POLICE USE OF FORCE: OFFICAL REPORTS, CITIZEN COMPLAINTS, AND LEGAL CONSEQUENCES BY: ANTONY M. PATE AND LORIE A. FRIDELL WITH THE ASSISTANCE OF EDWIN E. HAMILTONPOLICE FOUNDATION ‘The Police Foundation Is @ public, nonprofit research and technical assistance group ‘established by The Ford Foundation in 1970 and dedicated to improving policing in Amer. ‘The research findings inthis publication were supported under avard number 911-0028 from he Nationa Institute of ustice, Office of justice Programs, U.S. Deparment of Justice. Pints of view in this document co not necessarily represent tne official positon of the U.S. Department of Justice. CConyright 1993 by the Police Foundation. All rights, including transiation into other languages, reserved under the Universal Copyright Convention, the Beme Convention forthe Protection of Lteray and Artiste Works and the Intemational and Pan American Copyright Conventions, Permission to quote readily grantee. SQN 1.864614-01-9 (Volume 1) ISBN $-884624.00-0 (2 Volume Set) Lbrary of Congress Catalog.Card Number: 93:86909ACKNOWLEDGEMENTS “Tis epor iste result ofthe prosigious efforts of far more people than we can possibly ame here. To all of those people, regardless of whether we were able to mention them personally, our mest profound acknowledgements and thanks. ‘Tne funding forthe reseerch reportedhere was provdedbytheNationalinsttuteaflustie, ‘whose directorattnetime, Charles. (Chuck) DeWit recognized thenedtoleemn more about {hecitia!topicof the use of fore by police. Michael Russel nis successor has steadfastly supported us thoughout this endeavor. ‘Our project monitor at the Natonal Institute of Justice, Dr. Craig Uchida, has offered ‘encouragement and advee rom beginning to end, Dr. Brian Reaves, at the Bureau of Justice Statistics, provided adviee and, of course, ‘statistios) wnenever calle upon, ‘Av he Police Foundation, our particular thanks go to Sampson Annan, who aversaw the ‘massive work of conductngthe national survey, ardto Virginia Burke, who worked sodlligenty to bring tne pieces together. To Ear Hamilton, we owe a special debt. Without his arduous data analysis work, this project would nat have been possibe, We owe particular grattude to the Intemational Association of Chiefs of Police, who assisted us in develoning and pretesting the questionnaire used in this project and in encouraging lan enforcer ayercies to respond 0. (Our work has been strengthened by the constructive advioe ofera by the sixanonymous scholars and practioner retainad by the Nationa Insitute of Justice to eww the fst rot ‘ofthis report. Athough we cannot thank them by name, our appreciation is indeated by the ‘cranges we have made in response to thelr helpful comments Lest, ut by no means least, we express our gratitude to the 4,11 law enforcement _agencies that ook the time to complete the rather ime consuming questionnaire upon which this study is based. We sought to make tis work worthy of your support We extend cre and acknowledgements to all of those peoole who cantnbuted to this project. We alone are responsible for any ertars or oversights ‘Aotony M. Pate Lote A. FelFOREWORD In the best ofall wos, there would be no need fr police. In that world there would be na canflet and people woul obey aw, For as tongas history has been recorded, Mowever, Iehas been clear that society requies formal mechanisms to maintain order and enforce ‘compliance witn the law. Ratvoly recently, society has tured to our pale to provide that format mecnenism, In the second best possible world, compliance with our police Would be voluntay. AS a former poi oficer andchiet execute of one of America's largest police departments, lean ‘test to what history has shown—that police ofcers must use force inorder to do ther job tffectivey. Indeed, the legitimate use o ore isthe defining characteristic ofthe institution of patcing. “Theprovisionofsuchpawertothe police, however hasalwaysbeen adouble edged sword. Longbetore Lo Acton warned that power corps, and absolute power corupts absolutely. ‘the Romans were asking “Sed quis cstodtetipsos custodes?", “Who will guardthe guaras themsenes?™ This concem abouttne use of force bylawenforcementoficers was eflectadinthe articles ‘ofthe Magna Cava, imposedby the English barons on King ohn in 1215. Reflectingadesire 10 prevent police abuse of power, false aes, oppression, and contempt of the la, that compact is replete with restrictions upon the paice ef those days, the sherifs, balifs, and ‘Gnntubes, Andtheremedioaotthatancionttmewere sinslrinmenywaystothose proposed today: cnt better police officers, stan the penalties for matfeasance, andcreatea cian review bosrd as an extemal contol upon the police. ‘The ambivalent atttuce about pooe In general, and ther use of force in particular, nas endured. This ambvalenes,foraxample, wasefletedin the intense potical debates waged, ‘rst nthe Unted Kingdom, andaterin the United States, concerning the creation of moder police departments. Ashistoransrelate those debates, public fear about the possible abuses ‘of powerby an organizeapolice agency wes overcome onlyby the greater fearofotsandcrine that occurred in the early nineteenth century. Police then, were begrudgingly crested as an Instutional “counter-orce” against the broader forces of cisocer. 1n 1829, Sir Rober Peo! succeeded in estabising a fulltime day and night patrol force lntondon, under thecontraloftwo commissioners appointedythehome secretary. Evenafter the frst of these officers negan to walk the streets in ther distinctive blve unifoms, the ‘ambivalence about thar use of force, including the types of force avalabe to them, was tvidert. Athough the police In Keland had bean canyingfhearms since the 1780's, was ‘considered prudent to armthe English “bobbies" only with runcheons. Even these weapons, romever,hadto be Kept concealed theta pockets oftheir uiferm coats, tobe drawn ony Insettdetense. Unnecessary clubbing twas feared, would threaten the moral basis f police autharty and arouse public antagonism. Oniy in 1863 were officers allowed to wear their truncheons exposed, and even then they were 1a be Kept na leather ease suspended from the bet,Compliance tothe policy of use of tuncheons was, at fst, let lrgely to the diretion of Individual offcers, under the occasional suponision of thelr supervisors. As Soon a8 1830, however, a spate of complaints of lice wolenoe led the commissioners oissue a strict policy stipulatingthat tne vuncheon was nt tobe used in response to insulting language or actions that didnot endanger the police officer, andtreatening severe cscipinary action oc cismissal for violation of these restrictions. This inatwe seemed to work, a8 indicated by a decline a citizen complaints. Retiectingatrendfoundthroughoutthehistoryof policing, the attitudes towarsand polices concerning the use of force by police reflected the level of social turmoil. During the Crestst tensions of1842 and the “great scare" of 1848, for instance, some constables were armed at nig with cutiasses. Ay officer, however, who drew his Sword on duty had to report the Circumstances to his sergeant and tothe desk ofc when he retumed othe station house. Again, the use othe sword was tobe only or dofensive purposes, wth termination tveatened it itere even drawn for less serious causes. As soon as those erses abated, however, he swords were removed, leving the officers armed once again onty wth truncheons When the new form of policing was introduced inthe United States, the institution tookan Uniquely