsoo Chung, No. 8 (2007), p.1 of online copy. Editor: FNs 41-49 deleted
83
“The Adoption, Use, and Impacts of Performance No author, “Policing For Profit, Missouri Profile,” The Insti-
­Measures in Medium-Size Cities: Progress Toward tute for Justice, undated, but citations suggest no earlier
­Performance Management, University of Tennessee, than 2008, https://www.ij.org/asset-forfeiture-report-
undated paper, although the data for it was gathered in missouri (accessed July 20, 2015).
84
2004, p. 5. “Stop and Seize,” p. 1
75 85
Among the resources on PMs is the State of Washington’s, Pamela Delaney and Donald Carey, “Police Foundations
Office of Financial Management, Budget Division, “Perfor- Partnerships for the 21st Century,” The Police Chief,
mance Measurement Guide, August 2009. Vol. 74, No. 8, (2007), p.1.
76 86
No author, Zero-Based Budgeting: Modern Experiences Pamela Delaney and Donald Carey, “Police Foundations:
and Current Perspectives (Government Finance Officers Partnerships for the 21st Century,” The Police Chief,
Association: Calgary, Canada, 2011), p. 7. Vol. 74, No. 8, 2007, p. 2, http://www.policechiefmaga-
77
William Pietz, “Death of the Deodand,” Res: zine.org/magazine/index.cfm?fuseaction=display_
Anthropology and Aesthetics, Vol. 31, Spring 1997, arch&article_id=1237&issue_id=82007, accessed May 30,
pp. 97-98. 2016.
78 87
John Worrall, Asset Forfeiture (Washington, DC: Center for Adam Lynch, “Police Foundation Eyeing Safe City Role,”
Problem-Oriented Policing, 2008), p. 5. Jackson (Miss) Free Press, March 31, 2010.
79 88
Michael Sallah, et. al., “Stop and Seize,” The Washington Television station KREM (Seattle, Washington, KREM.com),
Post, September 6, 2014, p. 3, http://www.washingtonpost. December 9, 2009.
89
com/sf/investigative/2014/09/06/stop-and-seize/ (accessed San Diego Mayor Jerry Sanders, Press release, March 18,
July 20, 2015). 2010.
80 90
“Holder Limits Seized-Asset Sharing Process That Splits No author, VIPS-Volunteers in Police Service, International
­Billions with Local, Stat, Police,” p.1. Association of Chiefs of Police, undated, p. 1, http://www.
81
Asset Forfeiture, p. 3. theiacp.org/VIPS (accessed July 7, 2015).

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 Part 4 Organizational Issues
Chapter 13 | Stress and Police Personnel
Chapter 14 | Legal Aspects of Police Administration
Chapter 15 | Organizational Change

Some 50 years ago the police were described as a “terra incognita,” an unknown land.
Empirical research on this unknown land was sparse and there needed to be empiri-
cal research on every subject connected with it. Since that time we have learned much
about policing, but there is still a great deal to learn. In the intervening years there has
been a proliferation of studies on the subject of Chapter 13, “Stress and Police P ­ ersonnel.”
Under stress, the body changes, for example, the heart rate accelerates, blood pressure
increases, pupils dilate, and the mouth goes dry. Unsurprisingly, the greatest stressor
for police officers is killing someone in the line of duty. Chapter 10 identifies:
the remarkably numerous affects stress has on our bodies, the symptoms of post-traumatic
stress syndrome, the maladaptive use of alcohol and drugs by officers
Chapter 14, “Legal Aspects of Police Administration,” addresses the ever-­changing
landscape of laws, which are enacted by legislative bodies and interpreted by court
­decisions. Police enforcement of criminal laws is typically sound because it is an everyday
activity. In contrast, while high speed pursuits, use of force, and kindred incidents are not
uncommon across police agencies, officers understanding of the civil liability created by
mistakes in these areas is less perfected.
Police leaders at every level must also be aware that their decisions or lack of appro-
priate action can also result in civil liability. For example, if an officer has been repeat-
edly disciplined for excessive use of force, but remains on the department assigned to
field duties, and subsequently shoots someone several times, crippling them for life,
when the use of deadly force is not authorized, the employing agency will be faced with
a civil suit claiming that but for the agency wrongfully continuing to employ the officer,
the plaintiff would not have suffered the life changing injury. In such a fact situation the
department would have the difficult task of defending the officer’s action and may settle
out of court.
Depending on the particulars of a situation, officers and their leaders, in addition to civil
liability, are further exposed to two other risks: (1) being charged with a criminal act and
(2) loss of their certification from the state’s Peace Officers Standards and Training Commission
or similarly titled body, ending their law enforcement careers. Thus, the content of this chap-
ter is central to the welfare of persons having contacts with officers and maintaining public
confidence, as well as officers and their leaders, their families their agency, and their police
profession. Although the fate of the officers involved in the death of Freddie Gray in Baltimore
is unknown at this writing, their prosecution should be regarded as an object lesson: exposure
to these risks is an occupational risk in law enforcement.
Chapter 15, “Organizational Change,” may well not have been an important topic
when the policing philosophy in America was “aggressive preventive patrol in all areas at
all times diminishes the opportunity for crimes to be committed.” This philosophy held
sway until roughly the advent of community policing. A whole series of refinements of com-
munity ­policing, as well as newer philosophies and programs, moved the importance of
understanding organizational change into the important category. To no small extent other
factors such as news events, political decisions, and technological innovations also propel
changes in law enforcement agencies.

434

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 Par t 4 • Or g an i z at ional Is s u es 435

The Italian historian, government official, and thinker Machiavelli (1469–1527)

­observed in The Prince “There is nothing more difficult to take in hand, more perilous to
conduct, or more uncertain of success than to lead in the introduction of a new order of
things.” President John Kennedy (1917–1963) concluded, “Trying to change the federal
bureaucracy has the same effect as punching a curtain.” Separated by four centuries two
remarkable men reached the same conclusion: changing organizations is hard, uphill work
that may not turn out well. Among the topics this chapter details is when changes should
not be made, different change strategies, and how to heighten the possibilities when
introducing change.

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 c h a p t e r t h i r t e e n

STRESS AN D PO LI C E
PERSONNEL
Learning Objectives
1. Explain why police officers are more prone to stress than individuals in many
other occupations.
2. Describe the perceptual, cognitive, and behavioral disturbances resulting from
an officer’s use of deadly force.
3. Discuss some of the questions that police administrators must address in terms
of drug use by police officers.
4. Describe some of the negative physical consequences associated with the use
of steroids.
5. Discuss the indicators that would suggest a police officer is considering suicide.
6. Examine the role the police psychologist plays in a psychological health wellness initiative.

436

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 ch a p t er 13 • STRESS AN D P O LI CE P ERS O NNEL 437

INTRODUCTION can and should react to it, (8) the sources of work
satisfaction that are stress reducers, (9) stress
For the past 45 years, the topic of stress and
reduction management techniques, (10) the police
its relationship to police work has been extensively
psychologist’s role in a psychological health
studied by both the social science community and
wellness initiative, and (11) the functions and value
the police profession. As a result, there is now an
of an employee assistance program.
abundance of police stress–related information
available to the law enforcement executives to
assist them in fully understanding and developing WHAT IS STRESS?
programs designed to reduce stress among their
Hans Selye, the researcher and theorist who pioneered the
personnel.1 Police administrators should be aware ­physiological investigation of stress, defines stress in the broad-
of the following stress-related information: (1) how est possible terms as anything that places an adjustive demand
stress is defined by the medical and social science on an organism (see Figure 13.1). Identified as “the body’s non-
specific response to any demand placed on it,” stress can be
community, (2) the relationship between diseases either positive (eustress) or negative (distress; see Table 13.1).2
of adaptation and job-related stress, (3) the ways in According to this distinction, many stressful events do not
which personality type can impact positively or threaten people but provide them with pleasurable challenges.
Illustrations of eustress include driving at top-end speeds, gam-
negatively upon job performance, (4) why the use bling, free climbing mountains, and sky diving. Arguably,
of deadly force by police officers is consistently ­volunteers for “high-speed” military units such as the U.S. Navy’s
listed as the number one stress inducer, (5) the SEAL Team 6, the U.S. Army’s Delta Force, and SWAT Police
Teams or undercover drug detectives may fall into this category.
negative physical and psychological impacts of Fledgling entrepreneurs also face many stressful situations; some
alcohol, drugs, and steroids on police performance, entrepreneurs crack under the distress and others experience
(6) the multiple aspects of police suicide and what eustress and succeed spectacularly. Illustratively, Bill Gates
dropped out of college to pursue his computing interests and
can be done to prevent it, (7) police domestic was the co-founder of Microsoft in 1975, and as of 2013 enjoyed
violence and the ways in which police departments an annual income of $11.5 billion.3

FIGURE 13.1 c Dr. Hans Selye holds one of the many rats studied in meticulous detail
to work out the actual nature of the mammalian stress response. (John Olson/The LIFE
Images Collection/Getty Images)

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 438 cha p te r 1 3 • STRESS AN D PO LI CE P ERS O NNEL

Table 13.1 C hanges to the B od y at the A larm S tage

Heart rate increase Blood flow increases to heart, lungs, and large muscles

Blood pressure increase Perspiration, especially to palms

Large muscle groups tense Digestive secretions slow

Adrenaline rush Dry mouth due to saliva decrease

Increase blood sugar Bowel activity decreases

Hypervigilance Extremities become cool

Pupils dilate Sphincters tighten

Increased hearing acuity More white blood cells enter the bloodstream

Increased blood clotting Cholesterol remains in the blood longer

Increased metabolism Dilation of the lung passages and increased respiration

Source: Wayne Anderson, David Swenson, and Daniel Clay, Stress Management for Law Enforcement Officers, 1st edition,
© 1995, p. 37. Adapted by permission of Pearson Education, Inc., Upper Saddle River, NJ.

Biological Stress and the General If the stress continues, however, the organism reaches the
resistance stage of the GAS. During this stage, bodily resources
Adaptation Syndrome are mobilized to deal with the specific stressors, and adaptation
Selye formulated the general adaptation syndrome (GAS) is optimal. Although the stressful stimulus may persist, the symp-
to describe how stress, on the biological level, can incapacitate toms that characterized the alarm stage disappear. In short, the
an individual. The GAS encompasses three stages of physiologi- individual seems to have handled the stress successfully.
cal reaction to a wide variety of stressors: environmental agents Under conditions of prolonged stress, the body reaches a point
or activities powerful enough in their impact to elicit a reaction where it is no longer capable of maintaining resistance. This condi-
from the body. These three stages are as follows: tion characterizes the exhaustion stage. Hormonal defenses
dd Alarm break down, and emotional reactions that appeared during the
dd Resistance alarm stage may reappear, often in intensified form. Further
exposure to stress leads to exhaustion and eventually to death.4
dd Exhaustion
The alarm stage, sometimes referred to as an emergency
reaction, is exemplified on the animal level by the so-called
fight-or-flight syndrome. When an animal encounters a threat- DISEASES OF ADAPTATION
ening situation, its body signals a defense alert. The animal’s AND RECENT MEDICAL FINDINGS
cerebral cortex flashes an alarm to the hypothalamus, a small
structure in the midbrain that connects the brain with body There is considerable agreement that some types of stress can
functions. A powerful hormone called adrenocorticotropic worsen the symptoms of almost any condition, but recent medi-
­hormone (ACTH) is released into the bloodstream by the hypo- cal research suggests there is little evidence that stress is the
thalamus and is carried by the bloodstream to the adrenal exclusive or the principal cause of any disease. For decades, it
gland, a part of the endocrine, or ductless gland, system. There, was accepted by the medical community that stress led to the
ACTH triggers the release of adrenaline, which produces a overproduction of stomach acid, which caused duodenal ulcers.
galvanizing, or energizing, effect on the body functions. The Stress does increase the amount of acid produced in the stom-
heart pounds, the pulse races, breathing quickens, the muscles ach, and there is no doubt that, once a person has a duodenal
tense, and digestion is inhibited. The adjustive function of this ulcer, acid makes the ulcer hurt. However, medical science has
reaction pattern is readily apparent—namely, preparing the determined that the ulcer is not caused by stress but rather by a
organism biologically to fight or to run away. When the threat bacterial infection, curable with antibiotics. Doctors also once
is removed or diminished, the physiological functions involved believed that the inflammatory bowel diseases—Crohn’s disease
in this alarm, or emergency reaction, subside, and the organism and ulcerative colitis—were caused by stress. They now know
regains its internal equilibrium (see Table 13.1). that these diseases are caused by inherited tendencies toward

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abnormal inflammation in response to gut bacteria. Also, there toxic reactions. This is influenced in part by our genes but is also
is little evidence that stress causes asthma, although some controllable with stress-management techniques (discussed later
patients have flare-ups more often at times of stress.5 in this chapter). In addition, if these toxic reactions are not con-
trolled they can be fatal. Also there is growing evidence that heart
The Role of Stress in Heart Disease disease is more likely to occur and at an earlier age.6
The role of stress in heart disease has received the most attention
over the years, and with good reason. Like our ancestors, we all Major Stressful Life Events
occasionally face the single, sudden, and extreme stressors that Sudden, major stressful life events can sometimes cause cata-
the stress response has evolved into in order to protect us from strophic results in people with an underlying heart disease
dangerous situations. However, unlike our primitive ancestors, which they did not know they had because it had never before
the acute stressor is not caused by an approaching wild animal’s caused symptoms. This could then result in the sudden outpour-
intent on devouring us or the belief that we will soon be dead ing of adrenalin resulting from a specific highly stressful event
because we have been hexed by the local witchdoctor. Instead, such as a police officer responding to an officer in need of
it might result from a road rage situation when an angry motorist assistance, or a felony in progress call. This can cause a plaque
is attempting to run us off the road or perhaps someone is of atherosclerosis to rupture, which in turn can generate danger-
attempting to forcibly enter our home. Our response to such sud- ous heart rhythms and sudden death.
den and extreme stressors can protect us, but it can also trigger In a paper published over 45 years ago in the Annals of
a powerful hormonal release that can have dire consequences if Internal Medicine, internist and psychiatrist George Engel recon-
a person already has heart disease. structed the events in the hours before 170 people died sud-
Perhaps even more important are the persistent, chronic, denly. Particularly for women, Engel found that the most
low-grade stressors experienced by almost everyone in a mod- common trigger for sudden death was a major loss—of a spouse
ern society, such as the recurring tension in dealing with an or self-esteem. For men, sudden danger (a constant companion
unpleasant supervisor, co-worker, spouse, or child; or worrying for law enforcement officers) more often was a trigger. Subse-
about how to pay the bills this month. These chronic stressors, quent evidence supports Engel’s thesis. For example, sudden
like sudden and acute stressors, can also affect the most com- deaths increased immediately following the Northridge earth-
mon and lethal form of heart disease we face—atherosclerosis, quake in southern California in 1994, and after September 11,
sometimes called “hardening” of the coronary arteries. 2001—and not just in New York City.
Coronary atherosclerosis deforms artery walls and can ulti-
mately block blood flow, starving the heart muscle of the oxy-
gen it needs. Plaques of atherosclerosis cause symptoms in two
ways. First, if the plaques grow large enough to significantly
STRESS AND PERSONALITY TYPE
obstruct the flow of blood, the heart will not get the blood The classification of personalities into major categories can be a
supply it needs when it is forced to work harder—for example, very useful tool in assessing personality types. However, when dis-
by exercise or by anger or fear. The heart is not actually dam- cussing them it is important to remember that almost no one fits
aged, but pain can occur whenever the heart is again forced to entirely into a single category but simply possesses a majority of
work hard. Second, plaque can rupture, either when the heart the characteristics associated with that specific personality type.8
is working hard or even when a person is at rest and at peace.
Plaque rupture causes a blood clot to form that suddenly and Type A Personality
often completely stops the flow of blood through the artery.
Chronic stressors also contribute to heart disease indirectly if dd Under constant stress, much of which is self-generated
they lead us to overeating, under-exercising, or smoking. Stress dd Continuous pressure to accomplish
is a toxic emotional and physical response; anger, hostility, dd Hostile and demanding
depression, and anxiety are examples of such toxic responses. dd Always in a hurry; sense of time urgency
Anxiety, for instance, involves apprehension combined with pal-
pitations, fatigue, and shortness of breath. Some people respond
dd Continuing impatience
to chronic stressors with remarkable equanimity. Others spend a dd Intense and ambitious
substantial fraction of their day experiencing one or more of the dd Believes time should be used “constructively”

Quick Facts: Too Much Happiness Can Kill You

Sudden death can also follow a triumph or a happy ending upon returning home, a man who had just scored his first hole
to a long struggle. These include the reported sudden deaths in one, and an opera singer who was receiving a standing
of a number of individuals, including a just-released prisoner ovation. Even joy can disrupt silently diseased arteries.7

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dd Has difficulty relaxing and feels guilty when not working dd They are famous for suppressing their emotions thus
dd Compelled to challenge, and not understand, another making them vulnerable to depression
type A personality dd Like the type A personality, they are also more likely to
develop cardiovascular problems10
The qualities underlying type A characteristics include the
following:
dd Constant state of being “on guard” Workaholic Personality
dd Hypermasculinity dd This phrase was coined in 1968
dd Constantly working against time dd Similar to type A
dd Lack of insight into one’s own psychological needs dd Has an addiction to work
The physiological implications are as follows: dd When absent from the job, may experience withdrawal
symptoms similar to those of withdrawal from other
dd Seven times as likely to develop heart disease
addictions
dd Higher cholesterol and triglyceride (blood fat) levels dd Is agitated and depressed when not working
(sudden stress increases triglyceride; prolonged stress
increases cholesterol) dd May account for up to 5 percent of the working world
dd Clotting elements have greater tendency to form within dd Typical workaholics
dd Readily buck the system; often bucked by the
coronary arteries
dd Excess accumulation of insulin in blood bureaucracy
dd Display well-organized hostility toward the system’s

imperfections
Type B Personality dd Obsessed with perfection in their work

dd Haunted by deep-seated fear of failure; will “play to

dd Less competitive and less rushed
win” at all games
dd More easygoing
dd Prefer labor to leisure
dd Better able to separate work from play
dd Constantly juggle two or more tasks (called
dd Relatively free of a sense of time urgency multitasking)
dd Ambitions are kept in perspective dd Many are overachievers and “get things done”
dd Generally philosophical about life dd Takes its toll and may result in:
dd Gastrointestinal problems

Type C Personality dd Cardiovascular disease

dd Divorce

dd Appear to be quiet and introspective but are actually

frustrated and suppress their anger The Pitfalls of Being a Workaholic—
dd They are at increased risk of developing cancer Police Work Addiction
dd They are non-emotional, non-assertive and appease
The following is a cautionary tale based upon an actual case,
others to the point of self-effacement and self-sacrifice
using a fictitious name, which describes the pitfalls of being a
dd They suppress their own desires even if there is workaholic.
something they dislike Great leaders lead by example, and Police Chief William
dd Their lack of assertiveness results in tremendous stress Smith was no exception. He was totally selfless and always avail-
and sometimes leads to depression able, arriving at work each morning before 8:00 and not leaving
dd They tend to be introverted, respectful, eager to please, until everyone else had gone home. It was not uncommon to
and compliant find him working on Saturday or Sunday. The deputy chief told
dd They love details and can spend a lot of time trying to those assembled at the church that he was actually reluctant to
find out how things work and this makes them very leave each night before the chief. Everyone felt sad that Chief
suitable for technical jobs9 Smith left a young family and even sadder that he should pass
away in the prime of his life.11
Certainly, police officers are expected to put aside all other
Type D Personality needs when duty calls, and, without question, duty does call.
Commanders and officers alike must sustain an endless capac-
dd Have a negative outlook toward life and are pessimistic ity to meet this demand. Communities hold fast to the expecta-
dd Might become socially withdrawn as a result of fear of tion that the police will do all that can be humanly done and,
rejection, even if they like to be around people at times, much more than should be expected of mere humans.

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Therein lies the great challenge for law enforcement officers nervousness, and the inability to relax under any circumstances
and supervisors—maintaining a healthy balance in meeting are commonplace. Workaholics report feeling pressure in their
reasonable responsibilities to the job, to themselves, and to chests, dizziness, and lightheadedness.15 Obviously, any long-
their families. term stress that manifests such symptoms as these can result in
Perhaps Chief Smith represents an extreme example of the dangerous health consequences of many types. Chief Smith’s
dangers inherent in the work-addicted lifestyle. However, litera- protracted work addiction led to serious illness and his ultimate,
ture on work addiction asserts that work constitutes the drug of untimely death.
choice for some 30 percent of the population, for whom working Those people obsessed with work share the traits of others
is so vital to their emotional well-being that in fact they have with such addictions as substance abuse, food dependencies, or
become addicted to it.12 While the actual mortality rate for work sexual compulsions. A classic definition of a workaholic
addiction may be low, the social lethality of this behavior proves describes “a person whose need for work has become so exces-
overwhelming. These unfortunate individuals are predisposed to sive that it creates noticeable disturbance or interference with
involve themselves—and their families—in a life not unlike that bodily health, personal happiness, and interpersonal relations,
of Chief Smith’s. Clearly, work addicts (or workaholics, the more and with smooth social functioning.”16 The unique difference
common descriptor) cannot assess what is important in healthy between work addiction and other addictions, however, is that
lifestyle choices and, thus, experience a diminished quality of supervisors often sanction work addiction. Supervisors and peers
life. Regrettably, they do not suffer alone. They unwittingly share admire this so-called work ethic, and it can be both financially
this pain with their families and colleagues alike. and professionally rewarding.
Workaholics are married to their work. Their vows to love Workaholics become gradually more emotionally crippled as
and honor their spouses above all “others” no longer hold mean- they become embroiled with the demands and expectations of
ing or possibility. No spouse and no family can compete with the workplace. They are “addicted to control and power in a
this all-consuming obsession. compulsive drive to gain approval and success.”17 The obsession
Workaholics themselves are a key contributor to the unhealthy with work grows out of the workaholic’s perfectionism and com-
family patterns resulting from work addiction for a number of petitive nature. As with other addictions, work is the “fix,” the drug
reasons. First, they may have grown up in a dysfunctional family that frees the workaholic from experiencing the emotional pain
system where role models taught unhealthy patterns of relating of the anger, hurt, guilt, and fear in the other areas of the worka-
to others. Research indicates that the family origin contributes holic’s life. Workaholics constantly focus on work, seeking to meet
greatly to the development of the workaholic, and the roots of their personal emotional needs through their professions.
the workaholic’s perfectionism often lie in childhood experi- With this information in mind, law enforcement supervisors
ences.13 In these dysfunctional homes, families reward children must understand the dangers that work addiction presents.
for good performance, not for who they are. They give praise These supervisors also must remember that they have an ethical
and conditional love whenever children perform a certain way responsibility to intervene when they observe the telltale signs
or meet certain high expectations. In adulthood, this same need of the work-addicted personality.
for perfection is the basis for the obsession for work—everything Perhaps the poet Robert Frost had Chief Smith in mind when
must be done properly and always at a very high level of com- he observed, “By working faithfully 8 hours a day, you may even-
petence and perfection. tually get to be boss and work 12 hours a day.” Certainly, expecta-
Second, the need for workaholics to feel dominant and “in tions run high in the law enforcement profession. Establishing
control” may make them less able to relate to peers. They may and maintaining relationships creates tremendous demands on
interact more easily with older and younger people or those of time, resources, and energy; life balance easily becomes lost. The
lower status or socioeconomic level than themselves. This need wise boss must understand and accept this reality.
for continually being in control of themselves and in charge cre-
ates tension in family relationships. The one constant involved
in this work mind-set devalues the quality of social interactions.
Loved ones have a reasonable expectation that time spent STRESS IN LAW ENFORCEMENT
together is time well spent and, therefore, they should not be Police work is highly stressful—it is one of the few occupations
made to feel that such time comes at the expense of personal in which an employee is asked continually to face physical
productivity. Loved ones can sense when the workaholic is “just dangers and to put his or her life on the line at any time. The
going through the motions.” The same holds true for relation- police officer is exposed to violence, cruelty, and aggression
ships with peer groups and clients. People have a strong sense and is often required to make extremely critical decisions in
for those who are too busy to make time to properly address high-pressure situations.
issues. Conflict becomes inevitable, and everyone “gets drawn
into the act by waltzing around the workaholic’s schedule,
moods, and actions.”14 The Highest Police Stressors
The self-imposed behavior of work addiction also causes In order to assess which events generate the most stress for
physical symptoms. Excessive pumping of adrenaline resulting police officers, Violanti and Aron distributed a 60-item Police
in abnormal blood pressure, heart trouble, stomach sensitivity, Stress Survey (PSS) to a random sample of 110 officers in a

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Quick Facts: The Deadly Effects of Stress on Police Officers

More law enforcement officers are likely to be killed by job- succumb to the insidious, long-range effects of job-induced
related stress than are killed by criminals. For every police offi- pressures including alcoholism, drug abuse, domestic violence,
cer slain by an assailant in the line of duty, countless others posttraumatic stress disorder, and even suicide.18

large New York State police department.19 Ninety-three per- The empathy police officers have for victims is revealed by
cent of those sampled (N = 103) completed the PSS and the fact that the fourth-most-potent stressor was handling child
returned it. The results of the survey reveal that the single- abuse cases (69.24%), which ranked ahead of other well-known
most-potent stressor was killing someone in the line of stressors, such as engaging in high-speed chases (63.73 percent),
duty (79.38%) and close behind was the killing of a fellow using force (60.96%), responding to felony-in-progress calls
officer (76.38%). (55.27%), and making death notices (52.59%).20

Quick Facts: The Use of Deadly Force as a Major Source of Stress for Police Officers

Available data indicate that between 400 and 450 criminals peers and the officer’s family; the rigorous examination by
are killed each year by police officers in the United States.21 departmental investigators and administrators, and increas-
Some of these killings are in self-defense, some are acciden- ingly federal investigators who are trying to determine if
tal, and others are to prevent harm to others. The sources of there have been any civil rights violations; the possible disci-
stress attached to an officer-involved shooting (OIS) are mul- plinary action resulting in suspension, demotion, or dismissal;
tiple, and include: the officer’s own psychological reaction to the possibility of criminal prosecution and imprisonment; the
taking a life; the responses of his or her law enforcement possibility of civil litigation; and negative media attention.22

Perceptual, Cognitive, and Behavioral in a smaller number of cases, louder than normal. Police
Disturbances Resulting from the Use officers have reported not hearing their own or other
of Deadly Force officers’ gunshots. Thus, overall perceptual clarity may
increase or diminish.
Many police officers who have been involved in a deadly force
shooting episode have described one or more alterations in per- dd A sense of helplessness may occur during the shooting
ception, thinking, and behavior that occurred during the event,23 exchange, but this may be underreported due to the
and these are similar to those reported in military personnel potential stigma attached. A small proportion of service
following a firefight. Most of the following reactions can be members report they “froze” at some point during the
interpreted as natural adaptive defensive reactions of an organ- event: again, either this is an uncommon response or
ism under extreme emergency stress: personnel are understandably reluctant to report it,
especially in a culture like law enforcement, which places
dd Distortions in time perception are most common, with the a premium on physical courage and disparages those
majority of officers recalling the shooting event as who show any degree of timidity in the face of danger.
occurring in slow motion, although a smaller percentage In a series of interviews with police officers,24 it was
reported experiencing the event as speeded up. found that most of these instances of “freezing” really
dd Sensory distortions are also common and most often represented the normal action-reaction gap in which
involve tunnel vision, in which the officer is sharply officers make the decision to shoot only after the suspect
focused on one particular aspect of the visual field, has engaged in clearly threatening behavior. In most
typically the suspect’s gun or weapon, while blocking cases, this brief evaluation interval is a positive
out everything in the periphery. Thus, such distortions precaution to prevent the premature shooting of
are also very common for officers who are engaged in someone who does not pose a threat to the officer. But
high-speed pursuits. Similarly, “tunnel hearing” may also in situations where the ostensibly prudent action led to a
occur, in which the officer’s auditory attention is focused tragic outcome, this cautious hesitation by an officer may
exclusively on a particular set of sounds, most well be viewed retrospectively by him or her as a fault:
commonly the opponent’s voice, while background “If I hadn’t hesitated to shoot, maybe my partner would
sounds are excluded. Sounds may also seem muffled or, still be alive.”

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 c h ap t er 13 • S TRE S S A N D P OL I CE PERS ONNEL 443
dd Disturbances in memory are commonly reported in 4. The fourth phase26 is what police psychologists27, 28
shooting exchanges. About half of these involve impaired have called the recoil, remorse, and nausea phase.
recall for at least some of the events during the shooting; This follows the rush of exhilaration and is often
the other half involve impaired recall for at least part of associated with a close-range kill; this is the more
the officer’s own actions; this, in turn, may be associated common type of response experienced by police
with going-on-automatic response. More rarely, some officers who tend to confront their adversaries in
aspects of the event may be recalled with unusual clarity, close quarters, rather than from a distance, which is
sometimes characterized as a flashbulb memory. Over a often the case with military personnel.
third of the cases involve not a total loss of recall but a
For police officers, feelings of guilt or self-recrimina-
distortion of memory, to the extent that the shooter’s
tion may be especially likely in cases where the decision
account of what happened differs markedly from the
to shoot was less than clear-cut or where the suspect’s ac-
report of other observers at the scene; in such cases, they
tions essentially forced the officer into using deadly force,
might be unfairly accused of lying.
such as botched robberies, violent domestic disputes, or
suicide by cop (SbC).29 SbC occurs when an individual
Five Basic Phases of the who intends to take his or her life uses the police to assist
in accomplishing that objective by threatening to injure or
Post-Shooting Reaction kill the police officer, typically with a gun or some other
1. The first phase occurs prior to the shooting itself and similar deadly weapon (see Figure 13.2).
consists of concern about being able to pull the trigger During the recoil/remorse phase, law enforcement service
when the time comes and not freezing up and letting members may seem detached and preoccupied, going through
one’s fellow officers down. the motions of their job duties, and operating on what could
2. The second phase is the actual killing experience, be characterized as “behavioral autopilot.” In addition, they
which is often done reflexively, with officers describing may be hypersensitive or even annoyed to well-meaning prob-
themselves as “going on automatic.” ing and congratulations by peers who make comments such as
“Way to go, killer—the dirt bag deserved it.”
3. The third stage is that of exhilaration that comes from
Also, during this recoil phase, a variety of posttraumatic
having been able to put one’s training into action. This
symptoms (discussed earlier) may be seen, most of which will
exhilaration, fueled by the release of huge amounts of
resolve themselves in a few days or weeks.30 Some of these will
adrenalin, can create a high or rush, which in some
represent general posttraumatic reactions similar to those expe-
cases can give rise to what the military has
rienced by psychological trauma workers.31
characterized as “combat addiction.” It has been
described as the kind of “adrenalin overdosing” that 5. The fifth phase,32 rationalization and acceptance, can
can negatively impact a police officer’s nervous system be a long process, and many law enforcement officers
and lead to adverse reactions later on (i.e., hesitating to wrestle with this single event for a lifetime. As the
use deadly force when it is clearly justified or officer begins to come to terms with the shooting
overreacting to situations that do not justify the use of episode, a similar resolution or acceptance phase may
deadly force).25 inure, wherein the officer assimilates the fact that the

FIGURE 13.2 c A man, armed with what police would later learn were unloaded
guns, confronted Chicago police officers. When the man refused to drop his guns and
threatened to kill the officers, he was shot and killed. (The Shelby Star, Lee McLeod/AP Images)

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use-of-deadly-force-action was necessary and justified the most accurate information possible about the incident. For
in this particular instance. Even under the best of example, because investigators need precise details it may be
circumstances, resolution may be partial rather than advantageous for them to give the officers and civilian witnesses
total, and psychological remnants of the experience an initial walk-through of the incident without engaging in
may continue to haunt the officer periodically, intensive probing detail which has been customary in the past.
especially during future times of crisis. But in most This walk-through may function as the “rehearsal” interview that
cases, the officer is eventually able to return to work helps trigger better memory recall later on. One expert has
with a reasonable sense of confidence.33 highlighted the value of this time delay in the interview process,
stating that interviewers can consider “. . . enough brief informa-
However, in the worst cases, sufficient resolutions may never
tion during an immediate on-scene ‘walk-through’ to get the
occur, and the officer enters into a prolonged posttraumatic
investigation started.”38
phase, which may effectively end the officer’s law enforcement
career. In less severe cases, a period of temporary stress disabil-
ity allows the officer to seek treatment, to eventually regain his
or her emotional and professional bearings, and to ultimately POSTTRAUMATIC STRESS
return to the job. Still other officers return to work right away
but continue to perform marginally or dysfunctionally until their DISORDER (PTSD)
actions are brought to the attention of superiors.34 PTSD can be traced back to antiquity. It was called “soldier’s
heart” during the American Civil War, “shell shock” in the First
World War and “battle fatigue” in the Second World War. In the
Korea War, it was called “operational exhaustion.” It was not until
POST-SHOOTING INTERVIEW the Vietnam War that the term “posttraumatic stress disorder”
An important question about post-shooting interviews is what was created when the American Psychiatric Association added
the agency’s policy should be as it relates to how, where, and the term to its list of recognized mental disorders.39
when it should be conducted. It is very clear that the event itself
can have very serious consequences on the officer’s recollection The Clinical Classification
of what happened and in some cases a failure in this area may In clinical classification, a syndrome is defined as a set of symp-
result in the officer being unfairly accused of lying. The Interna- toms and signs that occur in a fairly regular pattern from patient
tional Association of Chiefs of Police (IACP) Police Psychological to patient, under a given set of circumstances, and with a specific
Services has provided guidelines suggesting that investigators set of causes (even though individual variations may be seen).40
should give officers time to recover after the incident before they By this definition, posttraumatic stress disorder, or PTSD, is a
conduct detailed interviews, with this recovery time ranging syndrome of emotional and behavioral disturbance that follows
from a few hours to overnight.35 Other experts have also sup- exposure to a traumatic stressor or set of traumatically stressful
ported this recommendation and suggested that officers would experiences that is typically outside the range of normal, every-
be better able to provide more accurate and thorough statements day experience for that person. As a result, there develops a
if they are allowed to wait at least 24 hours before questioning, characteristic set of symptoms.41
thereby giving the officers time to rest and recuperate.36
Many agencies have embraced this suggestion and imple-
mented policies requiring officers to wait before giving an inter-
Symptoms of Posttraumatic
view or speaking to an investigator about an officer-involved Stress Disorder
shooting (OIS). In this respect, these departments have made a Anxiety. The subject describes a continual state of free-floating
decision to treat their officers differently than civilian witnesses anxiety or nervousness. There is a constant gnawing apprehen-
or suspects who are normally interviewed as soon as possible sion that something terrible is about to happen. He or she main-
after the incident. The rationale for this differential treatment is tains an intensive hypervigilance, scanning the environment for
the fact that sometimes victims who are seriously injured may the least hint of impending threat or danger. Panic attacks may
die, witnesses may disappear, and suspects may flee. be occasional or frequent.
Prior research has consistently determined that individuals’ Physiological Arousal. The subject’s autonomic nervous sys-
memories react strangely to stressful or traumatic events. This tem is always on red alert. He or she experiences increased
includes both officers and civilians alike who may experience bodily tension in the form of muscle tightness, tremors, restless-
serious perceptual and memory distortions.37 The question is ness, fatigue, heart palpitations, breathing difficulties, dizziness,
how to best minimize this phenomenon. headaches, and gastrointestinal or urinary disturbances. About
To this end, it might be best for agency protocol to allow for one-half of PTSD subjects show a classic startle reaction: sur-
case-by-case flexibility when determining the timing and struc- prised by an unexpected door slam, telephone ring, sneeze, or
ture of interviews following an OIS. Investigators must remain even just hearing their name called, the subject may literally
sensitive to personnel who have likely just experienced one of “jump” out of his seat and then spend the next few minutes
the most traumatic events in their life while striving to obtain trembling with fear and anxiety.

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Irritability. There is a pervasive chip-on-the-shoulder edginess, rebuffs may spur retaliatory avoidance, leading to a vicious cycle
impatience, loss of humor, and quick anger over seemingly trivial of rejection and recrimination.
matters. Friends get upset, coworkers shun the subject, and family Impulsivity and Instability. More rarely, the trauma survivor
members may be verbally abused and alienated. may take sudden trips, move from place to place, walk off his
A particularly common complaint is the patient’s increased sensi- job, disappear from his family for prolonged periods, uncharac-
tivity to children’s noisiness or the family’s bothering questions. teristically engage in drunken binges, gambling sprees, or
Avoidance and Denial. The subject tries to blot out the event romantic trysts, make excessive purchases, or take dangerous
from his or her mind and avoids thinking about the traumatic physical or legal risks. It is as if the trauma has goaded the sub-
event. Also the subject shuns news articles, radio programs, or ject into a “what-the-hell—life-is-short” attitude that overcomes
TV shows that are reminders of the incident. “I just don’t want their usual good judgment and common sense. Obviously, not
to talk about it,” is the standard response, and the individual may every instance of irresponsible behavior can be blamed on
claim to have forgotten important aspects of the event. Some of trauma, but a connection may be suspected when this kind of
this is a deliberate, conscious effort to avoid reminders of the activity is definitely out of character for that person and follows
trauma; part of it also involves an involuntary psychic numbing an identifiable traumatic event. Far from taking such walks on
that blunts most incoming threatening stimuli. The emotional the wild side, however, the majority of trauma survivors continue
coloring of this denial may range from blasé indifference to nail- to suffer in numbed and shattered silence.
biting anxiety.
Intrusion. Despite the subject’s best efforts to keep the trau-
matic event out of his or her mind, the horrifying incident pushes
its way into consciousness, often rudely and abruptly, in the form CUMULATIVE CAREER
of intrusive images of the event by day and frightening dreams TRAUMATIC STRESS (CCTS)
at night. In the most extreme cases, the individual may experi-
ence dissociative flashbacks or reliving experiences in which he In contrast to the condition posttraumatic stress disorder just
seems to be mentally transported back to the traumatic scene in discussed, officers may also experience trauma symptoms spo-
all its sensory and emotional vividness, sometimes losing touch radically throughout a career as a result of being routinely
with current reality. More commonly, the intrusive recollection exposed to many traumatic events over a period of time. This is
is described as a persistent psychological demon that “won’t let classified as Cumulative Career Traumatic Stress (CCTS).43
me forget” the terrifying events surrounding the trauma. The symptoms of CCTS are similar to PTSD, but rather than
Repetitive Nightmares. Even sleep offers little respite. Some- presenting suddenly as a result of a single traumatic event
times, the subject’s nightmares replay the actual traumatic event; directly experienced by the officer, such as a shooting, the officer
more commonly, the dreams echo the general theme of the may experience one or a combination of symptoms sporadically
trauma but miss the mark in terms of specific content. For exam- throughout a career as he or she is exposed to a myriad of trau-
ple, an individual traumatized in an auto accident may dream of matic events over a period of years. The trauma symptoms that
falling off a cliff or having a wall collapse on them. A sexual are experienced fail to fit the duration criteria of PTSD but are
assault victim may dream of being attacked by vicious dogs or nonetheless frequently experienced and left unacknowledged.
drowning in a muddy pool. The emotional intensity of the origi- This in turn creates the potential to cause a slow and subtle
nal traumatic experience is retained, but the dream partially deterioration of the officer’s psychological and emotional stabil-
disguises the event itself. This symbolic reconfiguration of dream ity. For example, an officer who has responded to a fatal motor
material is, of course, one of the main pillars of Freudian psy- vehicle collision may experience nightmares or flashbacks of the
choanalytic theory.42 scene for a few days after the incident. This is especially true of
Impaired Concentration and Memory. The subject complains those fatal traffic accidents that result in the death of a small
of having gotten “spacey,” “fuzzy,” or “ditsy.” He or she has trouble child. Several months later, the officer may respond to another
remembering names, tends to misplace objects, loses the train of motor vehicle fatality or similar scene that brings back memories
conversations, or can’t keep their mind focused on work, reading of the previously investigated serious collision.
material, family activities, or other matters. The subject may worry Many times throughout a career, an officer may be involved
that he or she has brain damage or that “I’m losing my mind.” in incidents that threaten his or her physical safety or which
Sexual Inhibition. Over 90 percent of PTSD subjects report directly threatens the officer’s life.44 These events are typically
decreased sexual activity and interest; this may further strain an quickly forgotten and are often viewed as a “part of the job.” This
already stressed-out marital relationship. In some cases, com- cycle repeats itself throughout the officer’s career. As past events
plete impotence or frigidity may occur, especially in cases where are hopefully forgotten, new events trigger additional trauma
the traumatic event involved sexual assault. symptoms and may exhume old memories.45 CCTS involves the
Withdrawal and Isolation. The subject shuns friends, neigh- sporadic experience of trauma symptoms such as intrusive
bors, and family members and just wants to be left alone. He has thoughts and memories of troubling incidents (via flashbacks or
no patience for the petty, trivial concerns of everyday life—bills, nightmares), emotional numbing, moodiness, anxiety, avoiding
gossip, news events—and gets annoyed at being bothered with reminders of an incident/s, loss of hope, hyper-vigilance, mem-
these piddles. The hurt feelings this engenders in those he ory and/or concentration problems, sleeping and/or eating

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problems, disconnection from family and friends, and hyper- many departments may still look for in recruits despite a rapidly
arousal (e.g., jumpiness, easily startled), among others. These changing social environment. Another researcher suggests that
symptoms typically will not last for more than a few days to a these character traits are “constant predictors of superior police
week but may be re-experienced at a later time either alone or performance” in a traditional, reactive law enforcement setting.
in conjunction with other trauma symptoms. However, the current trend in law enforcement is away from the
There are a number of ways in which CCTS might adversely reactive practices of patrol, rapid response, and investigation and
affect the officer. These include psychological problems, impaired toward a more proactive, community-oriented approach. The new
job performance, marital/family problems, and diminished physi- skills required for this new approach include “problem solving,
cal health to name a few. Implicit in the process of understanding flexibility, good interpersonal and communication abilities, and a
why an officer may be experiencing the adverse reactions of demeanor that is authoritative rather than authoritarian.”49
CCTS is the understanding that these symptoms are normal reac- Thus, officers who cling to the “old school” mind-set may
tions to the abnormal and unique demands of policing. suffer future shock in a rapidly evolving social climate. Even in
the midst of social change, many police departments today con-
tinue to embrace many of the traditions of a bygone era, includ-
ing the acceptance of drinking.50 Factors such as the availability
ALCOHOL, DRUGS, AND STEROID of alcohol both inside and outside of work, lack of departmental
USE BY POLICE OFFICERS policies on drinking (or if they do exist, lax enforcement), lack
of support mechanisms to help members deal with the stress,
and—not by far the least—peer pressure, all contribute to the
Alcoholism and Police Officers problem of drinking among police officers.51 Bandura’s Social
Alcohol abuse among police officers is a serious and widespread Learning Theory52 would view drinking as a social cue of the
problem, with some studies estimating that it affects one-quarter cultural group or subgroup with which one is involved. In the
of all police officers in the United States Research has revealed case of police work, drinking has been a time-honored way of
a strong connection between occupational stress and alcohol “taking the edge off” the stresses of the job since the first New
and drug abuse but also a strong sub-culture among police offi- York City patrolman set out on their nightly rounds in the 1840s.
cers that encourages drinking both for social and stress-reduc- It has been suggested further that policing is especially con-
tion purposes. Alcohol consumption among police officers is ducive to alcoholism. Because police officers frequently work
also correlated with officer suicides and domestic violence, and in an environment in which social drinking is commonplace, it
many departments are beginning to recognize the liability in is relatively easy for them to become social drinkers. The nature
allowing this problem to go untreated.46 of police work and the environment in which it is performed
provide the stress stimulus.
Traditionally, police departments adhered to the “character
The Impact of the Police Culture flaw” theory of alcoholism. This outdated philosophy called
and Character Traits on the for the denunciation and dismissal of the officer with an alco-
Development of Alcoholism hol problem. Today, police departments attempt to rehabili-
Paradoxically, despite the significantly high risk for alcoholism tate officers by employing a number of preventive and
and other related problems, law enforcement officers remain one intervention programs.
of the most difficult groups to reach with intervention and pre-
vention services, due largely to the insular and clannish nature Drug Use by Police Officers
of the police culture.47
Drug abuse by police officers has garnered a great deal of atten-
Several researchers have also linked negative coping mecha-
tion and as a result of this condition, police administrators have
nisms with both alcoholism and drug abuse in law enforcement
had to grapple with such issues as the following:
personnel48 and suggest these negative coping skills may be
embedded in character traits (specifically, tough-mindedness, and dd What positions will the employee unions or other
aggressiveness) typically associated with the “beat cop,” which employee organizations take if drug testing is proposed?

Quick Facts: The Cost of Problem Drinking

Problem drinking in the United States costs employers a employees, and these employees miss work 16 times more
staggering $10.7 to $20.7 billion per year in accumulated frequently than do their non-troubled colleagues. More-
sick pay, lost productivity, accidents, and the conse- over, nearly 90% of all industrial accidents are attributed
quences of bad workplace decisions. Some 60% of job to workers with either substance abuse or mental health
absenteeism is attributable to alcoholic and other troubled issues.53

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 c h ap t er 13 • S TRE S S A N D P OL I CE PERS ONNEL 447
dd Who should be tested for drugs? Entry-level officers? Anabolic Steroids
Regular officers on a random basis? All officers before they
Steroids are a group of chemical substances that have certain
are promoted? Personnel assigned to high-profile units,
structural similarities. Anabolic-androgenic steroids (AASs)
such as bomb disposal and special tactics and response?
constitute a subgroup of this category that includes the physiologi-
dd When does a supervisor have “reasonable suspicion” of a cal (normal) human male hormone testosterone as well as related
subordinate’s drug use? compounds with similar functions. These compounds have legiti-
dd Who should collect urine or other specimens and under mate medical uses but are frequently abused for illegitimate, rec-
what conditions? reational uses (bodybuilding, weightlifting, or “bulking up,” as well
dd What criteria or standards should be used when selecting as enhancing athletic performance ). AASs should not be confused
a laboratory to conduct the police department’s drug- with other types of “steroids,” such as corticosteroids. This latter
testing program? group of drugs, including hydrocortisone and prednisone, is pre-
dd What disciplinary action is appropriate when officers are scribed widely for legitimate medical purposes (for example, skin
found to have abused drugs? creams to treat rashes, in asthma inhalers). Corticosteroids do not
dd What duty does an employer have to rehabilitate cause increases in muscle mass, have almost no abuse potential,
employees who become disabled as a result and are almost never sold on the illicit market. Therefore, for our
of drug abuse?54 purposes, references to steroids mean specifically AASs, which are
the type of steroids that are used illicitly.58
In recent years, issues concerning the testing of sworn offi-
cers for drugs have been debated and litigated. In the early days Controlled Substances
of such litigation, court rulings were sometimes wildly contradic-
AASs are controlled substances and are prescribed by physicians
tory, with most courts striking down such requirements, typically
for certain specific, legitimate medical reasons. These include the
on the basis that it was an unwarranted intrusion into officers’
treatment of a condition known as hypogonadism (abnormally
constitutional right to privacy.55 Nevertheless, three major prin-
low testosterone production in men), cancer (to suppress certain
ciples have emerged from the many random drug cases decided
kinds of tumors), a rare genetic condition called angioneurotic
by the courts. The first is that drug testing—both on the basis of
edema, AIDS wasting syndrome, and some forms of anemia (low
reasonable suspicion and when conducted on a random basis—
red blood cell counts). The U.S. Federal Drug Administration
does not violate the federal Constitution. The second is that,
(FDA) lists specific allowable “indications,” or uses, for all regu-
although drug testing may not violate federal Constitutional
lated drugs. The legitimate uses of AASs are minimal as noted;
rights, it may not be permissible under the constitutions of some
for example, an officer who states that a physician provided
states. The third principle is that, in states that have granted col-
them for “elbow pain” would be using them inappropriately.
lective bargaining rights to police officers (see Chapter 11, Labor
Relations), drug testing cannot be unilaterally implemented by
the employer. Instead, it must be submitted to the collective
Illicit “Benefits” of AASs
bargaining process. AASs can be taken orally, by injection, as a skin patch or cream,
The selection of officers for drug testing must be truly ran- or sometimes by placing them between the cheek and gum.
dom and part of a clearly articulated drug-testing policy. The When combined with a high-protein diet and vigorous weight-
courts will not support the police department’s operation of a lifting, AASs “work.” That means that they stimulate the formation
nonrandom drug-testing program except when there is reason- of muscle tissue and are known to cause enlargement of muscle
able suspicion to test for the presence of certain drugs.56 This fibers. It is widely understood that testosterone (the major natu-
generally involves a urine drug screen for the following drugs: ral male AAS hormone in normal, healthy men) stimulates an
increase in fat-free muscle mass while at the same time decreas-
dd Cannabinoids (Marijuana, Metabolite) ing fat. Doses of AASs that exceed the normal production rate
dd Benzoylecgonine (Cocaine, Metabolite) of testosterone can amplify this effect, resulting in supernormal
dd Opiates (Codeine, Morphine, Hydrocodone, gains in lean muscle mass and strength.
Hydromorphone, Oxycodone)
dd Amphetamines (Amphetamine, Methamphetamine) Adverse Physical Effects of AAS
dd Phencyclidine Anabolic steroids can cause temporary or permanent medical
dd Barbiturates (Phenobarbital, Secobarbital, Pentobarbital, problems. Some known medical problems associated with AAS
Butalbital, Amobarbital) use are as follows:
dd Benzodiazepenes (Oxazepam, Nordiazepam, Alpha For men:
OH-Alprazolam, Temazepam) dd Breast enlargement
dd Propoxyphene dd Testicular atrophy with consequent sterility or decreased
dd Methadone sperm count
dd Ecstasy dd Impotence
dd Anabolic steroids57 dd Enlarged prostate

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 448 cha p te r 1 3 • STRESS AN D PO LI CE P ERS O NNEL

For women: was going to be late to work. (This was a time before cell
phones were as readily available as they are today.) He
dd Breast diminution
called his supervisor to advise him he was going to be late
dd Clitoral enlargement because he was having car problems. When he completed
dd Facial hair growth the phone call the proprietor told him in a sarcastic way,
dd Deepened voice “I should start charging you cops because of all the times
dd Menstrual irregularities you come in here to use my phone.” He became angry at
dd Excessive body hair her for what he perceived as her sarcastic and disrespectful
comment but left without saying anything. The following
dd Baldness
day, still angry about her comment, he returned to the feed
For both sexes: store. He was off duty on the way to the gym and was
wearing workout clothes. As would later be learned, he
dd Abscess at the site of injection
was a heavy user of steroids and at the time of this incident
dd Increased risk of heart disease, stroke, or obstructed was experiencing what is characteristically referred to as
blood vessels “roid rage.” He was also armed with his .357 magnum
dd Liver tumors, jaundice, and peliosis hepatitis (blood- service revolver. He confronted the woman about her sar-
filled cysts) castic remarks the day before and then forced her at gun-
dd Pre-teens and teenagers: accelerated bone maturation, point into his personal car. After driving a short distance,
leading to permanently short stature the women tried to escape and the deputy shot her in the
dd Increased or severe acne59 back. After shooting her, he dumped her injured body from
the car onto the street. When members of his agency
Researchers now know a great deal about the long-term dan- responded to the assaulted woman she told them what had
gers of AAS use in individuals and the evidence of potential happened. They immediately proceeded to the deputy’s
dangers has been steadily increasing. These potential dangers house and arrested him. One of the first things he said
have been reported in recent scientific publications. For exam- upon being arrested was “It was those steroids. It was
ple, one study of older champion power lifters (most or all of those steroids.” The follow-up investigation revealed that
whom had likely used AASs) found that their death rate was the deputy had a perfect work record and there was abso-
almost five times as great as that of a comparison group of men lutely no evidence of any anger management issues on his
of the same age in the general population. The reasons for death part. However, a blood test revealed that he had been
in the older power lifters included both medical problems such using heavy doses of three different types of very powerful
as heart disease and psychiatric problems such as suicide.60 steroids and had 50 times the level of testosterone that
would normally be expected to be found in the male body.
Adverse Psychological Effects of AAS He was subsequently found guilty at trial and sentenced to
Users of AASs can experience adverse psychological symptoms 20 years in prison. As a result of the gunshot wound the
during use, abuse, or withdrawal. Symptoms differ depending victim’s spinal cord was irreparably damaged and she
on the drug’s absence or presence in the body but can manifest remains today a wheelchair-bound paraplegic.
itself in the following ways:
dd Mania or hypomania (high-energy levels associated with Symptoms Associated with
increased self-confidence, increased activity, impaired Withdrawal of AAS:
judgment, and reckless behavior) dd Long-term AAS abusers can develop
dd Psychosis—loss of touch with reality (for example, symptoms of dependence and withdrawal on
paranoia or delusions of grandeur; infrequent) discontinuation.
dd Aggression and violence (in both sexes). This condition dd Withdrawal sometimes leads to severe depression and
is also known as roid rage. thoughts of suicide, in addition to medical effects,
The following actual case illustrates the dangers associated especially in individuals who have taken AASs for
with the use of steroids by law enforcement officers. months or years.

Several years ago, a uniformed deputy sheriff in Oregon Typical Issues Addressed in Police
was on his way to work in his personal car when it started
to overheat. He stopped at a nearby feed store and Steroid Testing Policies
requested assistance from the proprietor in getting some Negligent Retention: Agencies have a duty and a right to
water for his radiator. She told him where the water was. maintain fit officers and to protect the public from impaired
After filling his radiator, he asked her if he could use her officers. They must exercise reasonable means at their dis-
telephone in order to call the Sheriff’s Office, because he posal to ensure that officers are fit. Both national and local

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 ch a p t er 13 • STRESS AN D P O LI CE P ERS O NNEL 449

standards regarding the use of AASs support the idea that Determining the amount taken may be difficult; therefore, it
officers abusing such substances could be at risk for impair- might be necessary to establish a policy that disallows any level
ment and could even be involved in criminal activity related of use above therapeutic levels, since it would be difficult to
to the use of these substances. predict aggressive, inappropriate behaviors.
Employees’ Rights: National Treasury Employees v. Von
Raab is a landmark U.S. Supreme Court case in which employ-
ees carrying firearms were required to submit to drug testing.61
The Court approved the testing program due to the extraordi- POLICE SUICIDE
nary hazards of drug use in these officers. No specific guide- Suicide is a very real problem for law enforcement officers and
lines for testing were put forth, but purely random testing is their families. Most studies have shown that the number of
constitutional according to various courts. However, in the officers lives lost to suicide exceeds those killed in the line of
mid-1980s, the Boston Police Department adopted a random duty. A number of potential risk factors are unique to law
drug-testing program that was struck down in 1991 by the enforcement. Law enforcement officers are regularly exposed
Massachusetts Supreme Judicial Court.62 Therefore, the accept- to traumatic and stressful events. Additionally, they work long
ability of random drug testing is highly variable in different and irregular hours, which can lead to isolation from family
jurisdictions and likely depends on union and/or employment members. Negative perceptions of law enforcement officers
contracts. and discontent with the criminal justice system also play a role
Detection: To act against an officer, an agency must have in engendering cynicism and a sense of despair among some
reasonable suspicion that the officer is abusing substances or officers. A culture that emphasizes strength and control can
must have an agency-wide random drug-testing schedule. dissuade officers from acknowledging their need for help.
Agencies may not single out an officer for “random” drug test- Excessive use of alcohol may also be a factor, as it is for the
ing in the absence of information to suggest use, dealing, and/ population in general. Also, suspended police officers and
or impairment. those who are under investigation are 6.7 times more likely to
Testing: Virtually, all testing for AASs is on urine specimens. kill themselves.64
Courts have accepted gas chromatography/mass spectrometry
(GC–MS) urine test results. Levels of most AASs in the blood
are generally too low to be easily tested. Detection of AASs in
Need for a Cultural Change
hair samples appears possible but is still in an experimental in Law Enforcement
stage of development. Unfortunately, in many law enforcement departments, the cul-
Collection: Although most of the focus of drug testing is ture toward mental wellness or addressing emotional problems
on sample analysis, proper collection and chain-of-custody of any kind is one of disdain and avoidance. The presumption
procedures are also of paramount importance. It does not make within this culture is often that the mere presence of an emo-
sense to employ high-quality, expensive laboratories to analyze tional problem indicates a weakness on the officer’s part. That
samples that have been improperly collected. In drug testing perception leads to the even more dangerous perception that
appeal cases, the first challenge is usually to the collection being open about these issues can make the officer vulnerable,
process. Collection procedures should be thorough enough to even to the point of losing his or her job. Significant progress in
withstand legal scrutiny and accurate enough to ensure that curbing officer suicide and enhancing officer mental wellness is
drug-using officers are properly identified. only achievable if the culture does an about-turn toward open-
Determination of Legitimate Use: If an individual is ness and support for all aspects of officer health and wellness,
found using an illicit substance and cannot provide evidence particularly mental health.65
of a legitimate prescription for a medically necessary condition, Also, to more effectively deal with this issue, it has been
a fitness-for-duty evaluation is likely needed to ascertain recommended that the chief executive should be proactive and
whether the officer is using or abusing the substance in such speak directly to their officers about mental wellness and officer
a way as to jeopardize public safety. The most likely legitimate suicide. Hearing from the chief personally and candidly carries
uses in which a working officer might be prescribed AASs a tremendous amount of weight. In particular, police chiefs or
would be for treating hypogonadism. The standard treatment others who have triumphed over their own mental health issues
of hypogonadism is the use of a testosterone patch or gel, both should champion this subject and share their own success
of which are highly unlikely to be abused. Injectable and some- ­stories. In addition, one of the executives’ most important tasks
times oral preparations are the common choices of AAS in this effort is to be held accountable for the review, improve-
abusers. ment, and auditing of mental wellness and suicide prevention
Research suggests that individuals taking AASs in excess of policies and practices. Police chiefs should appoint and person-
100–200 mg of testosterone per week are outside the bounds of ally oversee a specific employee to begin such an agency review,
therapeutic use. Upon reaching a dose of 300 mg of testosterone including identification of resources needed and implementation
per week, they are somewhat more likely to exhibit aggressive deadlines. Such an assessment tool or “checklist” could include
behaviors, which starts to take place more frequently.63 items such as those found in Table 13.2.

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 450 cha p te r 1 3 • STRESS AN D PO LI CE P ERS O NNEL

Table 13.2 S uggested C hecklist for C omprehensive M ental

Wellness and Suicide Prevention P rograms

Policy/Practice Review To Do

Does your agency treat officer mental and physical safety A mental resiliency check is like a cholesterol check.
and wellness equally? Make sure that your officers are mentally fit.

Do you and your officers know the early warning signs of Implement effective education and training initiatives,
depression, other mental illness, and suicidal behavior? and aggressively (and routinely) publicize how officers
can get the mental health assistance they need.

Do you have an effective Employee Assistance Know what mental health assistance is available to
Program (EAP), peer support group, a consortium your department, and find out how you can improve
approach, or other mental health providers dedicated to the quality of mental health services delivered to your
law enforcement? Do you have a relationship with a local officers.
hospital with trusted doctors to treat officers?

What are your mental health intervention protocols Make sure that these protocols are effective and
for at-risk officers and after critical incidents? consistent.

Do your training programs from academy recruits to Invest in this training throughout an officer’s career. It is
retirees include routine training on mental wellness and as important as firearms training or wearing body armor.
stress management? Do you incorporate these curricula
at critical incident training?

If you officers have a union, is the union on board with The union might be the go-to contact for a line officer.
your mental wellness program? Work with your unions to foster support for mental
wellness programs.

Do you have clear guidance on confidentiality Confidentiality laws are complex and a failure to comply
law and rules? with them can have serious ramifications. Educate your
agency.

Does employee self-reporting result in discipline or Fear of self-reporting may be one of the greatest barriers
negative consequences, either intentional or unintentional? to achieving a healthy department. Change your culture
Do officers fear that self-reporting will result in discipline so that officers are encouraged to self-report.
or even job loss? Do you have clear guidance on the laws When an officer sees another officer getting help without
and policies that govern when an officer’s firearm must be having his or her gun and badge taken away, it is very
removed due to mental health issues? reassuring.

Are the policies in your department addressing suicide Be sure you have an established notification and funeral
adequate? policy in place for officers who die by suicide, to include
outreach, education, support for family members and
fellow officers, and media coordination.
Source: Breaking the Silence on Law Enforcement Suicides, Community Oriented Policing Services, U.S. Department of Justice, July 2013, p. 6.

Stressors That May Contribute dd Negative relationship events, including divorce or loss of
major relationship; death of a spouse, child, or best
to Suicide or Mental Illness friend, especially if by suicide; infidelity or domestic
While by no means an exhaustive list, the following identifies violence
some of the stressors and indicators that officers encounter, dd Shift work, as officers on midnight shifts may be at higher
which may cause officers to consider suicide or contribute to the
suicide risks because of abnormal sleep patterns, which
development of mental illness:
can impair their ability to make rational decisions
dd Accumulation of chronic stresses and daily hassles dd High expectations of the profession, followed by
dd Exposure to horrific events or acute stresses perceived futility or social isolation

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dd Significant financial strain, such as inability to pay trained: (1) to recognize warning signs of officers with
mortgages or car payments mental illness or at-risk for suicide; and (2) to effectively
dd Diagnosis of serious or terminal illness refer appropriate cases to the professionals. Make sure
dd Significant change in routine, such as a change of duty or that the officers selected for the peer support groups are
pending or existing retirement66 the best officers for the job and enforce accountability
and oversight of its members. Consider including retirees
dd An internal affairs investigation resulting in disciplinary
who bring extensive experience on the job and can speak
action that could be career ending
to the many challenges of the profession. Finally, ensure
that written confidentiality guidelines are clear. And if an
Indicators of Police Officers Who agency does not have a peer support group, starting one
May be Contemplating Suicide should be considered.
dd Talking about wanting to die, seeking revenge, feelings of Employee Assistance Programs (EAP)
hopelessness, being trapped, being a burden to others, or EAPs (discussed in greater detail later in this chapter)
in unbearable pain provide no-cost, confidential assistance to an agency’s
dd Increased risk-taking behavior or recklessness employees (and sometimes their families) on health and
dd Looking for a way to kill oneself wellness issues that impact work performance, such as
dd Emotionless, numb, angry, agitated, anxious, enraged, or stress management, substance abuse counseling, domes-
showing extreme mood swings tic problems, and mental health concerns.
dd Giving away valued possessions Reinforce family connections
dd Socially isolated or withdrawn Families are a key resource to any successful early inter-
dd Weight gain or loss vention program. Programs and information are impor-
dd Sleep deprivation or sleeping too much tant for family members in order for them to understand
how they can support their significant other.
dd Cutting themselves
dd Increased consumption of alcohol or drugs67
POLICE DOMESTIC VIOLENCE
Intervention Protocols Given the stressful nature of police work, it is not surprising
Identify, evaluate, and routinely audit mental health that officers sometimes have difficulty keeping what happened
providers that screen and provide services to to them at work separate from their home lives. “Leave it at
officers at risk. the office” is a common admonition to officers. While the
To identify early warning signs of mental health issues, intent of this message is clear, it is often hard to do so consis-
mental illness, and suicidal behavior and implement suc- tently and unfortunately, it sometimes manifests itself in
cessful intervention programs, departments must identify, domestic violence.68
evaluate, and routinely audit their mental health provid- The International Association of Chiefs of Police (IACP)
ers. These providers are the linchpin to the delivery of ef- Model Policy on Police Officer Domestic Violence defines it
fective mental health care to officers in need. Symposium as follows:
participants identified the types of providers typically It is any reported, founded, and/or prosecuted incident of
used by law enforcement, and some of their respective domestic violence wherein a sworn police officer is the
benefits and drawbacks. Participants also made recom- suspected offender. It is also an act of violence (threatened
mendations respective to each type of service to enhance or actual) perpetrated by a police officer (on or off duty) or
the delivery of these services. any police department employee upon his or her intimate
Whoever the providers are, be sure to not only identify and partner. “Partner” refers to any individual (opposite or same
evaluate their services but also routinely audit their quality and sex) the officer has dated, cohabitated with, married, and/
to track how often their services are used. This data is essential or has a child in common.69 These definitions may be lim-
to obtaining necessary funding and to deploying effective ited to the definitions in the law of each state. While not the
resources where needed. focus of this policy, other forms of family violence (for
example, child and elder abuse) should be addressed in a
Peer Support Personnel
parallel manner.70, 71
Specially trained peer support personnel were recog-
nized as critical mental health resources, as officers in It is not known how many acts of domestic violence police
crisis may be far more willing to talk to colleagues than to officers commit in their own homes. The reasons for the nonre-
mental health professionals. Peer support services should porting of such incidents include victims with low esteem who
be reviewed to ensure that the participants are formally think they “got what they deserved,” threats from their attackers

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of more severe physical harm if the victims do call the police, department’s zero-tolerance policy, even with high-ranking
and the belief that fellow officers will not take action against members of the organization and to provide victims with an
“one of their own.” avenue for direct communication with a department employee
who is trained in handling such calls.
Early Warning and Intervention
Of critical concern to departments is how to screen and select Department Responsibilities
new officers to minimize the risk of hiring officers who may An individual or a family member of an officer may recognize
engage in domestic violence.72 To understand the connection early indicators of potential violence, such as issues of power
among the various forms of family violence, it is essential to and control. The power and control might take the forms of
investigate whether a candidate has a history or likelihood of restricting contact with family and friends, requiring the partner
engaging in child abuse, domestic violence, or elder abuse. The to turn over his or her paycheck, and limiting activities outside
process of investigating candidates must be handled in two the home. Victims may communicate their concerns “informally”
stages: (1) pre-employment screening and investigation and at first, such as with calls to an officer’s supervisor. These infor-
(2) postconditional offer of employment. mal contacts must be treated with care, since this is a critical
opportunity for a department to provide intervention using early
intervention and prevention strategies. The model policy calls
Pre-Employment Screening and for a formal system of documenting, sharing, and responding to
Investigation information from concerned partners and family members.
All candidates should be asked about any history of per- Departments need to provide officers and their families with
petrating child abuse, domestic violence, or elder abuse nonpunitive avenues of support and assistance before an inci-
and past arrests or convictions for such crimes. They dent of domestic violence occurs. Departments must establish
should be asked whether they have ever been the sub- procedures for making confidential referrals to internal or
ject of a civil protective order. If the candidate answers external counseling services with expertise in domestic vio-
positively to any of these questions or the department lence. These referrals can be made on the request of an officer
uncovers any information in the background check that or family members or in response to observed warning signs.
indicates a history of violence, the candidate should be Officers will not be entitled to confidentiality anytime they or
screened out of the hiring process. family members disclose to any member of the department that
During the background investigation, a check should an officer has engaged in domestic violence. Confidentiality
be made for restraining orders issued in any jurisdiction should be extended to partners or family members who report
where the candidate has lived. an officer as a matter of safety. A report of such criminal conduct
must be treated as an admission or a report of a crime and
Post-Conditional Offer investigated, both criminally and administratively.
Departments must understand that other officers may become
of Employment involved in domestic violence situations by engaging in inap-
If the candidate’s background investigation does not propriate activities that interfere with cases against fellow offi-
indicate a history of child abuse, domestic violence, cers who are engaged in acts such as stalking, intimidation,
or elder abuse, the department should proceed with a harassment, or surveillance of victims, witnesses, and/or family
psychological examination, which should include in- members of victims or witnesses. If this occurs, these officers
dicators of violent or abusive tendencies. This portion must be investigated and sanctioned and/or charged criminally
of the screening process should be conducted by an where appropriate.
experienced clinical psychologist or psychiatrist. (see
Chapter 9, Human Resource Management, for a more
Supervisory Responsibilities
detailed discussion.)
Typically, an abusive person engages in certain patterns of
behavior. These may include repeated actions of increasing con-
Zero-Tolerance Policy trol directed at his or her partner preceding an incident of physi-
Departments must make it clear to all officers that the depart- cal or criminal violence.
ment has a zero-tolerance policy on domestic violence, and the The early indicators of potential violence are not limited to
department should share this information with family members home life; the department may detect warning signs in an offi-
of the officer. Departments should look to develop a line of cer’s behavior prior to a domestic violence incident. Supervisors
communication directly with the domestic partners of recruits must receive specific training on warning signs and potential
and officers. For example, a department can hold a family ori- indicators of violent or controlling tendencies. Warning signs that
entation day prior to graduation from the police academy. Family may indicate a likelihood of violent behavior include increased
members should be provided with instructions on whom to use of force in arrest situations, drug/alcohol problems, frequent
contact within the department if any problems arise. The dual tardiness or absences, verbal disputes, physical altercations, and
purpose of establishing such contact is to underscore the other aggressive behavior.