American characterises. First, instoad of being accountable to the national _Rovernment, the American police, wth the exception ofafew federal agencies, wereunderthe contro of manip, county, and state governments. As result, poling in America became ‘the most decentralized in the word, spread across almost 16,000 jurisdictions, reflecting @ myriad of ferent stuctures, poicies, and procedures. Thus, instead ot having one method of vetning and controling ine use of force, there were thousands, ‘The second major diference between American policing ardthatfoundin England asthe societyin which such policing eperatee. As @ nation born in armed revolution and preserved bya bloody cv war, the United States displayed dramatically highor level af violence than Its mother county. Since most American police departments were formed a few years after ‘Samuel Colt patented his revolvorin 1835, hs violence soon took the format armed attacks ‘on the officers themseNves. In response, individual affcars took ft upon themselves to purchase and cary frearms, often wth the unofficial support of their supervisors. An ambivalence toward the use of force sila to that demonstrated in England was evident in the United States. The police commissioner in New York Cty, for example, aoquiesced inthe use of revolvers by his officers, but aid not oficaly authorize or admit thal weapons were Burchased forthe oficers' use (even thoughotfioers were provdedwithcarcboardholtera ith ‘he department's name on them) unt became impossibie to deny i “The ambivalence regardingthe use of forceresutedin a ack of clear guidance, nthe frm of taining and polices, provided to ofcors. As a result ofthis lack of specie departmental {uldance, police were often leftto make tir own decisions conceming what force to use and \when to use t. The individual attitudes of peers and supervisors about the use of force came ‘o playa prominent role in affecting those decisions Particularly roblomaticwas thedetermination ofthe amauntofforcethatwas necessary" tomake an arrest. Making arrests inthe ea'y years of polcingwas a particulalyonerous task ‘resting officers not ony ado face a generally lsrespectful pubic but, because mostarrests‘wore for drunkenness and public disorder, arestoes frequent resisted and ocr had to Prysiealy subdve them. Once @ suspect was subdued, the officer faced the problem of twansporting the suspect, on foot, back tothe station house. Duringte course of the oth century, increasing pubicattention hasbeen paidto the use of force by police, often concenvating on those occasions when itwas used, or alleged tobe Used, unnecessary or to excess. A series of official inquiies probed the Issue. The ‘Wickersham Commission In 1931 dovoted one of ts reports, Lawlessness in Law Enforce. ment, tote problem of brutality and the third degre In the last quarter of 2 century, courts, leisltures, and law enforcement officials themselveshave provided clearer guidance concemingtheuse offorceby pote. Inpartcular, ‘he United States Supreme Court has provided guicance concerming the legal constraints invohed in the use of ore, particulary when making arosts or apprehending feing teins, In-adation, the courts nave generally imposed responsiblity upon municipalities forthe torts ‘oftheir palice officers, causing those financially etched goverments to pay more attention ‘haneverto the use offorce by those officers. State lefslatures have enacted aws delimiting ‘he appropriate use oforeebypoliceoicers. Law enforcementagencieshave instituted more restrictive policies and procedures to limit the use a force by thelr personnel In tne last decade, the job ofthe pac ofcer has, if anything, become even morecitfeut than ever before, The widespresd presence of teams, including Semautomatic and ‘automate weapons, coupled wth gang actly. drug vaficking, and rampant disregard for Fuman fo, hase mache cy routine of police a matter of fe and death, Efforts to provide ‘ole with methods and weapons, including ess than lethal devices such as te Taser and ‘Mace of various types, have intensified Despite attompts to contol it, the perception of the use of excessive force by police ‘contbutedto the Harlem ceturbanee of 2935, the Watts rot in 1965, thewide range of 1967 ‘disorders stusied by the Kemer Commission, the Miami riot of 1980, and several other ‘dstubances. The Paice Foundation itself was crested in 1970 largelyas a result oftheneed, ‘made undeniaby clear by the riots ofthe 1960s, to understand and improwe the functioning of America's police, including the cantrolle apalicaion ofthe use of force, ‘Te destruction and death resulting from the reaction to the acquittal ofthe offiors eocused of beating Recney King in 1901 created a situation in which it became no longer possible to look with ambivalence upon the use a force by poe. Recognizing thatthe use bf legtimate force is crus to effective policing, bulthat there was actcal need for baseline Information about the extent to which such force Is currently used and the consequences of ‘thatuse, the Police Foundation, wth support from the National Institute of Justice, conducted ‘2 comprehensive national survey of aw enforcement agencies to provide such information. ‘This report presents the resuts of that survey in the expectation that, armed with these: findings, jurists, lgisators, scholars, and law enforcement executives can make informed ube policy decisions that wil effectwely adcress the issue of police use of force. Huber watlams: President Police FoundationABSTRACT The legitimate use offorco is the detning feature ofthe role of police in society. In act, the poice must ne allowed to use force when necessary to achieve lawful pace objectives, Unfortunately, however, the publics usualy made aware of police use of force oniy on those ‘ecasions when the use of force Is, or appears tobe, excessive, Despite thecrticalimportanceaf these of forcein policing, lites known aboutthe extent crnatureotthatuse, tne methods by which agencies montor force how ftenciizens complain that excessive force was apoted, what happens to those complaints, now frequent allegations of excessive force result in lawsuits, and how those suts are resolved. Recognizing theneod fe futherresearchon these issues, the Nationa institute of ustce provided suppor tothe Police Foundation to conduct comprehensive national survey of lt enforcement agencies to aderess these questions, -otalof 1,111 lawenforcement agencies complotedan extensive questionnairedesigned tw address issues pertaining tothe important tool of police use of fore, ‘his report presents a review of existing iterature on the use of force by police, describes the methods by wich the survey was conducts, presents the results ofthe key ives addressed by the survey, and siscusses the research ane polcy mpllation ofthe resus.TABLE OF CONTENTS st oF FigunES 1 tocction I Palce Use o Fare: what e Known, What Need to be Learn 1. Types of Force 8, inecence and Prevalence of Force . Deparmental Polis, Procedures, and Practees and he seo Force Poly Restetheness and The Use of Force C2 Foley Enforemant end Use of Force C3 Recraiment/Selecton (©.3:1 Offcor Characteristics and the Use of Force (32 Employment Screning Devees ca Waning : 5 Montorng and Eary Waring C8 Conclusion 2. Departmental Plc, Practices, and Procedures and the Recoipe ana Dspostion af Complaints Rates and Type of Complains 12.2 Crizon Conidonce i anc Anorenass a the Complaint Process 1.3 tntemal and Exemal Complaint Systems 0.32 tmestestion 3.3 Aaministatve Routing