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When supervisors become aware of a pattern of controlling or responding officers (e.g., collegiality and rank differential) often
abusive behavior exhibited by officers, the supervisors have a make on-scene decisions extremely difficult.
responsibility to document the information and notify their imme- A department must take the following actions, all of which
diate ranking supervisor, who will then inform the chief in accor- are critical steps in responding to allegations of domestic abuse
dance with the department’s chain of command. After making by police officers:
proper notification, supervisors should inform officers that the
Communications officer/dispatcher documentation—When
behaviors have been documented. A recommendation can be
a call or report of domestic violence involves a police
made to officers that they participate voluntarily in a counseling
officer, the dispatcher should have a standing directive to
or support program to address the identified issue or behavior.
document the call and immediately notify both the
In cases in which behavior violates departmental policy, a
on-duty patrol supervisor and the chief of police. This
department can seize the opportunity to mandate participa-
directive ensures that key command personnel receive
tion in a batterer intervention program in addition to any
the information and prevents the call from being
appropriate sanctions.
handled informally.
Early prevention and intervention strategies employed by a
department at this phase of the continuum have tremendous Patrol response—Any officer arriving at the scene of a
potential not only to reduce future violence but also to save domestic violence call or incident involving a police officer
victims’ lives and officers’ careers. The services that can be made must immediately request the presence of a supervisor at
available include the following: the scene, regardless of the involved officer’s jurisdiction.
On-scene supervisor response—The on-scene supervisor has
dd Employee assistance program referral (discussed later in responsibilities for the following:
this chapter)
dd Internal professional counseling (police psychologist) dd Securing the scene and collecting evidence
dd External professional counseling (contract/referral) dd Ensuring an arrest is made where probable cause exists
dd Advocacy support from local agencies dd Removing weapons in the event of an arrest
dd Peer support program (with clear reporting and dd Considering victim safety
confidentiality guidelines) dd Notifying the police chief or sheriff if the incident occurs
outside the officer’s jurisdiction
The department will need to ensure that the quality and
expertise of these resources are sound. Collaboration with local The on-duty supervisor must respond to the call and assume
domestic violence victim advocacy organizations is all on-scene decision making. Leaving the decision making
recommended. to officers of lesser or equal rank to the suspect officer puts
the responding officer in a difficult situation. The presence
of a ranking officer on the scene resolves this problem. The
Police Officer Responsibilities
policy recommends that, in police officer domestic violence
As part of a department’s zero-tolerance policy, all officers need cases, no fewer than two officers, with at least one of senior
to understand their responsibility to report definitive knowledge rank to the accused officer, be present. This is also the case
they have concerning domestic violence on the part of an officer. when serving arrest warrants and civil protective orders.
Departments must be prepared to investigate and possibly sanc-
Crime scene documentation—Recanting or reluctant
tion and/or charge criminally any officer who fails to report such
witnesses and victims are not uncommon when domestic
knowledge or to cooperate with an investigation.
violence occurs. Police on the scene of a 911 call must take
In addition, all officers need to know they will be investigated
specific actions to document all evidence, including color
and sanctioned and/or charged criminally if they engage in
photographs/videotape of injuries, overturned/damaged
activities such as stalking, surveillance, intimidation, or harass-
furniture, interviews of neighbors and family members, and
ment of victims or witnesses in an attempt to interfere with
threats from the officer. Documentation of this evidence
investigations of other officers accused of domestic violence.
will be essential to the successful prosecution of the case
In the event that an officer is the subject of a criminal inves-
with or without the victim’s presence in court.
tigation and/or a protective or restraining order, the officer is
responsible for informing his or her supervisor and providing Arrest decisions—Policies on arrest for domestic violence
copies of the order and timely notice of court dates regardless incidents vary among state, county, and local jurisdictions.
of the jurisdiction. In all cases, responding officers should base arrest decisions
on probable cause. When a crime has been committed, an
arrest will be made, as in all other cases. The on-scene
Incident Response Protocols supervisor is responsible for ensuring an arrest is made if
A department’s response to 911 calls involving police officer probable cause exists or for submitting written
domestic violence immediately sets the tone for how a situation documentation to explain why an arrest was not made. All
will be handled throughout the remainder of the continuum. officers need sufficient training to enable them to determine
Further, the unique dynamics between the offending and which party is the primary (i.e., dominant) aggressor in

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domestic violence situations. Every effort should be made Department follow-up—The department or supervisor
to identify the primary aggressor to avoid the unwarranted should require a debriefing of all officers involved in a
arrest of victims. response to the scene of a police officer domestic
Weapon removal—If an arrest is made, the on-scene violence case and may include communications officers.
supervisor will relieve the accused officer of his or her At the debriefing, the department’s confidentiality
service weapon. Some police officers may have several guidelines should be reviewed. In addition, a command-
weapons at their home. Where multiple weapons are level critical incident management review of every
present, removing only the service weapon of the officer domestic violence case involving an officer should be
leaves the victim entirely vulnerable to further violence. conducted.
While federal, state, and local laws vary on how and when
The department must take responsibility for conducting an
such weapons can be removed, police have broad powers
assessment to determine the potential for further violence on the
to remove weapons in certain circumstances, particularly if
part of the accused officer. A specifically trained member of the
an arrest is being made. Where application of the law is
command staff should review a domestic violence lethality
questionable, the on-scene supervisor should suggest that
checklist (discussed later in this chapter) of risk factors with the
the officer in question voluntarily relinquish all firearms.
accused officer. In addition, the evaluation should be supple-
The supervisor can also simply ask victims if they want to
mented by interviews with the victim, witnesses, and family
remove any weapons from the home for safekeeping by the
members. Information gained from the assessment should be
department. When no arrest has been made, the on-scene
used to determine appropriate sanctions, safeguards, and refer-
supervisor should consider removing the accused officer’s
rals. The command officer assigned as the victim’s principal con-
weapon as a safety consideration.
tact should discuss the risk factors with the victim as part of
After weapons are removed, decisions need to be made about safety planning.
how long they will or can be held. Where court orders of protec-
tion are in place, these orders may also affect decisions on gun
removal or seizure. DOMESTIC VIOLENCE LETHALITY
When the accused officer is the chief, director, or superinten-
dent of the department, a specific protocol must be in place to ASSESSMENT FOR FIRST
document and report the incident to the individual who has
direct oversight for the chief, director, or superintendent. RESPONDERS
When police respond to a domestic violence incident involv- Law enforcement agencies are increasingly providing their first
ing an officer from another jurisdiction, all responding officers, responders with a domestic violence lethality assessment
investigators, and supervisors will follow the same procedures form and accompanying them with instruction to assist them in
to be followed if responding to a domestic violence complaint more systematically evaluating the extent to which someone may
involving an officer from their own department. The on-scene be in grave danger of being seriously injured or killed (see
supervisor will notify the chief of police from the accused offi- ­Figure 13.3).
cer’s department verbally as soon as possible and in writing Purpose of the Lethality Assessment: This evidence-
within 24 hours of the call. based Lethality Assessment form is a user-friendly, straightfor-
Departments may be faced with domestic violence situations ward instrument that predicts danger and lethality in domestic
where the victim is a police officer. If this occurs, standard incidents between intimate or former intimate partners to a
domestic violence response and investigation procedures should high degree. Research shows that only 4% of intimate
be followed. The department should take steps to protect the ­partner murder victims ever used domestic violence (DV)
privacy of the officer and make referrals to confidential counsel- services. This Assessment encourages victims in high danger
ing services. The department should not allow the reported inci- to seek domestic violence program services to prevent serious
dent to impact negatively on the assignments and evaluation of injury or death.
the victimized officer. Step 1—Fill out the Assessment Form with the victim.
If both the victim and the offender in a domestic violence situ-
ation are police officers, the protocols established by the depart- Step 2—If any of the first three answers are yes, ask the victim
ment should remain substantially the same. Safety of the victim to call the agency’s local advocacy agency and ensure that they
should be the paramount concern. In the event that an order of make contact. You may need to dial the number for them if
protection has been issued, a department will need to make care- they are upset.
ful decisions concerning work assignments for accused officers Step 3—If they talk to someone, check the box that they spoke
pending administrative and criminal investigations. Gun removal to a hotline counselor.
in this situation becomes extremely complex. In the development Step 4—If they answer yes to one of the first three questions
of the policy, individual departments should seek legal guidance but do not want to speak to a hotline counselor right away,
to ensure that the rights of all concerned are protected. note the victim’s safe phone number to call.

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Santa Clara C ou nt y D omes tic V io l en ce

Lethality Assessment for Fir st Respon ders

Date: Case #:
Officer: Agency:
Victim: Offender:
Victim’s Safe Numbers to Call: Would you like to provide names/phone numbers
Home: of 2 people that can reach you?
Cell: 1.
Work: 2.
Is the victim monolingual/limited English proficient? If yes, what language do they speak?

n Check here if the victim did not answer any of the questions.
If the victim answers YES to any of questions 1–3, please call the appropriate domestic violence crisis hotline and have the
counselor speak with the victim.
1. Has your current or previous partner ever used a weapon against you or threatened you with a n Yes n No n No Answer
weapon?
2. Have they threatened to kill you or someone else? n Yes n No n No Answer
3. Do you think your current or previous partner might try to kill you? n Yes n No n No Answer
If the answers to the above questions are NO but at least 4 of the questions below are YES please contact the hotline.
4. Do they have a gun or can they easily get one? n Yes n No n No Answer
5. Have they ever tried to choke/strangle you? n Yes n No n No Answer
6. Are they violently or constantly jealous or try to control most of your daily activities? n Yes n No n No Answer
7. Have you left or separated from your partner after living together or being married? n Yes n No n No Answer
8. Are they unemployed? n Yes n No n No Answer
9. Have they tried to commit suicide? n Yes n No n No Answer
10. Do you have a child that he knows is not his? n Yes n No n No Answer
11. Do they follow or spy on you or leave threatening messages? n Yes n No n No Answer
12. Is there anything else that worries you about your safety? If yes, what concerns do you have?

Officers are encouraged to call the hotline whenever they believe the victim is in a potentially lethal situation regardless of
the victim’s responses to the questions above.
Check one: n Victim screened in based on responses n Victim did not screen in
nV ictim screened in based on the belief of
officer
Did the victim speak with the hotline counselor? n Yes n No
NORTH COUNTY HOTLINE: CENTRAL COUNTY HOTLINE:
YWCA Support Network Next Door Solutions
1-800-572-2782 408-279-2962
FAX: 408-295-0608 FAX: 408-441-7562
SOUTH COUNTY HOTLINE:
Community Solutions
1-877-363-7238
FAX 408-782-9469
54
PLEASE FAX THIS DOCUMENT TO THE APPROPRIATE DOMESTIC VIOLENCE AGENCY

FIGURE 13.3 c Santa Clara County Domestic Violence Lethality Assessment for First Responders. Source: Domestic Violence
Protocol for Law Enforcement, Police Chiefs Association of Santa Clara County, California, March 2014, p. 54.

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Step 5—If the victim answers yes to the first three questions, Case 3
or a significant number of follow up questions are yes, but
A county Sheriff’s Office jailer shot his 4-year-old son, his wife,
they refuse to speak to a hotline counselor advise the victim
and then himself. The jailer called 911 and informed the dis-
that in your opinion, he/she is in high danger for lethality and
patcher of the situation prior to turning the weapon on himself.
you highly encourage them to seek DV program services.
Shortly after the killings, the Sheriff said that the jailer had been
Step 6—Provide them with a DV resource card and case in good spirits and had not exhibited signs of depression or
number, agitation at any time prior to the homicides. Last week, the
Step 7—Fax all Lethality Assessment forms to the appropriate ­Sheriff investigated allegations made by the jailer’s wife, accusing
DV organization listed on the bottom of the form regardless the sheriff’s office of not acting on information regarding abuse
of the answers or whether or not the victim answered any of at the hands of her husband. The wife’s father said Friday that
the questions.73 he contacted County officials multiple times to report domestic
abuse, but officials did not act. He alleges that his daughter was
the victim of physical abuse and said that he had witnessed his
daughter with black eyes.
POLICE OFFICER HOMICIDES
AND SUICIDES
Police departments should not underestimate the potential for THE STRESS OF SMALL
domestic violence situations involving their police officers as
well as high-ranking police administrators to escalate not only
TOWN POLICING
into suicides but also into homicides. Much of the research that has been done on the study of police
The following summarized news stories show the potential stress in recent years has been done on large and medium-sized
for such a tragic event.74 police departments. However, law enforcement officers in
smaller agencies are also exposed to stressful situations but there
Case 1 are certain aspects of their job that create uniquely stressful situ-
ations precisely because of the small size of their community.
The Tacoma, Washington, Police Chief, killed his wife and then
Police officers who live and work in small towns almost never
himself during a violent domestic dispute. Two weeks prior to
have an opportunity to decompress. Precisely because they are
the incident the chief had arrived at his estranged wife’s house
well known to the residents, business owners, and others in the
and attempted to gain entry. She called the Sheriff’s Department
community, officers cannot separate on-duty and off-duty time.
and told the Sheriff’s operator her estranged husband was
Essentially, small town police officers live in a “fishbowl.” Off-
attempting to forcibly enter the house. She also advised them
duty trips to the store frequently become job related because
that he was the Chief of the Tacoma, Washington, Police Depart-
everyone seems to know the officers and their family vehicles.
ment, and that he was armed. The Sheriff’s Department did not
Spouses and family members often come under close observa-
respond to take a report even though it was their agency’s stan-
tion. For example, residents who observe an officer’s family
dard procedure to do so. Two weeks after this initial encounter
member violating traffic laws may believe that they are doing so
when the news broke about the Chief’s divorce battle and allega-
because other officers in the community will likely not issue
tions of his forcible attempt to gain entry into the house occu-
them a traffic citation. Taking their children to school becomes
pied by his wife, city officials still insisted that the Chief was
complicated when other parents wonder out loud why officers
doing a good job. City Attorney Robin Jenkinson rejected an
are not at work or when a school administrator asks for advice
internal proposal by other city officials that the Chief be dis-
about an unruly child or parent. All of this “off-duty” interaction
armed feeling this was a civil matter. The following day the Chief
contributes to the stress of the small town police officer.75
shot his wife and himself.
In addition to these daily stressors, small town police officers
often find themselves in the unenviable position of being the
Case 2 only officer on duty. The nearest backup may be in a town or
A 33-year-old Police Deputy Inspector shot his 38-year-old wife county many miles away. The level of stress that these officers
several times, killing her. It happened during an argument the feel as a result of responding to potentially dangerous calls for
couple had in their car. The officer had earlier approached his service creates even greater stress than for officers in larger com-
wife in a cafeteria and ordered her into the car. He later com- munities who have back up at their immediate disposal. In addi-
mitted suicide. During the month prior to the homicide, the tion, because of their isolation they cannot readily share the
wife told friends she felt threatened and afraid. However she stressful experience with another officer. Their first opportunity
never filed any claims or notified the police. He was well to express their anxiety could be at their shift change several
known as a campaigner against domestic violence, and only hours later. The passage of time can have negative long-term
weeks earlier had received praise for his efforts in the protec- effects on an officer’s ability to decompress from the incident
tion of women. and the accumulated stress that it has produced.76

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Also in small town policing, officers generally live and work experienced greater levels of sleepiness (subjective measure of
in the community that they serve. In these tight-knit localities, fatigue) and lower levels of alertness at work than those assigned
the officers often know the residents. Thus, for example, if a to 8-hour shifts. The results suggest that CWWs are not likely to
traffic accident occurs resulting in a serious injury or fatality, the pose significant health risks or result in worsened performance
responding officer will likely know the people who are involved. and that 10-hour shifts may offer certain benefits not associated
This familiarity with the victims, unlike dealing with strangers, with 8-hour shifts, whereas 12-hour shifts may have some disad-
can be very traumatic for the officer and if the incident is serious vantages over 8-hour shifts. Importantly, those on 8-hour shifts
enough could contribute to the development of PTSD. averaged significantly less sleep per 24-hour period and worked
It is true that police officers in smaller communities do not significantly more overtime hours than those on 10- or 12-hour
typically handle the volume of dangerous or hazardous events shifts. As such, a 10-hour shift may be a viable alternative to the
as police officers in large or medium-sized agencies. However, traditional 8-hour shift in larger agencies; however, caution is
as suggested herein, they are not as stress free as some would advised when considering 12-hour shifts due to increased levels
imagine, plus they have stressors that are not normally experi- of self-reported fatigue/sleepiness and lower levels of alertness.
enced by police officers in larger and medium-sized agencies. Indeed, researchers have noted that individuals tend to under-
estimate their levels of fatigue, so officers may be more fatigued
than they reported while working 12-hour shifts. Additionally,
past research has shown increased risks for accidents with
THE IMPACT OF SHIFT LENGTH increasing numbers of hours worked. It is for these reasons that
caution should be exercised when agency leaders consider
ON PERFORMANCE, HEALTH, adopting 12-hour long shifts. Finally, the reduced levels of over-
QUALITY OF LIFE, SLEEP, FATIGUE, time usage for those working 10- and 12-hour shifts suggests the
possibility for cost savings for agencies employing compressed
AND EXTRA-DUTY EMPLOYMENT schedules. These findings are consistent with many past findings;
however, the lack of randomized controlled trials has limited the
In the past, most law enforcement agencies had traditionally
utility of past studies.
deployed their patrol officers based on a 40-hour work week in
which personnel work five consecutive, 8-hour shifts, followed
by 2 days off.77 However, in recent years, an increasing number
of agencies have moved to some variant of a compressed work- SLEEP DEPRIVATION
week (CWW) schedule in which officers work four 10-hours
shifts per week or three 12-hour shifts (plus a time adjustment AS A STRESS INDUCER
to make up the remaining 4 hours of the standard 40-hour work- Although sleep deprivation is often not thought of as a stress
week). While this trend toward CWWs has dramatically increased factor, it can be a significant factor in the creation of stress. For
in recent years there have been few, if any, rigorous scientific example, sleep deprivation can cause the following to occur in
studies examining the advantages and disadvantages associated police officers:
with these work schedules for officers and their agencies.
Recently, a study was funded by the U.S. Department of Jus- dd Increased mood swings
tice to examine any potential issues associated with CWW. This dd Impaired judgment
was done by implementing a randomized block experiment in dd Decrease in adaptability to certain situations
Detroit (MI) and Arlington (TX), in which the blocks include site dd Heightened sense of threat
(i.e., Detroit, Arlington) as well as shift (day, evening, and mid- dd Increased anxiety or depression
night) in order to examine the effects of the three shift lengths
on various outcomes. Work performance was measured using
dd Increased chances of mental illness (e.g., officers may
both laboratory simulations and departmental data. Health, qual- develop posttraumatic stress disorder or bipolar disorder)
ity of life, sleep, sleepiness, off-duty employment, and overtime dd Reduced eye–hand coordination
hours were measured via self-report measures including surveys, dd Weight gain
sleep diaries, and alertness logs. Fatigue was measured using dd Pain (e.g., backaches and headaches)
both objective, laboratory-based instruments, and subjective dd Inability to relax (e.g., cause restless sleep and provoke
reports of sleepiness. heightened alert response)
The results revealed no significant differences between the dd Gastrointestinal problems (e.g., loss of appetite or
three shift lengths on work performance, health, or work–family
abdominal distress)
conflict. There were, however, important differences where the
other outcomes were concerned. Officers working 10-hour shifts,
dd Damage to the cardiovascular system (e.g., causing heart
for example, averaged significantly more sleep and reported disease, arteriosclerosis, or congestive heart failure)
experiencing a better quality of work life than did their peers dd Use of more sick leave
working 8-hour shifts. And officers working 12-hour shifts dd Inappropriate uses of force more frequently

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 458 cha p te r 1 3 • STRESS AN D PO LI CE P ERS O NNEL

dd More vehicle accidents dd Develop leisure interests and hobbies, such as hiking,
dd More accidental injuries tying fishing flies, rock climbing, gardening, collecting
dd Greater difficulty in dealing with the community stamps, writing poetry and fiction, learning a foreign
members and other law enforcement agencies language, and photography—in other words, learning
new things that excite and refresh the mind
dd Higher likelihood of dying in the line of duty78, 79
because of fatigue-related factors dd Meditate and pray
dd Avoid maladaptive responses to stress, such as smoking
and drinking
Sleep Deprivation Is Comparable dd Establish support groups
to Excessive Drinking dd Develop a network of friends, including people outside
A sleep deprivation study found that not sleeping for 17 hours the department
impaired a person’s motor skills to an extent equivalent to hav- dd Monitor yourself; refer yourself for help before you have
ing an alcohol toxicity of 0.05 percent. Not sleeping for 24 hours to be referred; you will avoid some problems, reduce
was equivalent to a toxicity level of 0.10 percent.80 This level of others before they become entrenched, and get more out
deprivation would impair speech, balance, coordination, and of the helping process
mental judgment. dd Use relaxation techniques, such as biofeedback, yoga,
progressive muscle relaxation, tai chi, imagery, and
Sleep Deprivation Can Cause breathing exercises
Work-Related Accidents dd Make sure that your career and other expectations are
One study found that four out of eight officers involved in on- consistent with your actual situation83
the-job accidents and injuries were impaired because of
fatigue.81 Such accidents include automobile crashes that were
due to officers’ impaired eye–hand coordination and propensity
to nod off behind the wheel. Other work-related injuries come THE POLICE PSYCHOLOGIST’S
from accidents that occur when officers have impaired balance
and coordination. ROLE IN A PSYCHOLOGICAL
Despite the impact of fatigue, many officers continue to work
double shifts, triple shifts, and second jobs. Some work well over
HEALTH WELLNESS INITIATIVE
1,000 hours of overtime a year. Excessive work with inadequate The role of a police psychologist in psychological health wellness
rest over a long period of time can make officers sleep- initiatives can vary on a number of dimensions, mostly deter-
deprived—53 percent of officers report an average of 6.5 hours mined by the individual needs of the department or agency hiring
of sleep or less.82 the psychologist or contracting for the psychologist’s services.
However, there are specific ways in which a psychologist can
function more effectively if the goal of the relationship with the
STRESS REDUCTION department involves fostering a comprehensive psychological
health and resiliency initiative.84
MANAGEMENT TECHNIQUES In order for a psychologist to be an effective part of a psycho-
Some police officers think that stress is just “a fairy tale—some- logical health initiative, there must be clarity on the part of the
thing that those who can’t hack it can blame for their problems.” department, the officers, and the psychologist on the functions
Thus, the first step is for officers to recognize that unchecked being served. For example, delineating the role of the psycholo-
stress can cause them to be sick more frequently, to engage in gist as evaluator for fitness for duty from that of the psychologist
self-destructive behaviors (such as substance abuse or suicide), providing officer support, resources, and consultations is impor-
to live life less fully, to lose their families, and simply to be more tant in building relationships. The police psychologist will ideally
uncomfortable every day than they need to be. The second step have the ability to work with training units on developing well-
for officers is to monitor their own bodies and actions for stress, ness trainings at the primary prevention level on a variety of
even though this capacity for self-awareness and introspection topics that can help officers to buffer stress. In addition to stan-
is difficult for some people to develop. Simply put, officers need dard stress management and suicide awareness trainings, officers
to be in touch with what they are feeling, to think about what can often make use of primary prevention training to develop
they have said and done, and to ask, “Why?” The final step is to skills in the areas that can lead to a cumulative buildup of stress
eliminate or reduce stress by engaging in the so-called stress for an officer. At the secondary level, the police psychologist who
inoculation activities: successfully collaborates with other department officer resources,
such as peer support teams, chaplaincy programs, and veteran
dd Exercise rigorously for 20 to 30 min at least three times assistance and reintegration programs, will enhance the connec-
per week tions between these efforts and the psychologist’s services.85
dd Maintain a proper diet, including minimizing the intake More specifically, police psychologists must exhibit their will-
of foods high in salt and cholesterol ingness to work as a team by first of all demonstrating great

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 ch a p t er 13 • STRESS AN D P O LI CE P ERS O NNEL 459

respect for the natural healing resource of the police brother- cascade of poorly managed stress before it becomes distress,
hood. Peer supporters are the specially trained colleagues of impairment, and ultimately problem behaviors (e.g., suicidal
other officers. They play an important role in the first-line thoughts or acts, substance abuse, or dysfunctional relationship
response to officers who are experiencing stress, distress, or dynamics on the job or at home). Police officers are natural prob-
impairment. If the police psychologist can earn the respect, trust, lem solvers who do not like to ask for help, but they are smart
and collegiality of the peer support providers, then peer support enough to seek out the experts and the specialists for DNA analy-
will act as a natural bridge to the psychologist when the peer sis, complex data analysis and management, or whatever else it
encounters an officer in need of the special services available takes to get the job done. Consulting with a police psychologist
only from the mental health provider. Psychologists will need to regarding the maintenance of the officer’s most important “piece
play an important role in facilitating such collaborations. A con- of equipment”—his or her health and wellness—is just smart
sultation and client-centered approach is the hallmark of effective police work. The police psychologist who can serve as a consul-
psychological assistance and central to the training of psycholo- tant to the officer in this way can serve a valuable role.87
gists. Such skills can be extremely valuable in the effort to foster
teamwork and establish a psychological health initiative.86
A police psychologist can and should perform the traditional
roles of providing an assessment of a potentially suicidal indi-
EMPLOYEE ASSISTANCE PROGRAMS
vidual if the officer has reached the stage of obvious impairment, Although their evolution has been slow in development, a vari-
as well as implementing or arranging the appropriate type of ety of employee assistance services are currently available within
tertiary prevention. However, the police psychologist who adopts police departments.88 The growth of employee assistance
a focus on “problem solving for people in crisis” in carrying out programs (EAPs) in the law enforcement field can be traced
these professional activities can do much to reduce the stigma back to the early 1950s.89 Many programs, such as those initiated
associated with using both secondary and tertiary suicide preven- in Boston, New York, and Chicago, were created to deal primar-
tion programs and, in that way, help to prevent an officer from ily with alcohol abuse.
becoming impaired and suicidal. A police psychologist is a spe- In the 1970s, agencies such as the Los Angeles Sheriff’s Office,
cialist in stress management and helps to reverse the downward the Chicago Police Department (see Figure 13.4), and the San

Chicago Police Department Employee Resource E06-01

PROFESSIONAL COUNSELING SERVICE/EMPLOYEE ASSISTANCE PROGRAM

ISSUE DATE: 21 February 2012 EFFECTIVE DATE: 21 February 2012

RESCINDS: Version dated 01 June 2011; A04-16
INDEX CATEGORY: Personnel Support

I. PURPOSE
This directive:
A. states Department policy regarding members who may seek counseling assistance.
B. outlines:
1. the scope of the Professional Counseling Service/Employee Assistance Program (EAP).
2. policy regarding confidentiality.
C. provides:
1. information for general counseling and referral services.
2. procedures for crisis intervention.
D. describes the services available to Department members and their families.
II. POLICY
A. T
 he Department is committed to ensuring the safety and well-being of all members and their families whenever pos-
sible. The Department recognizes that members may experience personal difficulties which may impact their personal
and professional lives. The Department supports and encourages members in securing quality, confidential assistance.
FIGURE 13.4 c Professional counseling service/Employee assistance program. Courtesy Chicago, Illinois Police Department, 2015.
(continued )

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 460 cha p te r 1 3 • STRESS AN D PO LI CE P ERS O NNEL

In keeping with this commitment, the Department has established the Professional Counseling Service/EAP, staffed
with clinical professionals and trained peer counselors who provide confidential counseling and consultation.
B. T
 he Professional Counseling Service/EAP is structured around a concept of confidentiality which mandates that
no information, including identifying factors, identifying biographical material, clinical notes, or therapy is-
sues, be reported to or requested by the Department. Individual members may expect, and will be granted,
complete privacy when voluntarily seeking counseling assistance through the Professional Counseling Service/
EAP. Refer to the Department directive entitled “Professional Counseling Confidentiality” for a full explanation
of the confidentiality policy, including exceptions.
III. GENERAL INFORMATION
A. T he Professional Counseling Service/EAP unit of the Chicago Police Department is staffed by sworn and civilian
counselors and requires the voluntary involvement of Department members or their families who are seeking
counseling. The Professional Counseling Service is not located in a police facility.
B. T o request counseling services, the Professional Counseling Service / EAP may be contacted 24 hours a day,
7 days a week.
C. The Professional Counseling Service/EAP is component of the Bureau of Administration and is administered by
a Director.
D. All of the services offered by the Professional Counseling Service/EAP are available to Department members, a
member’s immediate or extended family, and retired sworn members.
E. All counseling services provided by the Professional Counseling Service/EAP are free of charge. Referrals to a
private therapist, specialist, outside agency, or hospital, however, are for profit, non-Department providers which
may charge a fee. Information regarding referral sources, credentials, programs, and the level of care provided
may be obtained by the Professional Counseling Service/EAP. Counselors from the Professional Counseling Ser-
vice will conduct follow-up sessions with the members after they receive counseling services from an outside
agency to ensure the quality or care provided by the outside agency is satisfactory to the member.
F. The Professional Counseling Service/EAP can be contacted by letter, telephone, or in person for information
regarding a counseling appointment.
G. Communications between the Professional Counseling Service/EAP and the counseled member will be confi-
dential as outlined in the Mental Health and Development Disabilities Act and shall not be subject to disclo-
sure in any judicial, administrative, or legislative proceedings as described in Chapter 740, Illinois Compiled
Statutes, Section 110/3. Communications between a counseled member and a professional counselor are
protected from discovery in federal cases under Federal Rule of Evidence 501.
IV. SERVICES AVAILABLE
A. The Professional Counseling Service/EAP has been established to provide confidential supportive assistance,
including peer counseling and referral services, for all Department members. Comprehensive services include:

1. 24-Hour Crisis Intervention Services,

2. Stress Management Training,
3. Alcohol and Substance Abuse, Support Service and Prevention Training,
4. Peer Support,
5. Couples Counseling,
6. Individuals Counseling,
7. Family Crisis Intervention,
8. Grief Counseling.
9. Communication Skills,
10. Anger Management and Conflict Resolution,
11. Traumatic Incident Stress Management,
12. Referrals to Pastoral Counseling,
13. Anonymous and Confidential Depression and Alcohol Screening, and
14. Gambling and Debt Management.
B. T he services provided by the Professional Counseling Service/EAP Unit are designed and tailored to meet the
unique needs of each and every Department member, members of their family, or retired members seeking as-
sistance. This is accomplished by maintaining a network of quality resources (i.e., treatment facilities, self-help
and support groups, and stress management training) which allows the unit to respond promptly to the needs of
individuals.
C. Alcoholism and Other Addictions Services Unit

This Unit is administered by a supervisor who reports to the Director, Professional Counseling Service. The Unit is staffed
by certified alcoholism and other drug abuse counselors who are specially selected and trained Department members.

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 ch a p t er 13 • STRESS AN D P O LI CE P ERS O NNEL 461

1. The Alcoholism and Other Addictions Unit will:

a. provide services to Department members and/or their families who may be experiencing difficulty wilh
problems related to alcoholism or other addictions. In an emergency, the unit can be contacted 24 hours
a day, 7 days a week.
b. serve as a resource to command and supervisory personnel and other Department units whose function
involves interaction with employees experiencing impairment due to alcoholism or other addictions.
c. be responsible for that portion of supervisory training that focuses upon employee impairment due to
alcoholism or other addictions.
2. When an employee is identified by Department supervisory personnel as possibly having problems related
to alcoholism and/or other addictions, a counselor will be available to evaluate and provide appropriate
support services and/or guidance.
3. When a disciplinary action / investigation has been initiated against a member impaired by alcoholism
or other addiction(s), involvement in an Alcoholism and Other Addictions Services Unit program will not
delay the disciplinary or investigative processes.
D. Traumatic Incident Stress Management Program
 his program provides Department members the opportunity to understand and put into perspective the
T
emotional and/or psychological impact of a traumatic incident. The debriefing process is not a critique of any
assignment or action taken by the officer.
1. The referral procedure to the Traumatic Incident Stress Management Program for sworn members is
outlined in the Department directive entitled “Traumatic Incident Stress Management Program.”
2. The Traumatic Incident Stress Management Program is also available to non-sworn members, their
families, and retired members. To request services contact the Professional Counseling Services/EAP.
V. DEPARTMENT REFERRALS TO THE PROFESSIONAL COUNSELING SERVICE
A. Department command and supervisory personnel have the authority and the responsibility to make members
under their supervision aware of the Professional Counseling Service/EAP when appropriate.
B. D
 epartment members will he assured that any consultation at the Professional Counseling Service/EAP will be
confidential.
C. In a crisis or emergency situation, supervisors will recommend immediate intervention by the Professional
Counseling Service / EAP 24 hours a day, 7 days a week.
D. R
 ecommendations or referrals to the Professional Counseling Service/EAP will not be used as a substitute for
the disciplinary process.
E. Unit commanding officers and/or supervisors may contact the Professional Counseling Service for information
about the counseling program or the referral process.
F. T
 he procedures contained in this directive do not relieve unit commanding officers of their responsibility to
counsel members as set forth in existing Department directives.
(Items indicated by italics/double underline were revised)

Authenticated by: RMJ

Garry F. McCarthy
Superintendent of Police
11-052/12-003 AMR/PMD

PHONE BOOK ENTRIES:

1. Professional Counseling Division

312-743-0378
2. Anonymous and Confidential Depression and Alcohol Screening
800-900-7401

ADDENDA:

1. E06-01-01 - Crisis Intervention

2. E06-01-02 - Professional Counseling Confidentiality
FIGURE 13.4 c (continued )

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 462 cha p te r 1 3 • STRESS AN D PO LI CE P ERS O NNEL

Francisco Police Department expanded their programs to include provide help for officers having personal or occupational diffi-
problems not related to alcohol. In 1980, mental health profes- culties. In the early 1990s, the U.S. Customs Service provided
sionals began providing personal and job-related counseling stress-management training for both its supervisory and its non-
services to FBI personnel. Mental health professionals were also supervisory personnel throughout the country.90 The majority of
used to assist FBI managers with a variety of employee-related law enforcement agencies with 100 or more officers now have
matters. By 1986, many of the largest police departments in the written policies regarding providing counseling assistance ser-
United States had formed “stress units” or other sections to vices for their officers.91

Chapter Summary
Summary by Learning Objective does a supervisor have “reasonable suspicion” of a
subordinate’s drug use? (a) who should collect the
1. Explain why police officers are more prone to urine or other specimens and under what condi-
stress than individuals in many other tions? (b) what criteria or standards should be used
occupations. when selecting a laboratory to conduct the police
It is one of the few occupations in which an department’s drug-testing program? (c) what disci-
employee is asked continually to face physical dan- plinary action is appropriate when officers are found
gers and to put his or her life on the line at any time. to have abused drugs? (d) what duty does an
The police officer is exposed to violence, cruelty, employer have to rehabilitate employees who
and aggression and is often required to make become disabled as a result of drug abuse?
extremely critical decisions in high-pressure
situations. 4. Describe some of the negative physical conse-
quences associated with the use of steroids.
2. Describe the perceptual, cognitive, and behav- For men: (1) breast enlargement; (2) testicular
ioral disturbances resulting from an officer’s use atrophy with the consequent sterility or decreased
of deadly force. sperm count; (3) impotence; (4) enlarged prostate.
(1) Distortions of time perception are most com- For women: (1) breast diminution; (2) clitoral
mon, with the majority of officers recalling the enlargement; (3) facial hair growth; (4) deepened
shooting event as occurring in slow motion, voice; (5) menstrual irregularities; (6) excessive
although a smaller percentage reported experienc- body hair; (7) baldness. For both sexes: (1) abscess
ing he even as speeded up; (2) Sensory distortions at the site of injection; (2) increased risk of heart
are also common and most often involve tunnel disease, stroke, or obstructed blood vessels;
vision, in which the officer is sharply focused on one (3) increased or severe acne; (4) liver tumors, jaun-
particular aspect of the visual field, typically the dice, and peliosis hepatitis, (blood-filled cysts);
suspect’s gun or weapon, which blocks out every- pre-teens and teenagers: accelerated bone matu-
thing in the periphery; (3) A sense of helplessness ration, leading to permanently short stature.
may occur during the shooting exchange, but this
may be underreported due to the potential stigma 5. Discuss the indicators that would suggest a police
attached; (4) Disturbances in memory are com- officer is considering suicide.
monly reported in shooting exchanges. About half Indicators that a police officer is contemplating
of these involve impaired recall for at least some of suicide are talking about wanting to die, seeking
the events during the shooting; the other half revenge, feelings of hopelessness, being trapped,
involve impaired recall for at least part of the offi- being a burden to others, or in unbearable pain;
cer’s own actions; this, in turn, may be associated increased risk-taking behavior or recklessness;
with going-on-automatic response. looking for a way to kill oneself; emotionless,
numb, angry, agitated, anxious, enraged, or show-
3. Discuss some of the questions that police admin- ing extreme mood swings; giving away valued
istrators must address in terms of drug use by possessions; socially isolated or withdrawn; weight
police officers. gain or loss; sleep deprivation or sleeping too
(1) What positions will the employee unions and much; cutting themselves; and increased con-
other employee organizations take if drug testing is sumption of alcohol or drugs.
proposed? (2) Who should be tested for drugs?
Entry-level officers? Regular officers on a random 6. Examine the role the police psychologist plays in
basis? All officers before they are promoted? Per- a psychological health wellness initiative.
sonnel assigned to high-profile units, such as bomb The police psychologist will ideally have the abil-
disposal and special tactics and response? (3) When ity to work with training units on developing

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 ch a p t er 13 • STRESS AN D P O LI CE P ERS O NNEL 463

wellness trainings at the primary prevention level secondary level, the police psychologist who suc-
on a variety of topics that can help officers to buf- cessfully collaborates with other department offi-
fer stress. In addition to standard stress manage- cer resources, such as peer support teams,
ment and suicide awareness trainings, officers can chaplaincy programs, and veteran assistance and
often make use of primary prevention training to reintegration programs, will enhance the connec-
develop skills in the areas that can lead to a tions between these efforts and the psychologist’s
cumulative buildup of stress for an officer. At the services.

Chapter Review Questions

1. Describe the three stages of the general 9. Describe some of the issues that police
adaptation syndrome (GAS), as described by Hans administrators must deal with in terms of drug use
Selye. by police officers within their agencies.
2. According to recent medical findings, what is the 10. What are some of the indicators that an officer
relationship between diseases of adaption and stress? might be contemplating suicide?
3. What is posttraumatic stress disorder (PTSD)? 11. What are some things police departments can do
4. How does cumulative career traumatic stress (CCTS) to curtail incidents of domestic violence among
differ from posttraumatic stress disorder? their officers?
5. What are the major characteristics of the type-A 12. If a police supervisor notices a pattern of
personality, type-B personality, type-C personality, controlling or abusive behavior in an officer, what
type-D personality, and workaholic? steps should be taken?
6. What are the five basic phases of the 13. What role can the police psychologist play in the
post-shooting reaction? health and wellness of individual law enforcement
7. What recommendations were made regarding the officers in an agency?
post-shooting interview of police officers? 14. What services are available to the employees
8. Alcohol-related problems manifest themselves in within the Chicago Police Department Employee
police officers in a number of ways. What are they? Assistance Program (EAP)?

Critical Thinking Exercises

1. Cumulative Career Traumatic Stress (CCTS). During 2. Homicide-Suicide in Police Families. Police officers
the past 30 years, there has been a surge of public work in an occupational culture in which they must
and professional attention focused on the sometimes use considerable force to control a
psychological and physical effects of continuous situation. Unfortunately some officers may resort to
exposure to traumatic stressors. Typically, the use of force in attempting to resolve conflicts at
individuals who are routinely exposed to home and this might explain why the rate of
cumulative career traumatic stress acquire this domestic violence is significantly higher for
condition over a period of years. These include police officers than it is for the general population.
police officers, firefighters, and emergency medical You should answer the following questions:
services personnel. You should answer the following a. What are the factors that are most likely to make
questions: police officers disproportionately at risk for
a. How does CCTS differ from posttraumatic stress homicide-suicide?
disorders? b. What is the best course of action a police depart-
b. What are the behavioral manifestations of CCTS? ment can take to anticipate and then prevent
c. In what ways may CCTS adversely affect a police homicide-suicide among its police officers?93
officer in his/her job performance?92 c. Of what value is a domestic violence lethality
d. What intervention counseling strategies would assessment scale for first responders having
you suggest be employed in dealing with officers calls involving police officers who are involved in
suffering from CCTS? domestic violence situations?

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 464 cha p te r 1 3 • STRESS AN D PO LI CE P ERS O NNEL

Key Terms
alarm stage general adaptation syndrome (GAS) type A personality
anabolic steroids posttraumatic stress disorder (PTSD) type B personality
cumulative career stress resistance stage type C personality
domestic violence lethality roid rage type D personality
assessment form stress workaholic personality
employee assistance programs (EAPs) stress inoculation activities
exhaustion stage suicide by cop (SbC)

Endnotes
1
For a complete review of the most current programs and expanded-homicide/expanded_homicide_data_table_14_
techniques being used by police departments see: justifiable_homicide_by_weapon_law_
Leonard Territo and James D. Sewell, Stress Management enforcement_2009-2013.xls.
22
in Law Enforcement, 3rd ed. (Durham, NC: Carolina C. Baruth, “Pre-critical Incident Involvement by Psychologists,”
Academic Press, 2013). in Psychological Services for Law Enforcement , eds. J. T.
2
H. Selye, Stress without Distress (Philadelphia: Lippincott, Reese and H. A. Goldstein (Washington DC: USGPO, 1986),
1974), p. 60. pp. 413–417.
3 23
Julia La Roche, “Here’s How Much 10 of the Richest People Alexis Artwohl, “Perceptual and Memory Distortion During
in the World Made Per Minute in 2013,” Business Insider, Officer-Involved Shootings,” FBI Law Enforcement Bulletin
December 19, 2013; (accessed June 11, 2015), http:// (October, 2002), pp. 18–24. (This discussion was adapted
www.businessinsider.com/what-warren-buffett-makes-per- from this article.)
24
hour-2013-12. Ibid., pp. 18–24.
4 25
Selye, Stress without Distress, pp. 35–39. Bruce A. Rodgers, Psychological Aspects of Police Work:
5
Anthony L. Komaroff, “The Usual Suspect,” Newsweek, 25 An Officer’s Guide to Street Psychology (Springfield, IL:
(February 2009), pp. 52–53. Charles C Thomas, 2006).
6 26
Ibid. D. A. Grossman, On Killing: The Psychological Cost of
7
Ibid. Learning to Kill in War and Society (New York: Little,
8
M. Farouk Radwan, “A B C D Personality Types,” Segen’s Brown, 1996).
27
Medical Dictionary, 2012. E. Nielsen, E. “Traumatic Incident Corps: Lessons Learned,”
9
Ibid. in Critical Incidents in Policing, eds. J. Reese, J. Horn & C.
10
Ibid. Dunning (Washington DC: US Government Printing Office,
11
Gerard J. Sloan and Jean M. Casey, “Police Work 1991), pp. 221–226.
28
Addiction: A Cautionary Tale,” FBI Law Enforcement M. B. Williams. “Impact of Duty-related Death on Officers’
Bulletin (June 2003), pp. 13–17. (This discussion of Children: Concepts of Death, Trauma Reactions, and
workaholics was adapted from this article.) Treatment,” in Police Trauma: Psychological Aftermath of
12
B. E. Robinson, Chained to the Desk (New York, NY: New Civilian Combat, eds. J. M. Violanti & D. Paton
York University Press, 1998), p. 3. (Springfield: Charles C Thomas, 1999), pp. 159–174.
13 29
B. Killinger, Workaholics: The Respectable Addicts (Buffalo, Suicide by Cop (SbC) refers to an individual who wishes to
NY: Firefly Books, 1991). die and uses the police to affect the goal. For more details
14
Supra note 1, 75. see D. B. Kennedy, R. J. Homant, and R. T. Hupp, “Suicide
15
Supra note 2. by Cop,” FBI Law Enforcement Bulletin (August, 1998),
16
W. E. Oates, Confessions of a Workaholic (New York, NY: pp. 21–27.
30
Abingdon Press, 1971), p. 4. W. Anderson, D. Swenson, and D. Clay, Stress Management
17
Supra note 2, 6. for Law Enforcement Officers (Englewood Cliffs: Prentice
18
For a complete review of the ways in which these various Hall, 1995).
31
factors have deadly effects upon police officers see: Territo M. A. Borders and C. H. Kennedy, “Psychological
and Sewell, Stress Management in Law Enforcement. Interventions After Disaster in Trauma,” in Military
19
John M. Violanti and Fred Aron, “Police Stressors: Psychology: Clinical and Operational Applications , eds.
Variations in Perceptions among Police Personnel,” C. H. Kennedy and E. A. Zillmer (New York: Guilford, 2006).
32
Journal of Criminal Justice 23, No. 3 (1995), pp. 287–294. Grossman, On Killing.
20 33
Ibid., p. 347. L. Miller, Practical Police Psychology: Stress Management
21
FBI “Crime in the United States 2013,” Expanded Homicide and Crisis Intervention for Law Enforcement (Springfield,
Data Table 14, Uniform Crime Report, Department of IL: Charles C Thomas, 2006).
34
Justice, Federal Bureau of Investigation, Washington, DC, L. G. Bender and others, Critical Issues in Police Discipline:
2013; (accessed June 11, 2015), http://www.fbi.gov/ Case Studies (Springfield, IL: Charles C Thomas, 2005).
35
about-us/cjis/ucr/crime-in-the-u.s/2013/crime-in-the- Geoffrey P. Alpert, John Rivera, and Leon Lott, “Working
u.s.-2013/offenses-known-to-law-enforcement/ Toward the Truth in Officer-Involved Shootings: Memory,

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 ch a p t er 13 • STRESS AN D P O LI CE P ERS O NNEL 465

Stress, and Time,” FBI Law Enforcement Bulletin, Press. 1991); J. T. Fennel, “Psychological Stress and the
May 2012, 5 and 6."/> Peace Officer, or Stress—a Cop Killer,” in G. Henderson,
36
D. Grossman and B. K. Siddle, Critical Incident Amnesia: editor, Police Human Relations (Springfield, IL: Charles C
The Physiological Basis and the Implications of Memory Thomas, 1981), 170–179.
45
Loss During Extreme Survival Situations (Millstadt, IL: PPCT T. H. Blau, Psychological Services for Law Enforcement (New
Management Systems, 1998). York: John Wiley & Sons, 1974); C. M. Davidson, I. Fleming,
37
Alpert, op cit., pp. 5–6. & A. Baum, “Post-traumatic Stress as a Function of
38
Alexis A. Artwohl, “Perceptual and Memory Distortions in Chronic Stress and Toxic Exposure,” in C. E. Figley, editor,
Officer-Involved Shootings,” FBI Law Enforcement Trauma and Its Wake: Traumatic Stress, Theory, Research,
Bulletin, October 2002, 22. and Intervention (New York: Brunner/Mazel, 1986), 57–77;
39
Mark Thompson, “Unlocking the Secrets of PTSD,” Time, C. M. Dunning, “Postintervention Strategies to Reduce
March 26, 2015; p. 42. Police Trauma: A Paradigm Shift,” in J. M. Violanti &
40
Laurence Miller, “Stress, Traumatic Stress, and D. Paton, editors, Police Trauma: Psychological Aftermath
Posttraumatic Stress Syndromes,” in Leonard Territo and of Civilian Combat (Springfield, IL: Charles C Thomas,
James D. Sewell, editors, Stress Management in Law 1999), 269–289.
46
Enforcement, 3rd ed. (Durham, NC: Carolina Academic James Genovese, “Alcoholism Among Law Enforcement
Press, 2013), 13–16. Personnel: Its Unique Challenges,” The Milestone Group,
41
American Psychiatric Association, Diagnostic and Statistical n.d., (accessed May 31, 2015) http://www.milestonegroupnj.
Manual of Mental Disorders (4th ed., text revision). com/?page_id=348.
47
(Washington DC: American Psychiatric Association, 2000); Ed. Donovan, “Programs Need Caring Touch to Reach Law
C. L. Meek, “Evaluation and assessment of post-traumatic Enforcement Enforcers,” Alcoholism & Drug Abuse
and other stress-related disorders,” in Post-traumatic Weekly 6, No. 35 (1994), pp. 3–4.
48
Stress Disorder: Assessment, Differential Diagnosis, and P. Shanahan, A Study of Attitudes and Behaviours: Working
Forensic Evaluation, ed. C. L. Meek (Sarasota, FL: in the Police ForceToday and the Role of Alcohol (Sydney,
Professional Resource Exchange, 1990), 9–61; H. Merskey, Australia: Elliott and Shanahan Research, 1992); Elliot and
“Psychiatric Aspects of the Neurology of Trauma,” Shanahan Research, Alcohol and Other Drugs in the
Neurologic Clinics, 10 (1992), pp. 895–905; L. Miller, Workplace: A Benchmark Survey Comparing two Victorian
“Civilian Posttraumatic Stress Disorder: Clinical Syndromes Organisations (Sydney: Elliot and Shanahan Research,
and Psychotherapeutic Strategies,” Psychotherapy 1994); J.M. Violanti, “Coping in a High Stress Police
31 (1994), pp. 655–664; L. Miller, Shocks to the System: Environment,” Journal of Social Psychology (1993), pp.
Psychotherapy of Traumatic Disability Syndromes (New 717–730; J. D. Davey, P.L. Obst, & M.C. Sheehan, “It Goes
York: Norton, 1998); L. Miller, “Ego Autonomy and the with the Job: Officers’ Insights into the Impact of Stress
Healthy Personality: Psychodynamics, Cognitive Style, and and Culture on Alcohol Consumption within the Policing
Clinical Applications,” Psychoanalytic Review 85, (1998), Occupation,” Drugs, Education, Prevention, and Policy 8,
pp. 423–448; L. Miller, Counseling Crime Victims: Practical No. 2 (2001), pp. 141–149;
49
Strategies for Mental Health Professionals (New York: R.C. Lumb & R. Breazeale, “Police Officer Attitudes and
Springer, 2008); L. Miller, Criminal Psychology: Nature, Community Policing Implementation: Developing
Nurture, Culture (Springfield, IL: Charles C Thomas, 2012); Strategies for Durable Organizational Change,” Policing
H. C. Modlin, “Traumatic Neurosis and Other Injuries,” and Society 13, No. 1 (2002), pp. 91–106.
50
Psychiatric Clinics of North America 6 (1983), pp. 661–682; Davey et al., “It Goes with the Job.”
51
R. S. Parker, Traumatic Brain Injury and Neuropsychological Ibid.
52
Impairment: Sensorimotor, Cognitive, Emotional, and A. Bandura, Social Foundations of Thought and Action: A
Adaptive Problems in Children and Adults (New York: Social Cognitive Theory (Englewood Cliffs, NJ: Prentice-
Springer-Verlag, 1990); H. Weiner, Perturbing the Hall, Inc., 1986)
53
Organism: The Biology of Stressful Experience (Chicago: Ibid.
54
University of Chicago Press, 1992). Newlun v. State Department of Retirement Systems, 770 P.
42
L. Miller, Freud’s Brain: Neuropsychodynamic Foundations 2d 1071 (Wash. App. 1989). Relatedly, McElrath v. Kemp,
of Psychoanalysis (New York: Guilford, 1991); L. Miller, 27 Govt. Emp. Rel. Rep. (BNA) 605 (D.D.C. 1989), deals
Criminal Psychology: Nature, Nurture, Culture (Springfield, with an alcoholic employee who had relapses after being
IL: Charles C Thomas, 2012). treated and was terminated but was reinstated later.
43 55
Ellen K. Marshal, “Cumulative Career Traumatic Stress Will Aitchison, The Rights of Police Officers, 3rd ed.
(CCTS): A Pilot Study of Traumatic Stress in Law (Portland, OR: Labor Relations Information System, 1996),
Enforcement,” in Leonard Territo and James D. Sewell, pp. 228–233, is the source of the information in this
Editors, editors, Stress Management in Law Enforcement, paragraph, with restatement by the authors.
56
3rd ed. (Durham, NC: Carolina Academic Press, 2013), Delaraba v. Nassau County Police , 632 N. E. 2d 1251 (N.Y. 1994).
57
372–373. Cincinnati, Ohio Police Department, Administrative
44
C. Alexander, “Police Psychological Burnout and Trauma,” Regulation #52 (06/07), Manual of Rules and Regulations:
in J. M. Violanti & D. Paton, editors, Police Trauma: 15.110 Alcohol and Drug Testing of Department
Psychological Aftermath of Civilian Combat (Springfield, Personnel, revised 02/26/15, p. 6 (accessed June 11, 2015),
IL: Charles C Thomas, 1999), 54–64; P. Bonifacio, The http://www.cincinnati-oh.gov/police/assets/File/
Psychological Effect of Police Work (New York: Plenum Procedures/15110.pdf.

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 466 cha p te r 1 3 • STRESS AN D PO LI CE P ERS O NNEL

58 68
Kim R. Humphrey, Kathleen P. Decker, Lin Goldberg, L. D. Lott, “Deadly Secrets: Violence in the Police Family,”
Harrison G. Pope Jr., Joseph Gutman, and Gary Green, FBI Law Enforcement Bulletin , November 1995, pp. 12–15.
“Anabolic Steroid Use and Abuse by Police Officers: Policy This discussion was adapted from this article.
69
and Prevention,” The Police Chief 75, No. 6 (2008), 66–74. Police Officer Domestic Violence, Concepts and Issues
59
Adapted from C. Swanson, L. Gaines, and B. Gore, “Use of Paper, Developed by the International Association of
Anabolic Steroids,” FBI Law Enforcement Bulletin 60, Chiefs of Police, April 1999.
70
No. 8 (1991), 19–23. These definitions may be limited to the definitions in the
60
M. Parssinen et al., “Increased Premature Mortality of laws of each state. While not the focus of this policy, other
Competitive Powerlifters Suspected to Have Used forms of family violence (for example, child and elder
Anabolic Agents,” International Journal of Sports abuse) should be addressed in a parallel manner.
71
Medicine 21, No. 3 (April 2000), pp. 225–227. In order to access the Model Policy on Police Officer
61
National Treasury Employees Union v. Von Raab, 489 U.S. Domestic Violence, as well as the accompanying
656 (1989). Concepts and Issues Paper log onto www.theiacp.org and
62
Guiney v. Police Comm’r of Boston, 411 Mass. 328 (1991). click on Publications (under Information Resources) then
63
Hall et al., “Psychiatric Complications of Steroid Abuse,” scroll down to “Police Officer Domestic Violence
285–286. Information,” this will lead you to links to each of the two
64
Melanie Hamilton, “Special Report on Police Suicide: Cop documents.
72
Killer,” Police 27, No. 5 (2003), p. 18. André Ivanoff, “Police Suicide Study Recommends Additional
65
Breaking the Silence on Law Enforcement Suicides, Training, Counseling,” Columbia University Record 20, No. 2
Community Oriented Policing Services, U.S. Department (September 16, 1994) (accessed June 11, 2015), http://www.
of Justice, July 2013, pp. 4–17. The remainder of the columbia.edu/cu/record/record2002.14.html.
73
discussion of police suicide was obtained from this Domestic Violence Protocol for Law Enforcement, Police
document with modifications. Chiefs Association of Santa Clara County, California,
66
Ibid. March 2014, p. 55.
67 74
Office of the Surgeon General and National Action Alliance John M. Violanti, “Homicide-Suicide in Police Families:
for Suicide Prevention, 2012 National Strategy for Suicide Aggression Full Circle,” International Journal of
Prevention: Goals and Objectives for Action (Washington, Emergency Mental Health 9, No. 2(2007), pp. 101–102.
75
DC: U.S. Department of Health and Human Services, Dennis Lindsey and Sean Kelly, “Issues in Small Town
September 2012: 19) (accessed June 11, 2015), http://www. Policing: Understanding Stress,” FBI Law Enforcement
armyg1.army.mil/hr/suicide/docs/10%20Sep%202012_ Bulletin 73, No. 7 (2004), p. 4.
76
NSSP_Final.pdf. Ibid.

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 ch a p t er 13 • STRESS AN D P O LI CE P ERS O NNEL 467
77
Karen L. Amendola, David Weisburd, and Edwin E. Coping,” Journal of California Law Enforcement 25, No. 4
Hamilton, The Impact of Shift Length in Policing on (1991), pp. 97–104.
84
Performance, Health, Quality of Life, Sleep, Fatigue, and Scott Allen, Christine Jones, Frances Douglas, and Daniel
Extra-Duty Employment, Final Report Submitted to the Clark, “A Comprehensive Approach to Destigmatizing
National Institute of Justice, December 12, 2011. (This Mental Health Issues in Law Enforcement,” The Police
discussion was adapted from the abstract of this Chief 81 (March 2014), pp. 34–38.
85
document appearing on pg. iv.) Ibid., p. 36.
78 86
B. J. Vila and D. J. Kenney, “Tired Cops: The Prevalence Ibid.
87
and Potential Consequences of Police Fatigue,” (pdf, 6 Ibid., p. 37.
88
pages) National Institute of Justice Journal 248 (2002), pp. Max Bromley and William Blount, “Criminal Justice
16–21. Practitioners,” in Employee Assistance Programs, ed.
79
U.S. Department of Justice, Office of Justice Programs, William R. Hutchison, Jr., and William G. Emener
“How Fatigue Affects Health” (Washington, DC: National (Springfield, IL: Charles C Thomas, 1997), p. 400.
89
Institute of Justice, The Research, Development, and J. T. Reese, The History of Police Psychological Service
Evaluation Agency of the U.S. Department of Justice, (Washington, DC: U.S. Department of Justice, 1987).
90
January 6, 2009) (accessed May 5, 2010) http://www.ojp. C. Milofsky, E. Astrov, and M. Martin, “Stress Management
usdoj.gov/nij/topics/law-enforcement/stress-fatigue/ Strategy for U.S. Customs Workers,” EAP Digest 14, No. 6
health.htm. (1994), pp. 46–48.
80 91
D. Dawson and K. Reid, “Fatigue, Alcohol and Performance Bromley and Blount, “Criminal Justice Practitioners,”
Impairment,” Nature 388 (1997), p. 235. p. 401.
81 92
B. J. Vila, Tired Cops: The Importance of Managing Police For a more detailed discussion see Ellen K. Marshall,
Fatigue (Washington, DC: Police Executive Research “Cumulative Career Traumatic Stress (CCTS): A Pilot Study
Forum, 2000). of Traumatic Stress in Law Enforcement,” in Stress
82
D. J. Dijk, D. F. Neri, J. K. Wyatt, J. M. Ronda, E. Riel, Management in Law Enforcement, 3rd edition, eds.,
A. Ritz-De Cecco, R. J. Hughes, A. R. Elliott, G. K. Prisk, Leonard Territo and James D. Sewell (Durham, NC:
J. B. West, and C. A. Czeisler, “Sleep, Performance, Carolina Academic Press, 2013), 371–382.
93
Circadian Rhythms, and Light-Dark Cycles During Two For a more detailed discussion, see John M. Violanti,
Space Shuttle Flights,” American Journal of Physiology “Homicide-Suicide in Police Families: Aggression in Full
281 (2001), pp. R1647–R1663. Circle,” in Stress Management in Law Enforcement, 3rd
83
Many of these factors are identified in Robert W. Shearer, edition, eds., Leonard Territo and James D. Sewell
“Police Officer Stress: New Approaches for Effective (Durham, NC: Carolina Academic Press, 2013), 303–316.

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 c h a p t e r f o u r t e e n

L E G A L ASPE C TS OF
P O L I CE ADMI NI STR AT ION
Learning Objectives
1. Explain the three general categories of torts. How do they differ?
2. Define “acting under the color of state law.” How does this statement relate to
Section 1983 actions?
3. Explain and describe a Bivens action.
4. List and describe the negligence theories applicable to police supervision and
management.
5. Describe procedural and substantive due process.
6. Explain a Brady violation?
7. Explain when rules infringing on the free speech of officers might be upheld.
8. Describe the circumstances in which an officer may use deadly force?
9. List the four elements that must be proven in order to sue the police for negligence
in a high-speed pursuit.
10. Describe how a department can reduce liability in high-speed pursuits.
11. Relate the focus of most training programs regarding emotionally disturbed
persons.
12. Describe the balancing test related to alcohol and drug testing in the police workplace.