c 34 Dispostons 3S Sanctone 36 Folown . Conctsions Iu, Memos [A The Lew Enforcement gency Savoy Ad Questonnare Construction AZ Soleting the Sample AB. Conducting the Suey ‘N4 _The Agency Sample 8. Data Anais 8.2 Grouping Responses 83 Waering Ba Teste of Stats! Senfeance . Umitations othe Sts (CA. Umitatens of Mal Sunes C2 Umtasors of Set aaministered Quesvonnaies (C3 _Uitaions of Ageney Qvostonaros ©, Overall etabiy and Vy ofthe Research aa a7 49 Beee 27 sekkes BRBRE aeseeeeeeee 231N. Survey Results 1 Use of Fore ty Police : [Aa Deparment Potices Regarding te Reporting ot Use of Force |A2 Agencies Proving Responses Conceming Use of Various Types ot Force AB Numberot Resorted Ineidants ofthe Use of Force in 1991. [A Reported incidents ofthe Use af Free Pe 1,000 Sworn Officers (AS Factors Associated win the Use of force ASA SelectonProceaures 82 Tain ‘5.20 Longin in Hous of Academy Traine + {A5.20 The Existence ofa Formal eld raring Otoor Program ‘AS.2e Avorago Lona of Probation Periods ‘AS.2d Overall Recut Tang eo 'A5.2e Frequency of Requariestion wth Senice Weapens ASS Montorng 1. Ctzen Compiaints of Boessive Force ==. 18.1 Reported Number of iizen Complaints of Excessive Force Recelved 182 Demographic Charactestes of Complanants and Oficers 1.2.10 Shertis Deporments c : 1.2.18 County Pole Departments 182.16 City Police Desarments 8.210 state Agencies 8.2.2 OfiewrCharactersies 8.2.20 Sher’ Departments 15.2.2 County Potee Deparmments .2.2¢ GtyPote Departments 8.2.20 Stato Agoncies 183 Reported Complaints Recewed Per 1,000 Swen Ors BA Despositon of Comoisints : B.A. Protiminan Dispositions 1.4.2 Fina Osposttons B.S Discbplne Administered Flowing Sustained Complaints of Escensie Fore = 8.6 Factors Associated win Receipt af Complains BG Sobeting Caen Complaints 5.610 Methods Used to Inform Citizens About he Complaint Proce 1.6. Number of Metrods Used t Inform Chizens About Procedures for Fling Compaints of Pole Nisconduct 8.62 Complaint take Procedures 1.6.29 Ways Cizens Can Fe Complains of Police Misconduct 1.620 Locations Viner Cleon Gan Fle Complaints of Posice Misconduct '.62¢ Personnal Who are Authored to Accept Complaints From Ciizens 18.620 Time of Day When Complaints Can Be Fld 1.5.20 Time Limits for Cizensto ile Complaints 20 Seeeeaeaeek 92 aa 325 325 126 aa 328 130 1308.6.2" Types of sistance Cepctments Provide Complainants 8.6.23 Requirements of Cxizers Fling Compaints : 3.6.3. Complaint imestgatens . 8.6.39 Exstonce of a Caan Complain Review Agency .6.80 Persons or Units ho Conduct Aamnistvatve nestigmons of (Cizon Complains of Paice Use of Scoseie Force '.6.3¢ How the intemal ars Function onde 3.6.30 Rank of the Had of mernat Aas '.6.30 Doparment Patces Regarang the Review of Cizen Complaints ‘sts tho Chan of Commana Where the Officers Aslgned 8.6.31 Time Limits or Completing Investigations of Cizen Complaints 8.6.2 Poices Regarting tho Abty ofan Officer Agsnat Whom & Complaint Ha ‘Bean Fed to Reus, without Pena, to Provide Information Ourng the Ieventigaton 8.6.4 Disposition Decisions 8.6.4 Persons or Units Who Review he ivestigatve Repos and Mako Recommendations 1.6.40 Person or Unt vith Fn Responelly or Acting onthe Recommendatons or sspiay Action 265 Folowup e 18.6.5 Policies RogarngAopeais 8.6.50 Counsaing for Officers ened we Using Cxonsane Free 18.6.5 Retraining or Oficers Wertied as Using Excessnve Force «=. otPalce Miscanvet ©. cha Suits anc Criminal Charges (Ca Number af Ci Suits and Cinna Chrges C2 Rates of Ci Suite and Crna! Charges C3 Resolution of Ci Sts (C44 Amounts Paain Cn Cases Finding Excessive Force 5. Resoluton of Criminal Charges ‘Summary and Discussion 1A. Prot Litarature on the Use of Force AL Use Force ‘AZ Deparment Paces and Practices to Reduce Force AS Ciuzen Complains of Excessive Force 18. The Pole Founcaton Sty 8.1 The Law Enforcement Agency Sur 5.3 Methodoigcal Constraints C. Te Suny: An Ovenow of General Fines C1 Use of Force by Paice C2 Factors Associtee withthe Use of Force ©.3_Cizen Comptants of Excessne Force 3.1 Rate of Complains Recened (€.3.2 Dispositions ef Complaints and Discinne Imposed 3.3. Characters of Complainant and Offess Against Whe Complaints Wore Fes aa 38 asa 137 340 140 342 a2 343 344 145 246 46 148 149 4149 150 152 382 159 153 154 5463.4. Procedures for Processing Complains 155, 4 CMa Suts ana Crmnal Charges 157 . Varistors Across Agency TYPE ast Da Shetits'Depanmonts 158 DLL Required Reporting of and Use of Force 158 1.2 Factors Associated with Use of Force 358 1DA.3 Ctizen Complaints of xcesshe Force 158 2 Coit Polce Departments 359 102.1 Roques Roporing of and Use of Force . 359 0.22 Factors Aasocited wih Use of Force 359 2.3. Ctizen Complaints of Excessive Force 450 D3 CtyPotee Departments 60 D3. Requrea Reporingof and Use of Force 160 1.32 Factors Assccate with Use of Force 361 D3 Ciizon Complants of xcessne Force at Da State Agencies 161 A.A Roqured Reporting of and Use of Force 161 1.a.2 Factors Associated with Use of Force 362 0.4.3. Ciizen Complaints of Excessive Force. fa6a . Varitons Aeros Agency Sze $63 Required Repating of and Use of Force 363 2 Factors AscoDated wih Use of Force 163 F. Discussion ana implications 164 REFERENCES ee 167LIST OF FIGURES Faure gure 2 Feu 3 Fee 4 Figure 5 Fue s Figue 7 Figues Feueo Fegue 10 Figure 1 Figure 12.4 Figure 12.2 Figure 13, Figure 14.1 Fegue 14.2 Use of Force Scale 20 Use of Fore Model , 22 Departments Mandating the Reporting of Various Types of Force: ‘Sherif’ Dapartments 66 Departments Mandating the Reporting of Various Types of Force: ‘County Police Departments ne or Departments Mandating the Reporting of Various Types of Force: Coty Poice Departments 7 . 63 Departments Mandting the Reporting of Various Types of Force: State Agencies ceveeeesTO Reported 1991 Incidents of tre Use of Force Per 4,000 Sworn Ofcers: ‘Sheits' Deparment, 75 Reported 1991 Incients ofthe Use of Force Per 1,000 Sworn Offices: County Police Departments n Reported 2991 Incizents of te Use of Force Per 2,000 Sworn Offices: City Potice Departments : 79 Reported 2991 Incients ofthe Use of Force Per 1,000 Swen Officers: State Agencies... 80 Reported 1991 Ctizen Complaints of Excessive Force Per 1,000 Swom Offices: By Agency Type 109 Reported 1991 Ctizen Complaints of Excessive Force Per 1,000 Swom Officers: Sheriffs’ Agencies, By Size 10 Reported 1991 Ctizen Complains of Excesshe Fore Per 1,000 Swom Officers: Cy Agencies, By Sie aan Final Disposition of 1991 Citizen Complaints of Excessive Force: Porcent Sustained by Agency Type a8 Final Disposition of 1991 Complaints of Excessive Force: Percent Sustained by Sheris" Agencies By Size a9 Final Disposition of 1991 Complaints of Excessive Force: Percent Sustained by Ciy Agencies By Size 320 1LIST OF TABLES Table Table 2 Tabiea Tobie Toole 5 Table 6.1 Table 62 Tobie 6.3 Table 7 Tabe 8.4 Table 82 Tobie 8.3 Tobie 8.4 Tae 9.4 Tape 9.2 Table 9.3 Universe of Law Enforcement Agencies by Agency Type and Population of Jurisdiction Serves « 50 ‘Sample of Egibie Law Enforcement Agencies by Agency Type anc Population of Juresiton Served... sa Suey Resuits by Agency Type . 53 Number and Percentage of Responding Law Enforcement Agencies by Rgeney Type and Population of Jurisdiction Served 54 Responding Law Enforcement Agencies by Agency Type and Number of Swom Personnel... ese 55 Reported Incidents of Police Use of Force Per 1,000 Swom Officrs: By Agency Te 7a Report Incidents of Police Use of Foree Per 1,000 Sworn Officer: Sheifs' Departments by Agency Size . 2 Reported Incidents of Police Use af Force Per 1,000 Swom Officers: City Patios Departments by Agency Size fa ‘Average Number of Academy Training Hours, Percentage with Formal Fel Training Officer Program, Average Number of Months of Probation Reauired for Recut By Agency Type | er ‘Comparison of Demographic Characteristics of General Population, Complainants, and Sustained Complainants: Shes’ Departments, 2 ‘comparison of Demographic Characteristics of General Population, ‘Complainants, and Sustained Complainant: County Police Departments 4 Comparison of Demographic Characteristics of General Population, Complainants, and Sustained Complainants: Cty Potce Departments 95 ‘Comecison of Demographic Charactristcs of Genera Population, Complainants, and Sustained Complainants: State Agencies or Comparison of Demographic Characteristics of Al Swom Officers, With Ctizen Complaints, and Ofcers with Sustained Complains: Sherifs' Departments... .89 ‘comparison of Demographic Characteritios of All Sworn Officers, With Citizen ‘Complaints, and officers witn Sustainec Complains: County Police Departments so ‘Comparison of Demographic Characteristic of Al Swor Offcers, With Gtizon Complains, and Officers with Sustained Complaints: Cy Police Departments .103Tove 9.4 Tape 10.2 Table 10.2 Table 11.4 Toble 11.2 Tobe 11.3, Tobie 12.4 Tape 12.2 Table 12.3, Comparison of Demographic Characteristic of All Swom Ottices, With Citizen Complaints, and Offcers with Sustained Complaints: State Agencies 08 Cotizen Complaints of Excessive Force Receive in 1994 per 1,000 Swom oficers By Agency Type pacers 107 Cctizen Complaints of Excessive Force Recewved In 1994 per 1,000 Swom ofcers By Agency Type and Size a 108 Preliminary Dispositions of Excessive Force Complaints: By Agency Type... 414 Preliminary Dispositions of Excessive Force Complaints ‘Sheriffs’ Departments by Agency Size 115 Preliminary Dispositions of Excessive Force Complaints: ‘ity Police Departments by Agency Size 116 Discipline Acministered Following Sustained Complaints of Excessive Force Fed in 1992: By Agency Type 122 Discipline Administered Folowing Sustained Complaints of Excessive Force Filed in 1984: Sherif’ Departments by Agency Size 323 Discipline Administered Folowing Sustained Complaints of Excessive Force Fle in 1981: Gity Polce Departments ty Agency Size : 124INTRODUCTION gon Bittner, in his pioneering classic The Functions of Police in Modem Society, argues convincingly tat ‘the capacity to use coercive foree lends thematic unity to al police acy inthe Same sense in which, the capecty to cure less lends unity to everthing that is ‘orcnaniy done in the Feld of medical practice (197042). In more conerete terms, he went on to contend (2970: 43) that: the role ofthe police Is to acires al sorts of human problems when and insofar 's their solutions do or may possby require the use of force at the point of thelr ‘occurence. This lends homogeneity to such diverse procedures as catching a ‘imine! crivingtharnayortothe aor, evictingadrunkon person fromaber,crecting trafic, crowed control, teking.care of ost children, administeringmecical first ai, and ‘separating fgitngrelatives. Inthe Bittner tacton, many subsequent scholarsnave found itusefulin defningthe role ‘and function of police to argue thatthe legitimate use of coercive fore is the cial factor lstingushingpolcingtromllother professions anddistingulshes polce officers romallotner Gtizens, Sherman (1980: 2},forexamole, stated, “The essence af governments amonopoly ‘onthe nonpunishable use of fore, end moder governments delegate that monopolyto police sce.” ‘More recenty, Kckers (1985: 910) concluded: Nopolce anyuhere has ever existed, norsitpessibieto conceive ofagenuine police fever existing, that does not claim aright to compel otner people foriby to do something. If iad not claim such aright, would net be a police. ‘Seen inthis light tis reasonable to expect that our poice would use foree as an everyoay par of therjob, Indeed, the police must be alowed to use force when necessary to achieve legitimate police cbjectives, Witnoutthiscapacty they wouldbe unable tofunction effectively However, 2s pointedoutty Kersttter(1985: 149), tisprecicelybecause “the appropriate use of coerive force” defines modern police, that “the inappropriate use of coercive force's the central problem of contemporary adie misconduct.” Ary use of frce by police must be Constrained by the laws that they are Bound to uphold. Any violation of those laws can be fexpected to undermine the pubic support and credibly thatthe police need to function tffectvely. As shown by the recent rots In Los Angeles, the oss of trust in poe, and the ‘resulting dmnutionin theiretfeciveness, can have ferzeaching consequences. The societal Consequences of police excessive use of orc, however, predate the destruction 2 desth intos Angeles and throughout the nation. One need ony refer to history books to recall that ‘the Chicago ft of 1949, the Harlem disturbance of 1935, the Watts it of 1965, the wide range ofeisordersin 1967, the Miami iotof 1980, and many other similar episodes stemmed In large part from public perceptions af police misconduct and excessive force.Despite the stl importance of the use af force by police, Ite is currenty known about the use of fore bylaw enforcement ofcers, department poles regarding the reporting of uch force, the extent to which force is alleged to be used excessively what types of offeers {and citizens are involved in incidents of alleged excessive force, and how law enforcement ‘agencies respond to allegations of excessive force Recognizing the need for further understanding ofthese issues, the Police Foundation received funding om the National institute of Justice to conduct a comprehensive study of police use of force invoking 3 national sure of aw enforcement agencies, The responses {that survey provide the fest national data on the extent te which law enforcement offices use force, the types of force used, the force reporting requirements of iw enforcement ‘agencies, the procedures for receving and processing complaints of excessive fore, the numbers andrates ocvlian complaints of excessive force received, the dispositions of those ‘allegations, andthe frequency and isposiionsolawsuis alleging te use of excessiveforce, ‘The remainder ofthis report identifies what known—andnat known abou the use of force by police, describes how the national survey was conducted, and presents a summary ‘ofthe mos pertinent findings ofthat suveyand discussesthe research and poicyimpications ofthe results. 