468

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 c h ap t e r 14 • L E G A L A S PECT S OF P OL I CE A DM INIS TRAT ION 469

INTRODUCTION administrators should always seek qualified legal

counsel whenever they face a problem or a
One of the primary characteristics of our
situation that appears to have legal ramifications.
nation’s law is its dynamic nature. Rules of law are
A primary objective of this chapter is to make
developed by legislation, regulation, and by court
police administrators more capable of quickly
decision. In this chapter, we talk about the fluid
determining when they face such a problem
nature of our lawmaking system as it applies to
or situation.
police and police executives. It is important to
understand the legal aspects of police
administration because: (1) police officers
LIABILITY FOR POLICE CONDUCT
understand criminal law because they deal with it
One of the most troubling legal problems facing police officers
on a daily basis; however, they have a relatively
and police departments in recent years has been the expanded
poor understanding of civil law; (2) civil law impact of civil and criminal liability for alleged police miscon-
addresses private injuries that lead to liability and duct. It is commonplace to hear police spokespersons complain
that law enforcement officers are widely hampered by the spec-
subsequent monetary damages due to
ter of being undeservedly sued for alleged improper perfor-
negligence; (3) the major areas of litigation mance of duty. Although one can argue that the magnitude of
against the police fall under Title 42, U.S. Code, police misconduct litigation may be overstated, the amount of
litigation appears to be increasing and is apparently accompa-
Section 1983, and usually involve negligent
nied by a movement toward larger monetary damage awards.
hiring, negligent assignment and retention,
negligent supervision, and/or negligent training; Basic Types of Police Tort Actions1
(4) police officers have constitutional rights that Law can be divided into two parts: criminal law and civil law.
are enjoyed by all citizens within the United States Police officers and other criminal justice practitioners are gener-
including the rights and liberties that address ally more familiar with criminal law because they deal with it on
a daily basis. Each “piece” of the law addresses a specific type
privacy, free speech, search and seizure, and self- of action. For instance, criminal law focuses on crimes, whereas
incrimination; and (5) most civil actions against civil law applies to torts.
the police arise from the misuse of firearms and Barrineau defines a crime as a public injury, an offense
against the state, punishable by fine and/or imprisonment. It is
deadly force, use of force, high-speed pursuits, the violation of a duty one owes the entire community; the rem-
and police handling of emotionally disturbed edy for a breach of such duty is punishment (fine or imprison-
persons. Finally, police officers are held to a ment) imposed by the state. Crimes are exemplified in the FBI
Crime Index (generally speaking, they are murder, aggravated
different and higher standard of conduct both on assault, robbery, rape (sexual battery), burglary, larceny over
and off the job. Even when their actions do not $200.00, auto theft, and arson), wherein each crime is composed
arise to the level of a criminal complaint, they still of specific elements and has an affixed penalty.
On the other hand, a tort is a private injury inflicted on one
might receive discipline that can result in person by another person for which the injured party may sue
termination and loss of career. These types of in a civil action. Such action may bring about liability that leads
behaviors and officer actions most often violate to an award of money damages. Tort actions encompass most
personal injury litigation. The injured party initiates the lawsuit
departmental policy addressing conduct and is called the plaintiff. The sued person is called the defen-
unbecoming an officer, sexual conduct, residency dant and is often referred to as the tort feasor.2
requirements, religious beliefs or practices, One example of a tort action brought against police officers
is an allegation of criminal behavior, such as assault and battery
moonlighting, and alcohol and (police brutality). More commonly, they are civil actions brought
drug testing. about by claims of false arrest, false imprisonment, invasion of
The reader should view the material that privacy (through illegal search and seizure), negligence, defama-
tion, or malicious prosecution.3 Most of the suits against police
follows as instructive background rather than as officers fall into three general categories: negligence torts, inten-
an authoritative basis for action. Police tional torts, and constitutional torts.4

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 470 cha pte r 1 4 • L E G A L A SPE CTS O F P OL I C E AD MI N I S T RAT I ON

NEGLIGENCE TORTS unless a question of federal law is involved or the individuals

Our society imposes a duty on individuals to conduct involved in the lawsuit are residents of different states. Even
their affairs in a manner that does not subject others to then, the suit can be decided in a state court if both parties to
an unreasonable risk of harm. This responsibility also the controversy agree to have the dispute settled there. As a
applies to criminal justice practitioners. If a police offi- result, most tort suits have been brought in state courts.
cer’s conduct creates a situation recognizable as danger-
ous by a reasonable person in like circumstances, the Title 42, U.S. Code, Section 1983
officer will be held accountable to those injured as a A major trend in the area of police misconduct litigation is the
result of his or her conduct. increase in the number and proportion of these suits that are
In negligence suits, defendants are not liable unless they being brought in federal court. The most common legal vehicle
foresaw or should have anticipated that their acts or omissions by which federal courts can acquire jurisdiction of these suits is
would result in injury to another. The key in negligence suits is commonly referred to as a 1983 action. This name derives from
the standard of the reasonably prudent person, also referred to the fact that these suits are brought under the provisions of Sec-
as reasonableness. Was the care provided at the same standard tion 1983 of Title 42 of the U.S. Code. This law, passed by Con-
that a reasonably prudent person would observe under a given gress in the aftermath of the Civil War and commonly referred
set of circumstances?5 Examples of negligence involving police to as the Civil Rights Act of 1871, was designed to secure the
officers often arise from pursuit driving incidents in which the civil rights of the recently emancipated slaves. It prohibits depriv-
officers violate common traffic laws, such as speeding, running ing any person of life, liberty, or property without due process
a stop sign, or failing to control their vehicles, resulting in the of law. Specifically, Section 1983 states:
injury or death of another person.
Every person who, under color of any statute, ordinance,
INTENTIONAL TORTS regulation, custom, or usage of any State or Territory, subjects,
An intentional tort is the voluntary commission of an act or causes to be subjected, any citizen of the United States or
that to a substantial certainty will injure another person. any other person within the jurisdiction thereof to the depri-
It does not have to be negligently done to be actionable. vation of any rights, privileges, or immunities secured by the
Intentional torts are therefore voluntary and deliberate Constitution and laws, shall be liable to the party injured in
acts, such as assault, false arrest, false imprisonment, and an action at law, suit in equity, or other proper proceeding
malicious prosecution. for redress.6
After 90 years of relative inactivity, Section 1983 was resusci-
CONSTITUTIONAL TORTS tated by the U.S. Supreme Court in the landmark case Monroe v.
The duty to recognize and uphold the constitutional Pape (1961).7 In this case, the Court concluded that, when a
rights, privileges, and immunities of others is imposed on police officer is alleged to have acted improperly (e.g., in con-
police officers and other criminal justice practitioners by ducting an illegal search), that officer can be sued in federal
statute, and violation of these guarantees may result in a court by alleging that he or she deprived the searched person of
specific type of civil suit. Most of these suits are brought his or her constitutional right under the Fourth Amendment to
under Title 42, U.S. Code, Section 1983, in federal court. be free from unreasonable searches and seizures. A critical ele-
In our system of government, there are court systems at both ment of Section 1983 is that the violation must have occurred
federal and state levels. However, federal courts are intended to while the officer was acting “under color of State law”—that is,
be courts of somewhat limited jurisdiction and generally do not while the officer was on duty and acting within the scope of
hear cases involving private, as opposed to public, controversies employment as a sworn police officer. Unless there is direct

Quick Facts: Americans for Effective Law Enforcement (AELE)

The Americans for Effective Law Enforcement (AELE) is a non- litigation-related studies and increase their understanding of
profit agency founded in 1967, and today it is one of the most public agency litigation. The AELE is also a resource for offi-
highly respected sources of legal advice and training for cers and administrators facing legal action. The agency can
police officers. The AELE holds workshops on legal issues that offer legal advice or refer officers to local attorneys or expert
affect police officers and administrators, such as the use of witnesses. The AELE also offers monthly newsletters, includ-
force, sudden and in-custody death, and discipline and inter- ing the Law Enforcement Liability Reporter and the AELE
nal investigations. Officers and administrators who attend Monthly Law Journal, both available on its website at www.
special training courses are eligible to earn Certified Litigation aele.org. The website also offers an extensive law library,
Specialist credentials, which honor those who pursue organized by topics of interest to law enforcement officers.

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 c h ap t e r 14 • L E G A L A S PECT S OF P OL I CE A DM INIS TRAT ION 471

personal participation by police supervisory personnel, they are As could be expected, the growing area of negligence as a
not generally liable for Section 1983 damages, even if there are Section 1983 cause of action has caused concern within police
broad allegations of failure to properly train and supervise police supervisory ranks. The courts have supported several negligence
officers who are liable in the Section 1983 lawsuit.8 theories applicable to police supervision and management. The
following is a discussion of important negligence cases and sub-
sequent legal development in this area.13
Bivens Action
Section 1983 is the primary civil rights statute involved in litiga-
tion against municipal and state police officers. However, the Negligent Hiring
statute rarely applies to federal agents (such as officials of the The law enforcement administrator and the local government
FBI, Secret Service, and Drug Enforcement Administration) entity have a duty to “weed out” those obviously unfit for police
because its terms require that the plaintiff be acting under “color duty. Further, the courts have held that an employer must exer-
of State law.” Federal officials can be sued under one of two cise a reasonable standard of care in selecting persons who,
complaints. The first is a Bivens action for a violation of consti- because of the nature of their employment (such as policing),
tutional rights. The Bivens action applies only to the individual, could present a threat of injury to members of the public.14
not to the government. The second is a tort action against the Further, in 1997, the Supreme Court held that law enforcement
United States under the Federal Tort Claim Act (FTCA).9 Both and government entities could be held liable under Section 1983
actions can be combined into one lawsuit. if the plaintiff’s injury was an obvious and direct consequence
Essentially, a Bivens action is a judicially created counterpart of a bad hiring decision on the part of an agency. In this case,
to a Section 1983 tort action. The Supreme Court has permitted an officer was hired by a local police department after it was
suits against federal officials (not, however, against the United discovered that the officer had lied on his original application
States) for violations of constitutional rights that would otherwise and had been convicted of a felony, barring him from police
be the subject of a Section 1983 action against a state or local service under state regulatory agencies.15
officer. Its name is derived from the landmark case Bivens v. Six
Unknown Federal Narcotics Agents (1971), wherein the Supreme Negligent Assignment, Retention,
Court held that a cause of action for violation of the Fourth
Amendment (search and seizure clause) can be inferred from the
and Entrustment
Constitution itself.10 Hence, federal courts have jurisdiction to Police administrators who know or should have known of
hear federal question cases involving suits against federal individual acts or patterns of physical abuse, malicious or
employees in their individual capacities.11 threatening conduct, or similar threats against the public by
In summary, there are three basic types of tort actions that officers under their supervision must take immediate action. If
can be brought against police for misconduct: traditional state an internal investigation sustains an allegation of such serious
law torts, Section 1983 torts, and Bivens torts. It is important to conduct by an officer, appropriate action by a police chief
understand these classifications because the type of tort action could be suspension—followed by assignment to a position
brought will determine who can be sued, what kind of behavior with little or no public contact—or termination. A police chief
will result in liability, and which immunities might be available failing to take decisive action when required could be held
to the defendants. liable for future injuries caused by the officer. In addition,
entrustment of the “emblements of office” (e.g., a badge, a gun,
or a nightstick) subjects a municipality and appropriate admin-
istrators of a municipal agency to liability whenever injury
WHO CAN BE SUED? results from the known misuse of such emblements. In other
words, administrators and supervisors have a duty to supervise
At common law, police officers were held personally liable for errant officers properly.16
damage caused by their own actions that exceeded the boundar-
ies of permissible behavior. This rule applied even if the officer
was ignorant of the boundary established by the law. As unjust Negligent Direction and Supervision
as many of such results may seem, the rule establishes one of The administrator and/or supervisor have the duty to develop
the traditional risks of policing. and implement appropriate policies and procedures. Therefore,
A more difficult question concerns whether the supervisors a written manual of policies and procedures is an absolute must.
of the officer and/or the government unit by which he or she is This manual must provide clear instruction and direction regard-
employed can be sued for that individual’s misbehavior. Gener- ing the position of police officer, be widely disseminated, and be
ally, an effort to impose liability on supervisors for the tortious accompanied with training so that all officers understand the
conduct of their employees is based on the common-law doc- significance of the manual.17 Further, the courts have held that
trine of respondent superior. That doctrine, also called vicarious supervisors must “take corrective steps” where evidence indicates
liability, developed along with the growth of industrial society that official policy is being abridged and/or the public is being
and reflected a conscious effort to allocate risk to those who placed at an “unreasonable risk” because of the actions of a
could afford to pay for the complaint of damages.12 police officer. Inaction on the part of the police supervisors

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 472 cha pte r 1 4 • L E G A L A SPE CTS O F P OL I C E AD MI N I S T RAT I ON

and/or administrators is enough to establish negligence if there department is a part.20 Individuals pursuing damage claims
is a pattern or custom of police abuse and accession to that under Section 1983 against local government officials and state
custom by police supervisors and/or administrators.18 For exam- officials who are sued in their individual rather than official
ple, the failure of a police sergeant to order the termination of a capacities will have to overcome the defense available to such
high-speed pursuit of a minor traffic violator through a congested parties of “qualified, good-faith immunity.” Such official immuni-
downtown business area that results in serious personal injuries ties are not creatures of Section 1983; they arose from traditional,
or deaths to members of the public is sure to bring litigation common-law protections that were historically accorded to gov-
based on an allegation of failure to supervise (see Figure 14.1). ernment officials. Basically, the good-faith immunity doctrine
recognizes that public officials who exercise discretion in the
performance of their duties should not be punished for actions
Negligent Training undertaken in good faith. Imposing liability on public officials
The local unit of government and the administrator or supervisor in such situations would inevitably deter their willingness to
of a police department have an affirmative duty to train their “execute . . . [their] office with the decisiveness and the judgment
employees correctly and adequately. In a recent landmark case required by the public good.”21
(City of Canton v. Harris), the Supreme Court limited the use of Over the years, the courts have struggled to develop a test for
inadequate police training as a basis for Section 1983 actions. good faith. In 1975, the Supreme Court articulated such a test
The Court held that inadequate police training may form the that considered both the official’s state of mind when he or she
basis for a civil rights claim “where the failure to train amounts committed the act in question (the subjective element) and
to deliberate indifference to the rights of persons with whom whether the act violated clearly established legal rights (the
the police come in contact” and that such official indifference objective element).22
amounts to “policy or custom.” Therefore, it is incumbent on the However, seven years later, the Supreme Court decided that
plaintiff to prove that the training program is inadequate as to the subjective element of the text should be dropped, leaving only
the expected duties of an officer and that the deficiency of train- the standard of objective reasonableness.23 Now a court must
ing is closely related to the ultimate injury.19 determine only whether the law at issue was “clearly established”
The two areas of negligence that have been the greatest at the time the challenged action occurred. Furthermore, if the
sources of litigation under Section 1983 in recent years have plaintiff’s allegations do not show a violation of clearly established
been negligent supervision and negligent training. Incidents aris- law, a public official asserting good-faith immunity will be entitled
ing out of the use of deadly force and use of force, and pursuit to dismissal of the lawsuit before it proceeds further.24
driving have certainly raised significant questions regarding The immunities available to state and local officials are gen-
training and are covered later in this chapter. erally designed to protect individuals from liability arising out
A second difficult question with respect to who may be sued of the performance of official acts. With the Eleventh Amend-
for damages caused by police misconduct concerns the liability ment providing similar protection to the states, the question of
of the police department and the government unit of which the the immunity of a local government was raised. Initially, the

FIGURE 14.1 c The failure to

provide direction and/or supervi-
sion during police incidents (e.g.,
barricaded felons, hostage situa-
tions, police chases) can result in a
negligence tort action. (Kevin Wiles
Jr/Demotix/Corbis)

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 c h ap t e r 14 • L E G A L A S PECT S OF P OL I CE A D M INIS TRATION 473

Supreme Court concluded that Congress had not intended to procedures can be shown to be responsible for the violation of
apply 42 U.S.C. 1983 to municipalities, thereby giving munici- federally protected rights.
palities what is called “absolute,” or unqualified, immunity from Unfortunately, the Monell decision did not fully articulate the
suit.25 On re-examination of this issue in the 1978 case Monell limits of municipal liability under Section 1983. The result has been
v. Department of Social Services,26 the Court decided that Con- considerable litigation to establish when a deprivation of federally
gress had intended for Section 1983 to apply to municipalities protected rights actually results from enforcement of a municipal
and other local government units. The Court further concluded policy or procedure and at what point an official’s actions can be
that, although certain other immunities were not available to a fairly treated as establishing the offending policy.27
municipality in a Section 1983 lawsuit, the municipality could More recently, the Supreme Court has held that “single acts
not be held liable solely because it employed an individual who of police misconduct” do not, by themselves, show that a city
was responsible for Section 1983 violations. The Court made it policy was involved in the alleged tortious act.28 Generally, a
clear that local government entities will be liable under Section plaintiff must show a pattern of negligence or deliberate indif-
1983 only when that government’s policies or official ference by the agency.29

Box 14.1: Police Training and Liability: An Officer’s Perspective

by Ryan M. Getty, Ph.D.

Police have wanted to be become a profession rather than a learning.34 Again, it is up to the individual agencies which
trade for some time. That elevation of status and responsibil- model they will adopt. Some states like California allow for
ity comes with standardized training and a formal education. the adoption of either while other states only mandate a
Police in every state have had basic training academies since “field training program.” Regardless of the program, both
the 1960s. However, the lack of requirements for a minimum train officers in an attempt to perform duties in a careful and
of a college education to become an officer has eluded direct manner, adhere to policy, safeguard the Constitutional
police since the first national recommendation in the early rights of citizens, and avoid civil (and criminal) liability.
1900 by August Vollmer.30 Many scholars insisted, and some Beginning at some of the earliest lessons in the academy,
even today, that individual police officers do not need a col- officers are taught about police behavior, police tactics, and
lege degree to be a good officer. One academic remarked civil liability. Prior to graduation, candidate officers are usu-
that, “it is doubtful whether a course in university lectures ally tested on policy and procedure, state laws, and common
[would be] much practical value for police officers.”31 This still policing theory, as well as mandatory courses on the use of
seems to be the prevailing sentiment since only two states force, use of firearms and less lethal weapons, pursuit driving,
(Minnesota and Wisconsin) require a minimum of an associ- and tactics of arrest. Some states have included mandatory
ate’s degree to be a police officer, and no state requires a full in-service classes that begin shortly after graduation, and
4-year degree.32 Instead, police have relied upon ever- continue every one to two years on specific topics, often rec-
increasing hours within the police academy. Once graduated ommended or even required by state accreditation bureaus.
from an academy, officers are taught how to apply those However, no matter how well trained, no law enforcement
teachings under the watchful eyes of field training officers. officer (or department) is protected from being sued. Law-
Virtually all law enforcement agencies have a field training suits are an inherent risk born of dealing with people in an
program either by policy or by state law. New officers must adversarial role such as arresting and using force. These two
pass through the field training portion of training before they functions of policing are most likely to cause suit.35 Accord-
can be released to police by themselves. Field training pro- ing to the U.S. Department of Justice, the vast majority of
grams can be as brief as a month or two for experienced, police contact with citizens that end in force being used is
lateral hires and up to 9 months for new, academy graduates. minor.36 However, there need not even be forced used in
This depends a great deal on departmental policy and to order for an officer and their agency to be sued. Violation of
some extent, individual state laws. civil rights can take many forms.
The two most popular field training programs are the San Lawsuits happen! There is a place and time for legitimate
Jose (CA) model and the Reno (NV) model or the Police Train- legal remedies but those “classic” actions against an officer
ing Officer (PTO) program.33 The San Jose model was devel- and department are to an extent anticipated and with some
oped in the early 1970s, primarily as a result of a negligence departments, budgeted for because of the nature of police
lawsuit. It is highly standardized (e.g., regimented) and relies work. However, there seems to be a more insidious trend that
on officers completing numbered tasks over time while the tends to undermine justice in the name of expediency and
field training officer demonstrates, models, and tests the pro- public pressure. These are not cases where police officers
bationary officer’s knowledge through standardized checklists have clearly acted improperly, used excessive force, or vio-
and Likert-like scales while the Reno model is problem-based lated the law. No one is more concern about abusive and
learning centered upon John Dewey’s philosophy of rogue officers than police officers themselves. Good officers
(continued )

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want bad officers out of the police service. Rather, these are justified, the community has been shown only one side of an
events that most officers conduct almost every day . . . frisk- incident, at one specific time and from one specific camera
ing a vagrant or panhandler, stopping a traffic violator, or angle. There seems all too often to be a new “legal system”
arresting a drunk and disorderly person. Due primarily to the of judgment by popular decree and there are no legal due
expanding popularity of social media coupled with the mass process remedies against public opinion and perception.
availability of video recording, the typical officer is being vid- What was once a physical mob mentality has become a social
eoed simply “doing their job.” Hundreds of thousands of vid- media mob mentality that could escalate into violence and
eos of officers making an arrest or a traffic stop can be found property loss. The reality of policing is that arrests sometimes
on the Internet . . . unfortunately, with derisive tag lines. become violent and various tactics and weapons are used. To
A simple search of “officer misconduct” on YouTube yielded the casual, untrained observer, it often appears to be way too
a whopping 40,600 video results. Because the videographer much force, and again, this does not include those times
and most citizens have no idea what the police actually do, when errant officers clearly beat a suspect, or hit a suspect
or their legal responsibilities or liabilities, these videos often with handcuffs on, or slam a suspect into a car door. These
lead to defensiveness on the part of the police officer and are everyday events, the vast majority of the “40,600 YouTube
manager; fundamental fairness for the officer and justice hits” that culminate in “police misconduct” by the public, but
wane to political and public pressure and outcry. Unfortu- routine activity for the officer. Indeed, police supervisors and
nately, there is no research explaining administrative and internal affairs investigators often spend countless hours
policy reactions as a result of the newer social media or video viewing public videos and effort to sort out routine activity
recordings. However, what those in law enforcement know versus excessive force; and fortunately, only a fractional per-
anecdotally is that what was once seen as a “routine” arrest centage of these incidents ever find their way into a frivolous
could suddenly become a social media uproar, disenchant- lawsuit against an officer or a department or a sustained com-
ment with the department, and the loss of police legitimacy plaint against an officer. Police officers are not trained on how
within a community. Because the context, as well as the offi- to “look good” while making an arrest. Perhaps someday,
cer’s thoughts and intuition cannot be videoed and therefore drama will become part of the basic academy.

SCOPE OF LIABILITY or she would not have committed the tort of negligence in that
no injury was caused.
In general, state tort actions against police officers provide a The Supreme Court has limited the scope of liability in refer-
greater scope of liability than do the Section 1983 and Biven ence to negligence as an element of deprivation of constitu-
suits. That is, in tort actions under state law, a greater range of tional rights in Section 1983 and Bivens actions. In Daniels v.
behavior is actionable. Williams (1986), the petitioner sought to recover damages as a
The types of torts under state law that commonly are brought result of injuries sustained in a fall caused by a pillow negli-
against police officers can be categorized as intentional or neg- gently left on the stairs of the city jail in Richmond, Virginia. The
ligence torts. An intentional tort is one in which the defendant Court held that the petitioner’s constitutional rights were “simply
knowingly commits a voluntary act designed to bring about not implicated by a negligent act of an official causing uninten-
certain physical consequences. For example, the tort of assault tional loss or injury to life, liberty, or property.”37 This case has
is the purposeful infliction on another person of a fear of a had a profound impact on limiting Section 1983 and Bivens
harmful or offensive contact. If X points an unloaded pistol at actions to intentional torts; hence, the sheer volume of such
Y, who does not know the pistol is unloaded, X has created in cases has significantly decreased in past years. It is important to
Y an apprehension that Y is about to experience a harmful note, however, that the Supreme Court “has not changed the
contact from a bullet. X voluntarily lifts the pistol and points it rule that an intentional abuse of power, which shocks the con-
at Y, fully expecting that it will cause Y to be apprehensive science or which infringes a specific constitutional guarantee
about being hit by a bullet. Thus, X is liable to Y for the inten- such as those embodied in the Bill of Rights,” still implicates
tional tort of assault. serious liability.38
The tort of negligence involves conduct that presents an As noted earlier in this chapter, many lawsuits against police
unreasonable risk of harm to others that, in turn, is the proximate officers are based on the intentional torts of assault, battery, false
cause of an actual injury. Whereas in an intentional tort, the imprisonment, and malicious prosecution.39 Suits against police
consequences following an act must be substantially certain to officers for intentional torts can be brought as state tort actions,
follow, in the tort of negligence the consequences need only be Section 1983 suits, or Bivens suits. Although suits against police
foreseeable. When X drives through a stop sign, even if uninten- officers for negligence torts can be brought as state tort actions,
tionally, and hits the side of Y’s car, X’s behavior presents an the issue is not so clear-cut with regard to Section 1983 and
unreasonable risk of harm to others and is the proximate cause Bivens suits.
of the damage to Y’s car. Although X would have been negligent Generally, damages assessed in civil litigation for negligence
for “running the stop sign” even without hitting the other car, he are ordinary (compensatory) damages that are paid by the

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 c h ap t e r 14 • L E G A L A S PECT S OF P OL I CE A DM INIS TRAT ION 475

employing government entity (or its liability insurance carrier) TRENDS IN TORT LIABILITY FOR
on behalf of the defendant officer. Therefore, as a general rule,
the individual employee is not required to pay ordinary damages POLICE SUPERVISORS AND
that result from a civil negligence suit. This is so because, nor-
mally when government employees are performing their duties ADMINISTRATORS
within the scope of employment, they are deemed to be the Although there has been a reluctance to hold police supervisors
agents or representatives of the employing agency and therefore and administrators liable for the misbehavior of their subordinate
not personally liable for their acts. However, where punitive officers, some courts have been increasingly willing to extend
damages are assessed for conduct that is grossly negligent, wan- liability to these officials where the plaintiff has alleged negligent
ton, or reckless, individuals who have been responsible for such employment, improper training, or improper supervision.47
acts are personally liable and, generally speaking, these assess- Under negligent employment, a police official can be held
ments are not absorbed by the employing government entity or liable for his or her failure to conduct a thorough investigation
by liability insurance. Thus, law enforcement employees who act of a prospective employee’s suitability for police work if he or
in reckless, wanton, or grossly negligent manners will be subject she hires an applicant with a demonstrated propensity “toward
to and personally liable for punitive damage awards. violence, untruthfulness, discrimination, or other adverse char-
In this constantly changing area of the law, the Supreme acteristics.”48 Of course, under this theory, the injuries suffered
Court has established a rule that police are entitled to “qualified” by the plaintiff would have been the result of the negative trait
immunity for acts made in good faith that can be characterized that had been demonstrated by the individual before employ-
as “objectively reasonable.” In United States v. Leon,40 the Court ment as an officer. If the negative trait is not demonstrated until
focused on the objectively ascertainable question of whether a after employment, a party injured by the officer may be able to
reasonably well-trained officer would have known that the act sue a police official successfully for negligently retaining the
committed was illegal. Subsequently, following that logic the officer or otherwise failing to take appropriate remedial action.
Court held that, if police personnel are not “objectively reason- In some circumstances, the official may not be able to dismiss
able” in seeking an arrest warrant, they can be sued personally an officer who has demonstrated unfitness, but the official still
for many damages, despite the fact that a judge has approved might be found liable if he or she negligently assigns the unfit
the warrant. In fact, the Court stated that a judge’s issuance of officer to duties where the public is not protected adequately
a warrant will not shield the officer from liability if a “well- from the officer’s particular unfitness. Finally, the official is
trained officer in [his] position would have known that his affi- potentially liable for negligently entrusting a revolver to an offi-
davit failed to establish probable cause and that he should not cer who has a history of alcohol or other drug abuse or the
have applied for the warrant.”41 However, the Court modified misuse of a weapon.
its position in a later case when an FBI agent conducted a war- Suits alleging that police officials have improperly trained a
rantless search of a resident’s home for a fugitive by holding that police officer have been particularly successful where firearms
an alleged unlawful warrantless search of an innocent third were involved in inflicting the injury. Courts have stressed that
party’s home does not create an exception per se to the general the “law imposes a duty of extraordinary care in the handling
rule of qualified immunity. The Court held that the relevant and use of firearms”49 and that “public policy requires that police
question is whether a reasonable officer would have believed officers be trained in the use of firearms on moving and silhou-
the search lawful once the clearly established law and the infor- ette targets and instructed when and how to use them.”50 Suits
mation possessed by the agent were taken into consideration alleging lack of necessary training are also becoming increas-
and, if the answer is yes, whether the agent is protected by ingly successful in cases involving the use of physical force to
qualified immunity from civil liability.42 This standard was overcome resistance, the administration of first aid, pursuit driv-
upheld in 2001 and 2009.43 ing (see Figure 14.2), and false arrest.51
As with many areas of the law, lower courts have somewhat Another emerging theory of recovery against police officials
modified this landmark decision. In 1987, a U.S. district court is an allegation of failure to properly supervise or direct subor-
found that qualified immunity protects all but the plainly incom- dinate officers. This type of suit is typically brought where offi-
petent or those who knowingly violate the law.44 And in 1992, cials have failed to take action to rectify a recurring problem
a federal court ruled that law enforcement officers are protected exhibited in the conduct of police operations by subordinates.52
by immunity from “bad guesses in gray areas” but are liable for An interesting development in this area concerns the situation in
“transgressing obviously bright lines of law,”45 essentially leading which the police department issues a written directive that estab-
the way for protective immunity for officers honestly attempting lishes a policy more stringent than the law requires. In several
to do their job. This was affirmed again in Pearson et al. v. cases involving such a situation, the courts have held that the
­ allahan in 2009.46 Still, whereas public officials exercising dis-
C written directive establishes a standard of conduct to which
cretion (e.g., judges and prosecutors) have absolute immunity police officers must conform or face the possibility of civil liabil-
for their unreasonable acts, the only person in the system left to ity for their actions.53
sue for damages for a wrongdoing will be the police officer, The last area to which courts have given increased attention
unless his or her acts can be attributed to the policy or proce- concerns cases in which it is alleged that the police officer failed
dural custom established by the employing government agency. to provide needed medical care to people with whom the officer

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MISUSE OF FIREARMS AND

DEADLY FORCE
There is no topic that weighs heavier on the mind of police
administrators today than that of the misuse of firearms and
deadly force by police officers. Because of the 2014–2015 inci-
dents in Ferguson, Missouri; Charleston, South Carolina; Cincin-
nati, Ohio; Baltimore, Maryland; and more, departments are
keenly aware that not only is there tragedy in the lives lost due
to potential misuse of force, but there is also massive liability. It’s
not small thing that departments (and by proxy, their communi-
ties) have to pay out millions in damages due to such events, but
even worse, such questionable shootings erode trust, put officers
on edge, and can affect police/community relations for years.
To be clear, in the spate of high-profile officer shootings that
made the news in 2014 and 2015, not all of them involved
explicit wrongdoing by the officers at the time of the shootings.
In a few cases, the officers perhaps failed to deescalate a situa-
tion properly, leading to a confrontation where deadly use of
force was necessary. In other cases, the facts backed the officers’
actions. It’s also worth noting that use of force is applied in
about 1.9 percent of the nearly 40 million police/citizen contacts
FIGURE 14.2 c Police officers responding to hostage over the period of one year.58 However, even one “bad” police
and/or barricaded suspect situations often require special- shooting is too many—and, hence, there are far too many.
ized training in crisis negotiations and the use of firearms. In Unfortunately, in the past, police officer training has too often
this case, a man was taken hostage at a local television sta- focused on the issue of how to shoot and not when to shoot.
tion while the suspect shouted demands from the control Many times when a problem does arise relating to the use of
room. After hours of skilled negotiations by local detectives, deadly force, it is not that the officer failed to qualify at the
the hostage was released without harm, avoiding potential police pistol range or that the weapon malfunctioned but that
liability stemming from the incident. the officer made an error in judgment.
(Roberto Pfeil/AP Images)
The police chief and his or her legal counsel must question
whether this error in judgment was merely a human error result-
ing from the pressure of the moment or whether the police
came in contact.54 Although the incidents giving rise to such department failed to provide proper guidelines to the officer. If
allegations can occur in a variety of situations, they seem to proper guidelines were made available to the officer, did the
occur with greatest frequency when the plaintiffs have been in police department incorporate these guidelines into its formal
custody or have been mistakenly thought to be intoxicated training program?
when they actually were suffering from a serious illness. These Let us examine what areas a use-of-deadly-force policy
cases are based on four categories of recovery: (1) failure to should cover and the formalized mechanisms by which officers
recognize and provide treatment for injury, (2) failure to provide can be trained to understand this policy.
treatment on request, (3) failure to provide treatment on recog-
nition of an injury, and (4) negligent medical treatment. Suits in Tennessee v. Garner (1985)
the first three categories may allege either negligent conduct or Until 1985, the courts nationwide had not established a standard
intentional behavior. Court rulings suggest that police officers of law regarding the use of deadly force. Likewise, law enforce-
who ignore classic signs of illness, such as a heart attack, are ment agencies had not developed a standard, written directive
depriving arrestees of their Fourteenth Amendment right to that would establish national guidelines. While most large police
receive medical care as a pretrial detainee. To prove that an agencies had established use-of-deadly-force policies, those poli-
officer is subject to liability because he or she failed to provide cies certainly were not consistent in form or content.59
medical treatment requires a showing that the officer acted with On March 27, 1985, all this started to change when the
deliberate indifference to the serious medical needs of an Supreme Court ruled unconstitutional a Tennessee law that per-
arrestee.55 Recent cases have affirmed that holding.56 Some mitted police officers to use deadly force to effect an arrest.60
courts have held that police officers do not have a duty to care The Tennessee statute on the police use of deadly force pro-
for injured persons with whom they come in contact,57 although vided that if, after a police officer has given notice of an intent
such a holding is not likely to occur when the injured person is to arrest a criminal suspect, the suspect flees or forcibly resists,
in their custody. “the officer may use all the necessary means to effect the

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 c h ap t e r 14 • L E G A L A S PECT S OF P OL I CE A DM INIS TRAT ION 477

arrest.”61 Acting under the authority of this statute, a Memphis suspect—young, slight, and unarmed—posed any
police officer shot a juvenile, Garner, as he fled over a fence at threat. Nor does the fact that an unarmed suspect has
night in the backyard of a house he was suspected of burglar- broken into a dwelling at night automatically mean he
izing. The officer ordered him to halt, but he failed to stop. The or she is dangerous.
officer then fired a single shot and killed him. The officer used
deadly force despite being “reasonably sure” that the suspect Graham v. Connor (1989)
was unarmed and believing him to be 17 or 18 years old and of
slight build. The suspect’s father subsequently brought an action Another landmark case related to the use of force started
in federal district court, seeking damages under 42 U.S.C.S. 1983 innocuously enough: Dethorne Graham, a maintenance worker
for asserted violations of his son’s constitutional rights. The dis- in North Carolina, asked a friend to drive him to a convenience
trict court held that the statute and the officer’s actions were store when he felt a diabetic episode creeping up on him. He
unconstitutional. The court of appeals reversed and the Supreme went into the store in search of orange juice to offset an insulin
Court affirmed the Court of Appeals’ decision. reaction. Once in the store, he purchased his juice quickly,
The Supreme Court held that the Tennessee statute was then ran out to the car to drink it. A patrol officer sitting out-
unconstitutional insofar as it authorized the use of deadly force side saw him dart from the store and into the car and sus-
against, as in this case, an apparently unarmed, nondangerous, pected that Graham had just committed a robbery. The car was
fleeing suspect. Such force may not be used unless necessary to stopped, and despite the pleas of the driver and Graham, the
prevent the escape and the officer has probable cause to believe officer forced Graham out of the car, where Graham lost con-
that the suspect poses a significant threat of death or serious sciousness. Graham was immediately cuffed, at one point, he
physical injury to the officer or others. The Court’s reasoning was gained consciousness and begged officers to check his wallet
as follows: for an ID card that detailed his medical condition. Their reac-
tion was to slam his head into the hood of a car. Graham suf-
1. Apprehension by the use of deadly force is a seizure fered injuries that included a broken foot, cuts, bruising, and
and subject to the Fourth Amendment’s reasonableness a long-term ringing in his ear. He sued under Section 1983, and
requirement. To determine whether such a seizure the Supreme Court ruled in his favor, establishing a major
is reasonable, the extent of the intrusion on the three-prong test of reasonableness for all use-of-force cases in
suspect’s rights under that amendment must be the future:
balanced against the government interests in dd First, what was the severity of the crime that the officer
effective law enforcement. This balancing process
believed the suspect to have committed or was
demonstrates that, notwithstanding probable cause
committing at the time of the encounter?
to seize a suspect, an officer may not always do so
by killing him or her. The use of deadly force to
dd Second, did the suspect present an immediate threat to
prevent the escape of all felony suspects, whatever the safety of officers or the public?
the circumstances, is constitutionally unreasonable. dd Third, was the suspect actively resisting arrest or
2. The Fourth Amendment, for purposes of this case, attempting to escape?
should not be construed in light of the Common-Law Graham also offered one of the most important narratives
rule allowing the use of whatever force is necessary to about police use of force, from Chief Justice William Rehnquist:
effect the arrest of a fleeing felon. Changes in the legal
and technological context mean that the rule is The reasonableness of a particular use of force must be judged
distorted almost beyond recognition when literally from the perspective of a reasonable officer on the scene,
applied to criminal situations today. rather than with the 20/20 vision of hindsight. The calculus of
Whereas felonies were formerly capital crimes, few reasonableness must embody allowance for the fact that police
felonies are now. Many crimes classified as officers are often forced to make split-second judgments—in
misdemeanors or nonexistent at Common Law are now circumstances that are tense, uncertain and rapidly
felonies. Also, the Common-Law rule developed at a ­evolving—about the amount of force that is necessary in a
time when weapons were rudimentary. The varied particular situation. The test of reasonableness is not capable
rules adopted in the states indicate a long-term of precise definition or mechanical application.62
movement away from the Common-Law rule, It is interesting, using the perspective on reasonableness to
particularly in the police departments themselves; thus, consider some of the more prominent use-of-force cases from
that rule is a dubious indication of the constitutionality the past several years. Though the emotion from these cases may
of the Tennessee statute. There is no indication that run high—the Graham decision makes clear that the standard
holding a police practice, such as that authorized by of reasonableness emanates from the officer’s perception at the
the Tennessee statute, will severely hamper effective time of the crisis that results in the shooting. It is possible that this
law enforcement. decision may be revisited in the wake of the rash of high-profile
3. While burglary is a serious crime, the officer in this use-of-force incidents—but as of this writing, Graham v. Connor
case could not reasonably have believed that the remains the dominant test for use-of-force considerations.

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Evaluation of Written Directives callous disregard for youthful offenders; rather, it is based
on the pragmatic view that an armed juvenile can kill with
As suggested earlier, when an alleged wrongful death case is
the same finality as an armed adult. Further, it is often dif-
being evaluated, the adequacy of the police department’s policy
ficult, if not impossible, to tell if an offender is a juvenile
must be considered. Generally speaking, an adequate policy
or an adult.
addresses the following topics: defense of life and fleeing felons,
juveniles, shooting at or from vehicles, warning shots, shooting
to destroy animals, secondary guns, off-duty weapons, and reg- SHOOTING AT OR FROM VEHICLES
istration of weapons (see Figure 14.3). The trend in recent years has been to impose severe lim-
itations on police officers shooting at or from vehicles
DEFENSE OF LIFE AND FLEEING FELONS except as the ultimate measure in self-defense or the de-
State laws and departmental policies still remain fairly di- fense of another when the suspect is using deadly force
verse even after Garner, although with narrower bounds. by means other than the vehicle.
No longer can these provisions leave officers virtually un- Some of the reasons presented against shooting at or from
tethered, as in the extreme case of one small American vehicles are difficulty in hitting the target, ricochets striking inno-
town whose only gun guidance to its officers was the cent bystanders, population densities, difficulty in penetrating
homily “Never take me out in anger; never put me away the automobile body and steel-belted tires, inability to put a stop
in disgrace.”63 to the vehicle’s momentum even when the target suspect is hit,
The range of firearms policies hereafter is likely to be from damage that might result from causing the vehicle to go out of
the “defense-of-life” regulations, which permit shooting only to control, difficulty in hitting a moving target, and striking of an
defeat an imminent threat to an officer’s or another person’s life. innocent passenger in the fleeing vehicle.64
At the other extreme, a minimal compliance with the Garner rule There is little question that, if a motorist is trying to run a
permits shooting at currently nonviolent, fleeing suspects who police officer down and the officer has no reasonable means
the officer reasonably believes committed a felony involving the of escape, then the officer has every right to defend his or her
threat but not the use of violence. Both approaches are currently life. What often happens, however, is that the officer starts
employed by many large police departments. shooting at a vehicle when he or she is no longer in danger.
The defense-of-life approach significantly reduces the possi- For example, if a vehicle attempts to run a police officer down
bility of wrongful death allegations. and the officer is able to take evasive action and get out of
harm’s way, under the provisions of many police departments’
JUVENILES policies, the officer is no longer permitted to shoot at the
For the most part, police departments do not instruct their vehicle because the officer is no longer in danger. Naturally,
officers to make a distinction between adults and juve- if the driver turns the vehicle around and goes back toward
niles in using deadly force, unless it is readily apparent the officer, the officer once again has the right to protect his
that the individual is a juvenile. This is not based on a or her life.

FIGURE 14.3 c Two Special

Weapons and Tactics (SWAT) offi-
cers watch a third SWAT officer
use a one-man door ram, which
appears to be a Broco’s Enforcer
model. Manual rams are used to
achieve rapid forced entry into a
premise, for example, officers
have search and arrest warrants
for drug offenses and they reason-
ably believe that those inside are
flushing drugs down the toilet.
(Photo courtesy of the National Tactical
Officers Association. www.ntoa.org)

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WARNING SHOTS progress, and the officer could not respond because he
There seems to be a general consensus among administra- or she was unarmed.
tors that department policies should prohibit warning shots, Many police departments now make being armed while off duty
as they may strike an innocent person. Privately, however, optional but still compel their officers to register with the depart-
officials might fear something else: Officers shooting at and ment any weapons they choose to wear off duty and to qualify
missing a suspect may claim that they were merely firing regularly with the weapons. Most police departments also designate
a warning shot and attempt to avoid answering for their the type of ammunition the officers may carry in all weapons they
actions. In addition, police officials point out that warning use, regardless of whether they are used on duty or off duty.68
shots rarely accomplish their purpose, especially if suspects
REGISTRATION OF WEAPONS
know that officers will not or cannot shoot them.65
Most police departments require their officers to use only
SHOOTING TO DESTROY ANIMALS department-approved weapons on and off duty and fur-
ther require that the weapons be inspected, fired, and
Police departments generally allow their officers to kill
certified safe by the departments’ armorers. Further, the
an animal in self-defense, to prevent substantial harm to
firearms must be registered with the departments by
the officer or others, or when an animal is so badly in-
make, model, serial number, and ballistics sample.69
jured that humanity requires its relief from further suf-
fering. A seriously wounded or injured animal may be
destroyed only after all attempts have been made to re- Familiarization with the Department’s
quest assistance from the agencies (i.e., humane society, Policy
animal control, or game warden) responsible for disposal
It does a police department little good to have an adequate use-
of animals. The destruction of vicious animals should be
of-deadly-force policy if its officers are not familiar with all
guided by the same rules set forth for self-defense or the
aspects of that policy. Following are some examples of formal-
defense and safety of others.66
ized administrative means by which officers can become familiar
with their agencies’ policies:
SECONDARY GUNS
Police officers in the United States are all conspicuously dd Recruit training—Instructions dealing with the deadly
armed with a revolver or semiautomatic handgun. This fact force policy should be incorporated into the unit of
is recognized and for the most part approved by our citi- instruction dealing with firearms training. As suggested
zenry. A second fact not commonly known is that many earlier, the judgmental aspects of using deadly force are
police officers also carry a concealed secondary weapon. as important as the hands-on skill development of police
There are stated reasons for the practice: Officers are con- officers in firearms training. Such a unit of instruction
cerned about being disarmed (with sound justification) dur- should involve a discussion of the numerous situations
ing a confrontation, officers are less likely to be caught off that officers will typically encounter and what course of
guard when confrontation is not anticipated, and officers action would keep these officers in strict compliance with
can less conspicuously be prepared to protect themselves their departments’ policies and minimize wrongful deaths.
during routine citizen stops. Regardless of the rationale, dd Field training officer—The field training officer to whom
the practice is considered acceptable by knowledgeable a rookie officer is assigned immediately upon graduation
police officials but treated by many police administrators from the police academy is responsible for continuing
as something understood but not formally admitted. the training process started by the police academy and
A major criticism of backup weapons is that they may be for evaluating the suitability of the rookie for police
intended as “throwaways” in the event an officer shoots an work. Such programs frequently incorporate training
unarmed suspect. In order to protect the officer from such alle- features designed to reinforce topics covered in the
gations, it is generally recommended that there be a strict policy formal classroom setting of the academy. This component
of registering all backup guns with the department.67 of the training program should be examined to be certain
it deals with the topic of police use of deadly force.
OFF-DUTY WEAPONS dd Roll-call training—A part of this training, which typically
The rationale for officers to be armed while off duty is occurs just prior to the officers going on patrol, can be
based on the assumption that police officers within their spent in reviewing newly developed departmental
own jurisdictions are on duty 24 hours a day and are policies, procedures, and regulations, including those
therefore expected to act in their official capacity if the dealing with the use of deadly force.
need to do so occurs. This, for the most part, was the dd In-service training—In-service training classes typically
policy of many police departments. Until recently, an range from one to five days (see Figure 14.4). It is quite
officer who failed to comply with this regulation was clear that the Garner70 decision has resulted in many
subject to disciplinary action if a situation occurred that police departments rethinking and rewriting their use-of-
needed police action, such as responding to a robbery in deadly-force policies. The importance of the Garner

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FIGURE 14.4 c Police use of

deadly force requires extensive
training in firearms techniques
that can be validated and docu-
mented by qualified personnel.
Virtual and simulation training
programs provide real-world
police encounters that hopefully
decrease the number of officer-
involved shootings as well as the
subsequent number of police liti-
gations. (Sgt Parker Gyokeres/
U.S. Air Force photo)

a call for service or reacts to observed criminal behavior in the

Quick Facts: Body-Worn Cameras field, that officer must either quell the disturbance or apprehend
and Use of Force a suspect, sometimes through the use of force. Police use of
force is most often justifiable and legal, particularly when over-
coming resistance during arrests or in course of protecting them-
Early research on body-worn cameras indicates that the selves or others from harm.72
use of the technology may reduce use-of-force incidents There is a general, usually unrealistic, societal expectation of
by up to 50 percent. increasingly more technical and sophisticated weapons available
Source: Tony Farrar, “Self-awareness to being watched to police agencies. This is propagated in the entertainment indus-
and socially desirable behavior: A field experiment on try. Television and big-screen productions tend to display deadly
the effect of body-worn cameras on police use-of-force.” force in black and white; the evil doer misses or inflicts minor
Police Foundation. Retrieved August 5, 2015 from: http://
wounds while heroes are incredibly accurate and kill painlessly
www.policefoundation.org/content/body-worn-camera
and from great distances. Less-lethal weapons in the entertainment
arena can be viewed through a similar lens. The public, raised on
science fiction like Star Trek©, expects phaser-like weapons that
decision will not be fully appreciated if a police can incapacitate without causing permanent harm or death. View-
department merely rewrites its policy and hands it out to ers watch as the fictitious recipient is usually rendered uncon-
its officers with no explanation. It is imperative that some scious from a single application of a less-lethal weapon and
explanation be provided, preferably by legal counsel, so recovers almost immediately. This creates a massive discrepancy
that there is no misunderstanding about what this policy between reality and the portrayal of less-lethal weapons in
means. This familiarization and orientation can occur in popular media. While less-lethal weapons are used without the
conjunction with the firearms requalification training that intent to cause permanent injury or death, they still have the
officers have to go through regularly, or it can be treated potential to cause death or serious injury. However, these weapons
within the context of an in-service training course.71 are ordinarily less harmful and hence, less lethal than the projec-
tiles fired from firearms.73 Common less-lethal weapons used in
policing include chemical weapons such as oleoresin capsicum
(OC) or pepper spray, bean-bag guns, net guns that shoot a web
POLICE USE OF FORCE AND around suspects, and controlled energy devices (CEDs).
LESS-LETHAL WEAPONS
Law enforcement agencies must walk a careful line in American Tasers®
society. While police officers are responsible for maintaining A CED is a device designed to deploy electricity throughout the
peace and order, this is complicated by a multitude of factors body of the target to temporarily cause loss of muscle control.
unique to each and every situation. When an officer responds to Throughout the history of law enforcement in America, there

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have been many devices that loosely fit this description, Liability and Less-Lethal Weapons
­including “cattle prods” or “stun guns.” Such devices allow elec-
While empirical research on police use of force has increased
tricity to be deployed on contact with the skin or within close
over the last 50 years, only limited attention has been paid to
distances. Over the past several years, the technology for these
use-of-force encounters wherein the police used “less-lethal
devices has become more advanced, allowing the user to apply
weapons” generally, and the TASER® specifically. Alpert and
the device more accurately and from greater distances. Although
Dunham have focused on use-of-force encounters and police
greatly accepted as a less-lethal weapon option by many local,
injuries and have demonstrated that the greatest likelihood of
county, state, and federal police agencies, they have also been
officer injury occurs when they attempt to control a suspect by
met by community concerns about safety, misuse, and overuse.
punching, kicking, take-down, wrestling, and joint locks.77 These
TASER® International74 is the company best known for produc-
types of incidents account for almost 70 percent of injuries.
ing CEDs. Their product has become so well-known that the
Research findings also reveal a higher likelihood of injury to the
name “TASER®” has become synonymous with “CED,” much
suspect when officers use canines, bodily force, and impact
like the name “band-aid” is to a plastic bandage.75
weapons (e.g., batons and riot sticks) as well. Generally, research
According to the Government Accounting Office, TASERS®
reveals that few problems occur when healthy subjects are
are now used by more than 10,000 law enforcement agencies
shocked or “tased” for less than 15 seconds.78 Even though the
across the United States.76 TASERS® shock a person with 50,000
bulk of research shows that the use of less-lethal weapons
volts and create intense pain and discomfort by involuntary
reduces injury, there have been several highlighted incidents
constrictions of skeletal muscles in order to gain compliance on
across the nation that have peaked interest in the use of such
the part of the suspect. A person being shocked or “tased” is
weapons and influenced public opinion (see Figure 14.5).79
conscious and the event is designed to last for five seconds or
Most departments using TASERS® place the weapon within
less; however, the newest version of the weapon is designed to
their continuum of force policy and provide extensive training on
produce up to three cycles of five seconds (15 seconds). While
the use of the weapon. Most importantly, recent research80 using
application of the electrical current is possible by contacting the
data from 12 local police departments representing more than
end of the device to the skin, the uniqueness of the TASER®
24,000 incidents found that the use of physical force (e.g., striking,
weapons lies in its ability to be applied from greater distances.
wrestling, and come-along holds) by police increased the odds of
Powered by high-pressure air probes that are similar to darts,
injury to both suspects and officers. Conversely, the use of less-
the probes are fired while tethered to the handheld device on
lethal weapons (such as OC spray or TASERS®) decreased the
wire that can reach from 15 to 31 feet. However, in order for the
odds of injury to suspects and officers. When used appropriately
device to be effective in gaining compliance, both probes must
as trained, and controlled through use-of-force policy, the employ-
strike the target, preferably with a spread of about 1 foot
ment of less-lethal weapons (such as OC spray and TASERS®)
between the probes.
against healthy suspects reduces injury overall; by reasonable

FIGURE 14.5 c The use of

pepper spray against Occupy pro-
testors at UC Davis in California in
2011 raised public debate about
police use of less-lethal weapons.
(JASNA HODZIC/epa european
­pressphoto agency b.v./Alamy Stock
Photo)

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extension, the use of less-than-lethal weapons also reduces the departments that prohibit all pursuits, police officers have no
number and severity of potentially successful liability claims duty to refrain from chasing a criminal suspect, even when the
brought against the police.81 To further reduce liability, officers risk of harm to the public arising from the chase is foreseeable
should follow many of the suggestions designed to reduce liability and the suspect is being chased for a misdemeanor.84 In Smith
during use-of-deadly-force encounters as proscribed above, be v. City of West Point,85 the court stated that police “are under no
well-trained on each type of less-lethal weapons, be familiar with duty to allow motorized suspects a leisurely escape.”86 However,
policies relating to their use, and receive periodic in-service train- police do have a duty of care with respect to the manner in
ing to update their skills and the usage of such devices. which they conduct a pursuit. This duty is derived from state
statutes, court decisions defining reasonable care, and depart-
mental pursuit policies.
Statutes in most jurisdictions confer a special status on police
POLICE LIABILITY AND and other authorized emergency vehicles, exempting them from
certain traffic regulations, such as speed limits, traffic signals, and
HIGH-SPEED PURSUIT a right of way.87 Statutes exempting emergency vehicles from
The legal theory underlying most pursuit-related lawsuits is that ordinary traffic regulations generally make the privilege condi-
the police were negligent in conducting a pursuit.82 A negligence tional on (1) the existence of an actual emergency, (2) the use
action is based on proof of the following four elements: (1) the of adequate warning devices, and (3) the continued exercise of
officer owed the injured party a duty not to engage in certain due care for the safety of others. Whether a government unit or
conduct, (2) the officer’s actions violated that duty, (3) the offi- its officers can be held liable depends in large part on the con-
cer’s negligent conduct was the proximate cause of the accident, struction of such statutes. As a general rule, police drivers are
and (4) the suing party suffered actual and provable damages.83 not liable for negligence as a matter of law solely because they
Negligence litigation focuses on the alleged failure of an officer disregard a traffic regulation during an authorized emergency
to exercise reasonable care under the circumstances. run. However, these statutes provide no protection against liabil-
ity for an officer’s reckless driving. Drivers of emergency police
vehicles have a statutory duty to drive with due regard for the
Duty Owed safety of others.
Courts first determine the duty owed in a pursuit situation by Court decisions defining the reasonable care standard consti-
examining the officer’s conduct in light of relevant laws and tute a second source from which to derive a duty owed by police
department regulations. With the exception of some police pursuit drivers. Most courts have translated the reasonable care

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Quick Facts: The Statistics of Police Pursuits and Chases

A recent National Highway Traffic and Safety Administration missing license plate or expire registration (nearly
(NHTSA) analysis revealed that over 11,500 people, including 5,000 cases).
6,300 fleeing suspects, were killed in police pursuits from • Only 5 percent of the cases were developed in an effort
1979 to 2013; that is an average of 329 a year—nearly one to arrest a suspected for a violent crime (e.g., robbery,
person a day. The number also includes more than 5,000 kidnapping, assault, or murder). Only 168 cases out of
innocent bystanders and passengers killed, and countless over 63,500 cases in 13 years (less than 003 percent)
more injured as a result of high-speed and dangerous pur- sought a known suspect for murder.
suits often initiated by the police for minor traffic infractions.
• Nearly a 1,000 cases were initiated for safety violations
In addition, State of California records of 63,500 police
like not wearing a seat belt or not wearing a helmet for
chases from 2002 through 2014 revealed:
motorcycle rider.
• Most chases ended quickly—76 percent were over within • In 90 cases, police chased suspect for “driving too slowly.”
five min.
Source: Thomas Frank, “High Speed Police Chases Have Killed
• The vast majority (a whopping 89 percent) were Thousands of Innocent Bystanders,” USA Today (July 30, 2015).
initiated for vehicle-code violations or traffic infractions, See: http://www.usatoday.com/story/news/2015/07/30/
including speeding, vehicle theft, reckless driving, and police-pursuits-fatal-injuries/30187827/

standard into a duty to drive with the care that a reasonable, liable because the accident was the proximate and foreseeable
prudent officer would exercise in the discharge of official duties result of their failure to adequately warn other drivers of the
of a similar nature.88 “Reasonable care” is a relative term depend- pursuit. In Nelson v. City of Chester, Ill.,91 the court held that the
ing on the exigencies of the situation and the degree of care and city’s breach of its duty to properly train its police officers in
vigilance reasonably dictated by the circumstances of the chase. high-speed pursuit might be found to be the proximate cause of
A third source from which to derive a duty owed by police the pursued driver’s death, notwithstanding the contributing neg-
pursuit drivers is department policy. A law enforcement organi- ligence of the pursued driver.
zation’s policies, procedures, and training material concerning Legal barriers to civil actions, such as immunity, have been
high-speed pursuits are generally admissible as evidence in law- removed in many jurisdictions by a combination of legislation
suits against the department or its officers for the negligent and judicial decisions, even though the extent of immunity con-
operation of a pursuit vehicle.89 For example, in order to ascer- tinues to vary.92 Statutes in most states have limited sovereign
tain the standard of care applicable to a particular pursuit situa- immunity to discretionary as opposed to ministerial decisions.
tion, a court could admit into evidence a police department Accordingly, the decision to pursue is viewed as discretionary,
regulation defining the proper speeds at which police cars rendering the public entity immune, but the manner of pursuit
responding to emergency calls were supposed to enter intersec- is a ministerial decision for which there is no general grant of
tions when proceeding against red traffic signals. Depending on immunity. Rhodes v. Lamar93 used this bifurcated approach to
the jurisdiction involved, departmental pursuit policies may be hold that the decision to institute a pursuit is a discretionary
merely a guideline to assist juries in determining the reasonable- decision for which a sheriff enjoyed sovereign immunity, but
ness of pursuit conduct, or they may actually constitute a duty liability was not precluded if the pursuit was conducted in a
owed, the violation of which would be considered negligent. manner that violated a reasonable duty of care. In Fagan v. City
of Vineland, the Court of Appeals allowed the municipality to
Proximate Cause be sued directly under Section 1983 when the pursuit causing a
constitutional tort was pursuant to municipal policy or custom.
Liability must be based on proof that police conduct in breach-
Furthermore, the court allowed the municipality to be held liable
ing a duty owed was the proximate cause of a pursuit-related
for lack of training its officers in high-speed pursuit even if none
accident. Proximate cause is difficult to establish in cases involv-
of the officers involved in the pursuit at issue violated the
ing the intervening negligence of other drivers, such as a case in
Constitution.94
which a fleeing motorist collides with an innocent person. In
such cases, some courts impose liability on the officer and the
department if the accident was a foreseeable consequence of Federal Civil Rights Act
police negligence.90 For example, if police pursue without acti- Pursuit-related liability under the federal Civil Rights Act,
vating their emergency/flashing lights and siren and an innocent 42 U.S.C. 1983, requires proof that an officer’s conduct violated
citizen enters an intersection without being warned of the pur- a constitutionally protected right.95 In Cannon v. Taylor,96 the
suit and collides with the pursued vehicle, the police may be Court of Appeals for the Eleventh Circuit concluded that

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“a person injured in an automobile accident caused by the neg- crime or only a misdemeanor? Was the motorist already
ligent, or even grossly negligent, operation of a motor vehicle operating the vehicle in a reckless and life-threatening
by a police officer acting in the line of duty has no Section 1983 manner before the pursuit started or had the motorist com-
cause of action for violation of a federal right.”97 The Supreme mitted a minor, nonhazardous traffic violation prior to the
Court in County of Sacramento v. Lewis decided that a police pursuit but then started driving in a reckless and life-threat-
officer does not violate the Fourteenth Amendment’s guarantee ening manner after the pursuit was initiated? Is there a
of substantive due process “by causing death through deliberate need for immediate apprehension or has the suspect been
or reckless indifference to life in a high-speed automobile chase identified so that apprehension at a later time is possible?
aimed at apprehending a suspected offender.”98 The only viola-
tion of substantive due process occurs when there is a purpose DRIVING CONDITIONS
to cause harm unrelated to the arrest. Automobile negligence This factor involves a general assessment of equipment,
actions are grist for the state law mill, but they do not rise to the the weather, roadway and traffic conditions, and the ex-
level of a constitutional deprivation.99 The common thread run- perience and personal ability of the drivers involved in
ning through the cases is that negligent conduct during a pursuit the chase.
does not suffice to trigger jurisdiction under Section 1983. How-
ever, a municipality can be held liable under Section 1983 if USE OF WARNING DEVICES
there was no or inadequate high-speed pursuit training for its The use of adequate visual and audible warning devices,
officers, even when the officers involved with a pursuit were not such as flashing lights and a siren, not only is a statutory
individually negligent.100 mandate for most pursuit situations but also ensures to
Certain techniques employed by police during a pursuit may the greatest extent possible that other vehicles and pedes-
raise constitutional issues cognizable under 1983. For example, trians are alerted to approaching emergency vehicles and
in Jamieson By and Through Jamieson v. Shaw101 the court held to the need to yield the right of way.
that the constitutionally permissible use-of-force standard set
forth by the Supreme Court in Tennessee v. Garner102 was vio- EXCESSIVE SPEED
lated when a passenger in a fleeing vehicle was hurt when the Whether a particular speed is excessive depends on the
vehicle hit a so-called deadman roadblock after officers allegedly purpose of the pursuit, the driving conditions, and the
shined a bright light into the driver’s eyes as the vehicle personal ability of a police driver to control and effec-
approached the roadblock. In Bower v. County of Inyo,103 a high- tively maneuver the vehicle. Speed when crossing an in-
speed pursuit of over 20 miles ended when the fleeing suspect tersection against a light or sign is an especially critical
was killed when his vehicle hit a tractor-trailer that police had consideration, since statistics suggest that most pursuit-re-
placed across the road as a roadblock. The Court of Appeals lated collisions occur at intersections.105 Liability may be
held that police use of a roadblock could constitute a constitu- based on the failure to sufficiently decrease speed when
tional violation of substantive due process if it was designed as approaching an intersection so that a complete stop can
an intentional deathtrap where the approaching driver does not be made to avoid a collision.
have a clear option to stop because the roadblock is concealed
around a curve or inadequately illuminated. The Supreme Court DISOBEYING TRAFFIC LAWS
went further in stating that the deceased driver was unreason- Pursuit vehicles are statutorily obligated to use due care
ably “seized” when the roadblock was placed completely across for the safety of others when disobeying traffic laws, such
the highway in a manner likely to kill the driver and that the as operating a vehicle on the wrong side of the road,
police officers were liable under the Fourth Amendment and passing on the right, going the wrong way on a one-
Section 1983 for the use of excessive force.104 way street, passing in a “no passing” zone, or proceed-
ing against a traffic signal. These dangerous and high-risk
driving situations should be avoided because police are
Factors Determining Liability generally held liable for any resulting accidents.106
Pursuit-related litigation usually involves an inquiry into whether
the manner in which the pursuit was conducted was reasonable ROADBLOCKS
under the circumstances of that case. Each pursuit situation is Special care is required when using roadblocks to ensure
different and requires a particularized assessment. Following is that innocent persons are not placed in a position of dan-
a brief discussion of certain factors that most frequently deter- ger and that the fleeing motorist is afforded a reasonable
mine the extent of pursuit-related liability. opportunity to stop safely.107 To reduce the risk of liability,
it is recommended that roadblocks be used only when
PURPOSE OF PURSUIT authorized by a supervisor and only as a last resort to ap-
This factor relates to the need or reason for a pursuit. Does prehend a fleeing motorist who is wanted for a violent fel-
the purpose of the pursuit warrant the risks involved? What ony and who constitutes an immediate and serious threat.
is the nature and seriousness of the suspected offense? Is Although the Supreme Court stated that a roadblock could
the fleeing motorist suspected of committing a serious be a Fourth Amendment unreasonable seizure granting

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Section 1983 liability,108 the Court of Appeals for the had fled from the police and who were confined to jails in three
First Circuit qualified the definition of “seizure” to apply cities: Omaha, Nebraska; Miami, Florida; and Columbia, South
to roadblock accidents constituting a “misuse of power” Carolina. Over 70 percent of the suspects said that they would
as opposed to the “accidental effects of otherwise lawful have slowed down “when I felt safe” whether the pursuit was
governmental conduct.”109 on a freeway, on a highway, or in a town. The phrase “when I
felt safe” was interpreted by the respondents as outdistancing
TERMINATION OF PURSUIT the police by 2.2 blocks on surface streets, 2.3 miles on high-
Every police department’s pursuit policy has a provi- ways, and 2.5 miles on freeways. Fifty-three percent of the sus-
sion dealing with termination of pursuit. When officers pects responded that they were willing to run at all costs from
are expected to terminate varies considerably, depend- the police in a pursuit, and 64 percent believed that they would
ing on the agency’s philosophy. Some agencies allow not be caught; however, 71 percent said that they were con-
their officers very broad latitude, while others greatly cerned with their own safety, and 62 percent stated that they
restrict officers’ actions. Policies generally fall into one were concerned with the safety of others while engaged in a
of three models:110 chase.114
Thus, law enforcement agencies that allow their officers
1. Judgmental—Allowing officers to make all major
broad discretion in pursuit can expect a greater number of
decisions relating to initiation, tactics, and termination.
arrests of violators who flee. However, they can also expect to
2. Restrictive—Placing certain restrictions on officers’ have more uninvolved third parties injured or killed, as well as
judgments and decisions. more police officers injured and a greater number of lawsuits.
3. Discouragement—Severely cautioning or discouraging Conversely, those departments that have more restrictive policies
any pursuit, except in the most extreme situations. can expect more conservative results. The final decision is ulti-
However, despite these variations in department policies, a mately left to the chief administrator of the agency.
noticeable trend has been emerging. Increasingly, police
departments are permitting their officers to pursue only indi- Departmental Responsibility for Liability
viduals who are known to have committed dangerous
­felonies—that is, murder, felonious assault, rape, robbery, kid- Reduction
napping, and so on. This trend is occurring because it is To reduce the risks and liability associated with vehicular pur-
becoming increasingly difficult to justify pursuits that result in suits, law enforcement organizations must carefully evaluate
injuries and the death of innocent third parties, as well as the their pursuit policies, training, supervision, and postincident
injuries and death of police officers. Another reason for the dra- evaluations. Liability reduction is accomplished through sound
matic shift in these policies has been because of the ­enormously management controls and a reduction in the number of pursuit-
high-monetary judgments imposed by juries for injuries to related accidents.
innocent third parties.
Alpert111 and Beckman112 show that the vast majority of POLICY DEVELOPMENT
pursuits are for traffic violations and/or misdemeanors and not The function of a well-written pursuit policy is to state
felonies. The issue of when the violator would eventually stop the department’s objectives, establish some ground rules
was addressed by Alpert.113 He interviewed 146 inmates who for the exercise of discretion, and educate officers as to

Box 14.2: Dallas, Texas Police Department Institutes a Restrictive

Vehicle Pursuit Police

The Dallas Police Department has one of the most restrictive rates remain among the lowest in Dallas for decades. The
vehicle pursuit policies in the United States, and the policy policy is still at odds with many officer’s desires to chase
appears to be saving officers’ and citizens’ lives. Since the down the bad guys, but for newer officers, the policy is just
policy was enacted at the beginning of 2007, individual offi- the way things have always been.
cers and the police unions have been critical, indicating that Note that the policy places the entire decision on the
the policy is “soft on criminals” and encourages traffic viola- officer. The highlighted area indicates that the officer must
tors not to stop for the police. Several officers indicated that be able to immediately articulate why he or she is engaging
the policy actually undermined their ability to “catch crimi- in a chase and that the immediate need to apprehend the
nals.” However, the policy has dramatically decreased the offender (via a police pursuit) outweighs the safety of other
numbers of officers and citizens killed and injured in the city members of the community who might be endangered by
of Dallas as the result of a police vehicle pursuit, and crime the chase.
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Dallas Police Department General Order

301.00 Emergency Vehicle Operation
Revised 09/18/15

301.07 Vehicle Pursuits

A. Purpose - The purpose of this policy is to establish guidelines for making decisions with regard to vehicular pursuits.
B. Philosophy - General Order 906.01 B., states “protection of human life is a primary goal of the police department;
therefore, police officers have a responsibility to use only the degree of force necessary to protect and preserve
life.” Initiating or participating in a vehicular pursuit presents a danger to the officers involved, the suspect, and the
general public. Accordingly, the decision to initiate a pursuit must be based on the pursuing officer’s conclusion
that the immediate danger to the officer, public and suspect created by the pursuit is less than the immediate or
potential danger to the public should the suspect remain at large.
C. Definition - A Pursuit is defined as an active attempt by an officer in an authorized emergency vehicle to apprehend
a fleeing suspect in a motor vehicle who is attempting to elude the officer. A suspect is considered to be fleeing
upon making any overt action intended to avoid arrest. For the purpose of this order, violators who follow all traffic
regulations after an officer initiates a traffic stop and are merely failing to yield to the authorized emergency vehicle
are not considered to be fleeing. The term “Chase” will be considered synonymous with “Pursuit”.
D. Decision to Initiate Pursuit
1. The decision to pursue must be based upon facts and circumstances known to the officer.
2. In deciding whether to pursue, an officer must take the following pursuit risk factors under consideration:
a. road, weather and environmental conditions.
b. population density, vehicle and pedestrian traffic.
c. relative performance capabilities of both the authorized emergency vehicle and the suspect’s vehicle.
d. seriousness of the offense.
e. presence of other persons in the police vehicle.
f. age of offender.
g. whether or not the offender’s identity is known, and
h. any circumstance under which the pursuing officer will be unable to maintain control of the emergency
vehicle.
3. An officer may initiate a pursuit under the following circumstances:
a. When the officer has probable cause to believe that a felony involving the use or threat of physical force or
violence has been, or is about to be, committed, and the officer reasonably believes that the immediate need
to apprehend the offender outweighs the risk to any person of collision, injury or death, or
b. to assist another law enforcement agency that has initiated a pursuit under the same circumstances.
c. All other pursuits are prohibited.
4. Officers will not pursue a motorist whose only offense is driving while intoxicated if the actions of the driver
escalate beyond merely failing to yield to the emergency vehicle.
E. Manner of Operation While in Pursuit
1. The emergency warning lights, siren, and emergency vehicle headlights will be used at all times while operating
Code 3.
2. Only police vehicles equipped with operable emergency warning lights and sirens will participate in the pursuit
of a fleeing vehicle.
3. Unmarked vehicles without roof mounted emergency warning light systems will not become involved in a pur-
suit. Supervisors in unmarked vehicles will follow the chase using a Code 1 response.
4. If a pursuit is initiated by a motorcycle, the motorcycle will abandon the pursuit when a four-wheel unit with roof
mounted emergency warning light systems joins the pursuit.
5. Vehicles with passengers (prisoners, witnesses, suspects, complainants or other non-police personnel who have
not signed a waiver of liability) will not become engaged in pursuits.
6. Paddy Wagons will not become engaged in pursuits.

specific factors they should consider when conducting provides a basis for holding officers accountable for their
a vehicular pursuit. Where feasible, a comprehensive pursuit-related conduct.
­policy statement should give content to terms such as
“reasonable” and “reckless” and provide officers with TRAINING
more particularized guidance. A policy should be tailored Lack of adequate training may contribute to many pursuit-
to a ­department’s operational needs, geographical pecu- related accidents. The natural tendency for many police
liarities, and training capabilities. A written policy also drivers is to become emotionally involved and therefore

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lose some perspective during a pursuit. They are also straddled both vehicle pursuit and use-of-deadly-force case law.
required to drive different police vehicles with unique The case involves several West Memphis (AR) police officers
handling characteristics under various road and weather who ended a high-speed vehicle pursuit by firing their weapons
conditions. It is easy to lose control of a vehicle that is 12 times at a man fleeing from them in a vehicle. The court, in
driven beyond its or the driver’s capabilities, and law this decision, held that the officers’ actions were reasonable in
enforcement organizations can be held liable for failing that the police chase caused a “grave public safety risk” to the
to provide adequate driver training to prepare officers to wider community. As a result, the use of deadly force to end
handle vehicles safely in pursuit situations.115 The extent dangerous vehicle pursuits is justified in cases where the “totality
and type of training required depend on a department’s of the circumstances” would make such action reasonable under
operational needs and objectives. A minimal level of Graham v. Connor.117
cost-effective training can be accomplished by emphasiz-
ing defensive driving techniques and carefully instructing
officers about departmental pursuit policies and relevant
state regulations concerning the operation of emergency LIABILITY AND EMOTIONALLY
vehicles. DISTURBED PERSONS
SUPERVISION Forty percent of persons suffering from serious mental illness
Police departments are responsible for providing ade- will be arrested at least once during their lifetime. For this rea-
quate supervision of officers involved in a pursuit. Ex- son, it is imperative that progressive law enforcement agencies
perts who have studied the emotionalism and psychology assume responsibility for evaluating potentially dangerous situ-
associated with pursuits recommend that, as soon as pos- ations and recognizing those individuals suffering from various
sible after a pursuit has been initiated, a supervisor who forms of mental illness. These individuals are commonly referred
is not in any of the pursuit vehicles be tasked with the to as emotionally disturbed persons (EDPs).118
responsibility of supervising the pursuit.116 The supervi- Police responses to EDPs are determined to some degree by
sor who is not immediately involved is in a better position the manner in which the contact is initiated. The largest percent-
to oversee objectively the pursuit and decide whether age of police officer contacts with EDPs are a result of on-the-
it should continue and under what circumstances. The street observations of bizarre, disruptive, or abnormal behavior.
supervisor should track the location of the pursuit, des- These encounters often end in an arrest of the subject for a rela-
ignate the primary and secondary pursuit vehicles, and tively minor charge (e.g., disturbing the peace, disorderly con-
maintain tight controls on the desire of other officers to duct, vagrancy, or loitering), especially if alcohol use can be
get involved or parallel the action. Effective communica- easily detected (see Figure 14.6). In other cases, the police
tion between the pursuing vehicles and the supervisor receive complaints on an EDP as a result of a family disturbance
is essential. The failure to transmit information concern- or neighborhood problem. In either event, officers are often
ing the location of a pursuit, the offense for which the confronted by an individual with whom they have had prior
pursuit was initiated, and other information required by contact (perhaps multiple prior contacts) and one who might
departmental policy, such as the speed of vehicles, traffic suddenly and without provocation burst into a violent confronta-
conditions, and whether the pursued vehicle is ignoring tion, endangering everyone at the scene. As a result, many police
traffic lights and signs may contribute to a subsequent ac- departments are beginning to address this issue through basic
cident because the supervisor lacks sufficient knowledge and advanced training. For example, the Washington State Crimi-
to order a pursuit terminated. nal Justice Commission has developed a unique curriculum
focused on five key areas:
EVALUATION AND DOCUMENTATION
1. Recognizing abnormal behavior and mental illness
Law enforcement organizations should provide for an (neuroses, psychoses, and psychopathic/sociopathic
ongoing process of evaluation and documentation of behavior);
pursuit-related incidents. All pursuits, including those
2. Dealing with suicidal subjects (true versus parasuicidal
successfully terminated without an accident, should be
behavior);
routinely critiqued to determine whether departmental
policy was followed and the extent to which any policy 3. Developing crisis intervention skills (legal
modification, training enhancement, or other remedial considerations in subject committal, tactical responses
action is warranted. to handling the EDP, and responses to mental
disturbance calls);
Vehicle Pursuits and the Use of Deadly 4. Developing awareness and knowledge of community
Force services (interim facilities, hospital and emergency
In an interesting mix of case law, the Supreme Court decided services, and community care homes); and
(2014) that police officers have an affirmative duty to end “grave 5. Recognizing and caring for Alzheimer’s patients
risks” to the community. In Plumhoff v. Rickard, the Court (physical cues and behavior).119

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FIGURE 14.6 c Police officers

often encounter vagrants near
public buildings, business
entrances, and parks. Removing
emotionally disturbed people,
homeless vagrants, and panhan-
dlers is often a very delicate issue.
(Mark Boster/Los Angeles Times/
Getty Images)

Other departments have also developed specialized in-service to open the door to the officers, they let themselves in with
courses designed to provide more information to officers. The the key provided by the social worker, and the officers were
Monterey County Police Chief’s Association has developed a confronted with ­Sheehan, who was holding the knife. The
Crisis Intervention Team (CIT) Academy in San Jose, California. officers called for back-up but decided that Sheehan presented
The academy has distinguished itself through community col- an imminent threat and entered her room before back-up
laboration and is well respected as a training model by the arrived, with their guns drawn. After Sheehan could not be
legislature and law enforcement community in California. The subdued with the use of less-lethal weapons (pepper spray),
CIT Academy provides a 40-hour intensive training course that the officers opened fire, wounding Sheehan. She later sued
includes role playing, interactive participation of people with for claimed violations of the Fourth Amendment and the
mental illness (consumers), identification of various symptoms ­Americans with Disabilities Act (ADA), a 1990 law that requires
and signs of medication use by consumers, crisis negotiation government programs to take steps to accommodate the
skills and tactics, panel discussions and feedback, visits to disabled.
interim-type housing facilities, suicide and crisis training, and a In City and County of San Francisco vs. Sheehan, the Court
constant review of all countywide protocols and incident proce- ruled that the officers did not violate the Constitution on their
dures.120 The training focuses on developing the most useful tool first entry into Sheehan’s room and that the use of force on
available to officers on the street: the ability to communicate in entering the second time was “reasonable,” but it did not
a nonthreatening manner. address whether the two officers were liable on Sheehan’s
The effective training of police officers in dealing with constitutional claim that the Fourth Amendment required them
EDPs should result in two significant changes. First, there to accommodate her mental condition. Hence, no landmark
should be fewer incidents in which the use of force is neces- case exist that could have documented and established officer’s
sary, thereby increasing officer safety. Second, effective train- duties under similar circumstance involving EDPs and the
ing will provide a strong defense to litigation, should the ADA—officers were immune to that specific claim.121 However,
department become entangled in litigation arising from the Department of Justice generally holds that Title II of the
the handling of an EDP. ADA includes all operations and activities of a police depart-
Case law on the subject is still evolving. In 2015, the ment, including the provision of reasonable accommodations
Supreme Court declined to expose two San Francisco police during an arrest. So despite the lack of clarity from the Supreme
officers to liability under the Fourth Amendment after they Court and the inconsistency among lower courts related to
shot a mentally ill woman who was brandishing a knife and whether the ADA requirement of reasonable accommodation
making death threats. The incident occurred in August 2008, applies to arrest, “a law enforcement agency may be subject to
when a San ­Francisco city social worker called police after he an enforcement action by the DOJ if reasonable accommoda-
was threatened by Teresa Sheehan when he went to check on tions are not provided during an arrest when dealing with a
her at the group home where she lived. When Sheehan refused subject who is mentally ill.”122

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Box 14.3: Portland Police and Oregon Try to Impact Police Handling
of Emotionally Disturbed Persons

Amid a rash of highly controversial shootings throughout the resisting arrest, had reportedly been suicidal after the death
State of Oregon, the legislature passed Senate Bill 111 (SB of his sister. During a bungled communication, officers mis-
111) in late 2007, to be in force by the end of 2008. The law takenly believed that Campbell made threatening gestures
requires each county in the state to develop a plan regard- and the ensuing 50 rounds fired by the police was caught on
ing the use of deadly physical force by law enforcement video and widely dispersed on YouTube (see:—http://www.
officers. The purpose of the committee composed of various youtube.com/watch?v=_iwyd4ZHBUc).
law enforcement executives within each of Oregon’s 36 The questionable shooting sparked an outrage in the city,
counties was to develop a deadly physical force plan to with numerous public demonstrations and the firing of Chief
meet specific criteria: of Police Rosie Sizer on May 12, 2010, in part for $1.6 million
settlement for yet another questionable police-involved
• Develop proper training on the use of deadly force for
death. James A. Chasse, a skid-row bum with a history of
police officers on a local and state-wide basis.
mental illness was chased by police after allegedly urinating
• Provide mechanisms for support for officers, civilians, on the street. Witnesses indicated that police officers tack-
and families of a community involved in a deadly force led, tased, and kicked Chasse as he laid defenseless on the
incident. ground. He died in the backseat of a police cruiser from inju-
• Develop a specific process or protocol for investigating ries that included 26 breaks to 16 ribs and a punctured lung.
a deadly force incident. It is precisely these types of questionable incidents that
• Determine whether the use of deadly force complied cause significant strain between the police and public, and
with applicable federal, state, and local law as well as demand that police act appropriately in handling emotion-
the individual police department police. ally disturbed persons. The Portland Police Bureau remains
under a Federal Consent Decree since 2012.
• Stimulate research and interest on the issue of police
use of deadly force. Source: See http://www.leg.state.or.us/07reg/measpdf/sb0100.
dir/sb0111.c.pdf (Retrieved July 20, 2010); ‘Why James Chasses’
Unfortunately, Oregon continues to suffer under the
Story Matters to Portland,’ The Oregonian, May 11, 2010; “Man
specter of questionable police use of deadly force. On Shot and Killed by Police, KPTV.com (February 1, 2010), see
­January 29, 2010, an unarmed Aaron M. Campbell was shot http://www.kptv.com/news/22383908/detail.html; Carol Cratty,
in the back by members of the Portland Police Bureau SWAT “Portland Police, Justice Department Agree on Excessive Force
team as he exited his apartment complex. Campbell, a per- Reform,” CNN (December 17, 2012), see: http://www.cnn.
son with a violent past including weapons charges and com/2012/12/17/justice/portland-police-justice-department/.

FEDERAL CONSENT DECREES for controlling the police outside of civil litigation. After a high-
speed pursuit stemming from a speeding violation, no less than
The violent beating of Rodney King by several police officers in 20 officers from the California Highway Patrol (the agency initiat-
Los Angeles in 1991 shook the consciousness of the United ing the pursuit), the Los Angeles School District, the Los Angeles
States and set in motion one of the most sweeping mechanisms County Sheriff’s Office, and the Los Angeles Police Department

Quick Facts: Officer Sues the Suspect

In an interesting turn of events, a white Chicago police officer lawsuit, the officer’s emotional as well as operational actions
counter-sued the estate of Quintonio LeGrier, an African- are considered in this controversial case involving police use
American teenager shot dead by the officer the day after of deadly force—one of many that have riddled the Chicago
Christmas, 2015. The officer, Robert Rialmos alleged that the Police Department.
19-year-old LeGrier assaulted him with a baseball bat and Source: Catherine E. Shoichet, Jeffrey Acevedo, and Tony
caused him to suffer extensive trauma and post-traumatic Marco, “Chicago Cop Who Killed Quintonio LeGrier Sues
stress. He argues that he had no other choice but to use Teen’s Estate for $10 million” (Chicago, IL: CNN, February 9,
deadly force against the teenager to save his life. He is seek- 2016). See: http://www.cnn.com/2016/02/07/us/
ing more than $10 million in damages. In the first-of-its-kind chicago-police-officer-sues-quintonio-legrier-estate/

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responded to incident. Four LAPD officers were charged with essentially compel the defendant jurisdiction to change their
the assault of King with a deadly weapon and the use of exces- practice through what is commonly known as a federal
sive force, as they were videotaped hitting, kicking, and tasing consent decree. Specific agencies agree to demanded changes
King. The ensuing trial ended with deadlocked jury and the over specified timeframes that are formalized in a “memoranda
acquittal of the officers. The incident triggered the 1992 of understanding” and enforced by external and neutral federal
Los Angeles riots in which 53 people were killed, 2,000 more monitors that oversee the changes and subsequent compliance
were injured and millions of dollars of property damage by the agency.
occurred. The then Governor Pete Wilson activated the California The first case of federal suit or consent decree was brought
National Guard in an effort to restore order. against the Pittsburgh (PA) Police Department in 1997 for a “pat-
As a result, the largest crime bill in the history of the United tern and practice” of police abuse, particularly against the black
States, the 1994 Violent Crime Control and Law Enforcement Act community.123 Since that time, nearly 30 cities have entered into
was passed by Congress and signed into law by President Bill consent decrees with the Department of Justice, including a large
Clinton. The law provided for 100,000 new police officers, over variety of agencies such as Los Angeles Police Department (CA),
$9.5 billion in funding for prison and another $6.1 billion in Cincinnati and Cleveland Police Departments (OH), New Orleans
funding for community prevention programs. The law also Police Department (LA), Portland Police Bureau (OR), Detroit
funded the development of the Community Oriented Policing Police Department (MI), the New Jersey State Police, the Virgin
Services office within the U.S. Department of Justice (COPS Islands Police Department, Seattle Police Department (WA),
Office) for another $14 billion aimed at not only hiring but also Albuquerque Police Department (NM), and Missoula Police
significantly training police officers in community policing pro- Department (MT). The importance of these consent decrees can-
grams aimed at bringing the police and minorities closer not be overstated in reforming rogue police agencies and depart-
together. The law also gave, for the first time in American his- ment.124 Transformational change within police cultures is
tory, the federal government under the guidance of the U.S. difficult at best and in many instances, changing patterns of
Department of Justice, the power to sue local and state jurisdic- abuse and excessive force as well as abhorrent behavior requires
tions over a “pattern and practice” of policing that violated fed- significant time and focused external effort. Police agencies, as
eral law or the U.S. Constitution. The impact of such suits has well as individual officers, must be accountable for their actions;
been dramatic in policing over the past two decades. The suits federal consent decrees have made such an impact.125

Box 14.4: Police Sexual Violence (PSV): An Emerging Law Enforcement Issue

By John C. Liederbach and Robert W. Taylor

Police sexual violence (PSV) has emerged as a critical Police work affords ample opportunities to rogue police
issue for law enforcement agencies. PSV is the most egre- officers to perpetrate acts of sexual deviance and violence.
gious form of police sexual misconduct and involves sexual Opportunities for sex-related misconduct derive from the
harassment and violence—including rape and violent sexual context of the job. Police commonly patrol alone and largely
assaults—perpetrated by police officers against victims who free from any direct supervision. Police commonly encounter
are most often women. The PSV issue has surfaced within citizens who are vulnerable, usually because they are victims
the context of recent high-profile cases that clearly demon- or criminal suspects. Police–citizen interactions often occur in
strate the problem. The city of San Diego (CA), for example, the late-night hours that provide low-public visibility and
recently (2015) paid $5.9 million to settle a civil lawsuit ample opportunities to those officers who are able and will-
involving a former San Diego Police Department officer who ing to take advantage of them to commit acts of sexual devi-
groped a woman in a public restroom while on-duty. The ance and to perpetrate sex crimes.128
officer was found guilty of 12 different sex-related charges Cases of sex-related police misconduct and crime have
perpetrated against five different woman during a previous been described as ”hidden” offenses that are likely to go
criminal trial.126 Other cases in Los Angeles (CA), Eugene unreported; and hence, difficult to document and study.
(OR), Nassau County (NY), Houston (TX), Milwaukee (WN), However, there is a limited but growing line of empirical
and Chicago (IL) have also raised the specter of PSV. The research designed to identify and describe the problem of
International Association of Police Chiefs (IACP) has recog- PSV. One of the earliest studies on the phenomenon is
nized PSV as an important problem for police agencies and authored by Kraska and Kappeler.129 They use published
has held official roundtable discussions and published pol- opinions of the federal district courts in Section 1983 actions
icy recommendations that describe sex-related misconduct to identify and describe cases that mostly involved the use of
as an issue that ”warrants the full attention of law enforce- strip or body cavity searches by police; but also, less com-
ment leadership.”127 monly involved sexual assaults or rape. Other studies use
(continued )

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published court opinions to focus on PSV liability under state A 2014 national-scale study of PSV identifies and describes
tort law, and the Section 1983 liability of individual officers cases in which police officers were arrested for criminal
engaged in PSV,130 Walker and Irlbeck identify what they offenses associated with sex-related misconduct through a
refer to as the national problem of ”driving while female.”131 content analysis of published newspaper articles. The study
Police in these cases use the pretext of alleged traffic viola- identified 548 arrests of police officers across the United States
tions to sexually harass or abuse female drivers. A follow-up for sex-related crimes from 2005 to 2007. The most serious
report also includes victims of sexual misconduct who were offense charged in over 20 percent of these cases was forcible
prostitutes or teenagers involved in police ”explorer” pro- rape (n = 117). There were also 107 cases of forcible fondling,
grams. Rabe-Hemp and Braithwaite explore recidivism 59 cases involving statutory rape, 54 cases involving forcible
among police who perpetrate sex crimes. Their findings sug- sodomy, and 39 cases involving child pornography. The study
gest that PSV is a ”pattern prone” offense that often involves found that victims of sex-related police crime are typically
recidivist officers who victimize multiple persons; and, that female and younger than 18 years of age. The study overall
many police accused of sex crimes manage to escape penal- demonstrates that the most egregious forms of PSV are not
ties and maintain police certification by moving from one isolated events, a situation that presents considerable
jurisdiction to another.132 ­challenges to law enforcement executives.133

Police Sexual Violence

(PSV) often occurs while the
officer is working alone at
night, with little or no direct
supervision, and often hidden
from public view. Victims of
PSV are usually those who
are most vulnerable to police
power and abuse, oftentimes
suspects of drug or alcohol-
involved crimes such as
DUI, or prostitutes or adult
entertainment dancers who
work late at night. (Jeremy
Woodhouse/Blend Images/
Getty Images)

ADMINISTRATIVE DISCIPLINE: DUE disciplinary action taken by the government employer threatens
liberty rights of the officer. The second type involves a threat
PROCESS FOR POLICE OFFICERS to property rights.
Liberty rights have been defined loosely as rights involving
The Fifth and Fourteenth Amendments to the Constitution state the protection and defense of one’s good name, reputation, and
that “no person shall be . . . deprived of life, liberty, or property, position in the community. It has, at times, been extended fur-
without due process of law.” ther to include the right to preserve one’s future career oppor-
tunities as well. Thus, when an officer’s reputation, honor, or
integrity is at stake because of government-imposed discipline,
Liberty and Property Rights of Police due process must be extended to the officer.135
Officers It should be noted that the use of the “liberty rights”
There are two general types of situations in the disciplinary approach as a basis for requiring procedural due process has
process in which an employee of a law enforcement agency can proven extremely difficult. The Supreme Court further
claim the right to be protected by the guarantees of due pro- restricted the use of this legal theory by holding that it can be
cess.134 The first type involves those situations in which the utilized only when the employer is shown to have created and

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publicly disseminated a false and defamatory impression about The courts have not examined all the trial elements in the
the employee.136 context of the police disciplinary process. However, some cases
The more substantial and meaningful type of due process have held that police officers must be informed of the charges
guarantee is that pertaining to the protection of one’s property. on which the action is based,142 be given the right to call wit-
Although the general concept of property extends only to real nesses,143 be confronted by the witnesses against them,144 be
estate and tangible possessions, the courts have developed the permitted to cross-examine the witnesses against them,145 be
concept that a person’s property also includes the many valuable permitted to have counsel represent them,146 have a decision
intangible belongings acquired in the normal course of life, such rendered on the basis of the record developed at the hearing,147
as the expectation of continued employment. However, not all and have the decision made by an impartial hearing officer.148
employees are entitled to its protection. A question that has proven particularly troublesome for the
The courts have consistently held that an employee acquires courts is whether due process requires that an evidentiary hear-
a protected interest in a job (property interest or right) only ing be held before the disciplinary action being taken. In Arnett
when it can be established that there exists a justifiable expecta- v. Kennedy, a badly divided Supreme Court held that a “hearing
tion that employment will continue without interruption except afforded by administrative appeal after the actual dismissal is a
for dismissal or other discipline based on just or proper cause. sufficient compliance with the requirements of the Due Process
This expectation of continued employment is sometimes called Clause.”149 In a concurring opinion, Justice Powell observed that
“tenure” or “permanent status.”137 the question of whether a hearing must be accorded before an
Federal courts have been inclined to read employment laws employee’s removal “depends on a balancing process in which
liberally so as to grant property rights whenever possible. For the government’s interest in expeditious removal of an unsatis-
example, the Fifth Circuit Court of Appeals found that a city factory employee is weighed against the interest of the affected
employment regulation that allowed termination “only for cause” employee in continued public employment.”150 In Mathews v.
created a constitutionally protected property interest.138 A fed- Eldridge, the Supreme Court set forth the competing interests
eral district court held that a Florida statute (Section 112.532), that must be weighed to determine what process is due to
known as the “Law Enforcement Officers’ and Correctional Offi- (1) the private interest that will be affected by the official action;
cers’ Bill of Rights,” created a property interest in employment (2) the risk of an erroneous deprivation of such interest through
because of its disciplinary notice provisions.139 That approach is the procedures used and the probable value, if any, of additional
consistent with those of other jurisdictions in which state statutes or substitute procedural safeguards; and (3) the government’s
have been interpreted to give property interests in a job to local interest, including the function involved and the fiscal and
government employees.140 administrative burdens that the additional or substitute proce-
Once a liberty or property right has been established, certain dural requirement would entail.151
due process guarantees attach to protect the employee. The In 1985, the Court further clarified the issue of pretermina-
question becomes, what process is due? tion due process in Cleveland Board of Education v. Louder-
The question of due process for police officers falls into mill.152 The Court found that public employees possessing
two categories: procedural due process and substantive property interests in their employment have a right to “notice
due process. The former, as its name implies, refers to the and an opportunity to respond” before termination. The Court
legality of the procedures used to deprive police officers of cautioned that its decision was based on the employees also
status or wages, such as dismissal or suspension from their job. having an opportunity for a full posttermination hearing. There-
Substantive due process is a more difficult and elusive concept. fore, assuming that a public employee will be able to challenge
Simply, substantive due process is the requirement that the the termination in a full-blown evidentiary hearing after the
basis for government disciplinary action be reasonable, rele- fact, pretermination due process should include an initial check
vant, and justifiable. against mistaken decisions—essentially, a determination of
whether there are reasonable grounds to believe that the
Procedural Due Process charges against the employee are true and support the pro-
posed action. The Court went on to describe an acceptable
One of the 20th century’s preeminent administrative law schol-
pretermination procedure as one that provides the employee
ars, Kenneth Culp Davis, identified 12 main elements of a due
with oral or written notice of the charges against him or her,
process hearing:
an explanation of the employer’s evidence, and an opportunity
(1) timely and adequate notice, (2) a chance to make an oral to present his or her side of the story. The Court reasoned that
statement or argument, (3) a chance to present witnesses and the government interest in the immediate termination of an
evidence, (4) confrontation of adverse witnesses, (5) cross- unsatisfactory employee is outweighed by an employee’s inter-
examination of adverse witnesses, (6) disclosure of all evi- est in retaining employment and the interest in avoiding the
dence relied upon, (7) a decision based on the record of risk of an erroneous termination.153 In 1997, the Court ruled
evidence, (8) a right to retain an attorney, (9) a publicly com- that public employees do not have the right to a hearing before
pensated attorney for an indigent, (10) a statement of findings suspension without pay as long as the suspension is short, the
of fact, (11) a statement of reasons or a reasoned opinion, effect on pay is insubstantial, and the employee is guaranteed
and (12) an impartial deciding officer.141 a postsuspension hearing.154

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Thus, it is clear that public employees who can legitimately discretion, and it is precisely this potential for arbitrary
claim liberty or property right protections of due process for their enforcement which is abhorrent to the Due Process Clause.161
jobs are guaranteed an evidentiary hearing. Such a hearing should
The second course taken by the courts has been to uphold
be conducted before disciplinary action is taken unless the pre-
the constitutionality of the regulation because, as applied to the
discipline protections just mentioned are provided, in which case
officer in the case at hand, it should have been clear to him that
the full-blown hearing could be postponed until afterward.
his behavior was meant to be proscribed by the regulation.
For administrators with a collective bargaining relationship
Under this approach, the court is saying that there may or may
with their employees, where minimal procedural safeguards are
not be some circumstances in which the rule is too vague or
provided in contractual grievance provisions, that avenue of
overbroad, but the rule is constitutional in the present case.
relief may provide an acceptable substitute for constitutionally
Thus, it should be clear to any police officer that fleeing from
mandated procedural rights.155
the scene of an accident162 or making improper advances toward
a young woman during the course of an official investigation163
Substantive Due Process constitutes conduct unbecoming an officer or conduct that dis-
As mentioned earlier, due process requirements embrace sub- credits the police department.
stantive as well as procedural aspects. In the context of disciplin- Many police departments also have a regulation prohibiting
ary action, substantive due process requires that the rules and neglect or dereliction of duty. Although on its face such a rule
regulations on which disciplinary action is predicated be clear, seems to possess some of the same potential vagueness and over
specific, and reasonably related to a valid public need.156 In the breadth shortcomings characteristic of the unbecoming conduct
police environment, these requirements present the greatest rules, it has fared better in the courts because the usual disciplin-
challenge to the commonly found departmental regulations ary action taken under neglect-of-duty rules nearly always seems
against conduct unbecoming an officer or conduct that brings to be for conduct for which police officers could reasonably
discredit on the department. expect disciplinary action. The courts have upheld administrative
The requirement that a rule or regulation be reasonably sanctions against officers under neglect-of-duty rules for sleeping
related to a valid public need means that a police department on the job,164 failing to prepare for planned demonstrations,165
may not intrude into the private matters of its officers in which falsification of police records,166 failure to make scheduled court
it has no legitimate interest. Therefore, there must be a connec- appearances,167 failure to investigate a reported auto accident,168
tion “between the prohibited conduct and the officer’s fitness to and directing a subordinate to discontinue enforcement of a city
perform the duties required by his position.”157 In addition, ordinance.169 The courts have refused to uphold disciplinary
the conduct must be of such a nature as to adversely affect the action against a police chief who did not keep 8-to-4 office
morale and efficiency of the department or have a tendency to hours,170 and against an officer who missed a training session
destroy public respect for and confidence in the department.158 on riot control because of marital problems.171
Thus, it has been held that a rule prohibiting unbecoming con-
duct or discrediting behavior cannot be applied to a police offi- Damages and Remedies
cer’s remarks that were highly critical of several prominent local
In determining an employee’s entitlement to damages and relief,
figures but were made to a private citizen in a private conversa-
the issue of whether the employer’s disciplinary action was justi-
tion in a patrol car and were broadcast accidentally over the
fied is important. For example, when an employee’s termination
officer’s patrol car radio.159
was justified but procedural due process violations occurred, the
The requirements for clarity and specificity are necessary to
employee can recover only nominal damages in the absence of
ensure that (1) the innocent are not trapped without fair warning,
proof of actual compensable injuries deriving from the due pro-
(2) those who enforce the regulations have their discretion limited
cess violation. On proof of actual injury, an employee can
by explicit standards, and (3) where basic First Amendment rights
recover compensatory damages, which would include damages
are affected by a regulation, the regulation does not operate unrea-
for mental and emotional distress and damage to career or repu-
sonably to inhibit the exercise of those rights.160
tation.172 However, injury caused by the lack of due process
The courts’ applications of these requirements to unbecoming
when the termination was justified is not compensable in the
conduct and discrediting behavior rules have taken two courses.
form of back pay.173
The first course, exemplified by Bence v. Breier, has been to
declare such regulations unconstitutional because of their vague-
ness. In its consideration of a Milwaukee Police Department rule
that prohibited “conduct unbecoming a member and detrimental CONSTITUTIONAL RIGHTS
to the service,” the court found that the rule lacked
inherent, objective content from which ascertainable stan-
OF POLICE OFFICERS
dards defining the proscribed conduct could be fashioned. Police officers have the same individual rights that all citizens
Like beauty, their content exists only in the eye of the within the United States are afforded under the U.S. Constitution.
beholder. The subjectivity implicit in the language of the rule Even though they have been given significant training, held to a
permits police officials to enforce the rule with unfettered higher standard of conduct, and are subject to public and legal

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scrutiny, they still enjoy the same protections afforded to every- A more recent basis for enforcing employees’ First Amend-
one else in our society. ment freedom of speech is that of public policy. The Court of
Appeals for the Eighth Circuit held that discharging an employee
who violated the police department’s chain of command by
Free Speech reporting misconduct to an official outside of the city violated
The First Amendment of the U.S. Constitution prohibits Congress the employee’s First Amendment rights. The court reasoned that
from passing any law “abridging the freedom of speech.” It has the city’s interest in maintaining discipline through the chain-of-
been held that the due process clause of the Fourteenth Amend- command policy was outweighed by the public’s vital interest in
ment makes this prohibition applicable to the states, counties, the integrity of its law enforcers and by the employee’s right to
and cities as well.174 speak out on such matters.183 Generally, speech about corrup-
Although freedom of speech is one of the most fundamental tion or criminal activity within the officer’s law enforcement
of all constitutional rights, the Supreme Court has indicated agency is very likely to be given protection under the First
that “the State has interests as an employer in regulating the Amendment, especially when such speech is protected by a state
speech of its employees that differ significantly from those it “whistle-blower statute.”184 Central to a successful claim under a
possesses in connection with regulation of the speech of the whistle-blower statute is that the employee show that discipline
citizenry in general.”175 Therefore, the state may place restric- resulted from the employee’s reporting of a violation of the law.
tions on the speech of its employees that it could not impose Essentially, there must be an element of retaliation against the
on the general citizenry. However, these restrictions must be employee for publicly reporting illegal conduct.185 The employee
reasonable.176 Generally, disputes involving the infringement need only have a reasonable belief that illegal conduct has
of public employee speech will be resolved by balancing the occurred and need not have absolute proof of the illegality.186
interests of the state as an employer against the employee’s It appears that one’s right to speak openly about the policies
constitutional rights.177 of a police department may well depend on four important fac-
There are two basic situations in which a police regulation or tors: (1) the impact of the statements on the routine operations
other action can be found to be an unreasonable infringement of the department, (2) the truth of the statements, (3) the manner
on the free speech interests of an officer. The first is when the in which the statements are made regarding existing policy
action is overly broad. A Chicago Police Department rule pro- orders involving chain-of-command and state whistle-blower
hibiting “any activity, conversation, deliberation, or discussion regulations, and (4) the position occupied by the officer. For
which is derogatory to the Department” was ruled overly broad instance, statements made by dispatchers, clerks, and first-line
because it prohibited all criticism of the department by police officers in a large department that have relatively little impact
officers, even if the criticism occurred in private conversation.178 might be given much more tolerance than supervisory or com-
The same fate befell a New Orleans Police Department regula- mand personnel complaining of departmental policy because
tion that prohibited statements by a police officer that “unjustly the degree of influence, validity, and credibility significantly
criticize or ridicule, or express hatred or contempt toward, increases with rank.
or . . . which may be detrimental to, or cast suspicion on the
reputation of, or otherwise defame, any person.”179
The second situation in which a free speech limitation can be Other First Amendment Rights
found unreasonable is in the way in which the government A basic right of Americans in our democratic system of govern-
action is applied. The most common shortcoming of police ment is the right to engage in political activity. As with free
departmental action in this area is a failure to demonstrate that speech, the government may impose reasonable restrictions on
the statements by the officer being disciplined adversely affected the political behavior of its employees that it could not impose
the operation of the department.180 Thus, a Baltimore police on the citizenry at large. It is argued that, if the state could not
regulation prohibiting public criticism of departmental action impose some such restrictions, there would be a substantial dan-
was held to have been applied unconstitutionally to a police ger that employees could be pressured by their superiors to
officer who was president of the police union and who had support political candidates or causes that were contrary to their
stated in a television interview that the police commissioner was own beliefs under threat of loss of employment or other adverse
not leading the department effectively and that “the bottom is action against them for failure to do so.187
going to fall out of this city.”181 In this case, no significant disrup- At the federal level, various types of partisan political activity
tion of the department was noted. However, when two officers by federal employees are controlled by the Hatch Act. The con-
of the Kinloch, Missouri Police Department publicly complained stitutionality of that act has been upheld by the Supreme
of corruption within city government, the court held that the Court.188 Many states have similar statutes, which are usually
“officers conducted a campaign . . . with complete disregard of referred to as “little Hatch” acts, controlling political activity by
chain of command motivated by personal desires that created state employees. The Oklahoma version of the Hatch Act, which
disharmony among the 12-member police force.”182 Because the was upheld by the Supreme Court,189 prohibited state employees
allegations were totally unfounded and were not asserted cor- from soliciting political contributions, joining a partisan political
rectly through channels instituted by state “whistle-blower” pro- club, serving on the committee of a political party, being a can-
cedures, the dismissals were upheld. didate for any paid political office, or taking part in the

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management of a political party or campaign. However, some at a party with a woman he knew to be a nude model at a local
states, such as Florida, specifically prohibit local governments “adult theater of known disrepute.”193 The court viewed this
from limiting the off-duty political activity of their employees. behavior as being of such a disreputable nature that it had a
Nonpolitical associations are also protected by the First detrimental effect on the discipline and efficiency of the depart-
Amendment. However, it is common for police departments to ment. In 2005, the Supreme Court determined that the police
prohibit officers from associating with known felons or other department could terminate an officer for selling a sexually
persons of bad reputation on the basis that “such associations explicit videotape of himself, in which he identified himself as a
may expose an officer to irresistible temptations to yield in his police officer. The Court ruled that, even though the activities of
obligation to impartially enforce the law, and . . . may give the the officer took place outside the workplace, the department
appearance that the community’s police officers are not them- “demonstrated legitimate and substantial interests of its own that
selves honest and impartial enforcers of the law.”190 Sometimes, were compromised by the officer’s speech” and the activities did
the prohibition is imposed by means of a specific ordinance or not fall under free speech protections.194
regulation, whereas in other instances, the prohibition is The First Amendment’s protection of free speech has been
enforced by considering it conduct unbecoming an officer. Of viewed as protecting means of expression other than verbal
course, if the latter approach is used, the ordinance or regulation utterances.195 That issue as it relates to an on-duty police officer’s
will have to overcome the legal obstacles discussed earlier, relat- personal appearance was addressed by the Supreme Court deci-
ing to unbecoming conduct or discrediting behavior rules. sion in Kelley v. Johnson,196 which upheld the constitutionality
As with rules touching on the other First Amendment rights, of a regulation of the Suffolk County, New York Police Depart-
rules prohibiting associations with criminals and other undesir- ment that established several grooming standards for its male
ables must not be overly broad in their reach. Thus, a Detroit officers. The Court in Kelley held that either a desire to make
Police Department regulation that prohibited knowing and inten- police officers readily recognizable to the public or a desire to
tional associations with convicted criminals or persons charged maintain an esprit de corps was a sufficiently rational justifica-
with crimes except in the course of an officer’s official duties was tion for the regulation. The issue of personal grooming and style
declared unconstitutional because it proscribed some associa- continues to be a subject of hot debate in departments across
tions that could have no bearing on an officer’s integrity or the the nation, particularly as officers move closer to their constitu-
public’s confidence in an officer. The court cited as examples an encies through community policing endeavors.
association with a fellow church member who had been arrested
on one occasion years ago and the befriending of a recently
convicted person who wanted to become a productive
Searches and Seizures and
citizen.191 the Right to Privacy
The other common difficulty with this kind of rule is that it The Fourth Amendment to the U.S. Constitution protects “the
is sometimes applied to situations in which the association has right of the people to be secure in their persons, houses, papers,
not been demonstrated to have had a detrimental effect on the and effects, against unreasonable searches and seizures.” This
performance of the officer’s duties or on the discipline and effi- guarantee protects against actions by states and the federal gov-
ciency of the department. Thus, one court has held that a police ernment.197 Generally, the cases interpreting the Fourth Amend-
officer who was a nudist but was fully qualified in all other ment require that, before a search or seizure can be effectuated,
respects to be a police officer could not be fired simply because the police must have probable cause to believe that a crime
he was a practicing nudist.192 On the other hand, another court has been committed and that evidence relevant to the crime will
upheld the firing of a police officer who had sexual intercourse be found at the place to be searched. Because of the language

Quick Facts: Police Membership in Hate Groups

In 2015, a police officer was forced to resign in San Francisco strongly supported the city’s action. However, at the heart of
because of racist text messages, and a police officer and a the matter is whether an officer can be terminated for his or
lieutenant in the Anniston, Alabama police department were her own personal perspectives of race or their membership
terminated following the discovery of a YouTube video that in a “civic club” even if that club, although legal and lawfully
showed their participation in a neo-Confederate, white formed, expresses extreme bigotry, racism and hate (e.g., the
supremist group called the League of the South (LOS). In KKK, neo-Nazi groups, and Skinheads). The answer is cleared
both of these cases, the officers had extensive Facebook when a policy exists within the department that prohibits
pages which depicted their racist perspectives on all minori- actions of racism or hate that would violate the spirit of the
ties, and members of the gay, lesbian, and transgender pop- U.S. Constitution and/or embarrass the department. In these
ulation. The Anniston case, the group was identified by the cases, as well as in many others, racial bigotry cannot and will
Southern Poverty Law Center as a “hate group” which not be tolerated in police organizations.

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in the Fourth Amendment about “persons, houses, papers, and the nature of the police officer’s employment relationship, “he
effects,” for years the case law analyzed what property was sub- does not have the full privacy and liberty from police officials
ject to the amendment’s protection. However, in Katz v United that he would otherwise enjoy.”203
States (1967)198 the Supreme Court established a two-pronged To enforce the protections guaranteed by the Fourth Amend-
test that accounted for both property and the privacy expecta- ment’s search-and-seizure requirements, the courts have fash-
tions of a person.199 The two prongs are: 1) the person has an ioned the so-called exclusionary rule, which prohibits the use
expectation of privacy, which is a subjective test and 2) the of evidence obtained in violation of the Fourth Amendment in
expectation of privacy is reasonable in the fact situation. This criminal proceedings. However, in a series of cases, the Supreme
test has been used in decisions that affect not only police offi- Court has redefined the concept of “reasonableness” as it applies
cers, but employees in other sectors of our economy as well. In to the Fourth Amendment and the exclusionary rule. In United
this section we examine how these decisions have specifically States v. Leon and the companion case of Massachusetts v. Shep-
impacted officers’ right to privacy with respect to departmental pard, the Court held that the Fourth Amendment “requires offi-
supplied lockers, communication devices (such as cell phones cers to have reasonable knowledge of what the law prohibits”
and radios), and equipment generally. in a search.204 In essence, Leon and Sheppard began to develop
In a case involving a police officer suspected of gambling, the concept of “totality of circumstances” confirmed in Illinois v.
the Supreme Court held that the use of a pen register did not Gates—that is, that evidence cannot be suppressed when an
require the same constitutional safeguards as those surrounding officer is acting “under good faith” whether or not a warrant
a wiretap. The pen register uses a “trap-and-trace” device that issued is good on the surface.205 These cases have far-reaching
records phone numbers and the duration of each call but does implications in civil actions against police officers, in that officers
not capture any type of communication between parties. The enjoy the benefits of qualified immunity when they are acting in
Court reasoned that no warrant or probable cause was needed, good faith and under the belief that probable cause does exist.206
as the Fourth Amendment was applicable to captured commu- Indeed, the Court has held that only a clear absence of probable
nication only and that there was no reasonable expectation to cause will defeat a claim of qualified immunity.207
privacy regarding the actual phone number.200 Finally, the exclusionary rule and the previously mentioned
The Fourth Amendment usually applies to police officers cases have an important bearing on disciplinary hearings involv-
when at home or off duty as it would to any other citizen. In ing the police. In Sheetz v. Mayor and City Council of Baltimore,
general, police officers cannot sustain a reasonable privacy the court held that illegally seized drugs in the possession of an
expectation claim when using government issued/departmental officer could be used in an administrative discharge proceeding
lockers,201 communications devices, and other equipment, for against that officer.208 The Court reasoned that only a bad-faith
example, cars, desks, and filing cabinets. Many police agencies seizure would render the evidence inadmissible because the
reinforce the applicable court decisions by formal policy, noting police are not motivated to seize illegally for the purpose of use
that all departmentally owned items such as lockers, desks, and in an administrative discharge proceeding; hence, the exclusion-
cell phones may be opened and inspected at any time by an ary rule was not applicable, and the officer’s firing was upheld.
appropriate representative for both routine inspection as well as
in the course of an investigation. Some agencies even go into
such detail as to require the use of a department-issued lock on Right Against Self-Incrimination
lockers, and prohibit the use of secondary/private locks. Further, On two occasions, the Supreme Court has addressed questions
in a landmark case in 2010, the Court ruled unanimously that a concerning the Fifth Amendment rights of police officers who
search of a police officer’s personal, and sometimes sexually are the subjects of investigations. In Garrity v. New Jersey,209 a
explicit, text messages on a city-owned pager was constitutional, police officer had been ordered by the attorney general to
even though it was conducted without a warrant.202 By exten- answer certain questions or be discharged. The officer testified,
sion of previous case logic, cell phone communications and and the information gained as a result of his answers was later
e-mail on a city-owned cell phone or computer would also not used to convict him of criminal charges.
be protected material and the officer does not have a constitu- The Fifth Amendment protects an individual from being com-
tional right to privacy regarding these devices. Again, there pelled “in any criminal case to be a witness against himself.”210
appears not to be an expectation of privacy for officers when The Supreme Court held that the information obtained from the
using government-owned devices or equipment. police officer could not be used at his or her criminal trial
Another situation involves the ordering of officers to appear because the Fifth Amendment forbids the use of coercion of this
at a lineup. Requiring someone to appear in a lineup is a seizure sort to extract an incriminating statement from a suspect.
of his or her person and, therefore, would ordinarily require In Gardner v. Broderick,211 a police officer had declined to
probable cause. However, a federal Appeals Court upheld a answer questions put to him by a grand jury investigating police
police commissioner’s order to 62 officers to appear in a lineup misconduct on the grounds that his answers might tend to incrimi-
for the purpose of identifying officers who had allegedly beaten nate him. As a result, the officer was dismissed from his job. The
several civilians. The court held that, in this situation, “the gov- Supreme Court ruled that the officer could not be fired for his
ernmental interest in the particular intrusion (should be weighed) refusal to waive his constitutional right to remain silent. However,
against the offense to personal dignity and integrity.” Because of the Court made it clear that it would have been proper for the grand

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jury to require the officer to answer or face ­discharge for his refusal, two minors to take a polygraph test for suspicion of criminal
as long as the officer had been informed that his answers could not misconduct. After refusing to take the examination, the officer
be used against him in a criminal case and the questions were was terminated for “just cause.”
related specifically, directly, and narrowly to the performance of his On the other hand, a more recent decision of the Florida
official duties. The Court felt that this approach was necessary to Supreme Court held that the dismissal of a police officer for
protect the important state interest in ensuring that the police offi- refusing to submit to a polygraph test constituted “an unjust and
cers were performing their duties faithfully. unlawful job deprivation.” Further, the court recognized that
In its ruling, the Supreme Court set forth a basic standard for granting to public employers a carte blanche authority to force
disciplinary investigations of police officers. Referring to Garrity, employees to submit to unlimited questioning during a poly-
the Court ruled that although a police agency can conduct an graph test would conflict with the employees’ constitutional right
administrative investigation of an officer, it cannot in the course of of privacy and would abrogate their protection against
that investigation compel the officer to waive his or her privilege self-incrimination.217
against self-incrimination. As it has been interpreted, Garrity Further, the use of a polygraph test to screen job applicants
requires that before a police agency can question an officer regard- for police jobs has fallen under severe criticism. In 1987, a fed-
ing an issue that may involve disciplinary action against the officer eral judge declared the test to be both unconstitutional and
for refusal to answer questions, the agency must do the following: unreliable and ordered the city of Philadelphia to reconsider the
applications of individuals denied positions because of their fail-
1. Order the officer to answer the questions. ure to pass a polygraph test. Conversely, the court of appeals
2. Ask questions that are specifically, directly, and reversed the district court holding and stated that the use of
narrowly related to the officer’s duties. polygraph tests for pre-employment screening did not violate
3. Advise the officer that the answers to the questions either equal protection or substantive due process.218
will not be used against the officer in criminal As a result of these cases and the resulting ambiguity con-
proceedings.212 cerning polygraph testing and the Fifth Amendment, most juris-
dictions have limited the use of the polygraph by statute and/or
If the officer refuses to answer appropriate questions after administrative regulation. Also, most agencies have developed
being given these warnings and advisement, then he or she may extensive internal policies to limit the use of the polygraph and
be disciplined for insubordination. to expressly detail circumstances in which the test may be used
As a result of these cases, it is proper to discharge police to corroborate officer statements.
officers who refuse to answer questions that are related specifi-
cally and directly to the performance of their duties and who
have been informed that any answers they do give cannot be
used against them in a criminal proceeding.213 OTHER GROUNDS FOR
Historically, it was not uncommon for police departments to
make use of polygraph examinations in the course of internal DISCIPLINARY ACTION
investigations. The legal question that has arisen most frequently Although police officers enjoy the same constitutional rights as
is whether an officer can be required to submit to such a proce- other citizens within the United States, they are clearly held to a
dure under threat of discharge for refusal to do so. There is some different standard of conduct both on and off the job. In many
diversity of legal authority on this question, but the majority of cases, their actions do not rise to the level of a criminal com-
courts that have considered it have held that an officer can be plaint yet still become the grounds for disciplinary actions that
required to take the examination.214 may result in termination and loss of career.
An Arizona court overturned a county merit system commis-
sion’s finding that a polygraph examination could be ordered
only as a last resort after all other investigative efforts had been Conduct Unbecoming an Officer
exhausted and held that By far, the largest number of police disciplinary cases arise under
rules prohibiting conduct unbecoming an officer. These rules
a polygraph is always proper to verify statements made by have traditionally been vague and overly broad in order to con-
law enforcement officers during the course of a departmental trol officers both on and off duty.219 Most “conduct unbecoming”
investigation as long as the officers are advised that the regulations have been challenged for being unconstitutionally
answers cannot be used against them in any criminal prose- vague.220 The basis of this claim rests in the concept of reason-
cution, that the questions will relate solely to the performance ableness as applied to the misconduct.221 In a leading case, the
of official duties, and that refusal will result in dismissal.215 California Supreme Court held that the permissible application
of a “conduct unbecoming” regulation turns on whether the
The use of polygraph examinations as a viable tool for inter-
officer could reasonably anticipate that his or her conduct would
nal affairs investigations was further strengthened by a state
be the subject of discipline:
court in 2008.216 The Massachusetts appeals court found that the
Plymouth police department did not violate the state’s statute by We construe “conduct unbecoming” a city police officer to
requiring a police officer who was accused of sexually molesting refer only to conduct which indicates a lack of fitness to

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perform the functions of a police officer. Thus construed, [the the Federal Bureau of Investigation. Although an external review
rule] provides a sufficiently specific standard against which by the Merit Systems Protection Board (MSPB) supported the
the conduct of a police officer in a particular case can be FBI’s decision to fire Doe, the Federal Circuit Court of Appeals
judged. Police officers . . . will normally be able to determine ruled that the FBI failed to address how Doe’s off-duty and
what kind of conduct indicates unfitness to perform the func- personal conduct negatively impacted the agency’s “ability to
tions of police officer.222 perform” its mission. Further, the court ruled that the FBI failed
to point out a violation of a specific internal policy that fit the
A wide variety of conduct has been held to fall appropriately
circumstances of the conduct. Consequently, the MSPB’s deci-
within the scope of a “conduct unbecoming” regulation. It is
sion was reversed and remanded, and John Doe continues to
important to note that the regulation must reasonably warn the
be a Special Agent with the FBI. The case appears to reaffirm
officer of what type of conduct would be considered unbecom-
the concept that cases resting on “conduct unbecoming an offi-
ing and that said conduct would tend to affect the officer’s per-
cer” must not be overly vague, must indeed violate specific
formance of his or her duties adversely or cause the department
policies, and the behavior must be shown to negatively impact
to fall into public disrepute.223 Some of the activities that com-
the agency in some manner.
monly fall within the scope of a “conduct unbecoming” regula-
tion and that have been upheld by the courts include associating
with crime figures or persons with a criminal record,224 verbal Brady Violations
abuse and swearing,225 off-duty drinking and intoxication,226 In a landmark 1963 case (Brady v. Maryland),232 the U.S.
criminal conduct,227 dishonesty,228 fighting with coworkers,229 Supreme Court ruled that the suppression of any evidence by
insubordination,230 and a number of improprieties involving the prosecution favorable to the accused violates the due pro-
sexual activity, including promiscuity and fraternizing with cess clauses of the Fourth and Fourteenth Amendments of the
known prostitutes. Constitution. As a result, prosecutors were compelled to disclose
One of the more interesting and recent cases involving “con- to the defense any and all evidence that might be exculpatory
duct unbecoming an officer” involved the Federal Bureau of for the accused—meaning any evidence that could possibly clear
Investigation in 2009. In Doe v. U.S. Department of Justice,231 the suspect must be presented to the defense. Such evidence
Doe argued that the FBI failed to show that his off-duty miscon- could include physical evidence, fingerprints, DNA, photo-
duct affected the “efficiency of the service” of his employment. graphs, and the alike, which conflicts with the prosecutor’s evi-
The FBI’s Office of Responsibility developed an investigation dence, and any evidence that could impeach the credibility of a
revealing that Doe had videotaped his personal sexual activities prosecution witness.
with women, including two women in his division, and that he More importantly for police administrators, in a follow-up
might have done so without their consent. Doe was terminated case, Giglio v. United States and other Brady progeny cases,233
for “unprofessional conduct”—conduct unbecoming an agent of the Court extended that obligation to share exculpatory

Box 14.5: Female Police Officers Still Have to Fight for the Right to Breastfeed
on Duty, Despite Federal Law that Permits It

A police officer in Washington, DC has raised concern Officers have also reported that supervisors required
about the lack of private lactation rooms for female them to log in and out when they pumped, taking note of
officers. the amount of time that they spent and requiring them to
In a case that challenges gender stereotypes and percep- take leave when they pumped outside of their lunch hour.
tions of police officers, female officers in many police depart- This is not illegal but does create difficulties for female
ments have had to fight to have a secure, clean place to police officers with young children.
pump milk for their babies. The federal law is clear on the availability of private and
In 2011, the Affordable Care Act amended the Fair Labor appropriate lactation rooms, however—but many female
Standards Act to hold that employers must provide a place, officers feel that they will be retaliated against or mocked if
other than a restroom, that is shielded from view and free they press the issue. For now, many police moms are forced
from intrusion in order for employees to express breast milk. to seek space in restrooms, utility closets and even patrol
However, police agencies have been slow to adapt to this cars in order to provide milk for their infants.
change. The Metropolitan Police Department in W ­ ashington,
DC, led by Cathy Lanier, was still directing employees as late Source: Emily Miller, “DC police department violates federal
as 2014 to bathroom stalls for the purposes of pumping—an breastfeeding law.” November 12, 2014. Retrieved on August 7,
unsanitary and unsavory practice that also had the effect of 2015 from: http://www.myfoxdc.com/story/27370521/
humiliating lactating police officers. dc-police-department-violates-federal-breastfeeding-law

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information with the defendant to include information concern- dd Avoid bashing the department and keep rumors quiet—
ing the credibility of the prosecution’s witnesses, including indi- Not only does this alleviate issues previously discussed
vidual police officers. As a result, police agencies must disclose that may indeed “interfere with the official business of
to the prosecution, who must disclose to the defense, any excul- the department,” but also protects you from potential civil
patory or impeachment evidence that demonstrates that a wit- actions if the statements are found to be untrue.
ness is lying about specific facts in a case or is generally dd Restrict personal information and manage your privacy
unworthy of belief. Evidence of this nature is often referred to settings—Remember that suspects use the computer as
as “Brady material.” Failing to disclose such evidence is a “Brady” well and that personal information relating to your
violation that can lead to dismissal of the criminal case and civil address and family may place you in harm’s way.234
(U.S. Code 42, Section 1983) cases brought against the individual
prosecutor, the police department, and the officer for violation
of the suspect’s constitutional rights. Sexual Conduct and Sexual Orientation
The cases in this area tend to fall into two general categories:
LYING cases involving adultery and cases involving homosexuality.
Brady cases have had a dramatic effect on the credibil- Most cases are in general agreement that adultery, even though
ity of individual police officers as witnesses. Because the committed while the police officer is off duty and in private,
prosecution is bound to reveal any possible impeachment created a proper basis for disciplinary action.235 The courts held
evidence regarding its own witnesses, an officer’s internal that such behavior brings adverse criticism on the agency and
affairs records and any documented report where the of- tends to undermine public confidence in the department. How-
ficer lied or was untruthful must be presented as Brady ever, one case involving an Internal Revenue Service agent sug-
material. Such officers simply cannot testify in court with- gests that to uphold disciplinary action for adultery, the
out being impeached; hence, their ability to work as a government would have to prove that the employing agency was
police officer is seriously compromised. For this reason, actually discredited; the court further stated that the discredita-
many police departments now have policies that termi- tion would not be presumed from the proof of adulterous
nate an employee for lying. conduct.236
More recently, the Supreme Court justices appeared to be
Social network sites divided on the issue of extramarital sexual activity in public
Although past incidents of lying and untruthfulness form employment. In 1984, the Court of Appeals for the Sixth Circuit
the basis for impeaching the individual officer under held that a Michigan police officer could not be fired solely
Brady, there are indeed other issues that warrant discus- because he was living with a woman to whom he was not mar-
sion. Postings on social network sites have recently been ried (a felony under state law). In 1985, the Supreme Court
entered into evidence in successful attempts to discred- denied review of that decision over the strong objection of three
it police officers. Take, for example, officers who have justices who felt the case “presented an important issue of con-
posted racy and/or nude photos of themselves on their stitutional law regarding the contours of the right of privacy
Facebook page, or pictures of officers taking drugs or afforded individuals for sexual matters.”237
drinking excessively on YouTube, or statements by of- In cases involving sexual improprieties that clearly affect an
ficers that are offensive, racist, and show extreme bias officer’s on-the-job performance, the courts have had far less
on Twitter or a local blog. These examples show not controversy. In a series of cases, the courts have consistently
only poor judgment on the part of the officer, but in the supported the disciplinary action attached to the department’s
worst case, provide potential evidence for impeachment “conduct unbecoming” regulation, including cases in which offi-
during a trial. While the behavior does not comport to cers were cohabiting or in which the sexual activities were
Brady technically, this type of material can still be used themselves illegal (e.g., public lewdness, child molestation,
to impeach the officer’s credibility. As a general rule, the sexual activity with prostitutes, and homosexuality).238 In fact,
following “tips” are offered for police using social net- the courts have upheld internal regulations barring the employ-
working sites: ment of spouses, in part because of the concern for an officer’s
work performance.
dd No nudity or sexually explicit pictures—This includes The issue of homosexual activity as a basis for discharge was
pictures of you or you with a friend who is disrobed. presented to the Supreme Court. Oklahoma had a law permitting
Understand that your Facebook pictures and YouTube discharge of schoolteachers for engaging in “public homosexual
videos can easily be presented in court. activity.” The lower court held the law to be facially overly broad
dd No drug taking or excessive alcohol postings—Keep and therefore unconstitutionally restrictive. The Supreme Court
private “partying” photos to a minimum. affirmed the decision.239 Another federal court held that the
dd No gun glorification—Keep your weapon and other discharge of a bisexual guidance counselor did not deprive the
police equipment off your social networking sites, and plaintiff of her First or Fourteenth Amendment rights. The coun-
keep pictures of you in uniform off your social selor’s discussion of her sexual preferences with teachers and
network sites. other personnel was not protected by the First Amendment.

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Her equal protection claim failed because she did not show that made that in areas where housing is unavailable or prohibitively
the heterosexual employees would have been treated differently expensive, a residency requirement is unreasonable.246 In
for communicating their sexual preferences.240 upholding the application of such requirements, courts have
In an equally important federal case involving 13 lesbian focused on the issues of equal enforcement and the specificity
deputies terminated from the Broward County, Florida of the local residency standard.247
­S heriff’s Department, the Supreme Court held that homo-
sexuals are not a suspect class accorded strict scrutiny under Moonlighting
the equal protection clause and, therefore, the dismissal did
Traditionally, the courts have supported the authority of
not deprive the plaintiffs of any constitutional or equal pro-
police departments to place limits on the outside employ-
tection right. 241 However, in 2003, the Supreme Court ruled
ment of their employees.248 Police department restrictions on
that state sodomy laws are unconstitutional,242 nullifying
moonlighting range from a complete ban on outside employ-
many police departments’ argument that homosexuality is a
ment to permission to engage in certain endeavors, such as
criminal violation that is a viable basis for discharging a
investments, rental of property, teaching of law enforcement
police officer.
subjects, and employment designed to improve the police
Although there has yet to be a clear reversal of previous
image. The rationale in support of moonlighting prohibitions
court rulings on gay and lesbian protections in the workplace,
is that “outside employment seriously interferes with keeping
there have been a number of decisions made at the circuit
the [police and fire] departments fit and ready for action at
court level that support discrimination (including discrimina-
all times.”249
tion against trans-gender individuals) as sex discrimination.
However, in a Louisiana case, firefighters offered unreputed
In addition, the Supreme Court ruling in Obergefell v. Hodges
evidence that moonlighting had been a common practice
on June 26, 2015, legalizing same-sex marriage tends to sup-
before the city banned it; during the previous 16 years, no
port the equality of gay and lesbians in the workplace. As a
firefighters had ever needed sick leave as a result of injuries
result of this shifting tide of legal opinion, the Equal Employ-
suffered while moonlighting, there had never been a problem
ment Opportunity Commission developed a statement follow-
locating off-duty firefighters to respond to an emergency, and
ing the ruling:
moonlighting had never been shown to be a source of fatigue
discrimination against an individual because of that person’s that was serious enough to impair a firefighter’s alertness on
sexual orientation is a violation of Title VII. The Commission the job. Under these circumstances, the court ruled that there
accepts and investigates charges alleging sexual-orientation was not a sufficient basis for the prohibition on moonlighting
discrimination in employment.243 and invalidated the ordinance.250
It is important to note that, in several cases involving off-duty,
Residency Requirements moonlighting officers (as private security guards or store detec-
tives), the same legal standards imposed on sworn officers acting
A number of local governments have established requirements
in the capacity of their jobs apply. The Court has held that off-
that all or certain classes of their employees live within the
duty officers act “under color of State law” and are subject to
geographical limits of the jurisdiction. These residency
Section 1983 liability while working in a private security or “spe-
requirements have been justified by the governments impos-
cial patrolman” capacity.251 Therefore, it follows that police agen-
ing them as desirable because they increase employees’ rap-
cies and departments may be liable under the same ramifications,
port with and understanding of the community. When police
opening up a new wave of future litigation involving police
officers were concerned, it has been asserted that the pres-
officer off-duty employment.
ence of off-duty police has a deterrent effect on crime and
results in chance encounters that might lead to additional
sources of information. Alcohol and Drug Testing
Before 1976, challenges to the legality of residency require- It is common for police departments to require that their offi-
ments for public employees dotted the legal landscape. In 1976, cers not be under the influence of any intoxicating agent while
the Supreme Court, in McCarthy v. Philadelphia Civil Service on duty. Even in the absence of such specific regulation, disci-
Commission, ruled that Philadelphia’s residency requirement for plinary action has been upheld when it was taken against an
firefighters did not violate the Constitution.244 officer who was suspected of being intoxicated while on duty
Since the McCarthy decision, the legal attacks on the resi- by charging him or her with neglect of duty or violation of a
dency requirements have subsided. The cases now seem to be state law.252
concerned with determining what constitutes residency. The Regulations that prohibit being under the influence of an
most obvious means of attempting to avoid the residency intoxicating or mind-altering substance have been upheld uni-
requirement (by establishing a second residence within the city) formly as reasonable because of the hazardous nature of a
appears doomed to failure unless the police officer can demon- police officer’s work and the serious impact his or her behavior
strate that he or she spends at least a substantial part of his or or misbehavior is sure to have on the property and safety of
her time at the in-city residence.245 A strong argument has been others. The necessity to require a clear head and rational

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action, not confused by alcohol or drugs, is clear.253 A ­Louisiana Employees Union v. Von Raub whether the U.S. Customs drug
court upheld a regulation that prohibited an officer from con- testing program was constitutional. The customs service drug-
suming alcoholic beverages on or off duty to the extent that it tested employees who sought a promotion to positions that
caused the officer’s behavior to become obnoxious, disruptive, required seizing or safekeeping illegal drugs, carrying fire-
or disorderly.254 arms, or handling classified documents. The Court held that
Effective enforcement of regulations against an officer being such employees have a “diminished expectation of privacy”
under the influence of drugs or alcohol will occasion situations and that drug testing is a minimal intrusion that is far out-
when a police supervisor or administrator will order an officer weighed by the government’s interests to keep the public and
to submit to one or more tests to determine the presence of the citizenry safe.260
prohibited substance in the subject’s body. It has been held that The prevailing view appears to be that totally random,
a firefighter could be ordered to submit to blood sampling when unscheduled drug testing is unacceptable but that particular
reasonable grounds existed for believing that he or she was officers can be required to submit to urinalysis if there exists a
intoxicated and that it was permissible to discharge the fire- “reasonable suspicion” that the officer has been using a prohib-
fighter for his or her refusal to comply with the order.255 More ited substance or is involved in an incident involving citizen
recently, the courts have also been asked to review police safety.261 For instance, in 2007, the New York Police Department
department policies that require officers to submit to urinalysis instituted a new drug and alcohol policy regarding critical inci-
for the purpose of determining the presence of drugs or alcohol. dents involving the police. If an officer fires his or her weapon
In United States v. Jacobsen, the Supreme Court defined the con- either on or off duty or is involved in a traffic accident that
cept of search and seizure: causes injury or death, a portable breathalyzer test is automati-
cally given as a condition of employment. If the breathalyzer
A “search” occurs when an expectation of privacy that
test concludes a blood alcohol level of 0.08 or greater, the offi-
society is prepared to consider reasonable is infringed.
cer is immediately placed on administrative leave and an Inter-
A “seizure” of property occurs when there is some mean-
nal Affairs investigation is opened.262 More importantly,
ingful interference with an individual’s possessory interests
advanced alcohol and drug testing is then conducted through
in that property.256
blood tests or urinalysis. The results of such compulsory tests
According to the Supreme Court, removing urine from an are appropriate evidence for introduction in administrative dis-
individual’s body is a search within the meaning of the Fourth charge proceedings.263
Amendment. Consequently, when a government agency tests Decisions involving other government employees and similar
an employee’s urine, due process must be applied, which kinds of personal intrusions (e.g., strip searches of prison guards)
involves providing probable evidence of illegal activity. In the seem to support the view that random testing is unreasonable
case of public employer drug testing, the search is justified under the Fourth Amendment.264 However, without a definitive
from the beginning, when “reasonable grounds exist for sus- decision from the Supreme Court on random drug testing, lower
pecting that the search will turn up evidence of work-related federal court decisions concerning public agency personnel
drug use.”257 appear to allow random drug testing without reasonable suspi-
A reasonable search depends on a “balancing test” set forth cion of individual drug abuse if (1) an employer knows that
by Justice Sandra Day O’Connor: drugs are used in the workplace, (2) the testing will not totally
disrupt the employee’s privacy expectation, and (3) the jobs are
A determination of the standard of reasonableness appli-
“safety-sensitive” in nature.265
cable to a particular class of searches requires balancing
In an attempt to skirt the issue of mandatory or random
the nature and quality of the intrusion on the individual’s
testing, some departments have incorporated drug testing as
Fourth Amendment interests against the importance of the
a “usual and customary” part of a required medical examina-
governmental interest alleged to justify the intrusion. In
tion. For instance, the Philadelphia Police Department requires
the case of searches conducted by a public employer, we
a medical examination for all individuals attempting to secure
must balance the invasion of the employee’s legitimate
employment under the following conditions: (1) when an
expectations of privacy against the government’s need for
officer is first hired, (2) when an officer is transferred to a
supervision, control, and the efficient operation of the
“sensitive” position (i.e., vice and narcotics division, SWAT,
work place.258
and hostage negotiation teams), (3) when an officer is pro-
The Supreme Court has ruled on two cases that have moted to a higher rank, and (4) when an officer returns to
become landmarks for drug testing in the public sector. In duty after an extended period of time (e.g., long illness, dis-
Skinner v. Railway Labor Executives’ Association, the Court ability, or suspension). Drug abuse is viewed as a medical
upheld a mandatory drug testing program in cases in which malady and is subject to disclosure, similar to the findings of
the government had no reasonable suspicion about any par- other tests that show spinal problems, poor vision, hearing
ticular public employee but had a substantial interest in main- loss, and the like. Hence, drug testing can be viewed as a
taining public safety. 259 In a case even more important to routine part of the medical examination for pre-employment
police agencies, the Court considered in National Treasury to a new position.