18u. POLICE USE OF FORCE: WHAT IS KNOWN, WHAT NEEDS TO BE LEARNED Inthischanterwe review the current state of nowiedge about police use of force generally and the use of excessive force n particular. Inthe fst par ofthis chapter, we dlscuss the ‘variouscategorias offore, Aer that, we describe te lime information avalableconcering, theextenttowhien poceuse torcein gneral and excessive forcein particular. Woziso review ‘what Is known about the relationship between departmental policies, procedures, end Practices and (1) the levels and charactersticsof incidents involving the use of force and use of excessive force, and (2) the levels of excessive force compsints and the dispositions of these complains. ‘As will be soen by this review ofthe Iteratue, despite the imponance of these issues, ‘elatvely ties known about the extent to which police use force, the types of force used the ‘extent 10 which force results in ctizon complaints, the procedures for processing those ‘omplaints, and the extent to whien those complaints are determined by the departments to belustiied. Theresuits rom the suey, describedin Chapter, providethe frst national data fon these topics. TYPES OF FORCE “Foren I the eustion afer to compel or estain the behavior of others" (Kania and Mackey, 1977:29), Paleo force can be classified as "non dead" or “éeadl.” “olen” oF “nonsolet,” and “reasonable” or “excessive.” Force is “deadly fits ely to cause death corerious bosivharm, and, thus, "nondeadl” itis notikelyto cause deathor serious bodily harm. Deal force|s ways violent (thats, physical):non dead force can be physical o non ‘yalcal. Non-physical force would include oficer presence and verbal commands (see 6, Cleve, 1987). Figure 1. provides a“Use of Fore Seal," insisting he fore options avalible to officers. ‘The options range om verbalization trough non-deadly force to use of deadly force. Both “justifiable foo” and “excessive force” can cul across any ofthese lavels. Most of tho literature has focused on force that's physical (thats, volt). Legal, excessive force by police Is tat amount of phyicalforce thats more than easonaby necessaryto «fect alegal police function. Consistent wth this, Kania and Mackey (97729) acknowledge that poe Violence cen be both “proper ang improper” and define “excessive force" as “vilonce of a ‘degre that is more than necessary or jusifled to effect a legtimate police function. 19(1961) w2Mmedog 204 Se[e8uy $07 249 J Uo|ssHAWED WwePLadIpU -FOUNOS Nouwzrivawsn cago was soso s00s 89 eoKuo4o satoH wens --39NMaWoo ‘Po vod 0uos suvicaMeaiNt 040 Atavaa ‘9129s 90104 Jo asf) TaunDl‘Abroader definition would encompass excessive force that is nonviolent, as well. This broader conceptuazationisportrayedin te Use of Force MocelinFigue 2. This modelinpies 2 very oad detiniton of “excessive force” by Including the nenphyscal police concur. it “Species the proper use offorce by anofice for various categories of oppanent/subjectaction. ‘According to Desmect(1984:172), "the subject's threat/resistance level determines the necessary amount of fore the officer uses.” Using less force than is necessary In light of subject action is termed “ineffective contol.” Using too much force is “excessive control.” Fife (1987) exeands the concepts further by distinguishing between two types of lawful ‘Yolance in an untraditional way: “necessary violence" and “unnecessary velence.” "Unnec- tessay violence," he explains, “occurs when wellmeaning ofiers lack the Skil to reS0NVe ‘problema withas litle violence as possible, and, instead, soto force that might otherwise havebeen avoided" (Fyfe, 19876), This typeof violence slat (per his categorization), but avoidable. ven these definitions and figures do not remove the ambiguity fom the concept for officers, departments, and researchers, Because itis not possible ta articulate the specfc ‘appropiate force responses of officers for every conceivable situation, the “reasonably necessary” standard as judged bythe “reasonable person” is equifed. However this eaves officers tofind that arom ine, portrayed on Figure 2, that “wobbles between proper practice fend excessive volance” (Manning, 1980:140). Atypical department poly directs offeers to Use amount and type of force that Is reasonable and necessary under the cicumstances, One focus of the national euney conducted by the Police Fourdation was departmental polcies and practices pertainingto physical force—oth deadly and essthanlethal--used by law enforcement officers. INCIDENCE AND PREVALENCE OF FORCE “Ther Is tte information vellable regarding the extent to which police use force, even ‘deadly force. This s dv in large pat, othe difculty of obtaining data. The study of poice use offorce began with focus on deadly force. Within natarea, the oficial data trstavalable Were ot-evel frequencies offrearms homes by pole officers. Later. data on firearms its {Gath andwoundings) became avaiable, and subsequently, dataon shotsfred. These data ‘became increasingly avalable as cites started to keep tack ofthese types of incidents for Intemal purposes. Today, vitualy all departments maintain this information. (See Alpert and Fidel, £982, for discussion ofthe acvances aver ime within the study of deadly force) ‘A much more recent phenomenon is the adoption of “use of force" forms by some ‘departments inwhich oficers reper information foreachineidentin which eltierdeadtyorless, {han letnal force is used. Faw studies on free have reledon use of force forms and, instead, have relied on obsenictional or survey data. Below we describe the limited amount of information valable which pertains to the incidence and prevalence of police use of force, Including excossive force,eure 2 Suen) pace We and ind la eopardy subject) tel Pam Suet) agree ese without epee Subjects etvey rss) na eefensive INEFFECTIVE CONTROL, or RESPONSE Subjects) not contoled by seta drection, passive Subjects cooper, but mas be pten Secon oF compliance ETAL FORCE JUSTIFIED EXCESSIVE CONTROL oR cooper, ta arin lose proximity o agewoticer RESPONSE. PRESENCE a Law Enforcement Reprsenine ‘VERBAL DIRECTION (Penuaton, Advice, Waring ‘WEAPONLESS CONTROL Teckigues Pain to Cause | Mechanical | 2 Compliance | Temporary | Comet [8 Techniques | Refeane 2 Innibion E {Stunning} ReArONS, Reprintod ftom Journal of Police Science and Administration. Vol 42, No. 2, page 178, 1864. Copyright ld by tho International Association of Chiefs of Police, 515 N. Washington Stree, ‘Alexandria, VA 22314, USA. Further reproduction without express writen permission from IACP Is. stietly prohibitedFoiss (1968), Friedrich (1980), Bayley and Garofalo (1989), and Worden (1992) report ‘mat he use of force by polices infrequent. Black and Reiss (1967) collected information on $3826 police ctizen encountersin thre cites ung the summer of 1968. Usingthese ata, Foiss (1971, and later Frierich, 1980, usingthe same data) determined that force was used {n5.1 percent the 1,565 incidots “in which the police care into contact with ctizens they regarded as atleast potential offenders” (Friedrich, 1980:86). In the small proportion of incidents in which force was used, the force was detormined tobe reasonable in 65 percent ‘of those incidents and excessive in 35 percent. Lundstrom and Mulan (2087) measured the amount of force used bythe St Paul Police Departmentbetween Marcn 1, 1985,andFebruary28, 1986 (a2-onth period). Specialy, ‘the esearch focusedon custody situations: both those inohing arests ang those nvOin ‘the tranaport of individuals to detoxication centers and/or mental hospitals. Of 13,989, custody situations, 1,750, oF 14.6 porcent, involved offcor use of force. The custody ‘tuations most kay to lea to fore were those invowing disorderly conduc, petty assault, ‘and aggravated assoult. Those stations volved force In 54.2, 30.5, and 21.5 percent of Incidents, respectively. The researchers cid nat ater to distinguish between reasonable ‘and excessive force ‘Worden (1992) conducted secondary analyses on data collected in 1977 forthe Police Senvces Study. Trained observers collected data on 5,688 polcecitizen encounters during ‘900 patio sits in 24 police departments in three metropolitan areas. He found that poice Used fore in just 60 of the 5,688 (1.05%) pole etizen encounters. In onethird of those ‘encounters. where foree was used, the observer adjuiged the force To De excesshe oF unnecessary. Among those encounters that volved suspects (as opposed to citizens who ‘were not suspects, reasonable force was used n2.3 porcent oft encounters andimproper force was used in 4.Spercent. The remaining 96.4 percentofthe incidents involving suspects didnot involve force, ‘Various studies have surveyed citizens to determine whether they have bean the subject cof police misconduct, have seen police misconduct, or heard about police misconduct. [tis important to note that these stucies relied on the subjects Interpretations of what dfined “inisconduct.” A survey conducted forthe National Adkisory Commission on Ci Disorders {Campbell and Sehuman, 1969) asked ctzens in 15 etles about their negative experiences ‘wth pale, Seven percentof the blacks and 2 percent ofthe whites claimed that police had “roughed them up." ‘8ayey and Mendelsohn(1969) surveyed 80S ctizensin Dorwer, Colorado, In 1966 about, ‘emong other things, thelr experiences and their friends’ and neighbors’ experiences with “poles brtaliy.” Claiming to have personaly experienced poice brutality were 4 percent of the Caucasians, 9 percent of the blacks, and 15 pereent of the persons with Spanish ‘sumames. full 30 percant ofthe blacks reported that they had heard of charges of paice ‘natal fom ther ends and/or neighbors, comparedto 4 percent ofthe Caucasians and 12 percent ofthe persons with Spanish sumames. survey of etzens within a representative sample of U.S. cities found that 13.6 percent ofthe respondents belevedthattheynad been victims of some sorof police misconduct duringthe previous year (Whitaker, 1982). Only one third of the persons who claimed to have been mistreated fled @ formal complaint withthe police. Anothor source of information regarcing the extent of police use of excessive force is ‘surveys of lw enforcement personnel. For Instance, in the same study described above, Bayley and Mendelsohn surveyed 100 officers of the Denver Police Department, These researchers report (1969) that 53 percent of the officers acknowiedged that they had witnessed an “incident that someone might consider to constitute poice brutality” (p. 128, emphasis addec). Twenty-seven percent of the officers maintained that they witnessed Incidents that thelr opinion, involved “harassment or te excessive use of free” (p. 129). Barker (1978, repintedin 1991) suneyed 43offcorsinasmallsouthernciy, askingthem to estimate what percent of thelr elow officers engaged in speciied deviant activities. In _20diton to police brutality (defined as “excessive force on a prisoner), Baker asked about police perry, sex on duty, erinking on duty and sleeping on duty. On the average, officers reported that 40 percent (39.19%) of their fellow ofears have used excessive force on a prisoner. Tis was perceives as equal prevalent as sleeping on duty (an average of 39.58 percent) and more prevalent than any ofthe ether devant actives. [Amajor reason why we know so lite about the extent to which police use force, and the {extent to which ths force is used excessively is atthe measurement ofthese phenomena issodifficult. None oftre measures usedinthe studies deserved above to assess incidence and prevalence of force Is without valty problems. Observational studies are unitety to generate sufficient data for generalizing and sulfer from the probable eactuity ofthe ofeers Tobeing te subject of obsenation. Citizen suneys ointeniews measureperceptionsofforce ‘rexcessive force that may fer considera rom legal definitions. Surveys. intanewswitn pole also reflect perceptions and may sole socal desirable responses. Data collected from agency recordshevecrawtacks, 38 well. Fst of al oficial data from ‘any government agency reflects the agency perspective and may o* may not ful represent realty. Rolatedy, researchers who have studied force within individual departments, most ely achieved access to the most progressive departments which were more amenable to scrutiny. Anether problem Is tnat information from Geparmental records of force ave ‘frequently incomplete and variations aeross departments may be 90 gyeat tat I could be inappropriate toassume that the data rom an ingvedia department, or Severs departments, 's representative of law enforcement inthe United States. In terms of excessive Tore, departments can only provide data on complaints of excesshe force and/or sustained ‘complaints of excessive force, both of which are only indirect measures, at best, of actual behavior. One of the purposes of the curent survey was to determine the extent to whicn departments keep records on the use of free. Additionally, the suney collect from those _agenciesthatkeep these types of records data regardingthe extento which oficers use force. ‘These datahave never before been collected on s0 larg ascale. They allow forte frst time, for some general conclusions tobe made regarding the use of forceby U.S. law enforcement. ‘Chapter W presents the information regarding the extent to whieh department mandate that officers report the use of various types of force andthe rate at which each ype of ores wasreportedte have been used per 1,000 swom officers in 1994. These data are presented for feurtypes of agencies: shes’ departments, county police departments, cy police depart ‘ments, and state law enforcement agencies. Finally, within each agency type, the results ore presented by agency size. Inthe folowing sectionwe review the research thathasattemptedto determine theettects ‘of departmental polices, procedures, and practices onthe use of force, DEPARTMENTAL POLICIES, PROCEDURES, AND PRACTICES AND THE USE OF FORCE ‘Some research has addressed the effects that aw enforcement policies, procedures, and Practices have had onthe use of and response to both the reasonable and excessive Use of ‘orce. Important inthis ine of inquiy are poles, rocedures, and practices rect related to the use of force and the departmental response thereto, as well as polices, procedures, ‘na practices related orecrutment and selection, assignment, Superson, promation, and soferth. Research on departments has also focused on raining and its impact onthe use of tevce. POLICY RESTRICTIVENESS AND THE USE OF FORCE ‘Some research atthe deparmental level has focused specifiy on the efecto policy restctveness anc policy enforcement on police use of force. For instance, Ueiman (1973) conducted one ofthe earliest studies on dead free policy, He collected information fom 50 palice agencies in Los Angoles County to assess policy content, effectiveness, and enforce ‘ment. He found great diversity across jurisdictions in tems of polices regarding te use of deadly force against flesing felons, and found, as one would expect, that shooting rates correlatedwith polieyesticiveness. He found thal the departmentsin the most restrictive policy category hac approximately one‘aff the shooting rates of cepertments wth the least restrictive policies. The shoatingof fleeing felons accounted fora arge parol the diferences Ineates, which comesponded with the ferences inpoicies. However, this researcher found opartmonts with moce restrictive policies had fewer defense of ife shootings, as well Fre (1978) documented the etfects of a new shooting pobey and new shooting review procedures in New York ity. The New York City Police Department adopted 2 more restrictive policy in 1972, which seited futher a Forcible Felony statute and provided for a Frearms Discharge Review Boardto investigate and evaluate all dischargesby department police. Fife studied allpolee aischarges in that ety between Januaey 1, 1971, and December 31, 1975, ‘toassoss tho effect ofthis more restrtve shooting poicyandthe more comprenensvefollow Up procedures onthe “trequency, nature, ane consequences of police shooting in New York City" p. 312). He founda “considerable reduction” in police traarms cischargos folowing te palcy modifications. The greatest reduction was in the “most coetrovesial shootings,” that's, those involving fleeing felons or the prevention or termination of crime. Similary, Meyer (2980) ound areduetion in police shootings folowirgtne implementation ofamorerestrctve policy n Los Angeles, and Sherman (1983) eprted reductions in police gun use in Alena, Georgia, and Kansas City, Missour, folowing policy changes. Most ofthe studies that documented decreasesin shootingrats folowingimplementaton of morerestictvepolcies ‘also found no increase in risk of harm to officers (Fyfe, 2978; Sherman, 1983) C.2 POLICY ENFORCEMENT AND USE OF FORCE Persons researching force polices have emphasized thatthe contentof the guidelines is rot the only departmental factor related to use of forge rates. Skolnick and Fyfe (1993) ‘scribed events at several cites wherein the content of restrictive writen shooting policies was overshelmedty the much more lax unritten polices ofthe top administrators. Silay, ‘Sherman (1983) maintained that findings of reduced shootings folowingpolicyadoption inthe ‘tes he looked at (123): ‘donot suggest that these resuits can be achieved by the mere invecationofawatten poly. The policy changes in each ofthese cles were all accompanied by intense publicriicismofthe police andan neeasingly severe administratveanddlsciplinay posture toward shooting other tesearchers, too, have documented the effects of “administrative posture regarding ‘compliance”(Waege!, 1984:137) and, related, enforcement mades. So, or nstance, fe ‘noted the impertance, nat only ef the Rew, more restrictive shooting policy in New York City, but aso the establishment of the Frearms Discharge Review Board for poi enforcement. ‘Wiaege! (1984) examined police shootings inPhiladelphiabetween 1970 and 19780 assess {department compliance with statutory change in deadly fore law that occurredin 1973. The change was fomacommon law anyfeingfeloniaw'o aforcibletelonystatute. Waegelfourd “substantial noncompliance” with the new law. He reported that 20 percent ofthe shooting incidonts after the statute change were uriawful,susgestingthat “statutory charge alone may notbesufficientto bringabout desiredchangesin police behavior” (. 136). Instead, he argued thatwithoutan administrative stance thatthe aw wl becompled wth the changes inbenavior Called for by a statutory revision wil not occur Uchida (1982) evaluated the implementation process and outcome of Operation Rolo” in Los Angeles inthe late 1970s. This intervention changed the way in which palcenvoNved shootings were investigated. Specialy, Operation Rollout volved the Los Angeles Distet ‘Attomey’s Office in te on-scene, as well 3s folow.up, investigations of all offcerinvohed shootings. It was hypothesized that a more “ful far, abective, independent, and timely” review process would reduce the frequency of police shootings (p. 189). Uchica’s data indicated that offce: involved shootings decreased following adoption of Operation Rolout, ‘hough he cautioned that “itcannot be said with certainty how mucho that chenge was result of Rott” (p. 272).‘Te findings ofthe Independont Commission on the Los Angeles Police Department confims other indngsofreseerch in deadly force, that policies and procedures areinsuticent Inthe absence ofan administrative posture Gemandig compliance, This is reflected in the statement the Independent Commission (1991:32) “The problema excessive orceinthe LAPD fundementallyapreblomof supension, management, and leadership.” Tiswasalso {a theme in the recent American Civil Liberties Union release on “Police Brutality and ts Remedies” (1991). This report maintained thatthe way in whieh officers inthe field ean aut the police mission is “heavily influenced by the leadership of ther department” (991:6). Particular emphasis was placed upon the role ofthe chief of police in seting te tone within the depertment (9.6) When incidents of brutaliy, misconduct oF racism occur, the chiefs immediate Faction to these incidents will have a great impact on whether the Incident wil be repeated in the future. The tone can be conveyed by the detection and punishment of misconduct, but more positively by reinforcing appropriate conduct. Tach (3969:243) argued that "if an ofcer recruits citzens toh side in aconflct situation, or beriends someone who approaches him beligeremty, or aisarms @ man without fore, his effectiveness deserves commendation Aditionaly, examples suchas these of éefusing violence shouldbe usedas “positive training ‘materais.” Manning (1980:144, too, advocated changing the formal and informal reward Structure to reinforce the defusing of violence, ‘One apes of policy enforcomontia departmentaluse ofercerepertingcequirements. An Increasing numberof departments ae ruling afcers to submit reports foreach incident in which fore is used. As indicated above, the national suney determined the extent of his adoption and these results are contained in Chapter V. Aso relevant to policy enforcement is the extentto which complaints of poly violations are scutinized and Volations are punished. This issue is eiscussed in later section and was incorporated in the national suey. (C.3 RECRUITMENT/SELECTION Cone intervention to reduce tho use of unnecessary or excessive orcebypaliceisto screen, ‘atthe hing stage, persons particule incined toward wolence. A major problem, however, isdeveloping screening evioes tnatare valdmeasuresofthis propensity. Some researchhas _attemptedto determine what, any, Individual cnaractersties of fiers are inked to the use ‘of force, and particulary tothe use of excessive force. Toch (1969, 1984) claimed that mere ‘exist viclence prone people who “init violence pone interactions” (1984:225). Simiary, ‘the independent Commission on the LAPD (2991) determined that a large proportion of ‘excessive force incidents are concentrated among a small numberof officers. Studies nave looked at demographic variables, attitudes, workrelated factors, and other characteristics of “officers to determine whether atferences exstbetwoen acerswnouse force and oicers who Go net. More scarce, yet much more pertinent, is research identifing characteristics that dierentate officers who do and do not use excessive fore.C.3.1 OFFICER CHARACTERISTICS AND THE USE OF FORCE ‘Waker (1982) looked at the relationship between ofier characteristics and “attitudes ‘towaré violence” (the attuces ofa subject toward accepting volence as a way of SON problems" p.95). He oundno statistically sgnificantaifterences in atttudes between males ‘nd females, but found statistically significant poste corelatons between acceptance of \olence and a chichoad histor of prysical punishment and invoNementin sports, Further, younger subjects had more positive attitudes toward volence than aleer subject. Inherstuay of use of force forms submittadto the Rochester, New York, pollcedepartment between 1973 and 1979, Croft (1885) compared officers who used force frequertly with officers who cid nt, controling for duly assignment and avest exposure. Paralleling the findings regarding use of deadly force, Croft found thet officers who used more force were slenitcanty younger. Relatedy, these persons had fewer years of service and were younger lwhen appointed to the department. Aso assessing the effects of age, Cohen and Chaiken (1972) ound that okderoffcers hac fewer complaints fled