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Chapter Summary
Summary by Learning Objectives government, acting through their administrator of a
police department, have an affirmative duty to train
1. Explain the three general categories of torts. their employees (officers) correctly and adequately.
How do they differ?
Negligence, intentional, and constitutional torts 5. Describe procedural and substantive due process.
are the three general categories of torts. Negli- Procedural due process refers to the legality of the
gence torts focus on whether an individual con- procedures used to deprive police officers of status
ducted his or her affairs in a manner that does not or wages, such as dismissal or suspension from their
subject others to an unreasonable risk of harm. job. Substantive due process is the requirement that
Intentional torts are the voluntary commissions of the basis for government disciplinary action be rea-
an act that has a substantial certainty to injure sonable, relevant, and justifiable.
another person—it does not have to be negligent. 6. Explain a Brady violation.
Constitutional torts deal with the duty to recog- Police agencies must disclose to the prosecution,
nize and uphold the constitutional rights, privi- who must disclose to the defense, any exculpatory
leges and immunities of others. or impeachment evidence that demonstrates that
2. Define “acting under the color of state law.” How a witness is lying about specific facts in a case, or
does this statement relate to Section 1983 is generally unworthy of belief. Evidence of this
actions? nature is often referred to as “Brady material.”
“Acting under color of state law” means that when Failing to disclose such evidence is a “Brady” vio-
the action under question occurred, the individual lation that can lead to dismissal of the criminal
officer was on-duty and acting within the scope of case and civil (U.S. Code 42, Section 1983) cases
his or her employment. It extends the Title 42, U.S. brought against the individual prosecutor, the
Code, Section 1983 civil rights statute to apply to police department, and the officer for violation of
plaintiffs in municipal and state police officers only; the suspect’s constitutional rights.
it does not relate to federal officers (such as agents 7. Explain when rules infringing on the free speech
with the FBI or DEA), as they act under federal of officers might be upheld.
jurisdiction. When there are reasonable motives for a depart-
3. Explain and describe a Bivens action. ment to infringe upon those rights; when those
A Bivens action applies to federal officials, and it is motives are not overly broad; and when state-
a judicially created counterpart of Title 42, U.S. ments by employees adversely affect the opera-
Code, Section 1983 that allows federal courts to tion of a department.
hear federal litigation cases involving suits against 8. Describe the circumstances in which an officer
federal employees in their individual capacities. In may use deadly force?
this manner, agents of the federal government (e.g., An officer may use deadly force only in defense of
FBI, DEA, U.S. Marshall Service, and ICE) can be life and against fleeing felons who the officer rea-
sued by individuals sonably believes committed a felony involving the
4. List and describe the negligence theories appli- threat of violence.
cable to police supervision and management. 9. List the four elements that must be proven in
Negligent hiring means that employers must exer- order to sue the police for negligence in a high-
cise a reasonable standard of care in not selecting speed pursuit.
persons who, because of the nature of their job, The officer owed the injured party a duty not to
could present a threat of injury to members of the engage in certain conduct; the officer’s actions vio-
public. Negligent assignment, retention, and lated that duty; the officer’s negligent conduct was
entrustment means that police administrators who the proximate cause of the accident; and the suing
know of or should have known of individual acts or party suffered actual and provable damages.
patterns of behavior by police officers that could
threaten the public must take immediate action to 10. Describe how a department can reduce liability
remedy said situation or be subject to liability. Neg- in high-speed pursuits.
ligent direction and supervision means supervisors To reduce risks and liabilities associated with vehic-
have the duty to develop and implement appropri- ular pursuits, law enforcement organizations must
ate policies and procedures. Negligent training carefully evaluate their pursuit policies, training,
deals with the fact that the local or state unit of supervision, and post incident evaluations.

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11. 
Relate the focus of most training programs 12. Describe the balancing test related to alcohol
regarding emotionally disturbed persons. and drug testing in the police workplace.
The primary focus of most training programs regard- The balancing test relating to alcohol and drug test-
ing emotionally disturbed persons (EDPs) is recog- ing involves balancing the nature and quality of the
nizing behavior that indicates that officers are intrusion of the individual’s Fourth Amendment pro-
dealing with EDPs and communicating with those tections against the importance of the governmen-
persons in a non-threatening manner. tal interest that justifies the intrusion.

Chapter Review Questions

1. What are the three general categories of torts? 11. What is a Brady violation?
2. Explain the meaning of “acting under the color of 12. Describe the circumstances when an officer can
state law” as it relates to U.S. Code 42, Section use deadly force.
1983 actions. 13. Identify the four elements that must be proven in
3. What is a Bivens action? order to sue the police for negligence in a high-
4. What are the primary negligence theories speed pursuit.
applicable to police supervision and management? 14. Describe a police department’s responsibility in
5. Describe procedural and substantive due process. reducing liability in high-speed pursuits.
6. What is the major three-prong test of 15. Identify the desired outcomes of effective training
reasonableness for all use-of-force cases in the of police officers in dealing with emotionally
future established in Graham v. Connor? disturbed persons.
7. What are federal consent decrees and how 16. List the Garrity warnings; why was this case so
important are they in reforming the police? instrumental in investigating police officers of
8. What is PSV? wrongdoing?
9. Discuss the importance of the 2015 landmark case, 17. Why is “conduct unbecoming an officer” such a
Obergefel v. Hodges. controversial issue?
10. Identify when department rules and policies might 18. Describe the “balancing test” as referred to in
infringe on the free speech of officers. alcohol and drug testing in the workplace.

Critical Thinking Exercises

1. Do you think body-worn cameras will have the effect 3. Visit the AELE Law Enforcement Legal Center
of increasing or decreasing Brady violations? Why or website at http://www.aele.org/. Navigate to their
why not? “Special Issues in Law Enforcement” section at
2. Should a police officer have the right to use http://www.aele.org/hotissues.html. Do you think
personal social media platforms, like Facebook and that these legal updates are something that the
Twitter, to give his or her opinion of the police average patrol officer is aware of? Do you think that
department even though those opinions might be it’s necessary for patrol officers to know these legal
critical of their department? Do you think that an updates? Why or why not? If you were an
officer’s right to be critical of a department or an administrator or executive of a law enforcement
incident, specifically one that might involve racist or agency, how would you make sure that patrol
bigoted officers be protected under their First officers kept abreast of such information?
Amendment rights? Why or why not?

Key Terms
1983 action liability procedural due process
Bivens action liberty rights property rights
defendant litigation proximate cause
deliberate indifference negligence reasonableness
due process objective reasonableness standard of reasonableness
emotionally disturbed persons (EDPs) plaintiff substantive due process
federal consent decree police sexual violence (PSV) tort
less-lethal weapon probable cause vicarious liability

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Endnotes
1
Much of this section is adapted, with additions, from H. E. held that municipalities (such as the city of Chicago, in this
Barrineau III, Civil Liability in Criminal Justice (Cincinnati: case) were immune from liability under the statute,
Anderson, 1987), pp. 3–5. although the Supreme Court later overruled this part of
2
Ibid., p. 3. Monroe v. Pape, holding that municipalities and other
3
False arrest is the arrest of a person without probable cause. local governments are included among “persons” open to
Generally, this means making an arrest when an ordinarily a Section 1983 lawsuit. See Monell v. Dept. of Social Ser-
prudent person would not have concluded that a crime vices of the City of New York, 436 U.S. 658, 98 S. Ct. 2018
had been committed or that the person arrested had com- (1978). (Citations to case opinions give the volume number
mitted the crime. False imprisonment is the intentional in which the opinion is located followed by the name of
illegal detention of a person. The detention that can give the reporter system, the page number, the court if other
rise to a false imprisonment claim is any confinement to a than the Supreme Court, and the year in which the opinion
specified area and not simply incarceration in a jail. Most was rendered.)
8
false arrests result in false imprisonment as well, but there The resuscitation of Section 1983 hinges on the misuse and
can be a false imprisonment after a valid arrest also, as abuse of power imbued to individuals acting as police offi-
when the police fail to release an arrested person after a cers. All municipal and county law enforcement officers
proper bond has been posted, the police unreasonably take an oath to uphold and enforce the laws of a specific
delay the arraignment of an arrested person, or authorities state in which their municipality resides. Therefore, munici-
fail to release a prisoner after they no longer have author- pal police officers are squarely within the confines of Sec-
ity to hold him or her. “Brutality” is not a legal tort action tion 1983. “Misuse of power,” possessed by virtue of state
as such. Rather, it must be alleged as a civil (as opposed to law and made possible only because the wrongdoer is
a criminal) assault and/or battery. Assault is some sort of clothed with the authority of state law, is action taken
menacing conduct that puts another person in reasonable “under the color of law.” United States v. Classic, 313 U.S.
fear that he or she is about to have a battery committed 299, at p. 326, 61 S. Ct., 1031, at p. 1043 (1941) as quoted
on him or her. Battery is the infliction of harmful or offen- in Monroe v. Pape. Thus, private citizens cannot be sued
sive contact on another person. Harmful or offensive con- under Section 1983 unless they conspire with state officers.
tact is contact that would be considered harmful or (See Slavin v. Curry, 574 F. 2d 1256 [5th Cir. 1978], as modi-
offensive by a reasonable person of ordinary sensibilities. fied by 583 F. 2d 779 [5th Cir. 1978].) Furthermore, if a state
See Clarence E. Hagglund, “Liability of Police Officers and officer has immunity to a Section 1983 lawsuit, private citi-
Their Employers,” Federation of Insurance Counsel Quar- zens who conspired with him or her do not have “deriva-
terly 26 (summer 1976), p. 257, for a good discussion of tive immunity” to the lawsuit. (See Sparks v. Duval County
assault and battery, false arrest, false imprisonment, and Ranch Co., Inc., 604 F. 2d 976 [5th Cir. 1979], at p. 978.) In
malicious prosecution as applied to police officers. addition, see Sanberg v. Daley, 306 F. Supp. 227 (1969), at
4
Although a fourth category (strict liability tort action) does p. 279.
9
exist in the wider body of law, such a general category is Most tort actions against the U.S. government must be
rare in police officer litigation. Therefore, for the purposes brought under the FTCA. The FTCA is a partial waiver of
of this book, strict liability actions are not discussed. Under sovereign immunity, with its own rule of liability and a sub-
strict liability, one is held liable for one’s act, regardless of stantial body of case law. Federal employees can be sued
intent or negligence. The mere occurrence of certain for violation of constitutional rights and for certain Com-
events will necessarily create legal liability. A good exam- mon-Law torts. For more information, see Isidore Silver,
ple of such cases is often found in airplane disasters in Police Civil Liability (New York: Mathew Bender, 1987), sec-
which the air transportation company is strictly liable for tion 1.04, from which this material is taken.
10
the passengers’ health and well-being, regardless of other See Bivens v. Six Unknown Federal Narcotics Agents, 403
factors. U.S. 388, 91 S. Ct. 1999 (1971). See also Silver, Police Civil
5
Black’s Law Dictionary, 4th ed. (St. Paul, MN: West, 2004), Liability, section 8.02.
11
p. 470. Silver, Police Civil Liability, Section 8.02.
6 12
Title 42, U.S. Code, Section 1983. See William L. Prosser, Handbook of the Law of Torts, 4th
7
See Monroe v. Pape, 365 U.S. 167, 81 S. Ct. 473 (1961). The ed. (St. Paul, MN: West, 1971), p. 69, for a good discussion
plaintiff and his family sued 13 Chicago police officers and of the philosophical basis for and development of the doc-
the city of Chicago, alleging that police officers broke into trine of vicarious liability.
13
their home without a search warrant, forced them out of Although this list does not include all types of negligence
bed at gunpoint, made them stand naked while the offi- theories regarding 1983 action against police supervisors
cers ransacked the house, and subjected the family to ver- and managers, it does provide a starting point in under-
bal and physical abuse. The court held that the definition standing this issue. This part has been adapted from
of “under color of State law” for Section 1983 purposes ­Barrineau, Civil Liability, pp. 59–60.
14
was the same as that already established in the criminal See Peter v. Bellinger, 159 N.E. 2d 528 (1959); Thomas v.
context and concluded that, because Section 1983 pro- Johnson, 295 F. Supp. 1025 (1968); McKenna v. City of
vides for a civil action, the plaintiffs need not prove that Memphis, 544 F. Supp. 415 (1982), affirmed in 785 F. 2d 560
the defendants acted with a “specific intent to deprive a (1986); McGuire v. Arizona Protection Agency, 609 P. 2d
person of a federal right” (365 U.S. at 187). The court also 1080 (1908); Di Cosal v. Kay, 19 N.J. 159, 450 A. 2d 508

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 c h ap t e r 14 • L E G A L A S PECT S OF P OL I CE A D M INIS TRATION 505
37
(1982); Pontiac v. KMS Investments, 331 N.W. 2d 907 Daniels v. Williams, 474 U.S. 327, 106 S. Ct. 662 (1986).
38
(1983); and Welsh Manufacturing Division of Textron, Inc. v. New v. City of Minneapolis, 792 F. 2d 724, at pp. 725–26 (8th
Pinkertons, Inc., 474 A. 2d 426 (1984). Cir. 1986). See also McClary v. O’Hare, 786 F. 2d 83 (2nd
15
See Board of the County Commissioner of Bryan County v. Cir. 1986).
39
Brown, 117 S. Ct. 1383 (1997). Hagglund, “Liability of Police Officers,” p. 257.
16 40
See Moon v. Winfield, 383 F. Supp. 31 (1974); Murray v. United States v. Leon, 468 U.S. 897, 104 S. Ct. 3430 (1984).
41
Murphy, 441 F. Supp. 120 (1977); Allen v. City of Los Malley v. Briggs, 475 U.S. 335, 106 S. Ct. 1092 (1986).
42
Angeles (No. C-9837), LA Sup.Ct. (1975); Stengel v. Anderson v. Creighton, 483 U.S. 635, 107 S. Ct. 3034 (1987).
43
Belcher, 522 F. 2d 438 (6th Cir. 1975); Dominguez v. Saucier v. Katz, 533 U.S. 194, 121 S. Ct. 2151 (2001). See also
Superior Court, 101 Cal. App. 3d 6 (1980); Stuessel v. City Pearson et al. v Callahan, 07-751 (494 F3d 891) (January 21,
of Glendale, 141 Cal. App. 3d 1047 (1983); and Blake v. 2009).
44
Moore, 162 Cal. App. 3d 700 (1984). Malley v. Briggs, 475 U.S. 335, 341 (1986).
17 45
See Ford v. Breiser, 383 F. Supp. 505 (1974); Dewel v. Maciarello v. Summer, 973 F. 2d 295, 298 (1992).
46
­Lawson, 489 F. 2d 877 (10th Cir. 1974); Bonsignore v. City of Pearson et al. v Callahan, 07-751 (494 F3d 891) (January 21,
New York, 521 F. Supp. 394 (1981), affirmed in 683 F. 2d 635 2009).
47
(1st Cir. 1982); Webster v. City of Houston, 689 F. 2d 1220 Schmidt, “Recent Developments.”
48
(5th Cir. 1982), reversed and remanded on the issue of Ibid., p. 198.
49
damages in 739 F. 2d 993 (5th Cir. 1984); and District of Wimberly v. Patterson, 183 A. 2d 691 (1962), at p. 699.
50
Columbia v. Parker, 850 F. 2d 708 (D.C. Cir. 1988), cert. Piatkowski v. State, 251 N.Y.S. 2d 354 (1964), at p. 359.
51
denied in 489 U.S. 1065, 109 S. Ct. 1339 (1989). Schmidt, “Recent Developments,” p. 199.
18 52
See Marusa v. District of Columbia, 484 F. 428 (1973); Fords v. Breier, 383 F. Supp. 505 (E.D. Wis. 1974).
53
Webzster v. City of Houston, supra note 22; and Lucas v. Riley, Superior Court, Los Angeles County, CA
Grandstagg v. City of Borger, 767 F. 2d (5th Cir. 1985), (1975); Delong v. City of Denver, 530 F. 2d 1308 (Colo.
cert. denied in 480 U.S. 917, 107 S. Ct. 1369 (1987). 1974); Grudt v. City of Los Angeles, 468 P. 2d 825
19
City of Canton v. Harris, 389 U.S. 378, 103 L. Ed. 412, 109 S. (Cal. 1970); Dillenbeck v. City of Los Angeles, 446 P. 2d 129
Ct. 1197 (1989), at pp. 1204–1205; Merritt v. County of Los (Cal. 1968).
54
Angeles, 875 F. 2d 765 (9th Cir. 1989); Owens v. Haas, 601 AELE Law Enforcement Legal Defense Manual, “Failure to
F. 2d 1242 (2nd Cir. 1979), cert. denied in 444 U.S. 980 (1980). Provide Medical Treatment,” Issue 77-6 (1977).
20 55
Prosser, Handbook of the Law of Torts, pp. 977–978. Watkins v. City of Battle Creek, 273 F. 3d 682, 685–86 (6th
21
Scheuer v. Rhodes, at p. 240. Cir. 2001).
22 56
Wood v. Strickland, 420 U.S. 308, 95 S. Ct. 992 (1975). Carter v. City of Detroit, 480 F. 3d 305, 310, 311 (6th Cir.
23
Harlow v. Fitzgerald, 457 U.S. 800, 102 S. Ct. 2727 (1982). 2005).
24 57
Mitchell v. Forsyth, 472 U.S. 511, 105 S. Ct. 2806 (1985). AELE Law Enforcement Legal Defense Manual, “Failure to
25
Monroe v. Pape, supra note 7. Provide Medical Treatment.”
26 58
436 U.S. 658, 98 S. Ct. 2018 (1978). International Association of Chiefs of Police. “Emerging Use
27
See, for example, Rookard v. Health and Hospitals Corp., of Force Issues: Balancing Public and Officer Safety.” March
710 F. 2d 41 (2d Cir. 1983). 2012. Retrieved on August 2, 2015 from http://www.theiacp.
28
Oklahoma City v. Tuttle, 471 U.S. 808, 105 S. Ct. 2427 (1985); org/portals/0/pdfs/emerginguseofforceissues041612.pdf.
59
but see Pembauer v. Cincinnati, 475 U.S. 469, 106 S. Ct. Kenneth James Matulia, “The Use of Deadly Force: A Need
1292 (1986). for Directives in Training,” The Police Chief (May 1983),
29
M. S. Vaughn et al., “Assessing Legal Liabilities in Law p. 30.
60
Enforcement: Police Chief’s Views,” Crime and Kenneth James Matulia, “A Balance of Forces: Model
­Delinquency 47, No. 1 (January 2001): 22. Deadly Force and Policy Procedure,” International Associa-
30
August Vollmer, “Police Schools,” Journal of the American tion of Chiefs of Police, (1985), pp. 23, 24. See also Tennes-
Institute of Criminal Law and Criminology, 8 (3) 1917. see v. Garner, 471 U.S. 1, 105 S. Ct. 1694 (1985). While this
31
L. F. Fuld, “University Lectures for Police,” Journal of the citation is relatively old, many of the basic positions held
American Institute of Criminal Law and Criminology, 8(3) here are reiterated in the Commission on Accreditation for
1917, p. 464. Law Enforcement Agencies (CALEA), Model Policy for Use
32
James Conser, R. Paynich, and T. Gingerich, Law Enforce- of Force and Use of Deadly Force (2010).
61
ment in the United States, 3rd ed. (Burlington, MA: Jones Tennessee v. Garner, supra note 17.
62
& Bartlett Learning, 2013). Graham v. Connor, 109 s Ct. 1865, 1872 (1989).
33 63
J. Scott, “Survey: The Status of Field Training,” The Police Tennessee v. Garner, supra note 179.
64
Chief, LXXVII (November 2010). Matulia, “A Balance of Forces,” p. 72.
34 65
S. Pitts, R. W. Glensor, and K. Peak, “The Police Training Catherin H. Milton, Jeanne Wahl Halleck, James Lardnew,
Officer (PTO) Program: A Contemporary Approach to and Gray L. Albrecht, Police Use of Deadly Force
Post-Academy Recruit Training,” The Police Chief, ­(Washington, DC: Police Foundation, 1977), p. 52.
66
74 (August 2007). Matulia, “A Balance of Forces,” p. 52.
35 67
Victor Kappeler, Critical Issues in Police Civil Liability, Ibid., p. 77.
68
4th ed. (Long Grove, IL: Waveland Press, 2006). Ibid.
36 69
U.S. Department of Justice, Contacts between Police and the Ibid., p. 78.
70
Public (Washington, DC: Bureau of Justice Statistics, 2011). 471 U.S. 1, 105 S. Ct. 1694 (1985).

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 506 cha pte r 1 4 • L E G A L A SPE CTS O F P OL I C E AD MI N I S T RAT I ON

71 83
Matulia, “A Balance of Forces,” p. 78. Richard G. Zivitz, “Police Civil Liability and the Law of High-
72
C. Mesloh, M. Henych, and R. Wolf, Conducted Electrical Speed Pursuit,” Marquette Law Review 70, No. 237 (1987),
Weapons and Resolution of Use of Force Encounters. In pp. 237–279.
M.W. Kroll, and J.D. Ho (eds.), Taser® Conducted Electrical 84
Jackson v. Olson, 712 P. 2d 128 (Or. App. 1985).
85
Weapons: Physiology, Pathology and Law (New York: 457 Do. 2d 816 (Miss. 1985).
86
Springer Science and Business Media, 2009). Much of this Ibid., at p. 818.
87
section on TASERS and the Police Use of Less-Lethal See generally Annotation, “Emergency Vehicle Accidents,”
Weapons has been adapted from Ross Wolf, “TASERS and American Jurisprudence, Proof of Facts (St. Paul, MN:
Electronic Control Devises,” LETN Video: Electronic Con- West, 1985), p. 599.
88
trol Devices Courseware 111-0510 (Carrollton, TX: Critical See Breck v. Cortez, 490 N.E. 2d 88 (III. App. 1986).
89
Information Network, 2010). See generally Annotation, “Municipal Corporation’s Safety
73
C. Mesloh, R. Wolf, M. Henych, and F. Thompson, “Less Rules or Regulations as Admissible in Evidence in Action
Lethal Weapons for Law Enforcement: A Performance- by Private Party against Municipal Corporation or Its Offi-
Based Analysis.” Law Enforcement Executive Forum 8(1) cers or Employees for Negligent Operation of Vehicle,”
(2008), pp. 133–149. American Law Review.
74 90
See TASER International at: www.taser.com See Fiser v. City of Ann Arbor, 339 N.W. 2d 413 (Michigan
75
Ross Wolf, “TASERS and Electronic Control Devises,” LETN 1983).
91
Video: Electronic Control Devices Courseware 111-0510 733 S.W. 2d 28 (Mo. App. 1987).
92
(Carrollton, TX: Critical Information Network, 2010). For a general discussion of immunity, see David Charlin,
76
U.S. General Accounting Office, TASER Weapons: Use of “High-Speed Pursuits: Police Officer and Municipal Liabil-
TASERS by Selected Law Enforcement Agencies ity for Accidents Involving the Pursued and an Innocent
­(Washington, DC: USPO, 2005). Third Party,” Seton Hall Law Review 16, No. 101 (1986).
77
Geoffrey P. Alpert and Roger G. Dunham, Understanding While this citation is relatively old, many of the basic posi-
Police Use of Force: Officers, Suspects, and Reciprocity tions held here are reiterated in the Commission on
(Cambridge, NY: Cambridge University Press, 2004). See Accreditation for Law Enforcement Agencies (CALEA),
also Geoffrey P. Alpert, “Police Use-of-Force, Less Lethal Model Policy for Police Pursuits (2010).
93
Weapons, and Injuries: Findings from a National Study,” 490 So. 2d 1061 (Fla. App. 1986).
94
Police Quarterly, Forthcoming, 2010. Fagan v. City of Vineland, 22 F. 3d 1283 (3rd Cir. 1994).
78 95
Ibid. 42 U.S.C. 1983 provides in relevant part: “Every person
79
Incidents involving TASERS that have caused death and who, under color of any statute, ordinance, regulation,
serious injury continue to dot the newspapers across the custom, or usage, of any State of Territory, subjects or
United States and Canada. For a discussion of concerns causes to be subjected, any citizen of the United States or
involving less-lethal weapons and a description of spe- other person within the jurisdiction thereof to the depriva-
cific highlighted events, see a series of reports by tion of any rights, privileges, or immunities secured by the
Amnesty International (London: Amnesty International) Constitution and laws, shall be liable to the party injured in
at — www.amnestyusa.org: 1) “USA Amnesty Internation- an action at law, suit in equity, or other proper proceed-
al’s Continuing Concerns about TASER Use (2006); Exces- ings for redress.”
96
sive and Lethal Force? Amnesty International’s Concerns 782 F. 2d 947 (11th Cir. 1986).
97
about Deaths and Ill-Treatment Involving Police Use Ibid., at p. 950.
98
of TASERS (2004); USA: Police Use of Pepper Spray—­ See County of Sacramento v. Lewis, 98 F. 3d 434 (1998).
99
Tantamount to Torture (1997) and the American Civil Lib- Ibid.
100
erties Union (ACLU) at—www.aclu.org: (1) Pepper Spray See Allen v. Cook, 668 F. Supp. 1460 (W.D. Okla. 1987). See
Update: More Fatalities, More Questions (1995) and also Fagan v. City of Vineland, supra note 202.
101
(2) Stun Gun Fallacy: How the Lack of TASER Regulation 772 F. 2d 1205 (5th Cir. 1985).
102
Endangers Lives (2005). 471 U.S. 1, 105 S. Ct. 1694 (1985). The Supreme Court held
80
See John M. MacDonald, Robert J. Kaminski, and that the use of deadly force to apprehend an unarmed
Michael R. Smith, “The Effect of Less-Lethal ON Injuries fleeing felon was an unreasonable seizure which violated
in Police Use-Of-Force events,” American Journal of the Fourth Amendment.
103
Public Health, 99, No. 12 (December 2009), pp. 2260–2274 817 F. 2d 540 (9th Cir. 1987). In City of Miami v. Harris, 490
and M. R. Smith, R. J. Kaminski, J. Rojek, G. P. Alpert, So. 2d 69 (Fla. App. 1985), the court held that a city can be
and J. Mathis, “The Impact of Conducted Energy liable under 1983 for a pursuit policy that is adopted with a
Devices and Other Types of Force and Resistance on reckless disregard of whether such policy would cause loss
Police and Suspect Injuries,” Policing: An International of life without due process.
104
Journal of Police Strategies and Management, 30 Brower v. County of Inyo, 489 U.S. 593, 109 S. Ct. 1378
(2007), pp. 443–426. (1989).
81 105
Geoffrey P. Alpert, “Police Use-of-Force, Less Lethal Weap- A discussion of empirical studies regarding pursuits is set
ons, and Injuries: Findings from a National Study,” Police forth in Geoffrey P. Alpert, “Questioning Police Pursuits in
Quarterly, Forthcoming, 2010. Urban Areas,” in R. G. Dunham and G. P. Alpert (eds.),
82
Daniel L. Schofield, “Legal Issues of Pursuit Driving,” FBI Critical Issues in Policing: Contemporary Readings (Pros-
Law Enforcement Bulletin, May 1988, pp. 23–30. This dis- pect Heights, IL: Waveland Press, 1989), pp. 216–229.
106
cussion was adapted from this source. Jackson v. Olson, supra note 192.

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 c h ap t e r 14 • L E G A L A S PECT S OF P OL I CE A D M INIS TRATION 507
107
See Annotation, “Municipal or State Liability for Injuries A National-Scale Study of Arrested Officers. Criminal Jus-
Resulting from Police Roadblocks or Commandeering of tice Policy Review. April 2014. Published On-LineDOI
Private Vehicles,” 19 American Law Review 4th 937. 10.1177/0887403414526231.
108 129
Brower v. County of Inyo, supra note 212. Peter B. Kraska and Victor E. Kappeler, “To Serve and Pur-
109
Horta v. Sullivan, 4 F. 3d 2 (1st Cir. 1993), at p. 10. sue: Exploring Police Sexual Violence Against Women.
110
Edmund Fennessy, Thomas Hamilton, Kent Joscelyn, and Justice Quarterly 12, No. 1, (1995), pp. 85–111. Published
John Merritt, A Study of the Problem of Hot Pursuit by the online: DOI:10.1080/07418829500092581
130
Police (Washington, DC: U.S. Department of Transporta- See Michael S. Vaughn, “Police Sexual Violence: Civil Lia-
tion, 1970). bility Under State Tort Law,” Crime and Delinquency 45,
111
Geoffrey P. Alpert, “Questioning Police Pursuit in Urban No. 3 (1999); and Sarah Eschholz and Michael S. Vaughn,
Areas,” Journal of Police Science and Administration 15 “Police Sexual Violence and Rape Myths: Civil Liability
(1987), pp. 298–306. under Section 1983,” Journal of Criminal Justice 29, No. 5,
112
Eric Beckman, “Identifying Issues in Police Pursuits: The (2001). Published online: DOI:10.1016/
First Research Findings,” The Police Chief (July 1987), S0047-2352(01)00104-0
131
pp. 57–63. Samuel Walker and Dawn Irlbeck, Police Sexual Abuse of
113
Geoffrey P. Alpert, Police Pursuit Policies and Training Teenage Girls: A 2003 Update on Driving while Female.
(Washington, DC: U.S. Department of Justice, Office of (Omaha, NE: University of Nebraska at Omaha, Depart-
Justice Programs, National Institute of Justice, May 1997), ment of Criminal Justice, Police Professionalism Initiative,
pp. 1–8. 2003).
114 132
Ibid. C.E. Rabe-Hemp and J. Braithwaite, “An Exploration of
115
See, for example, Nelson v. City of Chester, Ill., 733 S.W. 2d Recidivism and the Officer Shuffle in Police Sexual Vio-
28 (Mo. App. 1987); Biscoe v. Arlington County, 738 F. 2d lence, Police Quarterly 16, No. 2 (2013). DOI:
1352 (D.C. Cir. 1984). 10.1177/1098611112464964
116 133
Alpert, “Questioning Police Pursuits in Urban Areas,” pp. Phillip Matthew Stinson, Sr., John C. Liederbach,
227–228. Steven L. Brewer, and Brooke E Mathna. Ibid.
117 134
Plumhoff v. Rickard, 188 L. Ed. 2d 1056 (U.S. May 27, 2014). See, generally, Joan Bertin Lowy, “Constitutional Limita-
118
International Association of Chiefs of Police, Dealing with tions on the Dismissal of Public Employees,” Brooklyn Law
the Mentally Ill: Concepts and Issues (Alexandra, Va.: IACP Review 43 (summer 1976), p. 1; Victor G. Rosenblum,
Law Enforcement Policy Center, December 1, 1997). “Schoolchildren: Yes, Policemen: No—Some Thoughts
119
Washington Criminal Justice Training Commission about the Supreme Court’s Priorities Concerning the Right
(WCJTC), Crisis Intervention Skills: Abnormal Behaviors, to a Hearing in Suspension and Removal Cases,” North-
Mental Illness, and Suicide (Seattle: WCJTC. 2000). western University Law Review 72 (1977), p. 146.
120 135
Michael Klein, “Law Enforcement’s Response to People Wisconsin v. Constantineau, 400 U.S. 433, 91 S. Ct. 507
with Mental Illness,” Law Enforcement Bulletin (February (1970); Doe v. U.S. Department of Justice, 753 F. 2d 1092
2002), pp. 12–16. (D.C. Cir. 1985).
121 136
City & Cnty of San Francisco v. Sheehan, 575 U.S. ___ Codd v. Velger, 429 U.S. 624, 97 S. Ct. 882 (1977). See also
(2015) Paul v. Davis, 424 U.S. 693, 96 S. Ct. 1155 (1976), which
122
Michael J. Oh. “Encountering Mentally Ill People and held that injury to reputation alone does not constitute a
Potential Liability under the Americans with Disabilities deprivation of liberty. See also Swilley v. Alexander, 629 F.
Act”. Police Chief Magazine (July 2014). 2d 1018 (5th Cir. 1980), where the court held that a letter of
123
Robert C. Davis, Christopher W. Ortiz, Nicole J. Hender- reprimand containing untrue charges that was placed in an
son, Joel Miller, and Michelle K. Massie, Turning Necessity employee’s personnel file infringed on his liberty interest.
137
into Virtue: Pittsburgh’s Experience with a Federal Consent See Board of Regents v. Roth, 408 U.S. 564, 92 S. Ct. 2701
Decree (Washington, DC: Vera Institute of Justice, (1972); Perry v. Sinderman, 408 U.S. 593, 92 S. Ct. 2694
­September 2002). (1972); Arnett v. Kennedy, 416 U.S. 134, 94 S. Ct. 1633
124
Joe Domanick, “Police Reform’s Best Tool: A Federal Con- (1974); Bishop v. Wood, 426 U.S. 341, 96 S. Ct. 2074 (1976).
sent Decree,” The Crime Report (July 15, 2014). Also see Robert L. Rabin, “Job Security and Due Process:
125
Police Executive Research Forum (PERF), Civil Rights Inves- Monitoring Administrative Discretion through a Reasons
tigations of Local Police: Lessons Learned (Washington, Requirement,” University of Chicago Law Review 44 (1976),
DC: PERF, July 2013). Available online at: http://www pp. 60–67, for a good discussion of these cases; see also
.policeforum.org/assets/docs/Critical_Issues_Series/ Bailey v. Kirk, No. 82-1417 (10th Cir. 1985) and Carl Good-
civil%20rights%20investigations%20of%20local%20 man, “Public Employment and the Supreme Court’s
police%20-%20lessons%20learned%202013.pdf 1975–76 Term,” Public Personnel Management 5
126
D. Littlefield, ”Arevalos Victim Settles for $5.9 Million.” ­(September–October 1976), pp. 287–289.
138
San Diego Union-Tribune (September 25, 2014). Thurston v. Dekle, 531 F. 2d 1264 (5th Cir. 1976), vacated on
127
International Association of Chiefs of Police Addressing other grounds, 438 U.S. 901, 98 S. Ct. 3118 (1978).
139
Sexual Offenses and Misconduct by Law Enforcement: Allison v. City of Live Oak, 450 F. Supp. 200 (M.D. Fla.
Executive Guide (Washington DC: Alexandria, VA: Interna- 1978).
140
tional Association of Chiefs of Police, 2011), p. 1. See, for example, Confederation of Police Chicago v.
128
Phillip Matthew Stinson, Sr., John C. Liederbach, Steven L. Chicago, 547 F. 2d 375 (7th Cir. 1977).
141
Brewer, and Brooke E Mathna, “Police Sexual Misconduct: Davis, Administrative Law, p. 242.

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 508 cha pte r 1 4 • L E G A L A SPE CTS O F P OL I C E AD MI N I S T RAT I ON

142 176
Memphis Light Gas & Water Division v. Craft, 436 U.S. 1, 98 Keyishian v. Board of Regents, 385 U.S. 589, 87 S. Ct. 675
S. Ct. 1554 (1978). (1967).
143 177
In re Dewar, 548 P. 2nd 149 (Mont. 1976). Pickering v. Board of Education, supra note 100.
144 178
Bush v. Beckman, 131 N.Y.S. 2d 297 (1954); Gibbs v. City of Muller v. Conlisk, 429 F. 2d 901 (7th Cir. 1970).
179
Manchester, 61 A. 128 (N.H. 1905). Flynn v. Giarusso, 321 F. Supp. 1295 (E.D. La. 1971), at p.
145
Morrissey v. Brewer, 408 U.S. 471, 92 S. Ct. 2593 (1972). 1299. The regulation was revised and later ruled constitu-
146
Goldman v. Kelly, 397 U.S. 254, 90 S. Ct. 1011 (1970). See tional in Magri v. Giarusso, 379 F. Supp. 353 (E.D. La. 1974).
also Buck v. N.Y. City Bd. of Ed., 553 F. 2d 315 (2d Cir. See also Gasparinetti v. Kerr, 568 F. 2d 311 (3rd Cir. 1977),
1977), cert. denied in 438 U.S., 98 S. Ct. 3122 (1978). cert. denied in 436 U.S. 903, 98 S. Ct. 2232 (1978).
147 180
Morrissey v. Brewer, supra note 70. In re Gioglio, 248 A. 2d 570 (N.J. 1968); Brukiewa v. Police
148
Marshall v. Jerrico, Inc., 446 U.S. 238, 100 S. Ct. 1610 (1980); Commissioner of Baltimore, 263 A. 2d 210 (Md. 1970);
Hortonville J.S.D. No. 1 v. Hortonville Ed. Assn., 426 U.S. ­Kannisto v. City and County of San Francisco, 541 F. 2d 841
482, 96 S. Ct. 2308 (1976); Holley v. Seminole County (9th Cir. 1976), cert. denied in 430 U.S. 931 S. Ct. 1552
School Dist., 755 F. 2d 1492 (11th Cir. 1985). (1977). Compare Magri v. Giarusso, supra note 104;
149
94 S. Ct. 1633, 416 U.S. 134 (1974), at p. 157. ­Hosford v. California State Personnel Board, 141 Cal. Rptr.
150
Ibid., at pp. 167–68. 354 (1977); and Simpson v. Weeks, 570 F. 2d 240 (8th Cir.
151
96 S. Ct. 893, 424 U.S. 319 (1975), at p. 335. 1978).
152 181
105 S. Ct. 1487, 470 U.S. 532 (1985). Brukiewa v. Police Commissioner of Baltimore, supra note
153
Ibid., at p. 1494. 105.
154 182
See Gilbert v. Homar, 520 U.S. 924 (1997). Perry v. City of Kinloch, 680 F. Supp. 1339 (1988).
155 183
Gorham v. City of Kansas City, 590 P. 2d 1051 (Kan. S. Ct. Brockell v. Norton, 732 F. 2d 664 (8th Cir. 1984).
184
1979); Winston v. U.S. Postal Service, 585 F. 2d 198 (7th Cir. See Perez v. Agostini, 37 F. Supp. 2d 103 (D.P.R. 1999); Dill
1978). v. City of Edmond, Oklahoma, 155 F. 3d 1193 (10th Cir.
156
Bence v. Breier, 501 F. 2d 1185 (7th Cir. 1974), cert. denied 1998); Cahill v. O’Donnell, 7 F. Supp. 2d 341 (S.D.N.Y.
in 419 U.S. 1121, 95 S. Ct. 804 (1975). 1998); Hadad v. Croucher, 970 F. Supp. 1227 (N.D. Ohio
157
Perea v. Fales, 114 Cal. Rptr. 808 (1974), at p. 810. 1997); Saunders v. Hunter, 980 F. Supp. 1236 (M.D. Fla.
158
Kramer v. City of Bethlehem, 289 A. 2d 767 (1972). 1997); Forsyth v. City of Dallas, Texas, 91 F. 3d 769 (5th Cir.
159
Rogenski v. Board of Fire and Police Commissioners of 1996); and Glass v. Dachel, 2 F. 3d 733 (7th Cir. 1993).
185
Moline, 285 N.E. 2d 230 (1972). See also Adapted from Will Aitchison, The Rights of Law Enforce-
Major v. ­Hampton, 413 F. Supp. 66 (1976), in which the ment Officers, 4th ed. (Portland, Oregon: Labor Relations
court held that an IRS rule against activities tending to Information System, 2000), p. 298.
186
­discredit the agency was overbroad as applied to a See Lytle v. City of Haysville, 138 F. 3d 857 (10th Cir. 1998),
­married employee who had maintained an apartment for and Frederick v. Department of Justice, 73 F. 3d 349 (4th
illicit sexual liaisons during off-duty hours. Cir. 1996).
160 187
Grayned v. City of Rockford, 92 S. Ct. 2294, 408 U.S. 104 Broaderick v. Oklahoma, 413 U.S. 601, 93 S. Ct. 2908 (1973),
(1972), at pp. 108–109. and Reeder v. Kansas City Bd. of Police Comm., 733 F. 2d
161
Bence v. Breier, supra note 81, at p. 1190. 543 (8th Cir. 1984).
162 188
Rinaldi v. Civil Service Commission, 244 N.W. 2d 609 (Mich. United Public Workers v. Mitchell, 330 U.S. 75, 67 S. Ct.
1976). (1947): U.S. Civil Service Commission v. National Associa-
163
Allen v. City of Greensboro, North Carolina, 452 F. 2d 489 tion of Letter Carriers, 413 U.S. 548, 93 S. Ct. 2880 (1973).
189
(4th Cir. 1971). Broaderick v. Oklahoma, supra note 112.
164 190
Petraitis v. Board of Fire and Police Commissioners City of Sponick v. Detroit Police Dept., #15396, 49 Mich. App. 162,
Palos Hills, 335 N.E. 2d 126 (Ill. 1975); Haywood v. Munici- 211 N.W.2d 674 (Mich. App. 1973).
191
pal Court, 271 N.E. 2d 591 (Mass. 1971); Lewis v. Board of Sponick v. City of Detroit Police Department, 211 N.W. 2d
Trustee, 212 N.Y.S. 2d 677 (1961). Compare Stanton v. 674 (Mich. 1973), at p. 681. But see Wilson v. Taylor, 733 F.
Board of Fire and Police Commissioners of Village of 2d 1539 (11th Cir. 1984).
192
B ­ ridgeview, 345 N.E. 2d 822 (Ill. 1976). Bruns v. Pomerleau, 319 F. Supp. 58 (D. Md. 1970). See also
165
DeSalvatore v. City of Oneonta, 369 N.Y.S. 2d 820 (1975). McMullen v. Carson, 754 F. 2d 936 (11th Cir. 1985), where it
166
Marino v. Los Angeles, 110 Cal. Rptr. 45 (1973). was held that a Ku Klux Klansman could not be fired from
167
Guido v. City of Marion, 280 N.E. 2d 81 (Ind. 1972). his position as a records clerk in the sheriff’s department
168
Carroll v. Goldstein, 217 A. 2d 676 (R.I. 1976). simply because he was a Klansman. The court did uphold
169
Firemen’s and Policemen’s Civil Service Commission v. the dismissal because his active KKK participation threat-
Shaw, 306 S.W. 2d 160 (Tex. 1957). ened to cripple the agency’s ability to perform its public
170
Martin v. City of St. Martinville, 321 So. 2d 532 (La. 1975). duties effectively.
171 193
Arnold v. City of Aurora, 498 P. 2d 970 (Colo. 1973). Civil Service Commission of Tucson v. Livingston, 525 P. 2d
172
Carey v. Piphus, 435 U.S. 247, 98 S. Ct. 1042 (1978). 949 (Ariz. 1974).
173 194
County of Monroe v. Dept. of Labor, 690 F. 2d 1359 (11th City of San Diego v. John Roe, 543 U.S. 77, 125 S. Ct. 521
Cir. 1982). (2005).
174 195
Gitlow v. New York, 268 U.S. 652, 45 S. Ct. 625 (1925). See, for example, Tinker v. Des Moines School District, 393
175
Pickering v. Board of Education, 88 S. Ct. 1731, 391 U.S. U.S. 503, 89 S. Ct. 733 (1969).
196
563 (1968), at p. 568. 425 U.S. 238, 96 S. Ct. 1440 (1976).

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 c h ap t e r 14 • L E G A L A S PECT S OF P OL I CE A DM INIS TRAT ION 509
197
Mapp v. Ohio, 367 U.S. 643, 81 S. Ct. 1684 (1961). ­ enying the department’s authority include Molino v.
d
198
Katz v. United States, 389 U.S. 347, 88 S. Ct. 507 (1967). Board of Public Safety of City of Torrington, 225 A. 2d 805
199
Ibid. (Conn. 1966); Stape v. Civil Service Commission of City of
200
Smith v. Maryland, 442 U.S. 735, 99 S. Ct. 2577 (1979), and Philadelphia, 172 A. 2d 161 (Pa. 1961); and Farmer v. Fort
Chan v. State, 78 Md. App. 287, 552 (1989). The “expec- Lauderdale, 427 So. 2d 187 (Fla. 1983), cert. denied in 464
tation to privacy” clause was developed in Katz v. United U.S. 816, 104 S. Ct. 74 (1983).
214
States, supra note 12, a case that involved warrantless Eshelman v. Blubaum, supra note 141, p. 1286.
215
electronic surveillance of a public telephone booth. The Farmer v. City of Fort Lauderdale, supra note 141.
216
Court said that “the Fourth Amendment protects peo- Furtado v. Town of Plymouth, 451 Mass. 529, 888 N.E.2d
ple, not places. What a person knowingly exposes to the 357 (Mass. 2008).
217
public, even in his own home or office, is not subject to Faust v. Police Civil Service Commission, 347 A. 2d 765
Fourth Amendment protection. But what he seeks to (Pa. 1975); Steward v. Leary, 293 N.Y.S. 2d 573 (1968);
preserve as private, even in an area accessible to the Brewer v. City of Ashland, 86 S.W. 2d 669 (Ky. 1935);
public, may be constitutionally protected. . . . There is a Fabio v. Civil Service Commission of Philadelphia, 373 A.
two-fold requirement, first that a person have exhibited 2d 751 (Pa. 1977).
218
an actual expectation of privacy, and second that the Anderson v. City of Philadelphia, Pennsylvania, 668 F. Supp.
expectation by one’s society is prepared to recognize it 441 (1987), reversed by 845F. 2d 1216 (3rd Cir. 1988).
219
as reasonable/legitimate.” See Aitchison, The Rights of Law Enforcement Officers,
201
See People v. Tidwell, 266 N.E. 2d 787 (Ill. 1971). pp. 58–62.
202 220
See Ontario v. Quon 529 F.3rd 892 (2010). See Bigby v. City of Chicago, 766 F. 2d 1053 (7th Cir. 1985),
203
Biehunik v. Felicetta, 441 F. 2d 228 (2nd Cir. 1971), cert. cert. denied in 474 U.S. 1056, 106 S. Ct. 793 (1986); McCoy
denied in 403 U.S. 932, 91S.Ct. 2256 (1971). v. Board of Fire and Police Commissioners (Chicago), 398
204
United States v. Leon, 468 U.S. 897, 104S.Ct. 3430 (1984), N.E. 2d 1020 (1979); Davis v. Williams, 588 F. 2d 69 (4th Cir.
and Massachusetts v. Sheppard, 468 U.S. 981, 104 S. Ct. 1979); Parker v. Levy, 417 U.S. 733, 94 S. Ct. 2547 (1974);
3424 (1984). Bence v. Brier, 501 F. 2d 1184 (7th Cir. 1974), cert. denied in
205
Illinois v. Gates, 462 U.S. 213, 103 S. Ct. 2317 (1984). 419 U.S. 1121, 95 S. Ct. 1552 (1977); and Gee v. California
206
The concept of the “good faith-reasonable belief” defense State Personnel Board, 85 Cal. Rptr. 762 (1970).
221
as either a qualified or an absolute immunity has signifi- Whether or not reasonable people would agree that the
cant case history. See Isadore Silver, Police Civil Liability conduct was punishable so that an individual is free to
(New York: Matthew Bender and Company, 1987), chap- steer a course between lawful and unlawful behaviors is
ters 4 and 7. the key to “reasonableness.” See Cranston v. City of
207
See Floyd v. Farrell, 765 F. 2d 1 (1st Cir. 1985); Malley v. Briggs, ­Richmond, 710 P. 2d 845 (1986), and Said v. Lackey, 731
475 U.S. 335, 106 S. Ct. 1092 (1986); Santiago v. Fenton, 891 F. S.W. 2d 7 (1987).
222
2d 373 (1st Cir. 1989); and Hoffman v. Reali, 973 F. 2d 980 (1st Cranston v. City of Richmond, supra note 148.
223
Cir. 1992). See City of St. Petersburg v. Police Benevolent Association,
208
Sheetz v. Mayor and City Council of Baltimore, Maryland, 414 So. 2d 293 1982, and Brown v. Sexner, 405 N.E. 2d
315 Md. 208 (1989). 1082 (1980).
209 224
385 U.S. 493, 87 S. Ct. 6126 (1967). Richter v. Civil Service Commission of Philadelphia, 387 A.
210
The states are bound by this requirement as well. 2d 131 (1978).
225
Malloy v. Hogan, 378 U.S. 1, 84 S. Ct. 489 (1964). Miller v. City of York, 415 A. 2d 1280 (1980), and Kannisto v.
211
Gardner v. Broderick, 392 U.S. 273, 88 S. Ct. 1913 (1968). City and County of San Francisco, 541 F. 2d 841 (1976),
212
These procedural rights in police disciplinary actions have cert. denied in 430 U.S. 931, 97 S. Ct. 1552 (1977).
226
often been referred to as the “Garrity Rights.” They were McIntosh v. Monroe Police Civil Board, 389 So. 2d 410
developed through a series of cases; see Lefkowitz v. (1980); Barnett v. New Orleans Police Department, 413
T
­ urley, 414 U.S. 70, 94 S. Ct. 316 (1973), and Confederation So.2d 520 (1982); Allman v. Police Board of Chicago, 489
of Police v. Conlisk, 489 F. 2d 891 (1973), cert. denied N.E. 2d 929 (1986).
227
in 416 U.S. 956, 94 S. Ct. 1971 (1974). Further, as the Philadelphia Civil Service Commission v. Wotjuski, 525 A.
rights appear here, see Aitchison, The Rights of Law 2d 1255 (1987); Gandolfo v. Department of Police, 357
Enforcement Officers, p. 118. So.568 (1978); McDonald v. Miller, 596 F. 2d 686 (1979).
213 228
See Gabrilowitz v. Newman, 582 F. 2d 100 (1st Cir. 1978). Monroe v. Board of Public Safety, 423 N.Y.S. 2d 963 (1980).
229
Cases upholding the department’s authority to order an Redo v. West Goshen Township, 401 A. 2d 394 (1979).
230
officer to take a polygraph examination include Eshelman Brase v. Board of Police Commissioners, 487 N.E. 2d 91
v. Blubaum, 560 P. 2d 1283 (Ariz. 1977); Dolan v. Kelly, (1985).
231
N.Y.S. 2d 478 (1973); Richardson v. City of Pasadena, See John Doe v. U.S. Department of Justice, 565, F.3d 1375
500 S.W. 2d 175 (Tex. 1973); Seattle Police Officer’s Guild v. (Fed Cir. 2009).
232
City of Seattle, 494 P. 2d 485 (Wash. 1972); Roux v. New See Brady v. Maryland, 373 U.S. 83 (1963).
233
Orleans Police Department, 223 So.2d 905 (La. 1969); See Giglio v. United States, 405 U.S. 150 (1972) and expan-
Coursey v. Board of Fire and Police Commissioners, 234 sion of the Brady duty in United States v. Agurs, 427 U.S.
N.E. 2d 339 (Ill. 1967); Frazee v. Civil Service Board of City 97 (1976), United States v. Bagley, 473 U.S. 667 (1985),
of Oakland, 338 P. 2d 943 (Cal. 1959); and Hester v. Kyles v. Whitley, 514 U.S. 419 (1995), and Youngblood v.
M­ illedgeville, 777 F. 2d 1492 (11th Cir. 1985). Cases West Virginia, 547 U.S. (2006).

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 510 cha pte r 1 4 • L E G A L A SPE CTS O F P OL I C E AD MI N I S T RAT I ON

234 242
Adapted from Richard Weinblatt, “Top 10 Social Network- Lawrence v. Texas, 539U.S. 558, 123 S. Ct. 2472 (2003).
243
ing Tips for Police,” Policeone.com (August 25, 2009). “What you should know about the EEOC and the enforce-
Retrieved on July 24, 2010. ment protections for LGBT Workers.” Retrieved August 6
235
Major v. Hampton, 413 F. Supp. 66 (1976). from: http://www.eeoc.gov/eeoc/newsroom/wysk/enforce-
236
City of North Muskegon v. Briggs, 473 U.S. 909 (1985). ment_protections_lgbt_workers.cfm
237 244
National Gay Task Force v. Bd. of Ed. of Oklahoma City, McCarthy v. Philadelphia Civil Service Comm., 424 U.S.
729 F. 2d 1270 (10th Cir. 1984). 645, 96 S. Ct. 1154 (1976).
238 245
See Whisenhund v. Spradlin, 464 U.S. 964 (1983), and Kukla Miller v. Police of City of Chicago, 349 N.E. 2d 544 (Ill.
v. Village of Antioch, 647 F. Supp. 799 (1986), cohabitation 1976); Williamson v. Village of Baskin, 339 So.2d 474 (La.
of officers; Coryle v. City of Oil City, 405 A. 2d 1104 (1979), 1976); Nigro v. Board of Trustees of Alden, 395 N.Y.S. 2d
public lewdness; Childers v. Dallas Police Department, 513 544 (1977).
246
F. Supp. 134 (1981); and Fout v. California State Personnel State, County, and Municipal Employees Local 339 v. City
Board, child molesting; Fugate v. Phoenix Civil Service of Highland Park, 108 N.W. 2d 544 (1977).
247
Board, 791 F. 2d 736 (9th Cir. 1986), sex with prostitutes; Hameetman v. City of Chicago, 776 F. 2d 636 (7th Cir.
and Doe v. Commonwealth Attorney, 425 U.S. 901, 96S. Ct. 1985).
248
1489 (1976), Smith v. Price, 616 F. 2d 1371 (5th Cir. 1980), Cox v. McNamara, 493 P. 2d 54 (Ore. 1972); Brenkle v.
and Bowers v. Hardwick, 478 U.S. 186, 106 S. Ct. 2841 Township of Shaler, 281 A. 2d 920 (Pa. 1972); Hopwood v.
(1986), sodomy as a state law prohibiting homosexuality. City of Paducah, 424 S.W. 2d 134 (Ky. 1968); Flood v.
239
Bd. of Ed. v. National Gay Task Force, 729 F. 2d 1270 (10th ­Kennedy, 239 N.Y.S. 2d 665 (1963). See also Trelfa v.
Cir. 1984), affirmed in 470 U.S. 903, 105 S. Ct. 1858 (1985). ­Village of Centre Island, 389 N.Y.S. 2d 22 (1976). Rules
240
Rowland v. Mad River Sch. Dist., 730 F. 2d (6th Cir. 1984), prohibiting law enforcement officers from holding interest
cert. denied in 470 U.S. 1009, 105 S. Ct. 1373 (1985). in businesses that manufacture, sell, or distribute
241
Todd v. Navarro, 698 F. Supp. 871 (1988). ­alcoholic beverages have also been upheld. Bock v. Long,

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 c h ap t e r 14 • L E G A L A S PECT S OF P OL I CE A DM INIS TRAT ION 511

279 N.E. 2d 464 (Ill. 1972); Johnson v. Trader, 52 So.2d 333 and Lovvorn v. City of Chattanooga, Tennessee, 846 F. 2d
(Fla. 1951). 1539 (1988).
249 258
Richard N. Williams, Legal Aspects of Discipline by Police O’Connor v. Ortega, 480 U.S. 709, 107 S. Ct. 1492, (1987).
259
Administrators, Traffic Institute Publication No. 2705 (Evan- 489 U.S. 602, 109 S. Ct. 1402 (1989).
260
ston, IL: Northwestern University, 1975), p. 4. Supra note 195.
250 261
City of Crowley Firemen v. City of Crowley, 264 So. 2d 368 City of Palm Bay v. Bauman, 475 So.2d 1322 (Fla. 5th DCA
(La. 1972). 1985). Officers can be required to submit to urinalysis if
251
See Rojas v. Alexander’s Department Store, Inc., 654 F. there is a “reasonable suspicion” that the officer has been
Supp. 856 (1986), and Reagan v. Hampton, 700 F. Supp. using a prohibited substance (including alcohol), see Jack-
850 (1988). man v. Schembri, 635 NYS.2d 30 (A.D. 1995)[1996 FP72].
252 262
Reich v. Board of Fire and Police Commissioners, 301 N.E. The New York Policy was challenged and upheld in Lynch v.
2d 501 (Ill. 1973). City of New York, 589 F.3rd 94 (2d Cir. 2009).
253 263
Krolick v. Lowery, 302 N.Y.S. 2d 109 (1969), at p. 115, and Walters v. Secretary of Defense, 725 F. 2d 107 (D.C. Cir. 1983).
264
Hester Milledgeville, 598 F. Supp. 1456, at p. 457, n. 2 Security of Law Enforcement Employees, District Counsel
(M.D. Ga. 1984), modified in 777 F. 2d 1492 (11th Cir. 82 v. Carly, 737 F. 2d 187 (2d Cir. 1984); Division 241 Amal-
1985). gamated Transit Union v. Suscy, 538 F. 2d 1264 (7th Cir.
254
McCracken v. Department of Police, 337 So. 2d 595 (La. 1976) cert. denied in 429 U.S. 1029, 97 S. Ct. 653 (1976);
1976). McDonnell v. Hunter, 612 F. Supp. 1122 (S.D. Iowa 1984),
255
Krolick v. Lowery, supra note 229. affirmed in 746 F. 2d 785 (8th Cir. 1984).
256 265
466 U.S. 109, 104 S. Ct. 1652 (1984), at p. 1656. For a comprehensive review of the cases in this area, see
257
National Federation of Federal Employees v. Weinberger, Gregory P. Orvis, “Drug Testing in the Criminal Justice
818 F. 2d 935 (1987). See also related cases: National Trea- Workplace,” American Journal of Criminal Justice 18,
sury Employees Union v. Von Raab, 816 F. 2d 170 (1987), No. 2 (spring 1994), pp. 290–305.

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 c h a p t e r f i f t e e n

O R GANI ZATI ONAL

C HANGE
Learning Objectives
1. Explain why change occurs in law enforcement agencies.
2. Discuss five situations when change should not be initiated.
3. Analyze three models of change in organizations.
4. Discuss the role of the rank and file in organizational change.
5. Explain why organizational change sometimes fails.
6. Describe how to make organizational change succeed.
7. Describe the role of technology in police organizational change.
8. Discuss a few ways in which policing may change in the coming years.

512

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 C H AP T ER 15 • OR G AN I Z AT I O NAL C H ANGE 513

INTRODUCTION WHY CHANGE OCCURS

IT HAS LONG BEEN said in policing circles that In any organization, there can be any number of catalysts for
cops hate two things: change; and the way change. Law enforcement agencies, however, are in a unique
position when it comes to change: they sit at a complex intersec-
things are! That old adage is humorous but also tion of social issues, politics, and community service. Each of
adeptly sums up the organizational frustrations those facets both influence and are influenced by changes in
for many police officers and executives. Law policing organizations. This is why police administrators face
particularly stressful and difficult challenges when making deci-
enforcement is notoriously slow to change, but sions related to organizational change. The following provides
when things do happen, it often results in some concrete examples as to “why” police agencies change.
longstanding cultural norms, creating
Reaction to Crisis
uncertainty and tension.
After September 11, 2001, the mission of police organizations
Organizational change is stressful, even in the in America—particularly those in major metropolitan areas—
best of circumstances. But in law enforcement, fundamentally changed. Never before had police departments
been charged with securing the nation by preventing the next
change often requires both structural and
terrorist attack on the homeland. Historically, that was the role
cultural adjustments that impact an of the federal government and did not include state and local
organization’s legitimacy, officer morale, union police agencies. As discussed in Chapter 3, the Posse Comitatus
Act actually made it illegal for federal troops to be used in law
or association relationships, and community
enforcement purposes primarily because their role was rele-
relations. And organizational change in policing gated to national security interests; blurring the role between
is a phenomenon that is occurring at warp police and the military was prohibited. However post-9/11,
police agencies began to take a much more active role in anti-
speed. For instance, outrage over the deaths of
terrorism by gathering intelligence, monitoring communities for
several unarmed black men in 2014 and 2015 terror activity, militarizing their SWAT operations, and equip-
has led to calls to adopt principles of fair and ping fusion centers with the technology to allow the analysis
of massive amounts of data and information.1
impartial policing, examine use of force and
Further, we are currently witnessing a major crisis that may
hiring policies, demilitarize crowd control again, fundamentally change policing. The 2014-15 shootings of
measures, improve community relations, and unarmed black men by local police, such as Michael Brown,
­Samuel DuBose, and Walter Scott, as well as the in-custody deaths
expand the role of technology. Furthermore,
of Sandra Bland, Freddie Gray, and Eric Garner have caused a
generational issues within the workforce are major public outcry and prompted calls for police agencies to
driving massive changes in police culture as ­re-examine the way they do business. External constraints as well
as internal self-reviews have prompted significant changes in polic-
well.
ing, from training to internal investigations to public outreach. In
Police administrators in the current climate and the wake of these incidents, departments are struggling to address
the near future must understand and adapt to inherent bias within officer culture, de-escalation techniques, and
community relations—all of which could have major implications
these factors in order to lead their organization
related to organizational structure and procedure. (See Box 15.1.)
successfully. This chapter discusses elements of As discussed in the previous chapter, the Civil Rights Division
organizational change, including (1) what drives of the U.S. Department of Justice has the right to sue police agen-
cies anywhere within the jurisdiction of the United States under
change in law enforcement; (2) what limits change
the 1994 Violent Crime Control and Law Enforcement Act. While
in law enforcement; (3) models of organizational forced change is rarely seen as a positive influence in policing,
change; (4) the role that politics plays in the impact of a federal consent decree on police reform has not
gone unnoticed.2 For those agencies currently under such “memo-
organizational change; (5) the role of officer
randums of understanding,” the ability of an external entity to
culture in organizational change; (6) the role of monitor rogue police cultures and agencies and develop a set of
technology in organizational change; (7) why “best practices” has been the pathway to change. Effective polic-
ing should not be violent and should not be biased but rather
change sometimes fails; (8) how to increase the
imbue from the Bill of Rights those guarantees and liberties to
chances of organizational success; and (9) the which every police officer in this country swears their first and
future of policing. most important oath . . . to uphold U.S. Constitution.

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 514 CHA PTE R 1 5 • O R G A N IZATIO N AL C H AN G E

Box 15.1: Actions in Wake of Police–Community Unrest

Police confront protestors in Baltimore, Maryland, following the funeral of Freddie Gray in
Baltimore in April, 2015. (MICHAEL REYNOLDS/epa european pressphoto agency b.v/Alamy Stock Photo)

An Associated Press analysis identified at least 40 measures Use of Deadly Force—Chokeholds: As a reaction stem-
passed by 24 states that addressed issues highlighted by the ming from the death of Eric Garner by an NYPD officer in
events in Ferguson, MO, in the summer of 2014: Staten Island, New York, in July 2014, some states
(Nevada, Tennessee, Illinois, and the District of Colum-
Body Cameras: Sixteen states passed measures that
bia) have laws that severely limit the police use of the
directly addressed officer worn cameras that can record
carotid artery chokehold, or any other type of choke hold
interactions with an individual during a specific incident as
unless the officer is in a “life-or-death” situation. These
well as general interactions with the public. Some states
laws classify chokeholds as “the use of deadly force.”
(Arizona, Maryland, and Louisiana) merely created com-
mittees to further study the issue or recommend policies Military Equipment: Concerned that some tactical
on how the cameras should be used by local and state weaponry such as riot gear, grenade launders, assault
agencies, while other states (Illinois and Oregon) passed rifles, and armored vehicles, for example—are transferred
rigorous laws setting standards for when police must use from the U.S. Department of Defense with little oversight
the cameras and how long the videos must be stored. or justification creating a culture of aggression within
Other states (Colorado, Connecticut, South ­Carolina, and police agencies and forces, several states (Montana, New
Texas) approved various grant programs to help local Jersey, and New York) passed laws prohibiting local
agencies purchase cameras and associated equipment police to acquire former military equipment without spe-
and still other states (Florida, North Dakota, and Okla- cific authorization and oversight. These laws severely
homa) passed laws limiting the access of camera videos restrict the acquisition of military equipment by police
to the public. Finally, some states (North Carolina, Alaska, and stem from President Barack Obama’s special report
and Washington) simply did not address the issue or had entitled, Review of Federal Support for Local Law
previous legislation that governed the use of body worn Enforcement Equipment Acquisition, December 2014.
cameras by police. Training for Police Officers: Forty-nine states have
Citizen Cameras: Several states (California and Oregon) commissions that develop, implement, and administer
affirmed the right of citizens to video or take photos of training curriculum for police. These entities now
police officers conducting business or acting while on require inclusion of issue-specific courses in basic as
duty. Other states (Colorado and Connecticut) passed well as in-service police training focused on de-­
laws that held police agencies liable for interfering with escalation. The two most cited areas of training include
citizens filming, taking videos, or photographing police (1) crisis intervention training that prepares officers to
officers in the scope of their duty. better respond to situations involving people with

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 C H AP T ER 15 • OR G AN I Z AT I O NAL C H ANGE 515

mental health problems and alternatives to lethal force diverse environment” (Montana State Law, Section
when interacting with potentially dangerous people in 44-2-117). Further, several states (Colorado, Connecti-
the community; and (2) racial bias training providing cut, Maryland, Rhode Island, and Illinois) passed legis-
police officers with tools to help them reduce the effect lation that either addressed and curtailed racial bias or
of bias on their decision-making particularly during profiling by police or required racial demographic data
arrest. One state (Montana) enacted legislation that on subjects to be collected regularly and reported to
provided counseling for officers found to have state agencies for oversight.
engaged in race-based traffic stops and dictated that
Source: Associated Press, “State Actions in Wake of Ferguson’s
state training courses must “stress understanding and Upheaval.” August 2, 2015, and National Conference of State
respect for racial and cultural differences and the devel- Legislatures (NCSL), Law Enforcement Overview (May 29, 2015).
opment of effective, noncombat methods of carrying See: http://www.ncsl.org/research/civil-and-criminal-justice/law-
out law enforcement duty in a racially and culturally enforcement.aspx.

Fluctuating Crime Rates the steady and rapid decline of employee benefits to police
officers across the nation. Despite market rebounds, by 2015,
As crime rates fluctuate, police organizations often adapt to
many pension plans were still struggling as a result of the mas-
address these primary indicators of safety and concern. Increasing
sive losses sustained in the economic collapse that devastated
the number of patrol officers to combat rising crime rates may
stock and real estate holdings on which many pension funds
involve significant organizational change—perhaps a tactical unit
were dependent upon. Coupled with an ever-aging workforce,
or special program was shifted in order to free-up personnel for
police agencies witnessed an unprecedented number of retire-
such a change. Agencies may adapt new strategies—like hotspots
ments that further stressed the situation. For instance, in San
policing—to attack a specific problem, requiring dedicated units,
Diego and other California communities, police officers facing a
new task forces and partnerships, new technology, additional
slashing of work and retirement benefits simply quit—or retired
training, additional community outreach, and a new outlook on
before change legislation was enacted causing further negative
crime reduction altogether. Conversely, if crime rates decrease
impact on already stressed funds. Department across the country,
dramatically, specialized units may be disbanded altogether or
and especially in hard-hit California, massive reductions in pen-
reorganized to tackle another problem.
sion plans approved as a result of economic crisis continues to
hamper recruitment efforts.5 Chapter 12(Financial Management)
Technological Advances highlights similar issues in other communities.
Rapid change is often associated with the introduction of new Unfortunately, economic decline for most cities interprets
technology. Witness the complex and rapid change that has into fewer officers for the police department. Dwindling num-
occurred in global society over the past two decades with the bers of police have several negative effects on a community:
introduction of the Internet or the impact on lives due to new (1) More proactive programs that focus on crime-specific areas
innovations in medicine in just the last 5 years. Consider the are reduced, as well as more community-based strategies give
discussions in Chapter 2 relating to Compstat, intelligence-led way to the primary, reactive police mission of answering calls
policing, evidence-based policing, and GIS—and how they fun- for service at the patrol level; (2) Reactive policing usually
damentally changed the way police organizations go about results in higher crime rates as little if any proactive work is
doing their job.3 Currently, and as discussed in Chapter 4, body focused on crime-specific issues; (3) The reduction of commu-
worn cameras are being touted as the next instrument of change nity-based programs often hinder larger efforts to improve rela-
within policing—and the technology will certainly require major tionships between the police and different sectors of the
resource commitments from agencies, infrastructure adjustments, community, particularly minority areas; (4) This leads to a
policy and procedural changes, and new organizational vicious downward cycle of maintaining the reactive functions
considerations. of patrol over more progressive strategies that attempt to
improve police transparency, legitimacy, and organizational
change; and (5) The resulting end is often highlighted by com-
Funding and Economic Decline munity distrust and anger toward the police.
Budgetary concerns obviously affect any organization—and in More obvious effects can be seen in program cuts and orga-
policing, money can be tied to every level of organizational nizational shifts as a result of budget adjustments. In 2010, PERF’s
effort. In a survey by the Police Executive Research Forum research revealed that 32 percent of agencies reported freezing
(PERF) in 2010, 78 percent of police agencies surveyed reported recruitment of new officers, and 23 percent had implemented
that they had experienced budget cuts as a result of the reces- officer layoffs. Fifty-eight percent of agencies in 2010 reported a
sion that began in 2008; by 2012, 51 percent reported that they reduction of services to the community; in a 2012 follow-up, that
were still experiencing cutbacks due to lingering effects of the number had dropped to 44 percent. Furthermore, 45 percent of
downturn.4 One significant result of the 2008 recession has been police agencies had discontinued or significantly reduced

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 516 CHA PTE R 1 5 • O R G A N IZATIO N AL C H AN G E

specialty units as a result of a poor local economy; and 51 per- organizations are impacted greatly by what goes on in voting
cent of agencies reported that they were eliminating or cutting booths, city halls, district attorneys’ offices, state legislatures,
back on plans to acquire new technology.6 (See Box 15.2.) Con- and the White House.
sidering that technology plays a crucial role in the advancement The most obvious organizational effects from political med-
of policing and that most cutting-edge policing strategies require dling often occur in agencies where leadership is elected—
sophisticated information systems to be monitored and hence, namely sheriff’s offices. In those cases, when a new sheriff is
evaluated—and that technology is the inherent cornerstone of a elected, an organization can experience tremendous turnover
much-demanded implementation of body worn cameras across and major structural change to accommodate a new leader’s
the country—it becomes obvious that organization change agenda or mandate. However, elections can greatly change law
within policing often requires significant economic funding. enforcement agencies that are not led by elected officials. For
instance, the election of new mayors and the subsequent
Politics appointment of new city managers can result in incumbent
Chapters 1 and 4 documented the historical linkages and issues police chiefs being replaced in order to better fit with an incom-
of politics in policing in the United States and clearly the pro- ing administration’s agenda—or, simply because of personality
fessional era of policing argued successfully to eliminate poli- clashes. Police chief positions are largely political appointments,
tics out of law enforcement. However, this has rarely been the with the chief serving at the pleasure of city officials. If a mayor
case. The reality is that law enforcement agencies are legitimate or city manager is, for example, unhappy with the performance
governmental entities given the authority to enforce the laws of the police department, they may dismiss the chief and seek
of the government—making them inherently political. Police change through the administration of a new leader. There can

Box 15.2: The Effect of Economic Downturn on Police Agencies

After the recession of 2008, law enforcement agencies felt the effects of tightened budgets for years. A 2012 Police Executive
Research Forum survey revealed the organizational consequences of the crisis.

CHANGE IN DEPARTMENT STRUCTURE % OF POLICE AGENCIES THAT ARE

IMPLEMENTING THE CHANGE
Discontinuing or significantly reducing specialty units 45%
Consolidating units 25%
Consolidating services with other departments 22%
Reducing public access hours at district stations 18%
Closing/consolidating district stations 8%
Contracting out for services 7%
Demoting staff in certain ranks 4%
Privatizing some police services 3%

REDEPLOYMENT STRATEGY % OF DEPARTMENTS THAT ARE

IMPLEMENTING THE CHANGE
Altering shift times 44%
Changing patrol levels in defined areas 34%
Handling crime scene processing with patrol officers 32%
No longer sending investigators immediately for certain crimes 30%
Alternative call handling strategies (phone or Internet) 25%
Changing investigative priorities 24%
Changing response policies for calls for service 19%

Source: Police Executive Research Forum. “Policing and the Economic Downturn: Striving for Efficiency Is the New Normal.”
February 2013. See: http://www.policeforum.org/assets/docs/Critical_Issues_Series/policing%20and%20the%20economic%20
downturn%20-%20striving%20for%20efficiency%20is%20the%20new%20normal%202013.pdf.

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 c h ap t er 15 • OR G A N I Z AT I O NAL CHANGE 517

be real expenses to this type of political change. It can be unsa- Contemporary employees, who include Gen Xers (1965
vory and kill officer morale when unqualified or marginally com- through 1980) and Millennials (1981 through 1994), are funda-
petent people with unbridled ambition successfully use politics mentally different than their predecessors—not content to plow
to their personal advantage at the considerable expense of oth- through monotonous paperwork, conform to a stagnant set of
ers or when the use of politics interferes with the timely and rules and regulations, and/or endure the hardship of working
effective implementation of a new or exciting strategy. for an incompetent manager simply for the sake of getting a
Political meddling from outside of the city organizational paycheck. These employees have been described in the litera-
structure can also have significant impact. For example, a newly ture as very conscientious, self-assured, and value-centered.
elected District (County) or State’s Attorney may signal change Studies have shown Gen Xers and Millennials to be more likely
in prosecutorial decisions that greatly impact policing in that to thrive in collaborative environments than Baby Boomers
community. Illustratively in Dallas (Texas), a newly elected dis- (1945 through 1964), better at recognizing the value of technol-
trict attorney suddenly closed a digital forensics lab inside the ogy and embracing it as a vital part of their work; more accept-
Dallas Police Department. The closure was not due to financial ing of diversity as a strength in the workplace; and better at
issues, but rather the political whims of the newly elected DA, multitasking in their jobs.9
whose office in the past had funded the lab. However, they also lack many of the attributes that current
The lab had been processing digital evidence for police police agencies value highly: namely, the ability to focus on
agencies in the entire Metroplex area of over 7 million people, a key issue or see a project through to its end. To deal with
relating to homicide, sexual abuse, child pornography, and such issues, and to fully capitalize on the more positive quali-
various financial crimes. 7 The closure meant that police ties these generations bring, police agencies may need to
­agencies were left scrambling to find other resources for the change their organizational training model to focus on men-
processing of digital evidence, forcing organizational changes toring and coaching over a longer term than a traditional
from small movements like increasing overtime limits for detec- training academy. Gen Xers and Millennials also have a ten-
tives with backlogged cases, to more substantial impacts like dency to want to see career progression much more quickly
adding significant personnel to new units within the depart- than their predecessors. For current officers and managers,
ment or assembling task forces to process digital evidence for 20 years was not an abnormal amount of time to ascend to a
growing numbers of cases. leadership rank in police agencies. However, the contempo-
rary generation of police wants much faster-growing careers
and expects to move up through the ranks much more
A Changing Workforce quickly. Faced with a slow-moving organization structure and
Conventional wisdom would dictate that the aging sector of the bureaucracy, traditionally without many employee incentives,
workforce—namely the Baby Boomers, who are those born retention of officers will be problematic—an issue that has
between 1946 and 1964—is leaving policing in large numbers, never confronted most police agencies. The contemporary
as they reach retirement age. However, the 2008 economic generation will be much more likely to leave in pursuit of
downturn has actually slowed their retirement in some commu- career fulfillment outside of law enforcement.10 In response,
nities—as pension funds scramble to catch up, and as the cost police organizations today may have to institute career path-
of living rises, many older police officers are hesitant to leave.8 way programs that emphasize opportunities and delineate
Policing, as with other public sector positions, has witnessed this ways to achieve them and work with police unions and asso-
trend more acutely than the private sector. Previous generations ciations to adapt the promotional process to this new, shifting
of police officers have managed to adapt to the traditional orga- paradigm of employees. Further, contemporary police officers
nizational structure without too many issues. The leadership of are also much more interested in accommodations in the
most police organizations are still very much indoctrinated in a workplace that improve their quality of life and their family’s
paramilitary model of leadership. However, some policing schol- quality of life than their predecessors. Contemporary officers
ars believe that dramatic change in the workforce of American often seek more of a work/life balance and identify things like
policing is about to occur. maternity/paternity leave and flexible scheduling as important

Quick Facts: The Race Gap in America’s Police Departments

According to a recent article in the New York Times, the that is disproportionately white relative to the local com-
percentage of white police officers is more than 30 points munity population.
higher than in the communities they serve. Minorities make
Source: Jeremy Ashkenas and Haeyoun Park, “The Race Gap
up only a quarter of police forces across the county. There- in America’s Police Departments,” The New York Times
fore, more than three quarters of the cities on which the (April 8, 2015).
Census Bureau has collected data have a police department

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 518 cha pte r 1 5 • O R G A N IZATIO N AL C H AN G E

to them as paid overtime and vacation. In the future, police

agencies that have traditionally been wedded to the 24/7 law
enforcement practice over 365 days, with newer officers bear-
ing the burden of the midnight shift and adapting to the
complexities of “seniority,” may find the significant challenges
in keeping the most qualified candidates to the profession.
One chief recently lamented as a top recruit left his depart-
ment after graduating first in the academy, “He didn’t want to
work nights . . . how can you expect to be a police officer
and not work nights?”
Another significant difference from past generations that will
undoubtedly be a challenge to police agencies in the future is
the bureaucratic structure of command control. As explained in
Chapters 5 Organizational Theory and 6 Organizational Design,
chain of command and management requires written docu-
FIGURE 15.1 c New York Police Department (NYPD)
ments that pass through ranks of progressive responsibility of Chaplain Iman Khalid Latif offers the opening prayer at the
an organization, with direction following, again in writing down NYPD’s Muslim Officers Society scholarship dinner. Founded
through the organization. By design, these steps take time and in 2009 to promote patriotism and advance the interests of
reflection with a focus on preserving organizational order and its members, the Society is recognized by the NYPD as an
control. Today’s contemporary employees demand immediate employee organization for sworn and civilian personnel. Such
feedback—a result of technological capabilities like instant text organizations reflect the continuing movement of law
messaging, the ubiquity of email, and social media—mainstays enforcement agencies toward a diverse workforce. (Courtesy
in everyday life of contemporary employees. Today’s officers of New York Police Department)
expect much more timely responses with coherent and rationale
for decisions than their predecessors and will most certainly will be more inclusive of gay employees, particularly since
impact officer morale, employee retention and productivity, and sweeping legal rulings related to discrimination against
police organizational dynamics in the future.11 ­lesbian, gay, bi-sexual, and transgender (LGBT) employee hir-
As the demographics of the country change, police orga- ing and promotional practices are on the immediate horizon
nizations will also change to become more diverse. 12 (See in the wake of the Equal Employment Opportunity Commis-
­Figure 15.1.) Population shifts in and of themselves don’t sion’s 2015 statement that such discrimination is illegal under
necessarily drive this change. For example, a recent examina- federal law.14
tion by the Associated Press of Census Data found that 49 out
of 1,400 police departments served majority Hispanic popula-
tions; in many cases, these departments served communities A New Paradigm Shift
that were vastly majority (over 80 percent) Hispanic. However, As discussed in Chapter 2, Policing Today paradigms are ways
the demographic make-up of those departments was still well or models of conducting business and they often have an
over 50 percent white.13 Police agencies have long struggled accompanying set of rules and procedures. Max Weber’s
with recruiting minority applicants. The events of 2014 and bureaucratic model can be thought of as a paradigm; when
2015 have highlighted, once again, the imbalance of power new paradigms are developed, they have the potential for
between races within our country. As citizens and government causing significant organizational change. Police scholars have
alike begin to focus on this issue in the future, recruitment identified several major and important paradigm shifts in polic-
and retention strategies that focus on minorities, ethnicities, ing over the past three decades. These certainly include (1) the
and lifestyles will force organizational change. Nothing her- advent of new technology to include vast information and
alds this change more than the Supreme Court actions ruling communication systems that have broaden the police role from
to legalize and recognize same-sex marriages in the landmark crime fighter to a much more intelligence-driven, national
case, O­ bergefell v. Hodges . Organizationally, this ruling security-oriented police officer backed by fusion centers and
required that accommodations be made to allow employees array of federal task forces; (2) individual identification by
to add their same-sex spouses to employer insurance policies, DNA, which has created demands for new skills, training, and
broadened the application of existing leave policies, and procedures in criminal investigation, especially in the areas of
opened the availability of retirement and pension benefits to evidence identification, collection, preservation, and process-
same-sex spouses. While it is too soon to assess the impact ing, as well as quantum leaps in clearing decades-old cold
that this ruling may have on overall police demographics and cases and exonerating those who were erroneously convicted
organizational change, it does seem likely that police organi- in the past; and (3) the shift from the traditional, reactive
zations—long considered to be socially conservative—may be model of policing characterized by random-moving police cars
headed for massive organizational and cultural change. The responding to calls for service to the widespread adoption of
Supreme Court ruling directly points to public agencies that community-based, predictive police models that are evaluated

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 C H AP T ER 15 • OR G AN I Z AT I O NAL C H ANGE 519

through rigorous evidence-based techniques. It is too soon to illustrates what is described as “pain level” associated with
say that the uprising of community outrage over police- gradual and radical change strategies in public organizations.
involved shootings and in-custody deaths of African Americans One camp maintains that it is better to implement change
in Ferguson, Missouri; Baltimore, Maryland; and Cleveland, swiftly (radical change) and get the upheavals that follow
Ohio, has contributed to yet another tangible paradigm shift— done and over with; the other camp wants to implement
though it may be on the horizon as body worn cameras and changes incrementally over time (gradual change) so that per-
an emphasis on de-escalation training and fair and impartial sonnel have an opportunity to adjust to new realities and
policing practices become the emphasis of the day. requirements. Proponents of radical change argue that when
Regardless, however important these new policing perspec- change is gradual, unanticipated events can derail the effort
tives and strategies may be to improving police legitimacy and before it can be completed and that it gives opponents time
to crime reduction, they have exacerbated already existing staff- to organize themselves to thwart further implementation. Kurt
ing shortages in state and local law enforcement agencies, Lewin’s three-step model on organizational change is a gen-
strained technology and training budgets, and forced agencies eral model of the likely impact on police members when
to “do more with less.” authoritarian and participative strategies using wide input and
involvement are used as the basis for gradual radical organi-
zational change; as noted in Chapter 7, leadership is not a
spectator sport. Regardless of whether change is gradual or
WHEN CHANGE SHOULD radical, the chief cannot sit passively on the sidelines to see
NOT BE MADE how it turns out—he or she must actively help lead the
change.
Because change is a perilous process, some thought should be While some changes can be accomplished through the pro-
given to whether it should be undertaken in the first place. nouncement by chiefs, especially in very small departments,
Among the conditions that indicate contemplated change should larger departments are more complex and therefore require
be delayed are as follows: greater planning, the use of more sophisticated techniques, and
1. The knowledge, skill, or other resources needed to wide involvement to garner crucial input and support before
carry out the change effectively do not exist inside moving forward to the implementation phase. This often
the department. involves the use of organizational development (OD). In
2. An appropriately experienced external change agent ­Chapter 5, ­Organizational ­Theory, the OD process was defined
is not presently available. and described. To briefly review, OD is an applied behavioral
science method of changing organizations through long-term
3. The effort of making the change is greater than any
efforts designed to improve the work culture and work
benefits to be derived. Former Georgia Governor Zell
processes.
Miller expressed this as “the juice isn’t worth the
In this section, two models of directed change are pre-
squeezing.” This principle can also be stated as sented. The first one, Lewin’s three-step model , was
“all motion isn’t progress; some of it is just selected because it is one of the oldest, simplest, and yet, the
thrashing around.” most durable. The second model, the traditional action
4. Collateral damage, such as abandonment by key research model, represents a fairly typical change process.
supporters or significant union opposition, may lead If the second one seems somewhat familiar, it may be due to
chiefs to use their limited stack of “political chips” on the fact that planning was covered in an earlier chapter (see
another issue of greater concern to them and Chapter 8, Planning and Decision Making). The traditional
the community. action research model is simply a special type of planning.
5. Too much change is already underway in the Both Lewin’s three-step model and the Traditional Action
department and the nature of the change is not Research Model rely on the use of organizational develop-
sufficiently important to make now, versus its ment (OD). In addition, the Burke-Litwin model of change,
potential for personnel to feel confused about a more practical than theoretical exercise, will be
priorities or conclude that the organization is presented.
becoming unstable.
Kurt Lewin’s Three-Step Model on
Organizational Change
ORGANIZATIONAL This model involves three sequential steps (see Figure 15.2):

CHANGE MODELS 1. Unfreezing—Officers, like all other people, get into

their “comfort zones.” Before change can occur, they
There is an old story about a boy who wanted his dog to have have to be “unfrozen” from the perceptions and
a short tail. But rather than hurt the dog by cutting the tail off behaviors that are presently part of who they are and
all at once, the boy sliced an inch off at a time. This story how they approach their jobs. Often, this is

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 520 CHA PTE R 1 5 • O R G A N IZATIO N AL C H AN G E

Unfreezing

Making Officers receptive/motivated to change

Moving

Initial implementation of change occurs; Officers experience the new ways

Refreezing

Change is made permanent as Officers accept the new ways as being the normal way

FIGURE 15.2 c Kurt Lewin’s three-step model on organizational change.

accomplished by creating a sense of urgency that the off and refreezing occurred faster when
present way of doing things is deficient in some way departmental awards were realigned with community
and that a shift to some new procedures will policing goals, such as recognition for enrolling 25
produce better results more efficiently. This tactic is businesses in a crime prevention program. Thus, as
known as “disconfirmation” because, to some degree, part of any large-scale change process, the use of
it invalidates what is presently being done. The heart awards to reinforce the desired behaviors should be
of unfreezing is making people be receptive to carefully considered.
change.
2. Moving—This is a transitional phase in which
officers actually experience the changes that were Traditional Action Research Model
planned; there will be less resistance if officers are,
There are many organizational development (OD) change
to the maximum extent possible, included in the
models; however, most of them approximate the traditional
planning process and feel that they have some
action research model with the following five steps (see
impact in shaping events. While chiefs do make top-
­Figure 15.3):
down decisions that constitute major change, such as
to begin using Compstat, there is ample room to 1. Recognizing the need for change—Without this
involve sworn and civilian personnel from across the awareness, it is simply “business as usual” for police
agency on the details of implementation, such as the agencies. The change awareness may come from the
design of forms to capture data and what types of need to implement the provisions of a Supreme Court
data are most useful for planning various types of decision or a consent decree entered into in partial
operations. The use of officers on task forces or settlement of a civil liability suit. The department’s
committees cannot be symbolic or gratuitous; such planning and research unit may have identified lapses
motives will be “sniffed out” immediately and in performance that need to be addressed or unusual
provoke an unpleasant set of dynamics for the chief opportunities on which to capitalize, such as the
to preside over. availability of federal grants to implement community
3. Refreezing—The purpose of this phase is for officers policing programs or to upgrade crime scene
to make permanent the changes they experienced in investigation capabilities. Individual officers,
the previous phase, part of the normal way in which supervisors, command staff members, or the union
they see things, think about them, and behave. Some may make written recommendations in the form of
of the refreezing can be accomplished by appealing memos or completed staff work that leads to change.
to the professionalism of officers—“When we get Additionally, any of the situations discussed in the
this thing fully up and running, everybody in the earlier section “Why Change Occurs” can take place,
state will be looking at us, wondering how we got such as a new chief being hired with a mandate to
so far ahead of them.” However, drawing upon the make specific changes in the department’s operating
lessons learned from the shift from traditional philosophy, organizational structure, programs and
policing to community policing, resistance tapered policies, and procedures.

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 C H AP T ER 15 • OR G AN I Z AT I O NAL C H ANGE 521

1.
Recognizing the Need

[Five high-speed chases in the last 16 months have resulted in

one police officer and two civilian deaths. All cases being litigated;
fact situations are not favorable to defendant agency]

2.
Assessing/Diagnosing the Situation

[Officers receive no pursuit training after graduating

from the police academy. Applicable policies and
procedures have significant gaps/omissions. The
agency sub-culture regards Officers who break off
chases as not being aggressive enough in catching
“bad guys.”]

3.
Action Planning

[The agency’s pursuit policy is to be covered in role

call training twice each year. There will be an annual
written test on policy one year and departmental skill
certification on high-speed pursuits the next. Extend
recognition at roll call for supervisors who order
chase terminations under conditions which are too
dangerous to continue or officers who do the same
on their own initiative, e.g., when nearing school
zones, crowded downtown areas, or during torrential
rains.]

4.
Change Intervention/Implementation

[Implement changes per planning]

5.
Evaluation

[Establish a framework for evaluation prior to

implementation. Data collection instruments and
procedures must be in place prior to implementation
and associated training completed. A reporting
format should also have been designed before
implementation. Monitor implementation of programs,
as well as data gathered to assess impact.]

FIGURE 15.3 c Traditional action research model.

2. Assessing/diagnosing the situation—Two fundamental and reviews of disciplinary records and litigation
tasks in assessing the situation must be executed trends.
flawlessly: (a) determining the opportunity or the 3. Action planning—The gap or difference between
problem—care must be taken to make sure that what is happening and what is desirable is the zone
attention is given to the real problem and not a of impact, where meaningful change can occur if
symptom of it and (b) determining the gap or something significant is selected to work on. The
difference between what is now happening and what chief must decide who will be in charge of the
the department would like to have happen. In order change process. Internal candidates for this
to accomplish these twin objectives, data must be responsibility know the organization, its capabilities,
gathered. Sources of such data include 911, training, and its personnel but may lack the necessary skills to
and other records, surveys of personnel and clients, lead an effective intervention or may not have the

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 522 CHA PTE R 1 5 • O R G A N IZATIO N AL C H AN G E

time to devote to the change effort. External evaluative information, the process loops back to
consultants don’t have any “baggage” because people step 1, recognizing the need for change, and the
in the department typically don’t know them, but process repeats itself.
they lack the depth of knowledge about the
department an insider would have. Although outsiders
come with a certain amount of instant credibility, any The Burke–Litwin Model
missteps they make are often judged harshly with The ability to adapt and undertake organizational transformation
biting comments such as “If he’s the expert and when it’s necessary is essential to adopting new policing models,
making big bucks, how come we’ve got such a mess preventing crime, and maintaining a good relationship with the
on our hands?” community. While the previous models recognize this and incor-
As mentioned earlier, it is crucial to involve people porate organizational development theory, the Burke–Litwin
from throughout the department and to have a model of change explores the various drivers of change and
continuous stream of information flowing to all ranks them in order of importance16.
personnel through posting on the department’s
1. External Environment: In policing, this would
intranet, announcements at roll call, information
encompass crime rates, politics, the economy, and the
posted on bulletin boards, and the dissemination of
community perception of police. Police leaders must be
memos and newsletters. When officers don’t know
very cognizant of such changes and, indeed, should be
what is going on, the rumor mill works overtime,
able to prepare their organization when such shifts
seldom to the benefit of the process or the changes
begin to occur within the environment.
being implemented.
In many instances, officers serve on one or more 2. Mission and Strategy: Previously discussed in
task forces or committees involved in the change. Chapter 2, these changes are a strategy as a reaction to
For example, officers may be appointed to a steering external forces. Police executives should recognize the
task force, which has overall responsibility for the necessity for changes in strategy and be able to
change, or the information coordination committee, articulate those to staff.
which is charged with providing the continuing and 3. Leadership: The ways in which changes are
timely flow of information to everyone in the perceived and implemented by line officers and law
department. Many lower-ranking officers are field- enforcement staff largely depends on the actions and
oriented and may chafe at being in meetings, attitudes of police leaders.
particularly if they become restless at the slow 4. Organizational Culture: This is extraordinarily
progress being made initially, cannot immediately important for law enforcement. Culture is a huge part
see any benefit from the work of the committee, or of policing, with traditions and procedures an integral
have doubts about whether it can really make a part of organizational and even personal identity.
difference.15 Ultimately, a written plan identifying the Understanding that culture comes with a certain set
process to be used and the results desired will be of expectations from the organization and that
produced during the action planning phase, with prevailing organizational values must be respected
responsibilities assigned for all activities. will help with transition. Changes that can feel like
4. Change Intervention/Implementation. This is when the an attack on organizational culture (for example: the
action plans are implemented. It is not the end of the curtailment of vehicle chases in many jurisdictions)
process but rather the end of the beginning. As the may require dialogue through multiple channels and
various activities are set in motion, their progress must ongoing employee input to strike the right balance
be carefully monitored against the time lines and between culture and organizational need.
standards established during the previous phase. 5. Structure: Police leaders will need to assess the
impact on relationships, responsibilities, and division of
5. Evaluation. This is best accomplished by a series of labor that a change will have.
informative, scheduled reports, and periodic personnel
6. Systems: These are the policies and procedures related
checking through observation and conversations with
to both people and operations of the organization.
personnel involved at various levels of the department.
The two most common needs during this time are (a) 7. Management Practices: How do managers/police
the need to further articulate or increase the level of executives work within the mission and strategy of the
detail in plans and (b) the need to initiate corrective organization? Does the way that they treat and direct
action because the time lines initially set were too officers and other personnel reflect the agency’s overall
ambitious and cannot be met or the activities have values, mission, and strategies?
somehow otherwise gotten off track (e.g., an 8. Work Unit Climate: Often, a change will impact the
equipment supplier cannot make delivery as previously immediate working environment of officers or other
agreed upon). As the decision makers receive employees—this can include work hours (such as a

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 C H AP T ER 15 • OR G AN I Z AT I O NAL C H ANGE 523

shift change), personnel (redeployments), or locations. assigned there considered themselves elite. Once in a while, that
In these cases, police executives will need to manage leftover manifestation of this fact still appears.
such change sensitively, as it may evoke a range of Recently, a consultant finished a major organizational study
responses from personnel. of a police department with 200 sworn officers. One of his
9. Task Requirements and Individual Skills/ recommendations was that the traffic division (TD) be elimi-
Abilities: Are there personnel with appropriate skill nated and all personnel from the TD be transferred to the
sets within the organization to carry out the patrol division. However, in order to maintain a high level of
necessary change? If not, will training be sufficient, ability to investigate serious personal injury and fatality acci-
or should outside consultants or new team members dents, each patrol division shift would be assigned several of
be brought in? the best qualified TD accident investigators, who would con-
10. Individual Values and Needs: Organizational tinue to specialize in the same jobs they formerly held. The
dynamics are greatly affected by individual personnel. rest of the TD officers would be assigned to patrol duties. The
When implementing change, it is critical to recognize reason for the recommendation was that the TD, whose mem-
the ways that individual styles, skills, abilities, and bers considered themselves the elite of uniformed officers, had
attitudes may come together in order to both capitalize become increasingly dysfunctional over a period of years.
on their potential and mitigate their risks. Among the indicators of this was that no traffic unit worked
past 10:00 p.m., meaning that TD officers were not working
11. Motivation Level: Are employees motivated to make
during some of the prime hours for driving while intoxicated
a change? Or is the change an unpopular or
(DWI) enforcement. Moreover, compared with similarly sized
misunderstood one? Recognizing and maintaining (or
cities, the TD officers generated fewer cases, despite having
augmenting, if necessary) that the level of motivation
more personnel, used more sick leave than other officers in
throughout a change is critical to success.
the department, and were often antagonistic to personnel in
12. Individual and Overall Performance: It is crucial to other divisions. They were often characterized as prima donnas
understand the level of performance in key areas such by other officers in the department because of their reluctance
as productivity, budgetary adherence, crime reduction to handle any other types of police incidents other than traffic
and be able to establish baselines to measure the accidents and traffic law enforcement. The change was imple-
effects of change. mented but not without great upheaval. Some TD officers and
supervisors attempted to have the change killed before it was
implemented by politicians who began to voice various con-
Various Levels of Change cerns, pro and con, about the change. Some experienced TD
Not all change is momentous. However, the wider the scope officers left to take jobs in police departments in several
of the change and the greater the number of people signifi- nearby, smaller municipalities. The chief, who had risen
cantly impacted are, the more difficult it is to implement, through the ranks internally and had only recently been
sustain, and institutionalize it. For example, assume that his- appointed, felt that the “change was long overdue, but messy.”
torically in a department the ranking patrol supervisor at the The mayor, who had appointed the chief, dismissed the con-
scene of a serious crime was in charge of the scene. A new troversy by noting that “You can’t make an omelette without
policy is issued; stating whenever detectives are dispatched to breaking a few eggs; we can’t have a few malcontents trying
the scene of a serious crime, they are in command of all to make policy.” Slowly, things changed. DWI arrests went up
aspects of conducting the on-site investigation. Usually, this because there were more officers working during the prime
would affect the job of patrol sergeants and, although they enforcement hours for them, response times to calls for service
would grouse at the loss of authority, the change would be improved slightly because there were more patrol officers on
implemented without any significant turbulence or opposition. duty to answer calls, and the number of traffic accidents
In fact, some sergeants would simply say, “It’s fine by me; it’s declined marginally each month.
one less thing I have to worry about.” But when there is large- As the positive aspects of the change were “kicking in,” a
scale directed change, “more people are going to be ticked off radical shift occurred that no one had foreseen. After some dis-
and eating Rolaids.” While some policy changes can be made cussion and study, the city’s voters approved merging their
without controversy, others will provoke opposition; an excel- police department under the sheriff’s office, which had a traffic
lent example of this is when an agency goes to a very restric- unit. The benefits of the city police department having gone
tive high-speed chase policy and rank-and-file officers feel through a hard, large-scale organizational change were lost
that their “hands are being tied when it comes to catching bad when the two agencies actually combined operations 18 months
guys.” later. Under the sheriff, the former TD officers remembered who
When automobiles started becoming more commonplace, had supported the elimination of their division and made life
police chiefs assigned their best officers to traffic duty because difficult for them whenever they could, although slowly that
they would be coming into contact with wealthy and profes- behavior seemed to lessen over time. Thus, in large organiza-
sional citizens who could afford the cars. In a sense, police tional change, there can be some lingering unanticipated diffi-
professionalism had its first modest start in traffic units; officers culty for years beyond when the change actually happens.

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 524 CHA PTE R 1 5 • O R G A N IZATIO N AL C H AN G E

THE ROLE OF THE POLICE CULTURE only the kind of micro-level sociological understanding all good
officers acquire about their beats but also a hands-on feel for
IN ORGANIZATIONAL CHANGE best practices, innovative ideas for improving those practices,
and a thorough, nuanced understanding of their fellow offices—
The dominant mindset of police departments, police reform- who can be trusted, who shirks responsibility, who cuts corners,
ers, appellate judges, and criminal justice scholars—in short, and who is prone to violence. Thus, line officers can collectively
of nearly everyone who thinks about policing and its prob- offer not only richer and more nuanced answers to central prob-
lems–is, and always has been, that policing needs strong, lems of policing but also distinctive and important questions—
top-down management. However, in many ways, police offi- questions different than, and complementary to, the ones
cers necessarily collaborate in the shaping of their work envi- typically posed by police executives and typically pursued by
ronment.17 Partners assigned to the same patrol car discuss scholars.
how they should spend their time and the best ways of In addition, if the policy is strongly opposed by the rank-
responding to known problems in familiar places. Teams of and-file members of the agency, they could decide to flex
officers plan undercover stings. At a more indirect level, their political muscle in opposition to it as reflected in the
police officers have a say in organizational planning and pol- following Box 15.3.
icy making through strongly supported police unions as well
as identity-based caucuses of police officers’ groups such as
minority officers, women officers, or gay or lesbian officers.
And even without pressure from below, wise sergeants, lieu- WHY ORGANIZATIONAL CHANGE
tenants, and captains—like wise supervisors in any occupa-
tion—find ways to enlist the rank and file in the process of EFFORTS SOMETIMES FAIL
cooperative problem solving. Arguments for systematically While organizational change is ubiquitous and necessary, it is
involving frontline employees in workplace decision making also tenuous. As any organization prepares itself to manage the
have gained extraordinarily broad currency over the past sev- challenge of a planned change, it must be aware of the various
eral decades, in the public sector and the private sector threats that might be present that could inhibit the success of the
alike—but not in policing. This is so despite the increasing change effort. Despite proper strategy selection, elaborate plan-
frequency with which police executives speak in terms of ning and resourcing, and strong administrative commitment,
team management, shared organizational outcomes, and align- evaluation research shows that many attempts at major organi-
ing police managerial systems with the private sector employ- zational change fail.21
ment relations practices.18,19 Threats to the success of a planned organizational change
Three overlapping arguments are commonly made for involv- can take many forms, both internal and external to the organi-
ing rank-and-file officers in the decision-making process: zation. External threats to change initiatives can present them-
dd It heightens morale and commitment. selves as budgetary setbacks, a lack of support or
dd It develops democratic skills and habits. misunderstandings from citizens, or opposition by a newly
elected politically powerful official. Internal threats to change
dd It makes for better decisions.
initiative also come in many forms. These include, but are not
Scholars addressing this issue emphasize how police decision limited to, a lack of leadership commitment, a conflicting orga-
making could be improved by securing what is called diffused nizational culture, or as earlier suggested in this chapter, a lack
and seminal intelligence of the police culture, craft knowledge, of support, or understanding from the employees involved in
street knowledge, or context-specific knowledge.20 It includes not the change.22

Box 15.3: Change Successfully Blocked by Rank-and-File

Officers Labeling It a “Quota System”

The Ogden (Utah) City Council decided to drop a contro- by the officer. A 2-day “blue-flu” was also used, with offi-
versial police performance evaluation plan that included cers calling in “sick” during it. City officials agreed to meet
18 factors, including a score for the number of traffic tick- with the officers to discuss the ticket quota system and
ets given. This followed a period during which the wife of after the meeting decided to rescind the ticket quota
an officer who drove a van used to display signs critical of system.
the traffic quota and Mayor Godfrey. Within hours, the
officer was placed on administrative duty, although the Source: “Ogden Rescinds Ticket Quota for Police,” The Associated
police chief maintains this was due to other alleged actions Press and Local Wire, August 16, 2006.

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 C H AP T ER 15 • OR G AN I Z AT I O NAL C H ANGE 525

Models Regarding Change completely new organization than to try and change an existing
one.”25 In a police agency, this obviously isn’t possible, but it
There are three models regarding officer receptivity to planned
does illustrate the difficulty in getting officers to accept change.
organizational change:
The field of neuroscience offers some insight into this, finding
1. A life experiences/life chances model that there are three main approaches to change that can actually
2. An officer/organizational subculture model trigger negative chemical and neurological changes in people:
3. An organizational/structural model 1. Under preparation for change which means that it
The first model, the life experiences/life chances model, comes as a surprise to personnel.
examines the influence of officers’ ascribed and achieved status 2. Motivation for change via either expressed or implied
attributes, as measured by their socio-demographic and work threat.
experience characteristics. Although sparse, the extant literature 3. Leading change from the top of an organization
suggests that some officer socio-demographic and work experi- without involving or communicating with lower ranks.
ence characteristics (race, gender, education, and years of ser-
All of these approaches can induce limbic responses in peo-
vice) are associated with their receptivity to change23 and that
ple, affecting basic emotions and drives. Any or all of these can
female, minority, college-educated, and less-experienced officers
trigger fear, anxiety, and anger about their social status, their
are more open to organizational changes. Because policing has
autonomy, their relationships with others, and about fairness and
traditionally been a field dominated by White males and not
certainty within their jobs. Scientific studies have shown that
requiring a college degree, the presence of women, minorities,
these feelings activate the same circuitry in the brain that physi-
and college-educated officers among the more recent recruits to
cal threats—such as pain—do.26 Change, in these circumstances,
the profession constitutes a form of organizational change aimed
can be literally painful and organizationally counterproductive.
at diversifying and professionalizing the ranks. Such officers tend
to be less wedded to more traditional models of policing and,
likewise, are less integrated into the police subculture.24
The second rival model, the subculture of policing model, WAYS TO MAKE ORGANIZATIONAL
addresses the effects of officers’ work orientation on their recep-
tivity to planned organizational change. In particular, the influ- CHANGE SUCCESSFUL
ence of officer cynicism, traditionalism, as well as their To accomplish organizational change, the police manager
crime-control and service work orientations. Those officers who needs a combination of will and skill to seize the opportunity
most adhere to elements of the subculture of policing (i.e., have to make the needed changes. The basic recommendations that
high scores on measures of cynicism, traditionalism, and a strong follow can help managers seize opportunities for change in
crime control orientation) are least receptive to organizational their departments.
change, especially those that involve service activities and part-
nerships with community members to solve non-crime-related
social problems. Conversely, those who hold a strong social
Use Coaching as a Tool to Facilitate
orientation are most receptive of such change. Organizational Change
The final model, the organizational/structural model, asserts Coaching, when provided by a carefully selected peer or super-
that officers’ receptivity to change is a function of their percep- visor, can be an invaluable tool for assisting officers in accept-
tions of the extent to which their agency is prepared for such a ing change. If done properly, it can provide officers with
change. This model also examines the association between offi- increased awareness and information about the benefits of the
cer receptivity to change and their perceptions of agency readi- change (i.e., requiring a 2-year college degree for promotion
ness with regard to the adequacy of officer training, administrative to sergeant and a 4-year bachelor’s degree for a promotion to
commitment, resource distribution, and reorganization. the rank of lieutenant and above). It can also give officers an
Additionally, new research has found that a person’s reaction opportunity to express any negative emotions they might be
to organizational change can be “so excessive and immediate, feeling about the change and provide them with the opportu-
that some researchers have suggested it may be easier to start a nity to express precisely why they are opposed to the new

Quick Facts: The Brutal Fact: About 70 Percent of All Change Initiatives Fail

Just how hard is organizational change? Research sug- restructuring, or trying to change organizational culture—
gests that between 50 and 80 percent of the time, the have very low success rates.
major results that were anticipated are not produced. Source: Nitin Nohria and Michael Beer, “Cracking the Code
Most i­nitiatives—installing new technology, downsizing, of Change.” Harvard Business Review, May–June 2015.

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 526 cha pte r 1 5 • O R G A N IZATIO N AL C H AN G E

policy.27 If properly handled, coaching can give the officers however, it is important to seek a broad base of support from
inclined to resist the change an opportunity for self-evaluation citizen leaders, media, prosecutors, state legislators, and
and a chance to consider how the organizational change could others.31
affect them in a very positive way.
Once an administrator has made a decision to implement a Seize Opportunities
change and has moved into an action stage, carefully selected
With priorities set and resources in line, a police manager should
coaches who support the change process should work with
be ready for a wide range of opportunities for change. These
potentially resistant individuals as they move through the change
opportunities can be defined as events that can throw the spot-
process. The coach can provide social and emotional support
light on police policy and provide a “case in point” justification
for the change process and can help the individual being
for an organizational change proposal.
coached accept the change in such a way as to make it easier to
Ironically, opportunities often come disguised in crises, and
be implemented.
managers must resist the initial impulse to think first of damage
Individual and group coaching is just one tool for facilitating
control. In some cases, it may be advantageous for managers
the change process in organizations; however, it should be
interested in change to embrace a crisis and make the most of
given serious consideration. The organization as a whole must
it. Several generic kinds of events provide opportunities to capi-
find ways of informing its employees about the benefits of the
talize on crises to achieve reform.
new program, ways of raising an awareness of the pros and
For example, dramatic tragedies can sometimes provide an
cons of changing or not changing, and ways of reinforcing and
opportunity for making needed improvements in department
supporting employees as they go through the change
procedures. In one department, the death of an officer who
process.28
employed an improper tactic in a traffic stop led to the develop-
Coaching can be a critical part of this change process
ment of a training course on traffic stop safety, as well as expand-
because it focuses on the individual’s own agenda. It can also
ing the training on other officer survival skills. Other crime-related
provide an effective process to assist officers in dealing with
crises can also be used to bolster requests for additional police
all the other changes they or their police organizations feel
officers and financial resources. The dramatic death of an officer
necessary to implement.29
or uninvolved innocent third party during a high-speed pursuit
for a minor traffic violation may provide an opportunity for a
Set Flexible Priorities chief law enforcement officer who supports a more conservative
Police managers should plan their reform agendas very carefully pursuit policy to impose restrictions that had been heretofore
but be prepared to change plans quickly. Effective managers resisted by rank-and-file officers.
always juggle their plans, putting some on hold while pursuing Local or nationwide studies of a police department or polic-
others. Priorities may vary with the manager’s personal interests, ing in general on similar related issues can provide support for
the recent political history of the department, or new pressures the chief’s reform agenda. Even if a report is critical, the chief
being put on the department. They may also vary with issues may be able to use its conclusions for the benefit of the
largely unrelated to the police, such as a municipal election that department.
has resulted in a shift in political power. There are reform agen- Budget crises and fiscal restraint—even layoffs—provide
das that will improve police performance, agendas that will heal opportunities for questioning traditional practices and making
community conflicts, and agendas that will advance personal hard choices. As a matter of fiscal necessity, for example, many
careers. These are not always the same. departments have reordered their priorities, adopted various
In any given situation, there may be issues that police manag- forms of call screening, and started to refer some kinds of calls
ers feel are very important but they have found that their ideal to nonpolice organizations. For a chief who has long argued that
goals are strategically impossible to accomplish. Thus, police the police cannot do everything, dramatic news about city tax
managers should set potentially achievable goals. This is not to shortfalls which have become endemic in recent years can pro-
advocate timidity in setting such goals but merely to counsel vide the political opportunity to make needed changes.32
against overreaching folly.30
Create Opportunities
Assemble Resources No matter how skillfully a police manager seizes opportunities,
In order to effect successful organizational change, police man- major items on the reform agenda may still have to be left unad-
agers should accumulate political and other resources to dressed because of political or other reasons. The times may be
strengthen their credibility and persuasiveness. It is important to so sensitive or so complex that no naturally occurring event
have as many allies as possible. How these resources are accu- opens a window for them. However, in some rare cases, police
mulated, and which ones are chosen, depend very much on the reformers have created their own opportunities by initiating pub-
personal style of the players in question. Police chiefs, for exam- licity concerning police problems. However, such actions should
ple, are often faced with the choice of whether to build support be undertaken only after consultation with the city manager or
in the community, in the department, with local elected officials, mayor to avoid having important individuals being publicly
or some combination. Because community coalitions shift, “blindsided” or “embarrassed.”

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 c h ap t er 15 • OR G A N I Z AT I O NAL CHANGE 527

In highly publicized situations, police at various ranks have association leaders, and diverse group of informal
tried to create public debate through leaks or whistle blowing, leaders from throughout the agency together to
with attendant press coverage. More quietly, some top executives develop strategies to achieve change.
have sought to freshen their agencies by airing out some of their 3. Create a vision: What will the transformation look
own dirty laundry in order to provoke the press into demanding like? The coalition should identify a means to direct the
reforms sought by the executives themselves. Another way to change effort.
call attention to departmental problems is to launch an internal 4. Communicate the vision: Use formal and informal
investigation or commission a study. Clear proof of misconduct channels of communication to ensure that everyone
provides a firm excuse for radical changes, and investigations understands the new vision and strategies. The
are often the best way to produce that proof. Studies can be used coalition responsible for guiding the change should use
to make people remember an old problem or to demonstrate the their formal and informal leadership to teach new
existence of a new one.33 behavior and lead by example.
5. Empower others to act on the vision: Remove
Follow Through obstacles to change by removing or revising
In all these seized and nurtured opportunities, reform depends structures, policies, and procedures that may
on more than just a single press conference. Announcing a undermine the new vision.
planned change or signing an executive order is not usually 6. Plan for and create short term wins: Planning for
enough to make change happen. Without a concerted follow-up tangible improvements in performance will allow
effort, many or most reforms may die.34 officers and other staff to see results; for example, in
Another important model that helps us understand the orga- implementing a new community policing program, a
nizational transformation process is proffered by Dr. John Kotter. department can hold a community event where a good
Kotter’s process is logical and detailed, making it an ideal way turnout will be noticeable to employees. In that case, the
to categorize change in police agencies. The Kotter Model of department can credit employees with their role in the
Successful Change is composed of eight steps as diagrammed positive turnout, further creating buy-in to the change.
in Figure 15.4: 7. Consolidating improvements and creating still
1. Establish a sense of urgency: Most change in law more change: Continuing to refine and reinvigorate the
enforcement is inherently urgent, particularly when it processes behind the change by taking opportunities to
involves a reaction to a crisis—like rising crime rates— use increased buy-in from personnel to make additional
or a paradigm shift to quell community distrust of tweaks to systems, policies, and procedures.
police. Nonetheless, police leaders should examine the 8. Institutionalizing new approaches: Emphasize the
environment that has led to the need for change, links between the organizational change and any
identify and discuss potential problems and benefits/successes as a result of that change. Prioritize
opportunities, and create a catalyst for the change. leadership development and succession planning to
2. Form a powerful coalition: Police leaders should continue to vision and strategies put in place; anchor
bring community organizers, police union or changes in organizational culture.35

Eight steps to INFORMATION

successful change
- John Kotter
Institutionalize the change
TECHNOLOGY AND CHANGE
Consolidate & build on the gains
We have previously discussed the ways in which tech-
Create short term wins nology can drive change; recall in Chapter 2, Policing
Empower people to act on the vision Today that GIS, CompStat, and fusion centers have
revolutionized policing. Technology, as a driver of
Communicate the vision
change, is extraordinarily powerful—so much so that
Develop a clear shared vision there is an entire field of change management theory
Create a guiding coalition
that deals with information technology (IT). Morton’s
theory of change management, for example, looks at
Establish a sense of urgency how change should occur with IT as an impetus. Mor-
ton asserts that it is critical that such change be made
after several issues have been accomplished: First,
FIGURE 15.4 c Kotter’s Eight Step Model of Successful Change. people issues must be resolved through training and
See http://tie575changemodel.wikispaces.com/Kotter%27s+8-step+model. education, so that individuals have time to grapple

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 528 CHA PTE R 1 5 • O R G A N IZATIO N AL C H AN G E

with, and take on expanded roles utilizing the new technology. time and budgets allowed—perhaps holding crime watch meet-
Second, management processes that redistribute power and con- ings, hosting community events, or even conducting “knock
trol must be presented and accepted within the organization. and talk” programs where officers went door to door to assess
Third, the organizational structure must change in order to pro- problems and solicit tips and solutions. While those programs
vide effective administration and management for the new tech- are all still enormously valuable, social media has allowed
nologies. Fourth, new strategies must be developed and accepted police agencies to fill-in the gaps and give communities the
within the organization that develops a long-term plan for future opportunity to have a dialogue with police agencies. Some-
technology in relation to the overall goals and objectives. And times that dialogue is negative—but that in and of itself can be
finally, after the previous steps have been accomplished, the new valuable feedback in identifying areas where police need to
technology is implemented.36 Essentially, Morton advocates for increase outreach and improve their interaction with citizens.
groundwork being laid, organizationally speaking, before a Frequently, though, social media yields tips on crimes, gives
change is undertaken. Technological changes, particularly, evoke the public insight into day-to-day law enforcement processes,
that limbic response in people; they fear it will complicate their and creates goodwill. These functions have all led to changes
jobs, or that they won’t know how to operate or adapt to the within police organizations—from the way internal affairs han-
technology. Worse yet, they may fear that their job is in jeopardy dles citizen complaints to the way that community affairs
to the implementation of new technology. Police officers often offices get the word out about specific events or informing the
feel similarly, however, that they manifest their dissatisfaction public of dangerous situations, wanted and suspicious persons,
with statements associated about hindering their interaction with or even critical incidents like terrorist attacks and natural
the community, or that this change will make it more difficult to disasters.
“catch criminals,” or that the change is simply another “duty” on Social media has also transformed the job of police recruit-
top of an already full day of answering calls for service, citizen ing offices. A decade ago, police recruiters traveled extensively
interactions, meetings, and report writing. to find new applicants and relied on background checks to
Some of these technological transformations are not spe- ensure that they were a good fit for their agencies. Today,
cific to policing; social changes that have been facilitated by recruiters can make connections with potential recruits through
technology have had an impact on organizational change. social media advertising and direct messaging; background
Changes in the way that we, as a society, communicate have checks now include a thorough vetting of an applicant’s social
had a major hand in police organizational change. For instance, media sites. Applicants who post inflammatory content, express
recalling our discussion on generational issues earlier in this viewpoints that run counter to law enforcement values, and
chapter that instant messaging and web connectivity have cre- who have had the lack of foresight to remove photos of them-
ated a generation of people who are used to tech-based com- selves in intoxicated states or compromising positions are now
munication, instant feedback, and immediate gratification. weeded-out before these characteristics become apparent in
These are expectations often carried into the workplace. Some their work—and before they can embarrass the departments
agencies have embraced this phenomenon—for example, that hire them.
using virtual roll calls where officers can be briefed before As discussed in Chapter 2, “Policing Today” and Chapter 10
their shifts via email and check in using mobile devices. Other “Organizational and Interpersonal Communication,” social media
departments have implemented secure applications for person- has also caused some systemic changes within departments; poli-
nel to give constant and continuous feedback and suggestions cies and procedures have had be carefully updated to balance
to supervisory and command staff.37 And, the impact of social free speech of employees with the best interests of the organiza-
media cannot be overstated; social media has revolutionized tion. Never before have police organizations had to be so con-
the way police interact with each other as well as the com- cerned with what their officers were saying in their off time—now
munity. Patrol, crime control strategies, community relations, with a screenshot and a share button, racist/sexist/classist ram-
personnel management, and the functions of the public infor- blings or shared memes from an off-duty officers can become a
mation officer (PIO) are all vastly impacted by today’s social major story in local, state, and even national news, causing major
media technology. For instance, PIO officers once responded heartburn and damaging legitimacy for law enforcement institu-
to media requests, coordinated press conferences, and directed tions. Ten years ago, social media policies could probably not be
media mobilizations to crisis events; now, social media has found in more than a couple of police agencies’ standard operat-
allowed police departments to control their message, to get in ing procedures in the United States. Today, just under 72 percent
front of potentially negative stories by offering their version of of all police departments in the United States have some sort of
events before the media can break the story, and to inform the social media policy to guide and direct operations.38
media of staging areas and other events with a simple Tweet Technology has also driven transformational change in the
or Facebook post. Social media has singlehandedly allowed arena of crime control. The very nature of many crimes has
PIO officers to transform from reactive entities to proactive changed as a result of new technology. For instance, people
public relations-style units. don’t carry as much cash as they used to, forcing criminals to
Social media has also transformed the way police organiza- resort to identity theft and cybercrime to line their pockets.
tions communicate with the public. In years past, engaging the Many departments have found themselves scrambling to iden-
community meant deploying personnel into neighborhoods as tify tech-savvy personnel to work on these complex issues and

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 C H AP T ER 15 • OR G AN I Z AT I O NAL C H ANGE 529

crimes, and having to restructure financial crimes units to keep responsive to the communities that they serve. They will have
up with the caseloads. Tools like GPS trackers have changed to strive to become a reflection of those communities, and
the way auto theft and other burglary investigators do busi- they will have to work hard to eliminate bias in their ranks
ness; surveillance cameras can now give clear pictures of and gain the trust of the community through cooperation,
criminal activity, enhancing the potential for suspects to be communication, and—in some instances—some measure of
caught. Complex banking and security software can make reconciliation. This will absolutely run counter to the com-
organized crime and money laundering perpetrators much mand and control style of policing that some agencies are
more easily identifiable to investigators—though the downside used to, and it will require major ideological transformations
to this is that it may push the commission of such crimes to in law enforcement. Training, recruitment, and crime control
organizations such as Russia and China. For small departments practices will all be touched by these shifts—making this both
without any type of experience in international locations, that an exciting and challenging time to be in the field of law
reality will certainly engender some organizational enforcement.
adaptation. But beyond that, the infusion of contemporary employees
The final area to consider when discussing technology as an into the workplace, the effects of complex economic and social
impetus for change in a police organization is that of infrastruc- drivers, and advances in technology will all combine to change
ture. Unfortunately, many planners do not see the whole scope the landscape of law enforcement. In very short order, policing
of technology change or implementation. Any major IT change will evolve and change, with experts predicting the most change
requires connectivity, and connectivity requires infrastructure in the following areas:
like bandwidth, cellular/microwave towers, generators, servers, 1. Predictive policing: Advances in IT and
hardware, and software. The demand for broadband access in a infrastructure improvements will take intelligence-led
major city police department is staggering, considering that the policing to the next level. Real-time analytics will
massive needs required by police IT entities (e.g., dispatch, allow intelligence to be drawn from data about crime
patrol officer’s cell phones, wireless computers in patrol cars, and crime trends—allowing police to see patterns that
downloads of dash-cam footage, downloads of body camera may be actionable for purposes of crime prevention
footage, fusion center computing, GIS, closed circuit cameras, and response.39
crime mapping, websites, and crime watch apps). Increasing
speed and broadband access will most likely be critical for a 2. Changes in traditional police
police agency to implement a necessary change or expansion response: Economic realities combined with
of IT. The accompanying budgetary increase for such change technological opportunities may mean that police no
may be staggering, adding to the stress of implementation. For longer respond to certain non-violent property
example, a patrol station that is in an area of town surrounded crimes. Victims may be able to report minor
by hills or tall buildings may not accommodate a microwave burglaries and thefts via online portals, and burglar
tower (or tower array) necessary for the massive amount of data alarm calls may require secondary verification before
that comes with police IT needs. Rural departments may not police are dispatched.
have the proper fiber optic infrastructure to accommodate fast 3. Next Generation 9-11: New capabilities in smart
Internet connectivity. However, despite the challenges that phones and internet protocol (IP)-enabled dispatch
­infrastructure can present, technology has the potential to truly systems mean emergency services infrastructure may
revolutionize the way police organizations function in our be enhanced in the near future. This can improve
­rapidly changing society. response time, enhance dispatch efficiency through
better geo-location, allow for text and photo-based
reporting, and give better service to disabled
citizens.40
POLICING IN THE FUTURE:
4. Body Worn Cameras: These cameras (as well as
EVERYTHING CHANGES police vehicle dash-cameras) are seen as a panacea for
use-of-force incidents and will likely become
For students of criminal justice—or even just consumers of
ubiquitous in police agencies in the coming years,
current events—the term “post-Ferguson” is probably one that
though it remains to be seen what effect they will
has become ingrained in the consideration of policing and
really have on police–citizen encounters.
police administration. As has been discussed throughout this
text, that particular event in Ferguson, Missouri—followed by Police leadership will also see major changes in the com-
additional instances of use of force or in-custody deaths ing years. In a 2014 Police Executive Research Forum survey,
against African Americans by police—has become a flashpoint 61 percent of police chiefs who participated said that their
for the discussion about the future of policing. (See Box 15.4.) agencies would be experimenting with some kind of organi-
And indeed, it’s difficult to forecast the future of the police zational structure change in the coming 2 to 5 years. In many
organization without acknowledging the effects of Ferguson. cases, this involves a new emphasis on developing future
In a nutshell, police organizations will have to become more leaders, through career pathway opportunities and

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 530 cha pte r 1 5 • O R G A N IZATIO N AL C H AN G E

Box 15.4: Inner Cities, The Police, and the Way Forward

The immediate facts and controversies surrounding the from 12 to 28 percent of the population. Characteristically
use of police deadly force in Ferguson (MO) by officers this group is younger (16–24 years of age), not in school,
indicted in Baltimore (MD) received a great deal of atten- frequently unemployed, have few job skills, and some exist
tion from the media and the U.S. Department of Justice. by engaging in illicit activities. Their numbers may be swelled
For present purposes, these and other related events by older people who elect a street life. Patterson calls atten-
fueled three results: 1) Many individual law enforcement tion to a volatile intermixing of: (1) “concentrated poverty,”
agencies initiated a sweeping reappraisal of their own poli- disaffected young people, ages 16 to 24, and a small vein
cies. 2) The final report from President Obama’s Task Force within the minority of the population which has a propensity
on 21st Century Policing (2015) recommended a number for violence and destruction and revels in the “thug culture”
of changes, including: (a) improving trust and legitimacy in and (2) uncontrolled police actions such as racial profiling and
policing; (b) using technology and social media to engage violent confrontations. The thug culture is reinforced by con-
the community in dialogue; (c) adding more community- temporary conditions of urban decay, like poverty, unem-
based policing efforts to involve larger percentages of ployment, single parenting, and a chemically toxic,
minority populations in our communities; (d) officers neurologically injurious environment. Violence often occurs
should use deadly force only as a last resort; (e) increasing as the thug culture collides with an equally aggressive police
police transparency; (f) using unbiased, independent inves- subculture.
tigations for all police-involved shootings and/or i­n-custody According to Patterson, there is a way forward. Federal
deaths; (g) ending racial and ethnic profiling; (h) officers and state programs that work (e.g., Head Start, nurse–family
should wear body cameras; (i) fundamental changes in partnerships, after-school programs, and My Brother’s
police training to include an emphasis on d ­ e-escalation, Keeper program) aimed at reducing youth crime, particu-
crisis intervention, and other less or ­no-force alternatives larly in regard to black youth, must be implemented imme-
to arrest; and (j) programs to increase officer wellness and diately in inner cities. New educational programs that
safety, such as design of optimum work shifts and greater provide contemporary job training, enhanced life skills,
analysis of data from police deaths and “near misses”; and short-term employment, and badly need male role models
3) The Ferguson, Baltimore, and other recent police use of must be initiated. The private sector must foster new jobs
force incidents generated further interest among scholars and careers in the inner city as well as for those in outlying
in race, crime, and policing. areas. Part of the way forward cannot be provided by busi-
In 2015, an African American Harvard faculty member, ness, governments, or non-profit organizations. Patterson
Dr. Orlando Patterson offered his thoughts on policing and maintains that “there is one long-term, fundamental change
inner cities. He dismissed claims that rising racism or police that can come only from within the black community: a
violence was the cause of inner city problems. Labeling such reduction in the number of children born to single, usually
claims a “gross oversimplification” he provided an analysis poor, women, which now stands at 72 percent. Its conse-
that started with the demographics of inner cities. Patterson quences are grim: greatly increased risk of prolonged pov-
noted that 80 to 85 percent of inner city ­residents range from erty, child abuse, educational failure, and youth delinquency
the working poor to those who are solidly m ­ iddle middle and violence, especially among boys, whose main reason
class, most of whom are church going, law abiding, and for joining gangs is to find a family and male role
­typically socially conservative, and have dreams for their models.”
­children’s future.
However, Patterson concludes that simultaneously in inner Source: Orlando Patterson, “The Real Problem with America’s Inner
cities a minority of the population is problematic, ranging Cities,” The New York Times (May 9, 2015).

specialized leadership training that highlights developing and Ultimately, this is a challenging time for police officers and
building relationships with c­ommunities over tactical administrators alike as they navigate issues in police legitimacy,
considerations. procedural justice, technology, and community relations. It’s
Organizations may also begin to experiment with flatter hard to say what the outcome of all these transitions will be,
bureaucratic structures that impose fewer communication barriers, but it’s worth noting that the public absolutely demands that
allow quicker response and adaptation, and establish clear lines police undertake them. Therefore, it’s not a question of whether
of responsibility. Middle management positions tasked mainly all of the disparate 18,000 law enforcement agencies across this
with information sharing may be able to be streamlined, particu- country undergo some level of change—it’s a question of how
larly since e-mail and cell phones make communication between well the leaders and the officers will embrace their future, as
front-line officers and administration quick and virtually they transform to earn and maintain community trust and keep
painless41. crime at bay.

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 C H AP T ER 15 • OR G AN I Z AT I O NAL C H ANGE 531

Chapter Summary
Summary by Learning Objective tasks and skills; individual values and needs; moti-
vation level; and individual and overall
• Explain why change occurs in law enforcement performance.
agencies.
• Discuss the role of the rank and file in organiza-
Change occurs in reaction to a crisis; due to fluctuat-
tional change.
ing crime rates; because of technological advances;
Line officers can collectively offer not only richer
due to funding changes and economics; because of
and more nuanced answers to central problems of
politics; because of changing workforces; and
policing but also distinctive and important
because of changing paradigms or models of
­questions—questions different than, and comple-
policing.
mentary to, the ones typically posed by police
executives and typically pursued by scholars. In
• Discuss five situations when change should not
addition, if the policy is strongly opposed by
be initiated.
the rank-and-file members of the agency, they
1. The knowledge, skill, or other resources could decide to flex their political muscle in opposi-
needed to carry out the change effectively do tion to it.
not exist inside the department.
• Explain why organizational change sometimes fails.
2. An appropriately experienced external
Threats to the success of a planned organiza-
change agent is not presently available.
tional change can take many forms, both internal
3. The effort of making the change is greater
and external to the organization. External threats
than any benefits to be derived.
to change initiatives can present themselves as
4. Collateral damage, such as abandonment
budgetary setbacks, a lack of support or misun-
by key supporters or significant union
derstandings from citizens, or opposition by a
opposition, may lead chiefs to use their
newly elected politically powerful official. Inter-
limited stack of “political chips” on another
nal threats to change initiative also come in many
issue of greater concern to them and the
forms. These include, but are not limited to, a
community.
lack of leadership commitment, a conflicting
5. Too much change is already underway in the
organizational culture, or as earlier suggested in
department and the nature of the change is
this chapter, a lack of support or understanding
not sufficiently important to make now, versus
from the employees involved in the change.
its potential for personnel to feel confused
There is some research that also points to neuro-
about priorities or conclude that the organiza-
logical resistance to change, as it evokes feelings
tion is becoming unstable.
such as fear, alienation, and other negative
emotions.
• Analyze three models of change in organizations.
Kurt Lewin’s three-step model on organizational • Describe how to make organizational change
change involves three sequential steps: (1) unfreez- succeed.
ing, or making people be receptive to change; Coaching, when provided by a carefully selected
(2) moving, or the transitional phase in which ­officers peer or supervisor, can be an invaluable tool for
actually experience the changes that were planned; assisting officers in accepting change. Additionally,
and (3) refreezing, where officers make permanent police managers should plan their reform agendas
the changes they experienced in the previous very carefully but be prepared to change plans
phase. quickly. In order to effect successful organizational
The TRAC model recognizes the need for change; change, police managers should accumulate political
assesses and diagnoses the situation; involves and other resources to strengthen their credibility
action planning; implements and intervenes; and and persuasiveness. Police managers should also
includes ongoing evaluation. seize opportunities, create opportunities and always
Finally, the Burke-Litwin model ranks various driv- follow through. Additionally, John Kotter described
ers of change from most to least important: the eight additional steps to success in organizational
external environment; mission and strategy; lead- change: Establish a sense of urgency; form a powerful
ership; organizational culture; structures; systems; coalition; create a vision: communicate the vision;
management practices; work unit requirements; empower others to act on the vision; plan for and

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 532 CHA PTE R 1 5 • O R G A N IZATIO N AL C H AN G E

create short-term wins; consolidate improvements • Discuss a few ways in which policing may change
and create still more change; and institutionalize new in the coming years.
approaches. Law enforcement organizations will have to respond
to citizen calls for transparency and fair and impar-
• Describe the role of technology in police organi- tial policing through training, technology, and
zational change. administrative policies and procedures. Predictive
Technology is a major impetus for change in police policing, enabled by technology, will allow quicker
organizations. It has changed the way crime is ana- responsiveness. New modes for police responsive-
lyzed (e.g., fusion centers, GIS); the way agencies ness—including innovative dispatch systems—will
­communicate with the public (social media); the ways also come online. Police organizations will also
police agencies establish legitimacy (body worn cam- evolve to include specialized leadership training for
eras); and more. It also affects internal budgets, inter- its commanders and may become flatter structures
nal administration, and internal policies and as communication capabilities decrease the need
procedures. for multiple levels of administration.

Chapter Review Questions

1. Identify seven recurring reasons why change occurs 8. What are the most common overlapping
in law enforcement agencies. arguments commonly made for involving rank-and-
2. Identify actions that many states have taken to file employees in workplace decision making?
address issues in wake of recent police-community 9. Why do organizational change efforts sometimes
unrest. fail?
3. Explain the importance of the 2015 landmark case, 10. W hat are ways to make organizational change
Obergefell v. Hodges. succeed?
4. State five reasons when change should not be 11. Identify the eight steps in Kotter’s model for
made. successful change.
5. What are the three steps in Kurt Lewin’s model on 12. D iscuss and identify Mortons theory of change
organizational change? management involving information technology.
6. What are the five steps in the traditional action 13. A ccording to Orlando Patterson, what are the real
research model? problems confronting America’s inner cities?
7. What are the eleven drivers of change identified in 14. Identify the four areas where experts predict that
the Burke-Litwin model? the most change will occur in policing in the future.

Critical Thinking Exercises

1. Envision a change that you would make in your local could be made within any law enforcement agency
law enforcement agency. Using the Burke–Litwin or are certain agencies more adaptive to change
Model of Change, describe how you would than others? Why or why not?
implement your ideas. 3. Search the Internet to find articles and literature
2. Visit the website for the Police Executive Research on organizational change in the private sector.
Forum—PERF (policeforum.org) to browse Why is creating organizational change so
publications and documents about police difficult? Do you think that change is easier in the
organizations that have adopted major changes in private sector versus the public sector? Why or
their organization. Do you think that similar changes why not?

Key Terms
Burke-Litwin Model Lewin’s three-step model Obergefell v. Hodges
change agent Kotter Model of Successful traditional action research model
directed change Change

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 c h ap t er 15 • OR G A N I Z AT I O NAL CHANGE 533

Endnotes
1 16
Robert W. Taylor and Charles R. Swanson, Terrorism, W. Warner Burke and George H. Litwin. “A Causal Model of
Intelligence and Homeland Security (Upper Saddle River, Organization Performance and Change.” Journal of
NJ: Pearson, 2015). See specifically Part III: Responding to Management, Volume 18, No. 3 (1992): pp. 523–545.
17
the Challenges of Terrorism. David Alan Sklansky and Monique Marks, “The Role of the
2
Joe Domanick, “Police Reform’s Best Tool: A Federal Rank and File in Police Reform,” Policing and Society 18,
Consent Decree,” The Crime Report (July 15, 2014). no. 1 (March 2008): pp. 1–6. (This discussion was adapted
3
Brian A. Jackson, Victoria A. Greenfield, Andrew R. Morral, with permission from this source.)
18
and John S. Hollywood, Police Department Investments in E. McLaughlin and K. Murji, “Resistance Through
Information System Technology, (Santa Monica, CA: RAND Representation: ‘Storylines,’ Advertising and Police
Corporation, 2014). Federation Campaigns,” Policing and Society 8, no. 4
4
Police Executive Research Forum. “Policing and the (1998):, pp. 367–399.
19
Economic Downturn: Striving for Efficiency Is the New M. Silvestri, “‘Doing’ Police Leadership: Enter the ‘new
Normal.” February 2013. Retrieved on July 17, 2015 from smart macho,”’ Policing and Society 17, no. 1 (2007):
http://www.policeforum.org/assets/docs/Critical_Issues_ pp. 38–58.
20
Series/policing%20and%20the%20economic%20 H. Toch and J. D. Grant, Police as Problem Solvers: How
downturn%20-%20striving%20for%20efficiency%20is%20 Frontline Workers Can Promote Organizational and
the%20new%20normal%202013.pdf, Community Change, 2nd ed. (Washington, DC: American
5
http://www.bloomberg.com/news/articles/2015-01-26/pensions- Psychological Association, 2005).
21
hobble-police-hiring-as-san-diego-seeks-boots-on-street. John K. Cochran, Max L. Bromley, and Matthew J. Swando,
6
Police Executive Research Forum (PERF), ibid. “Sheriff’s Deputies’ Receptivity to Organizational
7
Tanya Eiserer. “Dallas DA disbands digital forensics lab after Change,” Policing: An International Journal of Police
8 months.” WFAA, July 31, 2015. Retrieved on July 31, Strategies & Management 25, no. 3 (2002): pp. 507–529.
2015 from: http://www.wfaa.com/story/news/local/dallas- (This discussion was adapted from this source.)
22
county/2015/07/dallas-das-digital-forensics-lab-shuttered- R. Aragon, “Community-Oriented Policing: Success
after-8-months/31/30968707/. Insurance Strategies,” The FBI Law Enforcement Bulletin
8
James P. Henchy. “Ready or Not, There They Come: The 66 (1997): pp. 8–18.
23
Millennial Generation Enters the Workforce.” A. J. Lurigio and W. G. Skogan, “Winning the Hearts and
9
Anthony Batts, Sean Michael Smoot, and Ellen Scrivner. “Police Minds of Police Officers: An Assessment of Staff
Leadership in a Changing World.” National Institutes of Perceptions of Community Policing in Chicago,” Crime
Justice: New Perspectives in Policing. July 2012. Retrieved on and Delinquency 40, no. 3, (1994):, pp. 315–330.
24
July 5 from: https://www.ncjrs.gov/pdffiles1/nij/238338.pdf. John K. Cochran, Max L. Bromley, and Matthew J. Swando,
10
Bob Moritz. “The US Chairman of PwC on Keeping Millennials “Sheriff’s Deputies’ Receptivity to Organizational
Engaged.” Harvard Business Review, November 2014. Change,” Policing: An International Journal of Police
11
Anthony Batts, Sean Michael Smoot, and Ellen Scrivner. Strategies & Management 25, no. 3 (2002): pp. 507–529.
25
“Police Leadership in a Changing World.” National Walter McFarland. “This is Your Brain on Organizational
Institutes of Justice: New Perspectives in Policing. July 2012. Change.” Harvard Business Review, October 16, 2012.
26
Retrieved on July 5 from: https://www.ncjrs.gov/pdffiles1/ Ibid
27
nij/238338.pdf. Richard C. Lumb and Ronald Breazeale, “Police Officer
12
“Diversity in Law Enforcement: A Literature Review.” U.S. Attitudes and Community Policing Implementation:
Department of Justice Civil Rights Division Office of Developing Strategies for Durable Organizational
Justice Programs and US Equal Employment Opportunity Change,” Policing and Society 13, no. 1 (2002): p. 99.
28
Commission. January 2015. Retrieved July 27, 2015 from: Ibid.
29
http://www.cops.usdoj.gov/pdf/taskforce/Diversity_in_ Richard C. Lumb and Ronald Breazeale have developed a
Law_Enforcement_Literature_Review.pdf. training program to prepare supervisors to address and
13
Eileen Sullivana and Jack Gillam. “Analysis: Hispanic police resolve problems before they affect either employees or
officers scant in police forces despite growing the organizations. The results of this study can be found in
populations.” Fort Worth Star Telegram, September 8, Ibid., pp. 100 and 101.
30
2014. Retrieved on July 19, 2015 from: http://www.star- Lawrence W. Sherman, Albert M. Greenfield Professor of
telegram.com/news/local/community/fort-worth/ Human Relations in the Department of Sociology and
article3872396.html. director of the Fels Center of Government, University of
14
“What You Should Know About EEOC and the Enforcement Pennsylvania, and Anthony V. Bouza, former chief of police,
Protections for LGBT Workers.” Equal Employment Minneapolis, Minnesota, in Local Government Police
Opportunity Commission. Retrieved July 25, 2015 from: Management, 4th edition (Washington DC: International
http://www.eeoc.gov/eeoc/newsroom/wysk/enforcement_ City/County Management Association, 2003), p. 440.
31
protections_lgbt_workers.cfm. Ibid., p. 440.
15 32
Hans Toch and J. Douglas Grant, Police as Problem Solvers Ibid., pp. 440, 441.
33
(Washington, DC: American Psychological Association, Ibid., p. 441.
34
2005), p. 342. Ibid., p. 441.

M15_SWAN4056_09_SE_C15.indd 533 8/24/18 10:51 AM

 534 cha pte r 1 5 • O R G A N IZATIO N AL C H AN G E

35
This section was adapted from John P. Kotter. “Leading 26, 2015 from: http://www.iacpsocialmedia.org/Resources/
Change: Why Transformation Efforts Fail.” Harvard Publications/2014SurveyResults.aspx.
39
Business Review, January 2007. Police Executive Research Forum. “Future Trends in
36
Michael Morton. “The Corporation of the 1990s: Policing.” 2014. Washington, DC: Office of Community
Information Technology and Organizational Oriented Policing Services.
40
Transformation.” Oxford University Press, 1991. Christopher Moraff. “8 Ways American Policing Could
37
Anthony Batts, Sean Michael Smoot, and Ellen Scrivner. “Police Change This Year.” NextCity Politics. Retrieved on July 18,
Leadership in a Changing World.” National Institutes of 2015 from: https://nextcity.org/daily/entry/
Justice: New Perspectives in Policing. July 2012. Retrieved on police-technology-changes-2015.
41
July 5 from: https://www.ncjrs.gov/pdffiles1/nij/238338.pdf. Police Executive Research Forum. “Future Trends in
38
International Association of Chief of Police. “IACP Center Policing.” 2014. Washington, DC: Office of Community
for Social Media: 2014 Survey Results.” Retrieved on July Oriented Policing Services.

M15_SWAN4056_09_SE_C15.indd 534 8/24/18 10:55 AM

 Glossary
1983 action: a tort action by which federal courts obtain Americans with Disability Act (ADA): (1990), provides
jurisdiction of suits that involve the deprivation of any rights, equal opportunity to jobs for qualified persons with a disability
privileges, or immunities secured by the Constitution by an indi- as well as other protections. Job requirements that screen out
vidual acting under color of any statute, ordinance, regulation, people with disabilities are legal only to the extent they are job
custom, or usage of any state. related and consistent with business necessity.
4/5ths rule: a rule of thumb used to determine whether anabolic steroids: a group of synthetic hormones usually
adverse impact has occurred, not a legal standard. derived from testosterone, that promote storage of protein and
active shooter: describes an individual who is still at the the growth of muscle tissue.
scene of an event and actively engaged in continuing to attempt Argyris, Chris: developed maturity–immaturity model
to injure or kill people at the scene. ­postulating that traditional organization forms get in the way of
administrative theory: also called management theory and workers’ development.
the principles approach, sought to find “universal” principles of assessment center: consists of several exercises or job simu-
management that could be used in any setting; also see tradi- lations designed to elicit from candidates the behaviors found to
tional organizational theory. be important to job success by the job analysis.
administrative/management plans: this includes formulation audit: an independent verification by someone who has no
of the department’s mission statement of values, goals, and poli- stake in the outcome; audits can be financial or programmatic.
cies and procedures; the organizational structure, the functions, authentic leadership: (1) being deeply aware of how you
authority, and responsibilities of the positions; the allocation of think, behave, and are seen by others; (2) awareness of your
resources; sick leave, vacation time, court appearance, and other own and others’ values/moral perspectives, knowledge, and
related topics. strengths; (3) understanding the context in which you operate;
adverse impact: an employment practice, which although and (4) being grounded by confidence, hopefulness, optimism,
lacking any discriminatory intent and on its face appearing to resiliency, and high moral character.
be neutral, an employer is prohibited from using because it has authoritarian/autocratic: a leadership style; makes all
an unjustified impact on members of a protected class. ­decisions, closely controls work, a micromanager, “my way or
advocates: leadership style described by Downs; such leaders the highway.”
promote everything under their control. authority: Weber identified three sources: charismatic, tradi-
affiliation needs: the desire to be accepted and liked. tional, and rational legal. In police departments, it is a formal
Age Discrimination in Employment Act (ADEA): (1967), grant to a position, the incumbent uses it to accomplish organi-
forbids age discrimination in any aspect of employment for zational goals. Also see power.
those 40 or older. baby boomers: born 1946–1964, many still employed by law
air raid wardens: persons in WW II who patrolled to make enforcement agencies, reaching the end of their careers; grew
sure that during “black outs” no lights were showing that could up in era of widespread social change.
assist enemy submarines in identifying targets if they shelled banded list: promotional roster method in which candidates
our coast. Also used to prevent enemy submarines or aircraft with similar scores are grouped together.
from using lights to assist in their navigation. Police and civic bargaining not required model: the model for police-sector
groups shared this duty across the country. collective bargaining law in which collective bargaining is not
alarm stage: the component of general adaptation syndrome statutorily required by the state.
that puts the body on a “fight-or-flight” alert by releasing hor- behavioral systems theory: sees organizations as made up
mones that produce an energizing effect on the body. of the behavior of individuals and groups, wanted to make orga-
all-hazard: able to support operations during an emergency nizations more democratic and participative. Founded by Lewin.
that is either human-made or natural. benchmarking: the practice of comparing one’s organiza-
allotments: small amounts into which a budget is broken and tional performance to those that are recognized leaders in the
given to the police department monthly or quarterly, instead of field or otherwise relevant competitors.
giving all of it at once to the police department. biennial budget: a 2-year police budget.
all-qualified list: promotional roster method in which ­anyone bifurcation: the “flash-point” when chaos overcomes normal
on the list can be selected in any order. conditions in an agency and forces it in a new direction in terms
Alpha generation: born 2011–2025, projected to be best- of priorities and tactics. See cosmology.
educated and most technologically sophisticated. big five: the traits approach produced long lists of traits;
al-Qaeda: a radical Islamic, Middle Eastern terrorist organization using meta-analysis, five broad trait categories were identified
formally led by the late Osama bin Laden and Ayman al-Zawahiri; into which the longer lists of traits could be fitted: surgency,
it was responsible for the attacks against the United States on conscientiousness, agreeableness, adjustment, and intellectance.
September 11, 2001. See Big Two.

535

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 536 GLO SSA RY

big two: a refinement of the Big Five: stability and plasticity. butterfly effect: small, helpful, self-initiated acts have a
binding arbitration: a judgment made by a neutral third ­ripple effect, causing others to become energized and helpful.
party to settle a dispute between labor and management, in caliphate: an Islamic state in which the political and religious
which both parties agree in advance to abide by the result. leader are the same.
Bivens action: a judicially created counterpart to a 1983 capital budget: groups together multiple large-scale, nonre-
action that gives the federal courts jurisdiction over torts involv- curring projects such as the construction of a new police station
ing federal officials. and has a multi-year time horizon, often 5 years.
Black Asphalt: the short name for a particular company that capital improvement project (CIP): a single capital
teaches police agencies how to identify enforcement opportuni- improvement project, a component of a capital budget.
ties that provide opportunities for subsequent asset forfeitures. CAPS: Chicago Alternative Policing Strategy; one of the larg-
Black Codes: laws quickly adopted in southern states est and most comprehensive community policing initiatives in
­following the Civil War to repress African Americans. the United States, conducted by the Chicago Police Department
Black September Organization (BSO): terrorist group. ­during the 1990s.
blue flu: a job action in which officers organize mass absences carpetbaggers: Northerners who came to the South follow-
on the pretext of sickness for the purpose of protest against ing the Civil War, so called because their suitcases were cheaply
their employer. made of second-hand carpet.
bootlegger: someone who smuggled illegal alcohol during Challenge of Crime in a Free Society: 1967 government
prohibition; also referred to people who hid a flask in their boot report calling for improvements across the criminal justice
or held one to their leg with a garter. system.
Boston Police Strike: 1919 police strike that killed the change agent: an individual or a group from within or out-
­possibility of police unionization until the 1960s. side the police department that stimulates, guides, facilitates,
brainstorming: this is a type of group decision making and stabilizes the change process.
developed initially in advertising to help trigger creativity. The chaos theory: an organizational state of nonequilibrium pro-
idea behind brainstorming is to establish a group environment duced by a crisis event that exceeds anything we can imagine.
in which individuals can present any idea that seems to apply See cosmology and bifurcation.
even remotely to the subject being considered with the under- charismatic leadership: Charisma was originally thought to
standing that criticism will be withheld unless it can somehow be a gift of abilities from above; failures cannot be charismatic,
improve on the original idea. nor can leaders proclaim themselves to be such. Charismatic
budget adjustment: during the course of executing a police leaders have seven traits, including having an innovative vision,
department’s budget it may be adjusted upward or downward inspiring and developing followers, and leading their depart-
by only by the action of the local legislative body, such as a city ments to superior performances.
council or county commission. There are six common methods Chavez, Cesar: farm worker and later civil rights activ-
of making budget adjustments. ist, fought for better working conditions and pay for migrant
budget calendar: a schedule of events for the preparation pickers.
and approval of a budget. citizen oversight: This is a process by which people who are
budget cycle: a four-step, sequential process repeated annu- not sworn officers are involved in some way in the review of
ally in government. citizen complaints against police officers.
budget execution: the action phase of budgeting, budget city council: Acts as the chief legislative and policy making
implementation. body of a city.
budget: a government’s priorities expressed in financial city manager movement: style of city government that
terms, a plan stated in financial terms, the use of resources to began in Stanton, Virginia, in 1908.
meet human needs, a contract between the appropriators and city manager: A professional administrator who is recruited
those who execute the budget. for certain skills and training and is appointed by the city
buffering: stores inputs (e.g., gasoline) to avoid disruption council.
of services if supply is interrupted; also see negative entropy. city-county consolidated governments: a city and county
bum blockades: police-staffed blockades established by that have merged into one unified jurisdiction, having the pow-
some cities during the Depression to turn immigrants away ers and responsibilities of both a municipal corporation (city)
at the city limits who would be a drain on local government and the administrative division of a state (county).
resources if allowed to enter. Civil Rights Act of 1964: federal law that invalidated Jim
bureaucratic model: organizational form often called clas- Crow laws; Title 7 forbade discrimination by businesses, unions,
sical, mechanistic, and a closed system; comprised of eight and federal agencies on the basis of sex, race, color, religion,
characteristics. or national origin in hiring, promoting, and firing. Title 7 did
Burke-Litwin Model: a change model that recognizes and not apply to state and local governments until 1972. See Equal
incorporates organizational theory by exploring and ranking the Employment Opportunity Act of 1972.
various drivers of change. climbers: leadership style described by Downs; such leaders
business concerns: owners are the primary beneficiaries. invent new functions for their units.

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 GLOS S ARY 537
code of silence: refusal of officers to testify against other counterproductive work behavior (CWB): behavior that
­officers who are accused of misconduct. has a detrimental effect on relationships with coworkers and/or
CODEFOR: Computer Optimized DEployment—Focus On the efficiency of operations.
Results; one of the first experiments in the CompStat process, crime analysis: the organization of massive quantities of raw
used in Minneapolis, Minnesota, designed specifically to reduce data and information relating to reported crime in an effort to
crime and improve the efficiency and effectiveness of the police identify trends and patterns and then to forecast specific events
department. from the statistical manipulation of these data.
coding: to prevent overload, an organization codes or critical infrastructure and key resources (CI/KRs): the
­prioritizes messages so that important messages get to the right important facilities, buildings, and installations that provide
place quickly; citizens with minor problems wanting to talk to basic services within a community, such as transportation and
the Chief find themselves redirected and talking to some other telecommunications systems, water and power lines, electronic
official. data systems, key bridges and waterways, emergency facilities,
cognitive maps: accumulated sense making produces and private sector industries and businesses, that are essential
“­mental understandings” that help us navigate our world. See for the defense and security of the United States.
sense making. culture: the beliefs and behaviors characteristic to a particular
collective bargaining: negotiation between an employer and ethnic, racial, or other population.
a labor union, usually regarding issues such as wages, benefits, cumulative career stress: this is distress that often results
hours, and working conditions. from officers being exposed routinely to traumatic events over
colors: outlaw motorcycle gang patches and insignias that an extended period of time, sometimes years.
represent the club’s name and chapter; usually wore on a denim decentralization: the process of distributing the administra-
jacket or vest. tive functions or powers of an organization among all levels of
Commission on Accreditation of Law Enforcement the structure.
­Agencies (CALEA): created in 1979 with the support of deep web: a secret part of the World Wide Web, not accessible
police associations, this private body accredits law enforcement through regular Internet browsing or search engines; accessible
agencies that meet its list of standards. from dynamic websites that require the use of an application
program called “Tor” that allows encrypted conversations.
commonweal organizations: the public at large is the ben-
eficiary (e.g., law enforcement agency). defendant: the person or organization being sued; also called
a tort feasor.
communication: the process by which senders and receivers
interact in both professional and social contexts. deliberate indifference: a legal standard that involves more
than negligence; the conscious or reckless disregard of the con-
Community-Oriented Policing Services (COPS): a federal
sequences of one’s acts or omissions.
grant program.
democratic: a leadership style; encourages individual and
community-oriented policing: early 1980s policing philos-
group participation, “let’s talk about it.”
ophy that essentially provided custom-tailored police services
to neighborhoods and business districts. Used interchangeably detainer: a written request issued by ICE to a local jurisdic-
with problem-oriented policing (POP). tion requesting 48 hours advanced notice before a person in
their custody is released so ICE may take him/her into its cus-
community policing: a policing philosophy that focuses on
tody. Compliance with a detainer is a voluntary “immigration
general neighborhood problems as a source of crime; commu-
hold” because it is not a legal document such as a court order
nity policing is preventive, proactive, and information-based.
or a warrant.
CompStat: a police methodology using the most accurate and Dillinger, John: bank robber killed in Chicago by FBI agents
timely information to identify crime and social problems within in 1934, marking the end of the lawless era.
a given geographic area and then to develop strategies designed
directed and saturation patrols: more of a police tactic than
to stop or prevent them from occurring in the future; CompStat
a style, directed patrol usually involves the directing of patrol
holds police administrators accountable for their decisions, tac-
officers to specific locations during their patrol shift; saturation
tics, and strategies aimed at reducing crime.
patrol concentrates additional officers on specific locations at
computerized voice stress analyzer (CVSA): a lie detection specific times in an attempt to efficiently deploy officers as well
mechanism. as deter and prevent crime.
conceptual skills: the ability to understand and interrelate directed change: a carefully planned, formal action designed
various parcels of information that seem unrelated or whose to bring about a new condition.
meaning or importance is not immediately apparent.
disability: under ADA: (1) physical or mental impairment
conditional job offer (CJO): an employment offer made that substantially limits one or more major life activities; (2) a
contingent on passing a medical screening. record of such impairment; and (3) a perception of such
conservers: leadership style described by Downs; such lead- impairment.
ers exhibit bias toward maintaining things under their control. discipline matrix: a formal schedule for disciplinary actions,
cosmology: chaos event that overwhelms us; beyond the specifying both the presumptive or presumed sanction to be
worse conditions we could imagine; problems of magnitude, imposed for misconduct and any reduction or increase in the
complexity, and durability on a scope not seen by us before. presumptive sanction for mitigating or aggravating factors.

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discipline: the core meaning is to teach or instruct. Equal Pay Act (EPA): (1963), prohibits wage discrimination
disparate treatment: an EEOC theory of discrimination; based on gender.
a member of a protected class is intentionally discriminated ethical leadership: consistent demonstration of moral values
against in an employment decision. though personal actions, in interpersonal communications, and
domestic violence lethality assessment form: used to the communication of values to followers. Two components: (1)
assist law enforcement officers in objectively assessing the moral person and (2) moral manager.
potential dangers to a victim of domestic violence. ethics: rules and standards governing conduct.
double-loop learning: causes organizations to reconsider evidence-based policing (EBP): theory of policing that
whether they are pursuing the right grew out of 1998 article by Larry Sherman, who argued that
downward communication: communication used by man- police practices should be based on the best evidence available.
agement to send orders, directives, goals, policies, and so on, to evidence-based policing: a style of policing using the best
employees at lower levels of the organization. available research to guide, manage, and evaluate police opera-
due process: a guarantee of fairness in legal matters that tions within a community.
requires that all legal procedures set by statute and court prac- exception principle: routine matters should be handled at
tice must be followed for every individual, so that there is no the lowest possible organizational level that they can be prop-
prejudicial or unequal treatment. erly addressed, and unusual events, above or below standards,
dustbowl: term for dried-out prairie states, where good top- should be brought to the attention of higher-level managers.
soil blew away; many immigrated from those states to seek a exempt Employee: not entitled to overtime pay under FLSA.
better life. See okies. exhaustion stage: the point in general adaptation syndrome
early intervention system: a non-punitive way for a police when resistance can no longer be maintained and the body’s
department to identify and change officers’ at-risk behaviors defenses against stress begin to break down.
that could result in legal liability or damage its relationship with Fair Labor Standards Act (FLSA): (1938, private sector; 1985,
the community. It is therefore a tool to support officers and a public sector), establishes national minimum wage, work hours,
tool to manage the department. overtime pay, child labor, and record-keeping requirements.
Earth Liberation Front (ELF), Animal Liberation Front Family Medical Leave Act (FMLA): (1993), provisions to
(ALF): the two most infamous, single-issue, ecoterrorist groups help employees balance their career and family needs. Man-
active in the United States; they are responsible for significant dates unpaid leave by covered employees for eligible workers
destruction of property caused by arson and vandalism and for up to 12 weeks during any 12-month period for four specific
sometimes resort to more violent means to express their message. reasons.
e-government: provides citizens with on-line access to many federal consent decree: a federal lawsuit against a city or
governmental services. state jurisdiction that has an established “pattern and practice”
e-learning software: computer-based training software of violating the Constitutional rights of people within their
designed to incorporate case studies and simulation in the jurisdiction.
learning experience.
feedback: messages sent from the receiver to the sender in a
emotional skills (ES): The ability to accurately perceive and communication.
appraise your own emotions and those of others, to regulate
field training officer (FTO): guides the field training of a
your own emotions, and to do so while adapting and respond-
recent basic/academy graduate; see officer in training.
ing to the needs of others.
fiscal year (FY): the 12-month period usually covered by a
emotionally disturbed persons (EDPs): individuals suffer-
budget; also see biennial and capital budgets as exceptions.
ing from various forms of mental illness that may complicate
interactions with police officers. force-field analysis: a decision-making tool developed by
Lewin. Also see behavioral systems theory.
employee assistance programs (EAPs): programs made
available by employers to help employees having personal or Forces Act: federal legislation (1870) to combat Ku Klux Klan.
occupational difficulties. Fosdick, Raymond: author who played a major role in the
Employee Polygraph Protection Act (EPPA): limits the Cleveland Foundation Study.
use of lie detectors by employers, provides a law enforcement Freedmen’s Bureau: federal agency that provided assistance
exception. to African Americans after the Civil War.
entropic process: open systems concept; all organizations face frontier closing: 1890—the official date set by the federal
the prospect of moving toward decline, disorganization, and death. government for the “closing of the frontier,” a key point in the
equifinality: there are multiple ways to achieve goals. transition from a rural to an urban society.
Equal Employment Opportunity Act of 1972: law that functional structure: a modified line and staff structure that
amended Title 7 of the Civil Rights Act of 1964 to include state brings together trained specialists and specialized resources
and local units of government. under a single manager to accomplish a core responsibility.
Equal Employment Opportunity Commission (EEOC): a functional supervision: one person supervises a function,
unit within the U.S. Department of Justice (USDOJ) that admin- even if it cuts across several organizational units.
isters several key job discrimination laws. EEOC recognizes four fusion centers: data centers within police agencies that
theories of discrimination. serve as intelligence hubs and clearinghouses for all potentially

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 GLOS S ARY 539
r­elevant homeland security and crime information that can be Sexual harassment is perhaps the most well-known type of
used to assess local terror threats and aid in more traditional harassment.
anti-crime operations. Harrison, President: U.S. president accused of “prostitution
Garfield, President: U.S. president assassinated by frustrated of the public service.”
patronage seeker; event gave momentum to passage of Pend- hate crimes: harms (usually violent crimes) committed
leton Act. against an individual because of his or her perceived race, reli-
general adaptation syndrome (GAS): the biological and gion, ethnicity, gender, and/or sexual orientation.
physiological reactions, caused by stress, that may eventually Hawthorne effect: people being studied behave differently
incapacitate an individual. because they like the attention they get; part of a study by the
Generation X: born 1965–1980, the largest generation work- human relations school at the Hawthorne Electrical Plant.
ing in law enforcement presently; grew up in mixed economy; Herzberg, Frederick: developed motivation-hygiene theory.
first-generation latch key children; tend to be computer fluent. heuristic model: a simplified, gut-level method of decision
Many departments adapted their recruiting practices to attract making that emphasizes internal personality attributes of the
Gen Xers. decision maker.
generation x: those born between 1965 and 1980. Hispanic American Police Command Officers Association
Generation Y: born 1981–1994, largely the children of baby (HAPCOA): established 1973, HAPCOA provides training and
boomers, recently entering law enforcement agencies. Tend other opportunities for its members.
toward traditional family values; spiritual, but not necessarily homegrown terrorism: instances where U.S. citizens and
religious. residents convert to radical Islamic extremism and conduct ter-
generation y: those born between 1981 and 1994. rorist acts.
Generation Z: born 1995–2010, the “Zedders,” little known homeostasis: when an organization is “in balance.”
about them; fascination with virtual realities may lead to impov- horizontal communication: communication among peers.
erished social and interpersonal skills.
horizontal differentiation: an organizational design that is
Genetic Information Nondiscrimination Act (GINA): structured based on activity rather than rank.
(2008), limits the use of genetic information, provides a law
hostile environment: created when the prohibited and
enforcement exemption.
unwelcome behavior has the purpose or effect of unreasonably
geographic information systems (GIS): the integration of interfering with the individual’s work performance or by creat-
automated database operations and high-level mapping to ana- ing an intimidating, hostile, or offensive working environment.
lyze, manipulate, and manage spatial data, particularly relevant
hot-spots policing: a geographically based approach to
to crime analysis and forecasting.
crime-fighting focused on in-depth analysis of “places” and times,
grapevine: a system of informal information that meanders and deploying police officers to those locations that account for
across organizational lines. the majority of calls for service and crime in a community.
“great man” theories: two contrasting views: (1) events that human relations school: saw traditional organizational the-
must be responded to produce the great man and (2) great ory as ignoring the human element and sought changes; helped
men are “born leaders,” exceptionally endowed; one of two set the stage for the emergence of organizational humanism; see
branches of traditional leadership theory, the other being the Hawthorne effect.
traits approach.
human relations skills: the capacity to interrelate positively
Great Recession: a major downturn in the American econ- with other people.
omy that began in December 2007 and was officially declared
hybrid budget: budget formats that incorporate features from
over in 2009, although the recovery has been slow.
one or more other budget formats versus being purely one type
Greensboro Massacre (N.C.): brutal and widely seen 1979 of format.
attack on African Americans by KKK and American Nazi Party.
immaturity versus maturity: see Argyris.
grievance: an official expression of dissatisfaction brought by
improvised explosive devices (IEDs): Homemade explo-
an employee or an employee organization as the initial step
sive devices and bombs, these “booby-trap” explosives are
toward resolution through a formal procedure.
designed to cause extensive bodily injury or death and are usu-
group communication: interaction among three or more ally located along roads or streets in conflict areas. IEDs are
individuals in a face-to-face situation where all parties have a responsible for the majority of the casualties of U.S. troops in
common need that is satisfied by the exchange of information. Iraq and Afghanistan.
group interaction: a process which has four phases: orienta- inactive planning: this type of planning is based on the
tion, conflict, emergence, and reinforced. assumption things will continue to be as they are and will be
groupthink: decision making by a group, characterized by a “business as usual.” Its time orientation is rooted in the present
lack of both creativity and individual responsibility. under the assumption that it is better than the past and not as
Gulick, Luther: coined the most famous acronym of admin- dangerous as the uncertainty of the future. There is no system-
istration: POSDCORB. atic scanning of the environment to detect new opportunities.
harassment: a discriminatory, unwelcome action toward an incremental model: this model contends that police manag-
individual on the basis of race, color, sex (including pregnancy), ers and administrators “play things safe” and opt to move very
national origin, age, religion, disability, or genetic information. slowly (incrementally) in decision making.

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informal organization: an unofficial structure within an leader member exchange (LMX): theory by Dansereau,
organization, often based on personal relationships, that has its Graen, and Haga; those who are like the leader go to the in-
own goals, communications, and behavior patterns. group, those unlike the leader go to the out-group, and those
intelligence: data and information that have been evaluated, about whom the leader is unsure, go to the try-out bin (1975).
analyzed, and produced with careful conclusions and recom- See life cycle LMX theory (1995).
mendations for future decision makers and policymakers. leader: can be contrasted with manager: (1) management is
intelligence-led policing (ILP): arising from the 9/11 the content of a job, being a leader is how you get it done;
­terrorist attacks, ILP is a relatively new policing style focused (2) one person may be a leader, manager, both, or neither;
on offenders, not crime incidents, using intelligence analysis to and (3) a leader is identified by the position he or she occu-
prevent crime. pies in the department’s hierarchy. Leaders and managers can
internal subsystems: in open systems theory, the internal be differentiated by the variables identified in Table 7.1. See
unifying forces of an agency that prevent fragmentation of the leadership.
organization and transform inputs into outputs. leadership neutralizers: as described by Kerr and Jermier,
International Association of Chiefs of Police (IACP): a those who make leadership ineffective or impossible.
professional organization of chiefs of international, federal, leadership substitutes: as described by Kerr and Jermier,
state, and local police agencies of all sizes. those who diminish or take the place of formal leadership.
International Association of Police Women (IAPW): orga- leadership: (1) relating the police department to the larger/
nization founded in 1969, roots in organization date back to 1926. external environment and (2) influencing officers to use their
interpersonal communication: the process of message energies willingly and appropriately to achieve the department’s
transmitting between two people to create a sustained shared goals.
meaning. least preferred coworker (LPC): Fiedler’s theory that,
Islamic State (ISIS): a radical Islamic terrorist group that underlining LPC is the assumption that how leaders treat their
quickly rose in the Middle East in 2014; previously known as LPC is an indicator of their leadership preference. The relation-
the Islamic State in Iraq and the Levant (ISIL) (The Levant is a ship of that preference has three situational variables: (1) task
geographical region on the edge of the Eastern Mediterranean structure, (2) leader-follower relations, and (3) the power posi-
Sea composed of Syria, Jordon, Lebanon, and Israel and more tion of the leader determines group effectiveness.
recently referred to as ISIS or the Islamic State in Iraq and Syria). less-lethal weapon: As their name reflects, less-lethal weap-
isomorphism: resource-dependent agencies tend to mirror ons are used without the intent to cause permanent injury or
the complexities and demands of their environments; when death. Common less-lethal weapons include chemical weapons
agencies receive signals from important others, they develop such as oleoresin capsicum (OC) or pepper spray, bean-bag
responsive policies and programs. guns, net guns that shoot a web around suspects, and controlled
energy devices (CEDs) like Tasers.
jihad: a “holy war,” a concept perverted by radical Islamists
to justify a physical war against the West; a perversion of the letter of exception: a letter written by a chief of police to
concept proscribed in the Holy Qur’an and not representative whatever office authorized the audit contesting one or more
of mainstream Islam. findings by the auditor.
Jim Crow laws: southern laws that repressed African Ameri- Lewin, Kurt: founder of behavioral systems theory. Also see
cans, enacted 1880–1960, followed the Black Codes. force-field analysis.
job action: a label used to describe several types of activities Lewin’s three-step model: a change model that has three
in which employees may engage to express their dissatisfac- sequential steps: (1) unfreezing, (2) moving, and (3) refreezing.
tion with a particular person, event, or condition or to attempt Lexow Committee: committee that in 1894–1895 examined
to influence the outcome of a matter pending before decision corruption in the New York Police Department.
makers, such as a contract bargaining impasse. liability: legal responsibility for a person’s or an organiza-
judiciary: This is a system of courts of law that administer justice. tion’s acts or omissions.
Kansas City Preventive Patrol Study: part of the trilogy liberty rights: rights involving the protection and defense of
of research and experiments that rocked policing in the early one’s good name, reputation, and position in the community.
1970s. Lilly Ledbetter Fair Pay Act (LLFPA): (2009), law that states
King, Martin Luther Jr., Reverend: distinguished leader in that each discriminatory paycheck is a new violation.
the Civil Rights movement. line and staff structure: an organizational structure that
KKK: Ku Klux Klan, organization founded as a social club in retains basic elements from line structure but adds auxiliary and
1866, quickly turned to terrorizing African Americans. administrative support units.
Knapp Commission: studied corruption in the NYCPD, iden- line item budget: budget whose focus is on controlling
tifying meat- and grass-eaters. expenditures; each object of expenditure has a separate line in
Kotter Model of Successful Change: an eight-step process the budget.
model that identifies a logical and ideal way to implement suc- line structure: the oldest, simplest, and clearest form of orga-
cessful change in police agencies. nizational design; authority flows from the top to the bottom of
laissez-faire: a leadership style; takes passive, “hands- the organization in a clear and unbroken line.
off” approach, reluctantly use the authority of one’s position, litigation: a lawsuit or another question to the court that
“whatever.” resolves a legal matter or question.

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lone wolf (wolves): a violent attack by a single perpetrator multitasking: engaging in multiple activities such as listening
(or small group), acting alone, without any direction, or assis- to music, working on the computer, and talking on the phone.
tance from an organization or outside group. mutual benefit association: an association whose primary
lynching: initially a severe beating, later synonymous with beneficiary is its members (e.g., a police union).
illegally hanging someone; initially meant rough justice. narco-terrorism: acts of insurgency by narcotics and drug
machine politics: see political machine. traffickers aimed at influencing the policies of a specific govern-
management systems: as described by Likert, a continuum ment or society through violence and intimidation; the violent
of four leader styles. disruption of legitimate governmental services and security in a
manager: See leader. specific area.
managerial grid: Blake and Mouton’s theory that balances Nation, Carry: WCTU activist, gained notoriety for “hatcheta-
two considerations: (1) concern for people and (2) concern for tions,” ripping alcohol kegs open with her axe.
task to produce five distinct leadership styles. National Academy (NA): institution founded in 1934 by FBI
Maslow, Abraham: developed the five-level hierarchy of to train state and local law enforcement officials.
human needs. National Advisory Commission on Civil Disorders: gov-
matrix (or grid) structure: an organizational design that ernment report on riots in 1968; also known as the Kerner Com-
assigns members of functional areas to specific projects, such mission after the group’s Chair.
as a task force. National Association of American Asian Law Enforcement
McGregor, Douglas: developed Theory X and Theory Y, two Commanders (NAAALEC): founded in 2002, an organization
contrasting sets of assumptions about workers. fostering leadership, fraternal enrichment, and advancement.
McVeigh, Timothy: individual convicted of the Oklahoma National Association of Women Law Enforcement Execu-
City bombing and murders, executed in 2001; he stated that he tives (NAWLEE): established to address the unique needs of
wanted to get revenge for Ruby Ridge and Waco. women holding senior positions in law enforcement.
Mechanistic organizational structure: Mechanistic orga- National Commission on Law Observance and Law Enforce-
nizational structures are set up to run like a machine, tightly ment: first comprehensive national study of police, 1929.
controlled, error free and producing a sustained, unflawed National Criminal Justice Reference Service (NCJRS): on-
­output. They incorporate many of the features of the bureau- line reference source for criminal justice students, scholars,
cratic structure, for example, a hierarchy, chain of command, practitioners, and the public.
and specialization, and much of the communication is verti-
National Organization of Black Law Enforcement Execu-
cal or top-down. Mechanistic organizations are also called
tives (NOBLE): founded in 1976, NOBLE works toward the
“closed systems” because their boundaries are conceived
elimination of racism and bias with the law enforcement field.
of as being fairly impermeable to outside influences. Many
theorists use mechanistic, closed system, and bureaucracies National Prohibition Act: see Volstead Act, prohibition.
synonymously. National Sheriffs Association (NSA): chartered in 1940, the
meet and confer model: referred to by some as “collective NSA, like other professional organizations, provides education,
begging” because the laws or agreements establishing it con- training, and information resources to its members.
fer little or no rights on employees. In the meet and confer natural soldiering: the natural inclination of workers not to
model least friendly to employees, neither the employer nor the push themselves.
employees are required to meet. Such meetings are an opportu- needs hierarchy: five levels of needs that explain human
nity, not a requirement. motivation; see Maslow.
mentoring: individuals selected to train, as well as provide negative entropy: the capacity to resist decline or death, see
role models to individuals new to a particular position. buffering.
military model: police theory that there is a war against negligence: the failure to exercise the care toward another
crime and the police are front-line soldiers. person that a reasonable person would do in the same circum-
moral manager: ethical leadership concept, a fair and prin- stances; also includes taking action that a reasonable person
cipled decision maker, who is altruistic, cares about people and would not take; negligence is accidental.
the larger society.
neighborhood-oriented policing: a style of community
moral person: ethical leadership concept, proactively strives policing fostered by Lee P. Brown in Houston, Texas, that
to reinforce followers’ ethical behavior. focused on crime and social problems in select neighborhoods
moral turpitude: conduct contrary to honesty, justice, or or districts.
good morals. networked organizations: organizations that are heavily
motivation-hygiene theory: two sets of factors, motivators dependent on informational technology, often comprised geo-
and hygiene; hygiene factors, if met, don’t motivate someone, graphically dispersed units, horizontal communication accounts
but unmet they are a source of dissatisfaction. See Herzberg. for most message traffic, their existence is panned and bound
muckrakers: journalists and writers who exposed corruption together by contract, may be single purpose or continuous in
and other abuses. operation. Units are not part of same organization; they are
multicultural settings: the organizational environment in autonomous, but collaborative. See virtual organizations.
which there are individuals from numerous cultures and racial new public management (NPM): began in 1980s, called for
and religious backgrounds. greater use of business practices to achieve greater efficiency.

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noise: anything that disrupts communication, including the organizational humanism: 1950–1960s movement by theo-
attitudes, the emotions of the receiver, such as stress, fear, nega- rists that called for the softening or elimination of many of the
tive attitudes, and low motivation. features of the bureaucratic model; see human relations school.
nonexempt employees: entitled to overtime pay under FLSA. organizing: the process of determining the formal structure
normative decision-making theory: leadership model by of task and authority relationships best suited to accomplish a
Vroom, Yetton, Jago; not a general model of leadership; nar- mission.
rowly focuses on three leadership approaches to decision mak- path-goal theory (PGT): theory by House, 1996; revised
ing and provides the greatest probability for a good decision, his 1971 theory. The essence of PGT is that for leaders to be
contingent upon follower characteristics. effective, they must engage in leader behaviors that compensate
normed: a norm is a statistical average of performance by for the deficiencies of their subordinates, enhance their perfor-
a well-defined population. In the case involving the Colorado mance, and are instrumental to their individual and work unit
Springs Police Department suit by women who did not run a performance and satisfaction.
distance in an absolute time, a normed score for the plaintiffs patronage: in the worst sense, rewarding voters for their loy-
would be the average time on the run for women in various age alty rather than their ability; useful in appointing qualified sup-
groups, i.e., adjusted for both gender and age. porters who can help politicians implement their policies.
Obergefell V. Hodges: The 2015 supreme court landmark Peace Officer Standards and Training Commissions
case recognizing and legalizing same-sex marriages across the (POSTs): organizations that played an important role in
united states. police professionalization.
objective reasonableness: A court-developed standard Peace Officers Standards and Training Commis-
imposed under the Fourth Amendment “reasonableness” inquir- sion: (POST), a state level organization that sets standards for
ing as to whether an officer’s actions are “objectively reason- police employment, basic and annual training, special certifica-
able” in light of the facts and circumstance of a specific incident. tions (e.g., use of radar, license revocations and other matters).
Would a reasonable officer confronted with the same or simi- Peel, Sir Robert: driving force behind the London Metropoli-
lar circumstances make the same decisions and conduct the tan Police (1829).
same actions under review? The “objective reasonableness” test Pendleton Act: federal legislation (1883) establishing the U.S.
acknowledges that police officers are often forced to make split- Civil Service Commission.
second decisions under highly stressful conditions relating to
performance audit (PA): ordinarily a study to see how well
the amount of force necessary in a particular incident.
a subunit or the whole organization is achieving its performance
objectives, programs, and policies. See single-loop objectives. With some questionable shootings in 2014 and 2015,
learning. some audits are examining whether officers are following their
officer in training (OIT): a recent academy graduate under use of force policies and writing all of the reports they should
the supervision of a field training officer. with the detail needed in them to constitute a professional
Okies: term for immigrants from dust bowl states, many of report. One such study concluded that the officers were not
them from Oklahoma. writing all of the reports they should to keep use of force stat-
open systems theory: a grouping of separate, but interde- ists low and often simply wrote short passages, like arrested
pendent components that work together to achieve common person was injured while resisting arrest and transported to the
goals. hospital.
operating budget: a recurrent budget for salaries, fringe performance budget (PB): also referred to as a perfor-
benefits, uniforms, training, telephone service, and kindred mance-based budget (PBB), which focuses on results-based
expenses. budgeting (RBB). In theory, a PB has four characteristics.
operational plans: often called “work plans” and describe personalized power needs: the desire to be in control for
specific actions to be taken by line units, such as, patrol officers, selfish, self-aggrandizing reasons.
precinct group, and/or other division teams. Pinkerton National Detective Agency: a private detective
operations research: the application, collection, and analy- agency that excelled at tracking down outlaws.
sis of data from decision making within an organization. plaintiff: the injured party that initiates a legal action.
organic organizations: organic organizations recognize that Planning, Programming Budget System (PPBS): a bud-
they have permeable boundaries and are therefore co-depen- geting innovation used in the federal government from the
dent with the larger environment in which they are embedded. mid-1960s to the early 1970s; little use of it in state and local
Knowing they face an unstable environment, organic organiza- government.
tions are adaptable and “nimble on their feet. Organic and open planning: a process that links present actions to future
systems are used synonymously. Mechanistic and organic orga- conditions.
nizations can be thought of as opposite ends of a continuum. Police Administration: book authored by O.W. Wilson,
organizational citizenship behavior (OCB): the extra known for many decades as the “Bible” of police administra-
things followers do that are not required but contribute to orga- tion, reasserted professional model of policing.
nizational effectiveness. See POB. Police Executive Research Forum (PERF): group formed
organizational development (OD): a change management to do research and public policy work of interest to the larger
process. jurisdictions founding it.

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 GLOS S ARY 543
police sexual violence (PSV): an egregious form of sex- problems within a community through an innovative, four-step
ual misconduct that involves sexual harassment and violence, model called SARA.
including rape and other sexual assault, perpetrated by police procedural due process: the legality of the procedures used;
officers against women. in this case, to deprive police officers of status or wages.
political machine: a tightly controlled political party headed procedural plans: the guidelines for the action to be taken
by a boss or small autocratic group whose purpose was to under specific circumstances and address such matters as the
repeatedly win elections for personal gain, often through graft use of force, high-speed pursuits, evidence handling, K-9 teams,
and corruption. sexual predators, domestic violence, hate crimes, cold case
politics: In the negative sense, this refers to attempts to investigation, and form of management and dozens of other
impose external, partisan political influence on the operation of matters that permeate the agency.
a police department. profession: several definitions; see Table 1.1.
Politics: the process of acquiring and maintaining control program budget: focuses organized around programs/activi-
over a government, including its policies, administration, and ties, has line item budget for control.
operations. progressive discipline: slowly increasing the severity of
Politics: Used in a positive sense, means the governance of sanctions unless a higher level is immediately required (e.g.,
the city. termination).
Popular Front for the Liberation of Palestine (PFLP): ter- prohibition: national prohibition officially lasted from 1919
rorist organization. to 1933.
POSDCORB: planning, organizing, staffing, directing, coordi- property rights: rights involving the protection of one’s
nating, reporting, and budgeting; also see Gulick. property; in some cases, an individual’s right to his or her job is
positive organizational behavior (POB): a broader cluster considered a property right.
of organizational behaviors that contribute to its overall success; prosecutor: This is the public officer within a jurisdiction who
OCB is included within POB by some researchers. See OCB. represents the citizenry of a state or county who charges and pros-
posse comitatus: prohibits the use of federal soldiers to act ecutes individuals who are alleged to have committed a crime.
as police officers in a law enforcement capacity within the bor- protected class: a Title VII (1972) designation, race, color,
ders of the United States. sex, national origin, or religion.
posttraumatic stress disorder (PTSD): a psychological proximate cause: an event that directly results in another
reaction that occurs after experiencing a highly stressful event event, particularly injury due to negligence or an intentional,
outside the range of normal human experience. wrongful act.
power motivation: see affiliation, personalized power, and Public Employment Relations Commission: an adminis-
socialized power needs. trative body, often on a state level, responsible for administering
power: when a formal grant of authority is made, some power legislation related to union bargaining.
inherently accompanies it, to maintain standards, correct defi- public interest organizations: These are organizations such
ciencies, and discipline as needed. However, even with author- as the American Civil Liberties Union (ACLU) and the National
ity and power, leaders may not be able to compel others to Association for the Advancement of Colored People (NAACP),
perform. To a significant degree, power is a grant made by the which play an important role in police accountability, especially
led to the leader. Also see authority. as it relates to allegations of police misconduct.
predictive policing: a proactive policing style that uses infor- qualified individual with a disability: job applicant or
mation and analytical tools to prevent crime while using the employee who meets the employer’s legitimate requirements for
fewest police resources possible. the position sought or held and is able to perform the essential/
Pregnancy Discrimination Act: PDA (1978), the Act makes core functions with or without a reasonable accommodation by
it unlawful to discriminate against women in employment prac- the employer.
tices because of pregnancy, childbirth, or medical conditions quid pro quo: “something for something,” a category of sex-
rising from such. ual harassment.
principle of hierarchy: a requirement that each lower level racial profiling: This is the consideration of race as a key
of the organization be supervised by a higher level. factor in police decisions to stop and interrogate citizens.
proactive planning: this is the attempt to change or antici- Rand Criminal Investigation Study: part of the trilogy of
pate events in the future that are likely to occur. research and experiments that rocked policing in the early 1970s.
probable cause: Arising from the Fourth Amendment, probable rank-order list: promotional roster method in which candi-
cause is the standard by which a police officer has the a­ uthority dates are listed in their rank order. Selections are usually made
to make an arrest, conduct a personal or property search, or from the list using a rule of 3, 5, or 10.
to obtain a warrant for arrest; a set of facts and circumstances ration books: to divert as much food as possible to support
that would lead a reasonable person to believe that a crime has service members fighting in WW II, national food rationing was
occurred and that a specific person is responsible for that crime. instituted in the United States in 1942. Each person was issued a
problem-oriented policing: originally branded by Herman book of stamps that established the amounts of various types of
Goldstein, this style of policing addresses reoccurring social foods he/she could have. Also see victory gardens.

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 544 GLO SSA RY

rational model: this model assumes that people are ­motivated assistance their public safety agencies could provide to the fed-
predominately by “economic incentives” and will, therefore, eral government with respect to illegal immigrants.
work harder given the opportunity to make more money. SARA: a cyclical, four-step problem-solving methodology
rational-legal authority: authority is granted by the organi- designed to enhance community policing: Scanning, Analysis,
zation to the occupant of a position who uses it to accomplish Response, and Assessment.
organizational goals, a Weber-supplied concept. scientific management: finding the “one best way” to
reactive planning: this is the reaction to problems that have accomplish a task; see F. W. Taylor and traditional organiza-
presently occurred and are being addressed or are presently tional theory.
happening and require a response. It is both past and present sector policing: an innovative and proactive approach to
oriented. structuring law enforcement crime-fighting strategies, person-
reasonable accommodation: employers may tell applicants nel deployment, allocation of resources, and accountability to a
what the selection process consists of and whether they will geographical zone or area.
need a reasonable accommodation by the employer. Examples sense making: how people and organizations process their
of selection accommodations include large-print examinations experiences and what they do with them. See cognitive maps.
and scheduling a wheelchaired applicants’ interview on the first servant leadership: as described by Greenleaf, primary ori-
floor rather than the second floor where there is no elevator. entation is the theory that leaders should first be servants, meet-
After a conditional job offer is extended, employers may ask ing the legitimate needs of their followers.
whether a reasonable accommodation is needed for any aspect
service organizations: an organization whose specific cli-
of the job (e.g., modifying the equipment the person will use).
entele is the primary beneficiary (e.g., clients of a community
reasonableness: a standard applied to many legal questions health center).
in which it must be determined if conduct or action was reason-
Servicemembers Civil Relief Act (SCRA): (2003), provides
able in the eyes of the court.
protections to service members, including those called to active
recognition-primed decision making (RPD): method of duty; key provisions apply to leasing arrangements, the amount
decision making that focuses on the assessment of the situation, of interest that debtors can charge, and life insurance.
its dynamics, and the experience of the decision maker.
sexual harassment: a specific type of harassment, two cat-
reformation period: reformers sought to free policing from egories: (1) quid pro quo and (2) hostile environment; violates
political abuses and corruption; had two needs: arouse apa- Title VII.
thetic public and a conceptual model to drive it.
sheriffs: Usually elected, with a custodial role in the deten-
reformatted bureaucracy: a shift from close adherence
tion of prisoners and serving as bailiffs in the court.
to traditional organizational theory/closed system views to a
neoclassical or neo-Weberian view that includes open systems silent generation: born 1925–1945, loyal, security conscious,
precepts. and conforming are key attributes. Almost entirely retired from
law enforcement.
reliability: if the same test or a parallel form is given to the
same group, substantially the same results will occur; results are single-loop learning: allows organizations to make correc-
not random. tions and continue operations; see double-loop learning.
residency requirements: rules from the Depression era, stat- Singleton, Benjamin “Pap”: former Tennessee slave, pro-
ing that before hiring, person had to live in a community six moted founding African American townships in Kansas after
months or a year; intent was to protect jobs for local tax-paying the Civil War.
residents. situational leadership: leadership model by Hersey and
resistance stage: the second step in general adaptation syn- Blanchard; relates the behavior of the leaders to the maturity of
drome, exemplified by specific responses to continued stress by followers, identifies the most probable successful leader behav-
the body in order to optimize adaptation. iors for each level of maturity.
results-based budget (RBB): see performance budget. skill: how knowledge gets translated into action.
retaliation: one of four EEOC theories of discrimination; slave patrols: groups that hunted down fugitive slaves,
two types: (1) retaliation for participation and (2) retaliation for administered impromptu punishments as they saw fit, and dis-
opposition. persed slave meetings; continued through the end of the Civil
War.
roid rage: an outburst of violent or aggressive behavior
caused by taking large doses of anabolic steroids. snatch racket: 1920s and 1930s gangster term for kidnappings.
Ruby Ridge: 1992 Idaho standoff involving Weaver fam- social media: a type of internet-based resource integrating
ily and a friend and federal agents; fatalities on both sides; user-generated content with user participation.
Weavers were seen by far-right groups as martyrs to federal social skills (SS): the ability to express oneself in social situ-
government. ations; the ability to “read” social situations; recognizing dif-
sanctuary movement: Some people fleeing violence in Cen- ferent social roles and expected behavior; and interpersonal
tral America during the 1980s entered this country illegally. To problem solving; closely related to ES.
prevent them from being returned to their home country some socialized power needs: the desire to have a positive impact
sympathetic churches gave them sanctuary, hiding and caring on the department’s operations and administration.
for them. This practice spread to city and counties and soon span of management: the number of personnel a supervisor
officials in those jurisdictions placed limits on the amount of can personally manage effectively.

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 GLOS S ARY 545
speakeasies: illegal bars during federal prohibition. Taylor, F. W.: father of scientific management.
specialization: a division of labor wherein specific jobs and team policing: an attempt to reshape how police resources
tasks are allocated to meet different responsibilities with those were used by reducing specialization and enlarging the role of
specially qualified or trained to perform them. uniformed patrol officers. Part of the trilogy of research and
spiritual leadership: leadership divided into two camps: experiments that rocked policing in the 1970s.
those who are more overtly religious and those who define spir- technical skills: skills that are essential to doing a job; vary
ituality in another way. People can be spiritual without being by level within a police organization (e.g., identifying physical
religious, seeking meaning in their lives. Spiritual in this sense evidence versus preparing a budget).
means having a closer connection with one’s higher values and temperance movement: late 19th century anti-alcohol move-
morality. Spiritual leadership taps into followers’ higher-order ment; church based.
needs (e.g., challenging work that is socially meaningful). See
tenure: This is a period, or term, during which a position is held.
spiritual survival.
terrorism: the threat of and/or use of violence to achieve a
spiritual survival: (1) transcendence, a sense of being called
specific set of political objectives or goals.
to a profession and (2) membership, a sense of belonging.
Theory X–Theory Y: see McGregor.
spoils system: see patronage.
thin-slicing theory: the concept that instantaneous or quick
standard of reasonableness: in Graham v. Connor, the
decisions made by well-trained and experienced administrators
Supreme Court held that the standard of reasonableness ema-
may often be better than those made more deliberately and with
nates from the officer’s perception at the time of the crisis that
significantly more information and time.
resulted in the use of deadly force.
Title VII: (1972), law that amends the Civil Rights Act of 1964;
station house sergeants: as described by Van Maanen, such
prohibits job discrimination in employment based on race,
sergeants work inside, have a strong conformity orientation, are
color, sex, national origin, or religion.
immersed in the police department’s management culture, and
make contacts that can help career. Tor network: Synonymous for the “deep web:” see deep web.
strategic plans: typically longer in duration than other kinds of tort: a private injury inflicted on one person by another per-
planning, usually planning for events 3 to 5 years into the future. son, for which the injured party may sue in a civil action.
street sergeants: as described by Van Maanen, such sergeants traditional action research model: a five-step change
have a distaste for office procedures, are action oriented, are model consisting of the following: (1) recognizing the need for
more likely to be investigated and sued, and may not advance change, (2) assessing/diagnosing the situation, (3) action plan-
beyond middle management. ning, (4) the intervention, and (5) evaluation.
street-level bureaucrats: government workers in direct traditional organizational theory: has three stems, bureau-
­contact with clients who use discretion on how to implement cracy, scientific management, and administrative theory; the
public policy (e.g., police officers and field social workers). centerpiece of organizational theory during 1900–1950.
stress: anything that places an adjustive demand on the traditional policing: a style of policing based on response
organism. to calls for service after the activity has occurred; traditional
policing is reactive and incident driven, often utilizing random
stress inoculation activities: activities that help eliminate or
moving patrol cars.
reduce stress.
traits approach: relatively stable predispositions to behave
strong mayor: In this form of government, the mayor is
in a certain way; since roughly 1910, there has been interest in
elected to office and serves as the chief executive of the city.
identifying the traits leaders have. Also see great man theory.
structure: an organizational design that assigns members of
transactional leadership: leadership style that gives some-
functional areas to specific projects, such as a task force.
thing (rewards) to get something (performance by followers).
substantive due process: the requirement that the basis for TLers appeal to the self-interest of followers. A basic system of
government disciplinary action be reasonable, relevant, and reciprocity. Followers are motivated by lower levels of Maslow’s
justifiable. needs hierarchy.
suicide by cop (SbC): a situation involving an individual transformational leadership: leadership style that inspires
who wishes to die and uses the police to affect that goal. followers to “elevate their game,” go beyond self-interests, and
SWAT: special weapons and tactics police teams often used make more and larger contributions than they had originally
by the police during critical incidents such as barricaded felons, intended. In the process, transformational leaders help them to
hostage situations, and felony search warrants. grow personally and professionally, to develop their own capa-
synoptic planning: also known as the rational comprehen- bilities for leadership. Transformational leaders appeal to fol-
sive approach and is the dominant tradition in policing. lowers’ ideals and values, aligning them with the organization’s.
systematic soldiering: keep production rates low so quotas Two Medal of Honors: “Teddy” Roosevelt (1858–1919) and
don’t increase. Mary Edwards Walker.
tactical plans: these involve planning for emergency of a type A personality: the personality type characterized by an
specific nature at known locations. intense and ambitious mindset, which puts the person under
Tannenbaum and Schmidt: authors who identified a theory constant stress and physiological strain.
of leader styles (1958), revising it to a full situational leadership type B personality: the personality type characterized by a
theory (1973). more easygoing state of mind than the type A personality.

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 546 GLO SSA RY

type C personality: the personality type characterized as Volstead Act: National Prohibition Act; see prohibition.
non-emotional, non-assertive, quiet, and introspective but actu- vote of confidence: reflects how rank and file members
ally frustrated and suppresses anger. ­signal their collective displeasure with the chief administrator
type D personality: the personality type characterized as of their agency.
pessimistic and socially withdrawn and as a result fears rejection. Waco: Texas city where, in 1993, there was a 51-day federal
U. S. Department of Labor: administers some job discrimi- siege of the Branch Davidian Compound led by David Koresh;
nation laws in addition to other responsibilities. ended with federal fatalities and perhaps 75 or more Branch
undocumented immigrant: An individual who does not Davidian deaths; federal authorities were sharply criticized, but
qualify for admission into the United States has entered the no wrongdoing was found.
country illegally by crossing the border without full inspection Watergate Scandal: petty burglary that ultimately led to Pres-
or has violated the terms of legal admission. ident Nixon’s resignation.
unequal badge: term that describes African American officers Weber, Max: founder of modern sociology whose name is
in some southern communities who, until the early 1960s, only synonymous with bureaucracy.
walked beats in African American business and entertainment Whitman, Charles: man who committed the first mass mur-
districts; by custom, African American officers were often not ders on a college campus at the University of Texas in 1966.
allowed to arrest Caucasians because an “ugly incident” leading
to rioting might occur. Wickersham Commission: see National Commission on Law
Observance and Law Enforcement (1929).
Uniform Guidelines for Employee Selection Proce-
dures: “Uniform Guidelines,” 1978, developed by EEOC to Wilson, O.W.: chief of several jurisdictions; studied under
create a single set of selection principles designed to help cov- Vollmer; his Police Administration has been regarded as the
ered employers comply with federal laws prohibiting employ- “Bible” of police administration for decades.
ment decisions that discriminated against members of protected work slowdowns: officers continue to work but do so at a
classes. leisurely pace causing productivity to fall.
Uniformed Services Employment and Reemployment work speedups: an acceleration of an activity resulting in
Rights Act (USERRA): (1994), encourages noncareer partici- over production of one or more types of police services.
pation in the uniformed military service by eliminating barriers work stoppages: the ultimate work stoppage is the strike,
to such service, minimizing the disruption of the lives of those which is withholding all of labors’ services.
called to service and prohibiting discrimination against them. workaholic personality: this personality type is similar to
untouchables: Treasury agents under Elliot Ness assigned to a type A, and can result in serious physical and psychological
Chicago who couldn’t be corrupted. consequences.
upward communication: communication used by lower- working test: the probationary period for a position.
level employees.
zealots: leadership style described by Downs; such leaders
validity: quality of a test that means it actually measures what have narrow interests, focus almost entirely on them.
it is intended to measure.
zero tolerance policing: ZTP was based on the premise
vertical differentiation: an organizational design based on that when small infractions of the law are ignored, it creates
levels of authority within an organization. a climate conducive to more serious crimes being committed.
vicarious liability: a legal doctrine also known as “respon- The extension of this thinking was ZTP, which required non-­
dent superior” imposing liability on supervisors and managers discretionary enforcement for all crimes.
for the tortious conduct of their employees. zero-based budget (ZBB): in pure form, every program in a
victory gardens: small household gardens planted during budget starts from “zero” and must be justified each year. Three
WW II for personal consumption so more food could be used alternative service levels are prepared for each program. As
in war effort. practiced in less stressful economic times, departments “have”
virtual organizations: organizations that arise spontaneously 75 or 80 percent of their prior year’s budget and use from there.
to an urgent need; there is no planning or contract; participation zero-tolerance policing (ZTP): a focused police strategy
is voluntary and members can withdraw at any time; there is not built on the philosophy that visible signs of social decay often
a command and control structure; they usually disappear when lead to more serious crimes in a specific neighborhood; empha-
the single purpose that brought them together is accomplished. sis then, should be on strict enforcement of the law for even
Vollmer, August (Gus): father of modern law enforcement. minor crimes of disorder.

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 Index
A roting sarts, 126–127
AAS (Anabolic-androgenic steroids), 447 statement of the charges, 125–126
Abbey, Edward, 103 Allegheny (PA) County Police Department, 292
Abdulmutallab, Umar Farouk, 90 All-hazard, 80
Abu Nidal, 87 Allotments, 417
Abu Sayyaf Group (ASG), 90 All-qualified promotional roster, 333
Accelerated change, catalyst, 129 Alpert, Geoffrey, 485
Accountability, of police officers, 44 Alpha generation, 318
ACLU. See American Civil Liberties Union (ACLU) Al-Qaeda, 88–90
Action planning, 521–522 Al-Qaeda in Iraq (AQI), 90
Action-reaction gap, 442 Al-Qaeda in Islamic Maghreb (AQIM), 90
Active shooter, 263 Al-Qaeda in the Arabian Peninsula (AQAP), 90
Adams et al. v. United States (2006), 303 Alternative police titles, 180
Addiction, work, 440–441 American Civil Liberties Union (ACLU), 83, 122
Administration paradigms American Federation of Labor (AFL), 377
chaos theory, 167 American Nazi Party (ANP), 26
environmental theories, 165 Americans for Effective Law Enforcement (AELE), 470
networked and virtual organizations, 165–166 Americans with Disabilities Act (ADA) (1990), 299–300
sense making, 166–167 America’s police departments, race gap in
Administrative leaves, 322 Anabolic-androgenic steroids (AAS), 447
Administrative or management Plans, 263 Anabolic steroids, 447
Administrative theory, 154–155 Animal Liberation Front (ALF), 87, 103
Administrators, tort liability for, 475–476 Animals, shooting to destroy, 479
Adultery, 499 Anticipatory strategies, job actions, 391
Adverse impact, 294 Appeal findings, 122
Adverse physical effects of, AAS, 447–448 Arbitration hearing, 388–389
Adverse psychological effects of, AAS, 448 “Archanged Project,” 80
Affiliation needs, 221 Argyris, Chris, 159
African Americans Argyris immaturity-maturity theory
Black Codes and, 18 Arizona, immigration reform in, 101
civil rights movement, 22 Arizona Rangers, 8
Jim Crow laws, 18 Arlington, Texas Police Department (APD), 356
Ku Klux Klan and, 18–19 Arnett v. Kennedy, 492
lynching of, 19 Aron, Fred, 441
in the police force, 22–23 Arrest, for domestic violence, 453
police subculture and, 380 Aryan Nation, 100
policing history and freed, 5 Assad, Haffez, 88
riots of, 23–24 Assessment centers, 328–332
serving in the police force, 22 Asset forfeiture, 424–425
Age Discrimination in Employment Act (ADEA) (1967), 292–293 Audits
Air raid warden units, 20 defined, 418
AL. See Authentic leadership (AL) financial, 418
Alarm stage of the GAS, 438 independence of auditors for, 418
Al-Awlaki, Anwar, 92, 94 performance, 418
al-Baghdadi, Abu Bakr, 90 Authentic leadership (AL), 246
Albuquerque, New Mexico Police Department (APD), 356 Authoritarian/autocratic leader, 227
Alcohol abuse, police suicide and, 446–451 Authorization cards, 384
Alcoholism, 446–449
Alcohol testing, 500–501 B
Alexandria, Virginia, 389 Baby boomers, 316
Al-Fatah, 87 Baltimore, Maryland, 48
Alfred P. Murrah Federal Building (Oklahoma City) bombing Baltimore Police Department (BPD), 125, 494
(1995), 85, 100 Bamonte, Cota, Perine et. al. v. City of Mesa (2010), 303
Alleged police misconduct Banded list, 333
political divide, 128 Bargaining not required model, 382
prosecute decision, 127 Bashir, Abu Bakar, 96

547

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 548 INDE X

Bay of Pigs (1961), 23 program, 420

Beck, Charlie, 56 terminology, 408
Beckman, Eric, 485 Zero-Based Budgeting (ZBB), 423–424
Behavioral systems theory (BST), 161–162 Budget and Accounting Act (1921), 419
Behavior and leadership style theories, 227–230 Budget calendar, 410
Bence v. Breier, 493 Budget cycle, 409–419
Berkeley Police Department, 13 Budget execution, 415
Biennial budget, 408 Budget reductions, labor relations, 393–395
Bifurcation, 167 Bull v. Customs and Border Protection Service (2007), 303
Bill of Rights, 513 Bum blockades, 17
Binding arbitration model, 381–382 Bureaucratic structures, 228–229
Bin Laden, Osama, 87–89 Burke-Litwin model, 519, 522–523
Bivens action, 471, 474 Bush, George W., 84
Bivens v. Six Unknown Federal Narcotics Agents (1971), 471 Business concerns, 145
Black Asphalt Electronic Networking & Notification Butler, Richard, 100
System, 426 Butler, Smedley, 14
Black Codes, 18
Black June, 87
Black September Organization (BSO), 26, 87 C
Black Sunday (1970), 26 Caeti, Tory J., 55
Bloods gang, 56 CALEA (Commission on Accreditation of Law Enforcement
Blue flu, 390 Agencies), 26
Blue In The School, 65 Calendar, budget, 410
Body cameras, 514 Cali cartel, 96
Boko Haram, 97 California highway patrol, 183
Bootlegger, 15 California Highway Patrol (CHP), 186
Boston, Massachusetts Police Department (BPD), 356 California Peace Officers Standards and Training Commission
Boston PBA, 379 (POST), 23
Boston Police Department, 449 Caliphate, 90
Boston Police Strike (1919), 11, 377–378 Campbell, Aaron M., 489
Bottom-up approaches, 185 Campus demonstrations, 379
Bower v. County of Inyo, 484 Cannon v. Taylor, 483–484
Bowman, Robert, 301 Capital budgets, 408
Boyd, Daniel, 94 Capital improvement project (CIP), 408
BPD. See Boston, Massachusetts Police Department (BPD) CAPS (Chicago Alternative Policing Strategy), 47, 48
Brady Bill gun control legislation, 390 Career-status officers, 326
Brady violations, 498–499 Carpetbaggers, 19
Brady v. Maryland (1963), 498 Carter, Jimmy, 423
Braiden, Chris, 42 Caruth Foundation, 425
Brainstorming, 281 Caruth Police Institute (CPI), 426
Bratton, William J., 44, 81 Case analysis and management systems (CAMS), 58
British M-9, 87 Castro, Fidel, 23
British War Officer Selection Boards (WOSBs), 328 CCTS (Cumulative career traumatic stress), 445–446
“Broken windows” thesis, 42, 51 Cell phone communication, 353
Brown, Lee P., 48 Central Intelligence Agency (CIA), 84
Brown v. Board of Education (1954), 22 Challenge of Crime in a Free Society, 24, 26
BST. See Behavioral systems theory (BST) Change agents, 519
Budget(s) Changing paradigm, policing today, 61–64
adjustments, 415 current unrest with the police, 63–64
approval process, 413 guardian and warrior role, 62
capital, 408 historical drift toward militarization, 62–63
defined, 408 Changing workforce, 517–518
economy and, 403–407 Chaos theory, 167–168
execution controls, 415–417 Chasse, James A., 489
execution objectives, 415 Chavez, Cesar, 24
formats, 419–424 Chavez-Thompson, Linda, 390
hybrid, 424 Chicago Alternative Policing Strategy (CAPS), 47, 48
line item, 419 Chicago Police Department, 459
operating, 408 CAPS, 47–50
performance, 421–423 community policing, 47–50
Planning, Programming Budgeting System (PPBS), 423 Democratic National Convention (1968), 24

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 INDEX 549
Deployment Operations Center (DOC), 78 Committee of Vigilance, 10
employee assistance program (EAP), 459–462 Common Law, 477
Chiefs, police. See Police chiefs Commonweal organizations, 145
Chris Sanford v. Department of Veterans Affairs (2009), 296 external democratic control, 146
Christmas Day bomber (2009), 90 internal control, 146
Christopher Commission, Los Angeles Police Department, 380 Communication. See also Organizational and interpersonal
CIP (capital improvement project), 408 communication
Citizen cameras, 514 across generations, 367–370
Citizen Centric Reports (CCRs), 409–410 barriers, 348
Citizen oversight, 122 cross-gender, 362–363
Citizens investigate allegations, 122 group vs. interpersonal, 362
Citizens review and recommend, 122 interpersonal, 359–361
City budgets, 407 law enforcement, 353–354
City councils, 116, 413 miscommunicate of, 348
City-county consolidated governments, 179 organizational electronic, 352–353
City finances, impact of police unions on, 381 organizational systems of, 348–352
City manager movement, 11 other cultures, 363–367
Ciudad Juarez, 97 overview
Civilian review boards (CRBs), 322 CAPS, 49
Civil law, 469 domestic violence reports and, 453
Civil negligence suits, 475 people and disabilities, 370–371
Civil process functions, 119 process, 347
Civil Rights Act, 42, 483–484 Communication generalizations
Civil Rights Act (1964), 20 formal and informal communication style, 369–370
Civil Rights Act of 1871, 470 generation X, 368
Civil rights movement, 22 generation Y/Millennials, 368
Civil service Communication process model, 347
opposition to, 14 Communist Workers Party, 26
reform, 8–9 Community distrust, 132
Cleveland Board of Education v. Loudermill, 492 Community-oriented policing (COP), 27, 41. See also
Cleveland et al. v. City of Elmendorf, Texas (2004), 303 Community policing
Cleveland Foundation, 11, 24 Community-Oriented Policing Services (COPS), 27, 380
Climbers, 228 Community policing
Clovis, Police Department, 421 background on, 41–42
Coaching, for organizational change, 525–526 in Chicago, Illinois, 47–50
Coast Guard, 84 CompStat and, 43–46
Cocaine trafficking, 96 defined, 41
CODEFOR (Computer Optimized Deployment-Focus elements of, 42
on Results), 51, 52 evaluation research on, 42–43
Code of silence, 380 impact of, 51
Cognitive maps, 167 in Minneapolis, Minnesota, 50–51
Cognitive nearsightedness, 282 in Newport News, Virginia, 46–47
Collective bargaining origin of, 41
defined, 381 traditional vs., 44
establishing bargaining relationship, 383–385 Community problems, examples of, 47
laws, 381–383 CompStat, 27, 41, 43–46
mandatory subjects for, 382–383 CAPS and, 49
unfair labor practices, 382 defined, 44
Collective bargaining rights, 377–378 foundation giving money to, 426
College campuses, first mass murder on, 24 Minneapolis Police Department, 50–51
“College cops,” 14 origin of, 42
College education, 308 overview, 42
disciplinary action and, 322–323 principles highlighting a model of, 44
required of police officers, 24 Computer-generated maps, 51
Colonists, 4 Computer Optimized Deployment-Focus on Results
Columbia University, 379 (CODEFOR), 51, 52
Command staff coordination, 203 Computers, decision making process
Commission on Accreditation of Law Enforcement Agencies alternative decision-making models, 274–275
(CALEA), 26 decision tree, 273–274
Commission on the Organization of the Executive Branch Computer voice stress analyzer, 311
(Hoover Commission), 422 Conceptual skills, 223

Z02_SWAN4056_09_SE_IDX.indd 549 7/11/16 6:08 PM

 550 INDE X

Concerns and responses, police, 123 Data mining, in fusion centers, 83

Conditional job offer (CJO), 313 Davis, Kenneth Culp, 492
Congressional Research Service (CRS) Reports for Congress, 83 DD214s, 320
Coniston (Churchill), 10 DD220s, 320
Constitutional rights, of police officers, 493–497 Deadly force-chokeholds, 514
Constitutional torts, 470 Deadly force, use of, 442–443, 476–480
Contingency and situational leadership theories Decentralization, 191
Fiedler’s LPC, 230 Decision making
LMX, 235–238 Allison political and organizational models, 271
normative decision-making theory, 239, 240 common errors, 282–283
PGT, 234 during crisis events, 275–278
situational leadership theory, 238–239 and ethics, 281–282
Tannenbaum and Schmidt, contingency model, 230 Gore gut level approach, 271–272
Contract law enforcement, small or rural communities, 119 group
Controlled energy devices (CEDs), 480 assets, 279
Controlled Substances, AAS, 447 factors serves assets, 280–281
Coolidge, Calvin, 377 liabilities, 279–280
COP (Community-oriented policing), 27 improving, 283
Cosmology, 167 Lindblom muddling through and disjointed incrementalism,
Counterproductive work behavior (CWB), 225 270–271
County finances, impact of police unions on, 381 rational comprehensive and sequencing models, 269–270
County of Sacramento v. Lewis, 484 RPD, 272
Covenant, Sword, and Arm of the Lord, 100–101 Simon’s bounded rationality, 270
“Cow towns,” 6 thin-slicing theory, 272
Crime analysis, 56–58 Decision matrix, 261–262
Crime control and prevention, through CAPS, 48 Decision package (DP), 424
Crime, defined, 469 Decision systems and sciences, 273
Crime factors impacting investigation Decision tree, 273–274
crime severity, 197 “deep web,” 96
investigation styles, 198–199 Defendant, 469
legal considerations, 198 Defense-of-life approach, 478
police attention, 197 Deliberate indifference, 472
Crime Prevention Through Environmental Design (CPTED), 58 Democratic Convention (1968), 24
Crime rates Democratic leader, 227
fall in 2014, 57 Department of Defense and law enforcement agencies, 145
fluctuating, 515 Department policies, 198
rise in 2015, 57 Deployment Operations Center (DOC)
Crime scene documentation, 453 free speech rights limited in, 494
Crime-specific analysis, 57 Detainer, 152
Detroit Police Department, 490
Criminal law, 469
Detroit Police Officers Association, 390
Criminal warrants, workflow analysis, 149
Detroit riot (1967), 23
Crisis events, decision making during, 275–278
Digital hate, 102–103
Crisis Intervention Team (CIT) Academy, 488
Dillinger, John, 18
Critical incident, 454
Direct democracy, 405
Critical infrastructure and key resources (CI/KRs), 80
Directed change, 519–523
Cross-gender communication, 362–363
Directed patrols, 51, 55
Cuban DGI, 87
Disability, defined, 300
Cuban Missile Crisis (1962), 23
Disabled individuals communication, 370–371
Culture police, 380
Discipline
Cumulative career traumatic stress (CCTS), 445–446
and accountability, impact on, 380
Curtis, E.U., 377
administration, 322–323
Custodial functions, 119
as instruction vs. discipline, 321
Custom-developed promotional tests, 327–328
legal aspects (See Legal aspects of police administration)
performance appraisal, 324–326
D progressive, 321–322
Daley, Richard, 47 retirement counseling, 333–334
Dallas Police Department (DPD), 425, 485 Discipline matrix, 323–324
Dallas, Texas, 78 Disease, stress and, 438–439
Damages, employee’s entitlement to, 493 “Disorder policing,” 41
Daniels v. Williams (1986), 474 Disparate treatment, 293

Z02_SWAN4056_09_SE_IDX.indd 550 8/24/18 1:14 PM

 INDEX 551
Dispatcher documentation, for domestic violence reports, 453 Equal Pay Act (EPA) (1963), 292, 338
Documentation Ethical leadership, 247
high-speed pursuits and, 487 Ethnic Cleansing (game), 103
police domestic violence and, 453 Evaluation
Doe v. U.S. Department of Justice, 498 high-speed pursuits and, 487
Domestic terrorism, 87 through CAPS, 49
Domestic violence, 451–454 Evidence-based policing (EBP), 27, 51–54
lethality assessment, 454–456 Exception principle, 147
Donations, to law enforcement agencies, 426 Excessive secrecy, in fusion centers, 83
Double-loop learning, 164 Excessive use of force, 490
Downward communication, 349–350 Exclusionary rule, 114, 496
Driving while intoxicated (DWI) enforcement, 523 Exhaustion stage of the GAS, 438
Drug cartels, 96–98 Explorer program, 65
Drug screening, 313 External controls, 417–418
Drug testing, 446–447, 500–501
Drug use, by police officers, 446–447
Due process, 491–493 F
defined, 491 Facebook, 499
procedural, 492–493 Fagan v. City of Vineland, 483
substantive, 493 Fair Labor Standards Act (FLSA) (1938), 292,
Due process revolution, impact of, 378 301–303
Dustbowl, 16 Family Medical Leave Act (FMLA), 298, 303–305
Duty owed, 483–484 Fayol’s principles, 154–155
Federal Bureau of Investigation (FBI)
anti-terrorism efforts, 84
E Intelligence Cycle, 77
Early identification and intervention system (EIIS), 320–321 local law enforcement and, 82–84
Early-warning systems (EWSs), 320 Federal consent decrees, 489–491
Earth First, 103 Federal Emergency Management Agency (FEMA), 84
Earth Liberation Front (ELF), 87, 103 Federal Kidnapping Act (1932), 17
Eatontown, New Jersey, 411 Federal Tort Claim Act (FTCA), 471
Economic downturn, police agencies, 516 FEMA (Federal Emergency Management Agency), 84
Economy Field Services Bureau, 188, 189
law enforcement agencies and fiscal stress, 406–407 Field training officer (FTO), 315
police budgets and, 403–407 Fifth Amendment, 496
police officer applicants and, 305 Fight-or-flight syndrome, 438
Stockton, bankrupt, 403–406 Financial audit (FA), 418
Ecoterrorism, 103–104 Financial management, 403–427
EEOC (Equal Employment Opportunity Commission), 300 budget cycle, 409–419
job discrimination laws and, 291, 292, 296, 308 budget formats, 419–424
on medical examinations, 310 budget terminology, 408
on promotional tests, 327 the economy and, 403–407
Uniform Guidelines for Employee Selection, 295, 308 politics and, 407–408
Eighteenth Amendment, 16 state and local influences on, 408
E-learning software, 274 Firearms. See also Weapons
E-mail communications, 352–353 misuse of, 476–480
Emergency response team (ERT), 264 off-duty, 479
Emotionally disturbed persons (EDPs), 487–489 police suicide and, 443, 449–451, 456
Emotional skills (ES), 225, 226 First Amendment rights, 494–495
Employee assistance program (EAP), 459–462 Fiscal year (FY), 408
Employee Polygraph Protection Act (EPPA, 1988), 311 Flappers, 16
Endres v. Indiana State Police (2003), 294 Flat organizational structure, 187
Engel, George, 439 Fleeing suspects, shooting, 478
England Food and Drug Administration (FDA), 447
influence on policing history, 4–6 Force-field analysis, 161
Entropic process, 164 Forces Act (1870), 19
Environmental contingency theory, 165 Ford, Gerald R., 26
Equifinality, 164 Ford, Henry, 14
Equal Employment Opportunity Act (1972), 20, 338 Forfeiture, asset, 424–425
Equal Employment Opportunity Commission (EEOC). See Fosdick, Raymond, 11
EEOC Foundations, police, 426

Z02_SWAN4056_09_SE_IDX.indd 551 27/08/2018 14:11

 552 INDE X

Fourth Amendment, 470, 471, 477, 495–496, 501 Group decision making
Objective Reasonableness Standard, 472 assets
4/5th rule, 295, 296 knowledge and information, 278
Freedman’s Bureau, 6 problem solving, acceptance, 278–279
Free speech, police officer’s right to, 494 conflicting vs. mutual interests, 280
Fritsch, Eric J., 55 liabilities, 279–280
Frontier closing, 8 risk taking, 280
Front-loaded message, 360 Group interaction, 362
Frye, Marquette, 23 Group vs. interpersonal communication, 362
Ft. Hood, Texas shooting, 94 Gruever, Jordan, 100
Functional Structure, 188–191 GST. See General systems theory
Funding and economic decline, 515–516 Guiteau, Charles, 9
Fusion centers, 76–82–84 Gulf Cartel, 97
Gulick, Luther, 154
G Gut level approach, 271–272
Gangs, narco-terrorist, 96–97 Guzman-Loera Cartel, 97
Gangster/lawless era, 16–17
Gardner v. Broderick, 496–497 H
Garfield, James, 9 HAMAS, 87, 90–91
Garrity v. New Jersey, 496 HAPCOA (Hispanic American Police Command Officers
GAS (General adaptation syndrome), 438 Association), 26
Geese Police, 410 Harakat al-Muqawamah al Islamiyyah (HAMAS), 87, 90–91
Gender Harakat ul-Mujahidin (HUM), 91
anabolic steroids and, 447 Harassment, 296–297
Equal Pay Act (EPA) and, 292 Harm-focused policing, 44
Family Medical Leave Act (FMLA) and, 298 Harrison, Benjamin, 9
physical assessment testing, 309 Harrison County (Indiana) Community Foundation, 426
Pregnancy Discrimination Act (PDA) and, 298 Hassan, Nidal Malik, 94
recruit academy and, 314–315 Hatch Act (1939), 14
sexual harassment and, 296 Hate crimes, 101–102
General adaptation syndrome (GAS), 438 Hate websites, 103
General and industrial management, 154 Hawthorne effect, 156
General systems theory (GST), 162 Headley, David Coleman, 94
Generational lingo, 369 Herbert, Steve, 380
Generations, work, 316–318 Herzberg, Frederick, 159
Generation X, 316–317 Heuristic model, 271
Generation Y, 317 Hezbollah, 87, 91
Generation Z, 318 Hierarchy principle, 179
Genetic Information Nondiscrimination Act (GINA), 300–301 High-speed pursuits, 483
Geographical mapping, 51 Hillsborough County Sheriff’s Office, 200
Geographical organization, 184 Hiring, negligent, 471
Geographic information systems (GIS), 56, 58 Hispanic American Police Command Officers Association
Geographic responsibility, under CAPS, 48 (HAPCOA), 26
Giglio v. United States, 498–499 Homegrown terrorism, 91–96
Gilani, Daood, 94 Homeland security. See U.S. Department of Homeland Security
GINA (Genetic Information Nondiscrimination Act), 300–301 Homeland Security Data Network (HSDN), 81
Gliebe, Erich, 101 Homeostasis, 164
Goldstein, Herman, 41, 47 Homestead Act (1862), 5
Good-faith immunity doctrine, 472 Homicides, police officer, 456
Groupthink, 280 Homosexuality, 499–500
Graham v. Connor (1989), 477 Horizontal communication, 351
Grand Lodge of the Fraternal Order of Police, 390 Horizontal differentiation, 180–183
Grants, police budgets supplemented by, 425–426 Hostile environment, 296
The Grapes of Wrath (Steinbeck), 17 Hot-spots policing, 51, 54–55
Grapevine communications, 351–352 Houston Police Department, 294
Great man theories, 223 Houston, Texas, 48
Green, Claude Jr., 301 Human relations school, 156–158
Greensboro (N.C.) Massacre, 26 Human resource management
Grievances, 387–389 assessment centers, 328–332
Griggs, Willie, 295 background/character investigation, 312

Z02_SWAN4056_09_SE_IDX.indd 552 8/24/18 1:16 PM

 INDEX 553
conditional job offer (CJO), 313 Intelligence-led policing (ILP), 51, 55–56, 194
discipline, 321–324 Intentional torts, 470
domestic violence pre-employment screening, 452 Internal controls, 418
early identification and intervention systems (EIIS), Internal subsystems, 164
320–321 International Association of Chiefs of Police (IACP), 17, 426
entrance examination, 308–309 Model Policy on Police Officer Domestic Violence, 451–454
functions of police, 291 International Association of Police Women (IAPW), 26
lie detection/truth verification exam, 311–312 International City Manager Association, 11
medical exam/drug test/psychological screening, 313–314 International Personnel Management Association (IPMA), 308
military call-ups, 318–320 International terrorism, 87
oral board, 312–313 International Union of Police Associations, 389
performance appraisal, 324–326 Internet sites police policy, 356–357
personnel selection process, 315–311 Internet, the, 58–59
physical assessment test, 309–311 digital hate, 102–103
probationary to career status, 315 hate websites, 103
promotions, 326–333 Interpersonal communication
reasons for having knowledge of, 291 heavy-impact and emotion-provoking Words, 360
recruit academy, 314–315 minimize vocalized pauses, 360
recruitment process, 305–308 nonverbal communication, 361
retirement counseling, 333–334 speaking and writing, 359
work generations and, 316–318 Investigation styles, 198–199
Husein, Hosam Maher, 94 Investigative function, organization, 194–199
Hussein, Saddam, 88 Inwald Personality Inventory (IPI), 314
Hutaree or Christian Warrior Militia, 101 Iran, 91
Hybrid budgets, 424 Islamic Resistance Movement, 90–91
Islamic State (ISIS), 89–91
I Islamic terrorism
IACP (International Association of Chiefs of Police), 17 “homegrown,” 91–96
IAPW (International Association of Police Women), 26 radical, 88–91
IBM i2 iBase IntelliShare Software, 80 Isomorphism, 164
Illegal immigration, police and local politics, 135–136 Israeli Mossad, 87
Illicit “Benefits” of, AAS, 447 Israeli–Palestinian conflict, 88
Illinois v. Gates, 496
ILP. See Intelligence-led policing (ILP) J
Immaturity vs. maturity, 159 Jackson, Mississippi Police Foundation, 426
Immigration reform, 85 Jackson Police Department ( JPD), 426
Implementation, plan, 262–263 Jamieson By and Through Jamieson v. Shaw, 484
Improving police-community relations, 64–66 Jemaah Islamiya ( JI), 96
youth outreach programs, 65 Jihad, 88
Improvised explosive devices (IEDs), 97 Jihad Jane, 95
Inactive Planning, 259 Jim Crow laws, 18
In-Basket assessment center exercise, 331 Job action, 389–392
Incremental model, 270–271 Job discrimination laws, 292–305
Individual Ready Reserve (IRR), 318 Age Discrimination in Employment Act (ADEA), 292–293
Industrial revolution, 4 Americans with Disabilities Act (ADA) (1990), 299–300
Informal organization, 204–205 Equal Pay Act (EPA), 292
Information Sharing Environment (ISE), 82 Fair Standards Labor Act (FLSA) (1938), 301–303
Information technologies, 56–61 Family Medical Leave Act (FMLA), 303–305
crime analysis, 56–58 Genetic Information Nondiscrimination Act (GINA), 300–301
geographic information systems (GIS), 56, 58 Lilly Ledbetter Fairy Pay Act (LLFPA), 292
impact of, 61 Pregnancy Discrimination Act (PDA), 298
Internet (See Internet, the) Title VII (1972), Civil Rights Act of 1964, 293–297
In-service training, 479–480 Job sharing, 318
Intelligence Joe Oakley v. City of Memphis, 296
defined, 76 Joint Terrorism Task Force ( JTTF), 82
fusion centers, 76–82–84 Juarez Cartel, 97
perspectives on purpose of, 76 The Jungle (Sinclair), 10
process and cycle, 76 Junior explorer program, 65
terrorism and, 76, 81–82 Junior Police Academy, 65
Intelligence analysis, 58 Juveniles, deadly force against, 478

Z02_SWAN4056_09_SE_IDX.indd 553 7/11/16 6:08 PM

 554 INDE X

K neutralizers, 226, 238

Kahl, Gordon, 101 police leaders fall, 217–220
Kannady v. City of Kiowa (2010), 293 power Motivation, police leaders, 221–222
Kansas City Preventive Patrol Study, 26 skill mix
Kelley v. Johnson, 495 conceptual skills, 223
Kelling, George L., 41, 95 human relations skills, 222–223
Kelly, Raymond, 78 substitutes, 238
Kennedy, John F., 24, 378 theory
Kennedy, Robert, 24 behavior and leadership style, 227–230
Kent, Sherman, 76 charismatic vs. transformational leadership, 242
Kent State University shootings (1970), 25 contingency and situational leadership, 230–239
Kerner Commission, 24 “New Leadership,” 243–247
Khrushchev, Nikita, 23 traditional leadership, 223–226
King, Martin Luther Jr., 22–24, 28 transactional and transformational leaders, 239–242
Kinloch, Missouri Police Department, 494 Leap Wireless International, 426
KKK (Ku Klux Klan), 18–19 Least preferred coworker (LPC), 230
Knapp Commission, 157 Ledbetter v. Goodyear Tire & Rubber Co., 292
Knussman v. State of Maryland (1999), 305 LEEP (Law Enforcement Education Program), 25
Legal aspects of police administration, 324
Kotter’s eight step model, 527
Legal issues
Ku Klux Klan (KKK), 6, 18–19, 100–101
administrative discipline, 491–493
Kurdish Workers Party (PKK), 87
constitutional rights of police officers, 493–497
deadly-force policy, 476–480
L disciplinary action, grounds for, 497–501
Labor relations. See also Labor unions emotionally disturbed persons and liability, 487–489
budget reductions, 393–395 excessive use of force, 490
collective bargaining laws, 381–383 firearms, misuse of, 476–480
funding cutbacks, 392–393 high-speed pursuits and liability, 482–487
grievances, 387–389 lawsuits, 471–474
job action, 389–392 less-lethal weapons, 480–482
mandatory subjects of bargaining, 382–383 liability for police conduct, 469–471
permissive subjects of bargaining, 382–383 overview, 469
personnel practices, 378–379 scope of liability, 474–475
Labor unions, 377 tort liability for police supervisors/administrators, 475–476
avoided, personality types, 385–386 Less-lethal weapons, 480–482
historical perspective, 377–379 Lethality assessment, purpose of, 454–456
impact on the community, 379–381 Letter of exception, 418
job action, 389–392 Lewin, Kurt, 161
negotiating sessions, 386–387 Lewin’s three-step model, 519–520
preparing for negotiations, 386 Lexow Committee, 10
selection and management of teams, 385 Liability
work stoppages and, 390 defined, 469
Laissez-faire leader (LFL), 227 high-speed pursuit and, 482–487
Lake Oswego, Oregon Police Department, 334 less-lethal weapons and, 480–482
LaRose, Colleen, 95 for police conduct, 469–471
Lashkar-i-Tayyiba (LT), 91 scope of, 474–475
Latin America, narco-terrorism and, 96–97 vicarious, 471
Law Enforcement Assistance Administration (LEAA), 23 Liberty rights, 491
Law enforcement careers, 154 Lie detection/truth verification examination, 311–312
Law Enforcement Education Program (LEEP), 25 Likert management systems, 227
Law enforcement leadership, 219 Lilly Ledbetter Fair Pay Act (LLFPA) (2009), 292
Law Enforcement Management and Administrative Statistics Lindbergh, “Lucky Lindy,” 17
(LEMAS), 197 Lindblom muddling through and disjointed incrementalism,
Law enforcement organizational design, 190 270–271
Lazoff, Lance, 298 Line and staff relationships, 200–204
Leader-follower relations, 230 Line item budget, 419
Leaderless Group Discussion (LGD), 331 Line structure, 186, 189
Leadermember xchange (LMX), 235–238 Lineups, police officers appearing at, 496
Leadership Link analysis, 58
authority and power, 220–221 Litigation, 469
leader and manager, 213–217 LMX. See Leadermember xchange (LMX)

Z02_SWAN4056_09_SE_IDX.indd 554 25/08/2018 11:03

 INDEX 555
Local government Hezbollah in, 91
influence on financial management, 408 radical Islamic terrorism, 88–91
Local political forces state terrorism, 87–88
city councils, 116–118 Mikula, Mary Lou, 292
city manager, 116 Military call-ups, 318–320
strong mayor, 115–116 Military equipment, 514
Lochran et al. v. Suffolk County, 298 Military model, 14
Locker searches, 496 Military participation, in fusion centers, 83
London Metropolitan Police, 5 Miller, Zell, 519
Lone wolves, 96 Minneapolis Police Department, 51, 52
Los Angeles County, California Sheriff’s Department (LASD), Minnesota Multiphasic Personality Inventory-2 (MMPI-2), 314
354–355 Minutemen, 101
Los Angeles Police Department (LAPD) Miranda v. Arizona (1966), 24
blue flu, 390 MMPI-2 Restructured Form (RF), 314
recruiting practices, 307–308 Model Municipal Corporation Act (1899), 419
subculture in, 380 Monell v. Department of Social Services (1978), 473
Los Zetas, 97 The Monkey Wrench Gang (Abbey), 103
Lynch, Charles, 19 Monroe v. Pape (1961), 470
Lynching, 19 Monterey County Police Chief Association, 488
Moonlighting, 500
M Moore, “Ace,” 5
Machine politics, 9 Moral turpitude, 321
Madison, James, 405 Motivation and personality, 158
Making a Municipal Budget (New York Bureau of Municipal Motivation-hygiene theory, 159–161
Research), 419 Moving (Lewin’s three-step model), 520
Managerial grid, 228 Muckrakers, 10
Managers/management Muddling through, 270–271
leader, 213–217 Mullen v. County of Suffolk (2007), 312
organizational change and, 526 Multi-agency communication, 349
selection of labor union, 385 Multonomah County (Oregon) Sheriff’s Office, 24
Mara Salvatrucha (MS-13), 96–97 Mumbai, India, 94
Marcy, William, 9 Muslim Brotherhood (MB), 91
Marketing, through CAPS, 49 Mutual benefit associations
Maslow, Abraham, 158 Bridgeport Police Union, 145
Mathews v. Eldridge, 492 internal democratic processes, 145
Matrix (or grid) structure, 190–192
Mayors, 516 N
McCarthy, Joseph, 22 NAALEC (National Association of Asian American Law
McCarthy v. Philadelphia Civil Service Commission, 500 Enforcement Commanders), 26
McCue, Colleen, 56 Narco-terrorism, 96–97
McGregor, Douglas, 159 Nasrallah, Hassan, 91
McVeigh, Timothy, 27, 100 National Academy (NA), 17
Mechanistic organization, 145 National Academy of Sciences, 55
Medellin cartels, 96 National Advisory Commission on Civil Disorders, 24
Meet and confer model, 382 National Alliance, 87, 101
Memory disturbances, 443 National Association for the Advancement of Colored People
Merit Systems Protection Board, 498 (NAACP), 124
Mesa, Arizona Police Department, 315 National Association of Asian American Law Enforcement
Met Life Foundation, 425 Commanders (NAAALEC), 26
Metropolitan Operations and Analytical Intelligence Center National Association of Women Law Enforcement Executives
(MOSAIC), 78 (NAWLEE), 26
Metropolitan Police Act (1829), 4 National Commission on Law Observance and Law
Metzger, Tom, 101 Enforcement, 17
Mexican cartels, 97–98 National Counterterrorism Center (NCTC), 81
M-19 group, 96 National Criminal Intelligence Sharing Plan (NCISP), 76, 82
Miami, Florida, 48 National Criminal Justice Reference Service (NCJRS), 26
Michigan State University, 17 National Fusion Center Association (NFCA), 81
Mickolus, Edward, 87 National Guard, 83
Middle East National Institutes Against Hate Crimes and Terrorism, 102
HAMAS in, 90–91 National Labor Relations Act (1935), 377

Z02_SWAN4056_09_SE_IDX.indd 555 8/24/18 1:18 PM

 556 INDE X

National League of Cities v. Usery (1976), 301 Nine Trey (gang), 56

National minimum wage, 301 Nixon, Richard M., 25
National Municipal League, 419 NOBLE (National Organization of Black Law Enforcement
National Opinion Research Center, 378 Executives), 26
National Organization of Black Law Enforcement Executives Nonverbal communication, 361
(NOBLE), 26 Normative decision-making theory, 239, 240
National Police Academy (NA), 17 Northwestern University, 17
National Prohibition Act (1919), 15 NPM. See New public management (NPM)
National SAR Initiative (NSI), 82 NSA (National Sheriffs Association), 17
National Security Agency (NSA), 84
National Sheriffs Association (NSA), 17
National Strategy for Information Sharing (NSIS), 82
O
Oakland, California, Police Department, 407
Nation, Carry, 15
Obama, Barack
Native Americans, 6
Homeland Security and, 85
Natural soldiering, 146
terrorist attacks since 2008 election of, 101
NAWLEE (National Association of Women Law Enforcement
Objective reasonableness, 472
Executives), 26
OCB. See Organizational citizenship behavior
NCISP (National Criminal Intelligence Sharing Plan), 76
Ocean Beach (New York) Police Department, 312
NCJRS (National Criminal Justice Reference Service), 26
O’Connor, Sandra Day, 501
Needs hierarchy, 158
OD. See Organizational development (OD)
Negligence, 469–470
Off-duty weapons, 479
automobile, 484
Office of State Auditor, 418
defined, 470
Office of Strategic Services (OSS), 328
high-speed pursuits and, 482
proximate cause and, 483 Officer-involved shooting (OIS), 442
Negligence torts, 470 Officers in training (OITs), 315
Negligent assignment, retention and entrustment, 471 Officers’ personal postings issues, social media,
Negligent direction and supervision, 471–472 356–357
Negligent hiring, 471 Off-the-shelf/stock promotional tests, 327
Negligent training, 472–474 Ogden (Utah) City Council, 524
Neighborhood orientation, through CAPS, 48 OH. See Organizational humanism (OH)
Neighborhood-oriented policing, 48 Ohio National Guard, 25
Nelson v. City of Chester, Ill, 483 Okies, 17
Neo institutional theory, 165 Oklahoma City Bombing (1995), 27, 85
Neo-Nazis, 87 Old institutional theory, 165
Ness, Eliot, 16 Oleoresin capsicum (OC), 480
Networked organizations (NO), 165, 166 Olympic Games, Munich (1972), 26
Newark, New Jersey, 48 OMG. See Outlaw Motorcycle Gangs (OMG)
New Jersey State Police, 56 Omnibus Crime Control and Safe Streets Act (1968), 320
“New Leadership” theories 1983 action, 470
AL, 246–247 On-scene supervisor response, to domestic violence report,
servant leadership, 243–245 453
spiritual leadership, 245–246 Operating budget, 408
New Mexico Territorial Mounted Police, 8 Operational plans, 263
Newport News, Virginia, 46–47 Operation Enduring Freedom, 89
New public management (NPM), 152 Operation Nine Connect, 56
News media, 124–125 Oral boards, 312–313, 328
New York Bureau of Municipal Research, 419 The Order, 101
New York City, 4 Oregon, 489
community policing in, 47 Organic organizations, 145
fusion centers in, 78 Organizational and interpersonal communication
zero-tolerance policing in, 41 communication
New York City Police Foundation, 426 across generations, 367–370
New York Police Department (NYPD), 8, 442 barriers, 348
Americans with Disabilities Act and, 300 cross-gender, 362–363
drug and alcohol policy, 501 group vs. interpersonal, 362
study on police suicide by, 449 interpersonal, 359–361
work slowdown in, 389 law enforcement, 353–354
Nicodemus, 6 organizational electronic, 352–353
9/11 attacks. See September 11th terrorist attacks organizational systems of, 348–352
911 calls, police domestic violence and, 453–454 other cultures, 363–367

Z02_SWAN4056_09_SE_IDX.indd 556 7/11/16 6:08 PM

 INDEX 557
people with disabilities, 370–371 organizations as open systems, 162–165
process, 347 traditional organizational theory
police-media communication, digital age, 357–359 administrative theory, 154–155
social media reformatted bureaucracy, 150–154
communication, 353–354 street-level bureaucrats, 154
officers’ personal postings issues, 356–357 Taylor, scientific management, 146–149
public use of, 354–356 traditional theory, critique, 155–156
Organizational change Weber, bureaucratic model, 149–150
deciding to delay, 519 Organizations open systems, 162–165
future, policing in, 529–531 Organized crime, OMG, 99
information technology and, 527–529 Organizing, 177
levels of, 523 Oshkosh, Wisconsin, 426
Lewin’s three-step model, 519–520 Other culture communication
methods for successful, 525–527 culturally aware workforce, 366–367
overview, 513 multicultural issues, 364–366
politics and, 516–517 Outlaw Motorcycle Gangs (OMG), 98–100
radical vs. gradual, 519 Oversimplification, 282
reasons for, 513–519 Overtime compensation, 302–303
role of police culture in, 524
threats to success of, 524–525
traditional action research model, 519–522
P
Pacific Cartel, 97
Organizational chart, vertical and horizontal levels, 182
Paired comparison method, 262
Organizational citizenship behavior (OCB), 225, 237, 238
Paradigms
Organizational design
control vs. span management, 179–181 shifts in, organizational change and, 518–519
hierarchy principle, 179 Parks, Rosa, 22
ILP, 194 Path-goal theory (PGT), 234
informal organization, 204–205 Patrolmen’s Benevolent Association (PBA), 379
and investigative function, 194–199 Patrol response to 911 calls, 453
line and staff relationship, 200–204 Patronage system, 8–10, 14
and organizational structure Peace Officer Standards and Training Commission (POST), 23,
top-down vs. bottom-up approaches, 183–186 305, 307, 308, 314
vertical and horizontal differentiation, 180 Pearson et al. v. Callahan (2009), 475
overview, 177 Peel, Sir Robert, 4, 42
police agencies specialization, 177–179 Peer-group support, 451
types Pendleton Act (1883), 9, 14
functional structure, 188–190 Pen registers, 496
line structure, 186 Pension Protection Act (PPA) (2006), 334
matrix (or grid) structure, 190–191 People for the Ethical Treatment of Animals (PETA), 103
staff structure, 186–188 Perceived public hostility, 378
Organizational development (OD), 161, 519–520 PERF (Police Executive Research Forum), 26
Organizational electronic communication, 352–353 Performance appraisals, 324
Organizational features, Sheriff’s offices, 199–200 Performance audit (PA), 418
Organizational humanism (OH), 158–161 Performance-based budget (PBB), 421–423
Organizational system communications Performance budget, 421–423
barriers, 350–351 Performance measures (PMs), 421
downward communication, 349–350 Personality, stress and, 439–441
grapevine, 351–352 Personalized power needs, 221
horizontal communication, 351 Personnel selection process, 305–315
multi-level and multi-agency, 349 PFLP (Popular Front for the Liberation of Palestine), 26
upward communication, 350 PGT. See Path-goal theory (PGT)
Organizational theory Philadelphia, Pennsylvania, 4, 48
administration paradigms, 165–168 Philadelphia Police Department, 501
BST, 161–162 Phoenix, Arizona, 48
formal organizations, 145–146 Phoenix (Arizona) Police Department, 321, 426
human relations school, 156–158 Physical assessment tests (PATs), 309–311
OH Physiological Arousal, 444
Argyris immaturity-maturity theory, 159 Pinkerton National Detective Agency, 7
Herzberg, motivation-hygiene theory, 159–161 Plaintiff, 469
Maslow’s needs hierarchy, 158–159 Planning
McGregor, theory X-theory Y, 159 action, 521–522

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 558 INDE X

process, 258 directed and saturation patrols, 55

SITAR approaches, 258 evidence-based, 51–54
synoptic planning, 259–263 geographic information systems (GIS), 58
categories, 262–266 harm-focused, 44
implementation, 262–263 hot-spots, 51, 54–55
steps, 259–262 intelligence-led, 51, 55–56, 77
time orientations, 259 overview, 51
Planning, Programming Budgeting System (PPBS), 423 predictive, 56
POB. See Positive organizational behavior (POB) problem-oriented, 56
Police Administration (Wilson), 20 professional, 12–14
Police administration technology, 353 reasons for studying evolution of, 4
Police Athletic/Activities League (PAL), 65 social media and, 59–61
Police body-worn cameras steroid testing, 448–449
accelerated change, catalyst, 128–129 targeted, 53
costs, 130 traditional, 42
redaction capabilities, 129 urbanization of American, 4–8
storage of recordings, 129–130 zero-tolerance, 27, 41, 452
Police Chief and Sheriff Association, 308 Policing a Free Society (Goldstein), 41
Police chiefs, 516, 523, 526. See also Leadership Policing history
budget and, 412 Ku Klux Klan and, 18–19
budget decisions and, 410 lawless era (1920s to 1930s), 16–18
Police conduct, liability for, 469–471 military model, 14
Police departments, financial cuts in, 403 patronage system/spoils system, 8–10
Police Executive Research Forum (PERF), 26, 354 politics and, 8–10
Police leadership styles, subordinates, 213, 231–232 professionalization, 12–14
Police-media communication, digital age prohibition and, 14–16
Nixle, 358 reformation period, 10–12
real simple syndication feeds, 357 in the 1920s, 14–16
Twitter, 358 in the 1940s, 20
Police misconduct, 180 in the 1950s, 20–23
Police officers in the 1960s, 23–25
accountability of, 44 in the 1970s, 25–27
alcohol and drug testing of, 500–501 urbanization and, 4–8
alcoholism among, 446 Political and organizational models, 271
college education of, 308 Political behavior, restrictions on, 494
conduct unbecoming an, 497–498 Political fallout, 133
constitutional rights of, 493–497 Political machine, 9
contemporary generation of, 518 Politics
domestic violence and, 453–454 alleged police misconduct
drug use by, 446–447 political divide, 128
due process for, 491–493 prosecute decision, 127
homicides, 456 roting sarts, 126–127
moonlighting prohibitions for, 500 statement of the charges, 125–126
perceived lack of support for, 378 churches, 124
residency requirements of, 500 citizen oversight
restricting political activity of, 494 advantages and drawbacks, 122
role in organizational change, 524 police and sheriffs’ departments, 122, 123
sexual conduct and orientation, 499–500 types, 122
training and liability perspective, 473–474 commerce and service clubs, 124
training for, 514–515 county sheriff, 119–121
violence directed at, 379 defined, 8
Police operational backlash, 135 federal influence, law enforcement, 113–114
Police organization grouping, 183 financial management and, 407–408
Police Stress Survey (PSS), 441 illegal immigration, police and local politics, 135–136
Police subculture impact of police unions on, 381
impact of labor unions on, 380 judiciary, 121–122
relationship between police unions and, 380–381 local political forces, 115–118
Police suicide, 449–451 organizational change, 516–517
Policies, vehicle pursuit, 485–486 police body-worn cameras and politics, 128–130
Policing police chief, 118
community (See Community policing) police unions and, 390

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 INDEX 559
policing history and, 8–10 Promotions, 326–333
public interest organizations, 122–124 Property rights, 491–492
racial and ethnic profiling, 130–133 Prosecutor, 121
recent significant deadly encounters, 133–135 Protected classes, 293
state and local governments, law enforcement, 114–115 Proximate cause, 483
state prosecutor, 121 Psychological health wellness initiatives, 458–459
tenure and contracts, police chiefs, 118 Psychological testing, 313
Polygraph examinations, 497 Public Administration (White), 11
Pony Express, 5 Public Employment Relations Commission (PERC), 383
Popular Front for the Liberation of Palestine (PFLP), 26, 87 Public information officer (PIO), 528
Population ecology, 165 Public interest organization, 124
Portland, Oregon, 48 Pure Food and Drug Act (1906), 10
Portland Police Bureau SWAT team, 489
POSDCORB, 155
Positive organizational behavior (POB), 225
Q
QualComm, 426
Posse Comitatus Act (1878), 83, 275
Qualified individual with a disability, 300
Posse Comitatus group, 101
Qubt, Sayyid Muhammad, 88
POST (Peace Officer Standards and Training Commission), 23,
Quid pro quo, 296
305, 307, 308, 314
Posttraumatic stress disorder (PTSD), 444–445
Power motivation, 221 R
Power-oriented linguistic style, 360–361 Racial and ethnic profiling, 130–133
PPBS (Planning, Programming Budgeting System), 423 Racial job discrimination, 293
Preactive planning, 259 Radical Islamic terrorism, 88–96
Preconceived notions/confirmation bias, 282 Rahman, Sheik Abdul Omar, 88
Predictive policing, 56 Rand (Corporation) Criminal Investigation Study, 26
Pre-employment screening, 452 Rank and file
Pregnancy Discrimination Act (PDA), 298 changes in composition of, 380
Pregnancy, job discrimination and, 298 role of, in organizational change, 524
President’s Crime Commission, 381 Rank-order list, 333
Press Conference (PC), 331 Ratcliffe and Guidetti, 56
Prevent terrorism, role to, 81–82 Rational comprehensive and sequencing models, 269–270
Prince William County, Virginia, 423 Rational-legal authority, 150
Principles of Public Administration (Willoughby), 11 Ration books, 20
Priority Enforcement Program (PEP), 153 Ratliff, Eric, 389
Privacy rights, 495–496 Reactive planning, 259
Private sector involvement, in fusion centers, 83 Reagan, Ronald, 390
Proactive planning, 259 Real Time Crime Center (RTCC), 78
Probable cause, 495–496 Reasonable accommodation, 300
Problem-oriented policing, 47 Reasonable care standard, 483
Problem-solving approach, through CAPS, 49 Reasonableness, 470
Procedural due process, 492–493 Recent deadly encounters, 133–135
Procedural plans, 263 Recent significant deadly encounters, 133–135
Profession, 12 Recognition-primed decision making (RPD), 272
Professional counseling service, 459–461 Recoil, remorse, and nausea phase, 443
Professionalism, police, 12–14, 24, 308 Recruit academy, 314–315
Professional standards/internal affairs (PS/IA) unit, 322 Recruiting, police, 305–308
Program budget, 420 Recruit training, 479
Progressive discipline, 321–322 Reformation period, 10–12
Prohibition Party, 14–16 Reformatted bureaucracy
Promotional tests, 326–327 e-government, 150
assessment centers, 328–332 Madison (Wisconsin) Police department organizational chart,
cheating on, 326 151
nonparticipation in, 326 NPM, 152
objectives of, 326 Refreezing, 520
oral boards, 328 Reliability, 308
reading level of, 327 Religious discrimination, 294–295
selection from promotional roster, 333 Reluctance/Procrastination, 283
study guides for, 328 Repeat Offender Project (ROP), 56
validity and reliability requirements of, 327 Residency requirements, 17, 500
written, 327–328 Resistance stage of the GAS, 438

Z02_SWAN4056_09_SE_IDX.indd 559 8/24/18 1:42 PM

 560 INDE X

Resource dependency theory, 165 The Shame of the Cities (Steffens), 10

Retaliation, 297, 298 Sheetz v. Mayor and City Council of Baltimore, 496
unlawful, 297 Sheriff department
Retirement first office of, 4
counseling, 333–334 organizational change and, 523
police suicide and, 451 Sheriffs, unique legal status, 119
Rhodes v. Lamar, 483 Shining Path (Sendero Luminoso), 96
Riback, Steve, 294 Silent Generation, 316
Ricci v. DeStefano (2009), 296 Simon’s bounded rationality, 270
Richmond, Virginia, 56 Simon Wiesenthal Center, 102
Ridge, Tom, 84 Sinaloa cartel, 97
Right against self-incrimination, 496–497 Sinclair, Upton, 10
Right to privacy, 495–496 Single-loop learning, 164
Right-wing extremism, 100–101 Singleton, Benjamin “Pap,” 6
Riots, in the 1960s, 23–25 SITAR approaches, planning, 258
Riverside County, California, 390 Skinheads, 101
Roadblocks, high-speed pursuits and, 484–485 Skinner v. Railway Labor Executives’ Association, 501
Robertson, Ron, 390 Slave patrols, 18
Rodriguez, Matt L., 47 Sleep deprivation, stress and, 457–458
Roid rage, 448, 488 Smith v. City of Jackson (2005), 292
Role Play (RP): Citizen Meeting assessment center exercise, 331 Smith v. City of West Point, 482
Roll-call training, 479 Snatch racket, 16
Roosevelt, Theodore, 10 Socialized power motivation, 221
Roper, Billy, 101 Social media
Rosenberg, Ethel, 22 LASD, 354–355
Rosenberg, Julius, 22 management, 353
Royal Canadian Mounted Police (RCMP), 241 right personnel of, 353–354
RPD. See Recognition-primed decision making (RPD) SPD, 354
Ruby Ridge, 27 voice and tone, 354
Social media and policing, 59–61
Social networking, 318, 499
S Social network police policy, 356–357
Sacramento, California Police Department (SPD), 354 Social skills (SS), 225, 226
Salaries, police officer, 379, 403 Southern Poverty Law Center, 101
Sanctuary movement, 152 Southwest Missouri Cyber Crimes Task Force, 407
San Francisco Police Department, 459–462 Spade, David, 426
San Francisco State College, 379 Span of management, factors, 179, 181
SARA (scanning, analysis, response, assessment), 46–47 Spatial modeling, 58
SAR Cycle Chart, 82 SPD. See Sacramento, California Police Department (SPD)
Saturated patrols, 55 Speakeasies, 15
Secondary guns, 479 Specialization, police agencies, 177–179
Sector policing, 189 Special weapons and tactics (SWAT), 178, 264, 267, 277
Self-incrimination Spiritual leadership, 245–246
right against, 496–497 Spoils system, 9, 14
Selye, Hans, 437 Staff structure, 186–189
Semi-custom promotional tests, 328 Stallo, Mark, 58
Sendero Luminoso (Shining Path), 96 State budgets, 408
Sense making, 166 State government
Sensory distortions, 442 influence on financial management, 408
Sensory perception scale, 348–349 State highway patrol agencies, 14
September 11th terrorist attacks State militias, 101
al-Qaeda and, 89 State patrols, 203
impact of, 75, 85 State Police Association of Massachusetts (SPAM), 390
Serpico, Frank, 157 State Police testing project, 148
Servant leadership, 243–245 State terrorism, 87–88
Service level budgeting (SLB), 424 Station house sergeants, 229
Servicemembers Civil Relief Act (SCRA, 2003), 320 Statistical spatial analysis, 58
Service organizations, 145 Steffens, Lincoln, 10
Sexual conduct, 499–500 Steroid testing policing, 448–449
Sexual harassment, 296–297 Stewart et al v. City of Houston Police Department, 294
Sexual orientation, 499–500 Strategic crime analysis, 58

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 INDEX 561
Strategic plans, 266 Taylor, scientific management
Street Crimes Unit (SCU), 413 exception principle, 147
Street-level bureaucrats, 154 functional supervision, 147
Street sergeants, 229 natural soldiering, 146
Stress systematic soldiering, 146
alcoholism and, 446–449 Taylor, W., 55
defined, 437–438 Team policing, 26
disease and, 438–439 Tea Party, 403
drug use and, 446–449 Technical skills, 223
employee assistance program (EAP), 459–462 Technology. See Information technologies
general adaptation syndrome (GAS), 438 Teleconferencing communication, 353
personality type and, 439–441 Telephone toll analysis, 58
police domestic violence and, 451–454 Temperance movement, 15
police stressors, 441–442 Tenaha Police Department (TPD), 425
police suicide and, 449–451 Tennessee v. Garner (1985), 484
sleep deprivation, 457–458 Tenure and contracts, police chiefs, 118
suicide by cop (SbC) and, 443–444 Termination of high-speed pursuits, 485
use of deadly force and, 442–443 Terrorism. See also September 11th terrorist attacks
work addiction, 440–441 al-Qaeda, 88–90
work satisfaction reducing, 458 attacks since election of Obama, 101
Stress reduction management techniques, 458 Boko Haram, 97
Strikes, 377, 390 criticisms aimed at law enforcement responses to, 82–84
Study guides, for promotional tests, 328 defining, 85–88
Substantive due process, 493 digital hate, 102–103
Suffolk County (New York) Police Department, 298 domestic, 87
Suicide ecoterrorism, 103–104
police, 449–451 federal anti-terrorism efforts, 85
prevention, 449–450 HAMAS, 87, 90–91
Suicide by cop (SbC), 443–444 hate crimes, 101–102
“Sunshine law” (Florida), 386 Hezbollah, 87, 91
Superior and subordinates communication, 350–351 homegrown Islamic, 91–96
Supervision intelligence and, 76, 81–82
high-speed pursuits and, 487 international, 87
negligent, 471–472 Islamic State (ISIS), 89–91
Supervisors Mexican cartels, 97–98
domestic violence reports and, 453 narco-terrorism, 96–97
police domestic violence and, 452–453 Outlaw Motorcycle Gangs (OMG), 98–100
suicide prevention, 449–450 policing, 81–82
tort liability for, 475–476 radical Islamic, 88–91
Supreme Court decisions, law enforcement, 113–114 right-wing extremism, 100–101
Suspension of police officers, 322 in the 1970s, 26
Suspicious Activity Reporting System (SARS), 82 state, 87–88
Sutton, Paul, 320 transnational, 87
SWAT. See Special weapons and tactics (SWAT) Testing, drug, 446–447
Synoptic planning steps Texas Rangers, 8
identify alternatives, 261 The Estate of Claude Green, Jr. v. Robert Bowman, 301
preparation, 260 Theory X-Theory Y, 159
set goals, 260–261 Thin-slicing theory, 272
Syrian Secret Police, 87 Thug culture, 530
Systematic soldiering, 146 Tijuana cartel, 97
Time orientation and planning, 259
Time perception, distortions in, 442
T Title 42, U.S. Code, Section 1983, 470–471
Tacoma, Washington Police Department, 456 Title VII (1972), Civil Rights Act of 1964, 293–297, 320
Tactical crime analysis, 72 Top-down vs. bottom-Up approaches, 183–186
Tactical plans, 263 Tor network, 96
Taft, Howard, 419 Tort feasor, 469
Targeted policing, 53 Tort liability, trends in, 475–476
TASER International, 481 Tort of negligence, 474
Tasers, 480–481 Torts/tort actions, 469–470
Taylor, Frederick W., 146 defined, 469

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 562 INDE X

intentional, 470 University of Texas, 24

intentional torts, 474 Untouchables, 16
negligence, 470 Upward communication, 350
of negligence, 474 Urinalysis, 501
under state law, 474 U.S. Customs Service, 462
terminology, 469 U.S. Department of Homeland Security
Traditional action research model, 519–522 areas of responsibility in, 84
Traditional design vs. structural change, 192–194 budget of, 85
Traditional police ranks, 180 election of Obama and, 101
Traditional policing, 42 fusion centers and, 78
vs. community policing, 44 immigration reform and, 85
CompStat differing from, 67 under Obama, 85
defined, 42 state and local levels, 85
review of research on U.S. Department of Justice (DOJ)
as a system of response, 42 municipal court practices, 131
Traditional theory, 146, 155–156 profile proofing, 131
Traditional vs. community policing, 195 racial bias, 132
Traffic laws, high-speed pursuits and, 484 U.S. Department of Labor, 292, 302
Traffic ticket quotas, 147 Use of deadly force, 442–443
Training U.S. Government Accountability Office (GAO), 418
budget and, 410
in-service, 479–480 V
negligent, 472–474 Validity, 308, 310
recruit, 479 Vehicles, shooting at or from, 478
roll-call, 479 Vertical differentiation, 180
through CAPS, 49 Vicarious liability, 471
vehicle pursuit, 486–487 Vicente Carrillo Fuentes Organization, 97
Traits approach Video-based assessment center exercise, 331
big five, 223 Vietnam War, 26
big two, 223 Vigilante groups, 10
Transactional leaders, 239–242 Violanti, John M., 441
Transformational leadership, 239–242 Violent Crime Control and Law Enforcement Act (1994), 320
Transnational terrorism, 87 “Virginia 5,” 94
The Treason of the Senate (Phillips), 10 Virginia Tech University shooting, 58
Tribal police agencies, 6 Virtual organizations (VO), 165, 166
Tunnel hearing, 442 Visual investigative analysis (VIA), 58
Tunnel vision, 442 Vollmer, August “Gus,” 13–14, 17
21st Amendment, 16 Volstead Act (1919), 15
Twitter, 358, 499 Volunteer citizen night watchmen, 4
Type A personality, 439–440 Volunteers in Police Service (VIPS) Program, 427
Type B personality, 440 Vote of confidence, 389
Type C personality, 440
Type D personality, 440
W
Waco, Texas, 27
U Wadman and Allisan, 25
Undocumented immigrant, 135 Wages, police officer, 379
Unequal bridge, 22–23 Wagner, “Big Ned” Con, 5
Unfreezing, 519–520 Wahhabism, 88, 105
Uniform Crime Reports Western Region, 420 Wallace, George, 26
Uniformed Services Employment and Reemployment Rights Warning devices, in high-speed pursuits, 484
Act (USERRA, 1994), 319 Warning shots, 479
Uniform Guidelines for Employee Selection Procedures, 295 Warrants, qualified immunity from civil liability and, 475
United Kingdom, 56 Washington State
United States Civil Service commission, 9 Criminal Justice Commission, 487
United States Mint Police, 6 Public Employment Relations Commission, 383
United States v. Jacobsen, 501 Weapons. See also Firearms
United States v. Leon, 475, 496 off-duty, 479
University of California, Berkeley, 17 registration of, 479
University of Chicago, 379 removal of, after arrest of officer, 454
University of Michigan, 11 Weather Underground, 87

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 INDEX 563
Weber, bureaucratic model, 149–150 Work unit climate, 522–523
Weber, Max, 149 World Trade Center attack (1993), 85
Web page police policy, 356–357 Written directives, evaluation of, 478–479
Wellness programs, police officers, 450
Whistle-blower statute, 494
White Aryan Resistance (WAR), 101
Y
Yassin, Ahmed, 90
White Revolution, 101
YouTube, 358–359, 499
White supremacist groups, 101–103
Wilson, James Q., 41
Wilson, Woodrow, 377 Z
Workaholics, 440–441 Zazi, Najibullah, 94
Work satisfaction Zealots, 229
peer-group support, 451 Zero-Based Budgeting (ZBB), 423
Work speedups, 389–390 Zero line item budgeting, 424
Work stoppages and, 390 Zero-tolerance policing (ZTP), 41, 452

Z02_SWAN4056_09_SE_IDX.indd 563 7/11/16 6:08 PM