againstthem, ncludingcomplaints ‘ofexcessive force. Fiecrich(1980:88) reportedthat “tne is ony the slghtestindcation that more experienced officers use force more reasonably and less excessively than less ‘exporioncedoticrs.” Cohen an Chaiken (1972)foundthat more educated oficorshadtewer cizen complains, ‘Similarly, Cascio(1977 found that more educated officershadtewer allegations againstthnem of excessve force, Incontrast, CoM (1985) found nodferences between the high and low Lseotforee officers in tarms oftheir eauetional evel. Similar, she found no dferences ‘between the two groups with regard to air miltary service, cl service test ranking, Neigh, ‘number of days lost from work due to sickness or injury, public and departmental evaluation (inetusingnumber of ctizen complaints, sustainedctizen complaints, cil charges, intemal initiated complaints, ciscipinar charges, or sustained scioinany charges) and whether the ‘officers were “proactive” or “reactive. Frieaich (1980) found few characteristics that elerentiated offoers who used ustiiable {force ancdthase who used excessive force. However he reported differences forthe variable r2c0 (seo also Reiss, 1971). Herepors that biack officers were more likey to use reasonable ‘orce, But ess Ikely to use excessive force. The finding regarding greater use of reasonable {orce is consistent wih ingings inthe deaaly force Inerature (@.., Geler and Karaes, 1981; Fyfe, 19810). These findings have heen attrbuted othe assignment of black officers to the higher crime areas and to the great propensity for black officers to lve in the higher crime relghbornoods (see e., Geller and Karales, 1981; Fyfe, 1981), ‘Worden (1992) looked atthe correspondence between various offcor characteristics ana ‘theuseof reasonable orce as wel asthe use aflmprope force. Overall he found that officer characteristics contributed ite to explanations oft use of eter ype of fore. interesting, however, were his ndings that black officers, as well as oficers who have earned bachelor's earees, were more tkely to use fore, but less ikely to use improper fore, Further, officers ‘wore mere likely touse frceithey “concotve(a their role narrow terms” (eg, beloved that 8‘ne potceshouldnot“handlecasesinoling pubs nuisances, suchas barkngdogs orburing rubbish” p26), dsplayed negative atudes toward chizens, and/orbelieved that the use of force should be regulated intemal by the poe ‘01650 LAPD officers surveyed bythe Independent Commission onthe LAPD, one-quarter Detlev that “racial bias (prejucice) on the part of offcers toward mano etizens eurenty ‘exsts andcontributes toanegatveinteraction between police andthe community.” Over one ‘quarter agreed that “an officer's prejudice towards the suspect's race mayleadta the use of excessive force” (199169) Black and Reiss 1967) and Friecich (1980), came to diferent conclusions egardingthe role of racial prejuice in officers’ use of force against blacks, though they used the same Source of data. The offices” attitudes toward blacks were assessed based on the comersations betwean the observers and officers during their lngty interactions. Reiss (4974)reportedtnat, though more than 75 percentof te officers made prejudiced statements ‘out biacks during the period of observation, the police dd not unnecessarily assault block Persons or treat black persons “uncvly” more aft than they dd whites, Friedrich (2980) ‘lalmed that aithough the ferences across prejudiced and nonareudiced offers were small, “the more prejudiced tne police are, tha mocelkely hey ae tose fora agains lock offenders” (9-90), ©.3.2 FMPLOYMENT SCREENING DEVICES. The New York State Commission reviewed studles that attempted to assess the ‘elationship betwoen amaloyment screening devioes and procedures andtheuse ofexcessive force and reported (1887306): arlyidontitcation and soreening of applicants that are or maybe violence prone are ‘problematic. norderto developmetiods todo, tisnecessery...tolsoatethase personaly characteristics that are precictve of olont behavior. The New York Commission suggested addtional research to develop screening devices ‘that could be used to identify violence prone persons and adctionaly, suggested that, since past behavior is the best predictor of future behavior, that background investigations be ‘especialy vigorous. Similan, the Independent Commission on the LAPD concluded that psychological “screening devices ‘cannot test fr. subte abnormal which may make an ind il ‘suited tobe apolce offer. such as poor impulse control ane the proclivity toward lence" (2.120) and also noted that these or related problems might deveion ater a person joins te force. The independent Commission noted as dé tne New York Commission, the importance ‘of assessing Volenthistoves of appicants, The members exoressed dlamay at the great attention during background investigations pas to drug use and sexual orentation compared {ovilent tendencies. The report stated (1991:11)‘2ocordingtathe Personne! Department, the instigators oftenaskintensely personel ‘ne pointed folow-up questions regerding sexual history and use of drugs, wile not pursuing a candidate's responses to the questions on violence. As a result, the investigators may nat effectively sereen out individuals with violent tendencies. ‘Tha Commission recommended that increased emphasis bepaidtopastbehavorsndless to test and Irteriew results during employment screening and that officers be retested petioically during employment to detect psychological problems, Addressingssuesrelatedto recruitment and selection, thenational survey collected data ‘on various characteristics ofthe swomn personnel in each department. Using these data, in Chapter WV, we compare the characteristes of the officer against whom one or more ‘complaints wereflecduring 1991 andthe characteristics of officers against whomcomplaints ‘wore sustained wih he charactersties of oficersin general. Further, we present information ‘egaraing whether departments require psychological or psychiatric evaluations of their ‘depanment applicants, These results are presented for various agency types and sizes. C.4 TRAINING ‘The CommunityRelatons Service ofthe U.S. Department of Justice(1989:173) maintains that “traning can have a slgnfeant impact on all aspects of pollce service delivery andis of Cea! mportance inthe contol ofpolicecommuniy vorence.” Training nthe area deadly forcenas imoroved Significant inrecent years (see Alpert and Frdel, 2992) and much ofthat progresshasramifcetions forthe areactess thanetnalfore, aswel. Partculartynoteworty fr efforts to teach not ust howto soot but when to shoot. The corresponding aoplcation ‘oren ceadl force woul be training natJust on less than lethal tactics and weapons, buton ‘propriate tilzaton, Simiary, programs tnathave application forlessnanietnal as wellas ‘seedy force use would be training in ers intervention skis, general communication, and ecial skills, ond cultural sensitivity. “The Los Angeles Commission looked at academy Waning, fled training, and inservice ‘raining/and determined that “in each phase of raining addtional emphasis needed on the Use of verbal skills rather than physical force to cotta potentially vate situations and on the develoomentothuman relationship skllstobetter serve Los Angeles’ increasingly diverse population” (1991:123), ‘wo such specialized training programs geared toward the reduction of unnecessary \olance which have been implemented andevaluated are the Metre Dade Violence Reduction Project ofthe Police Foundation and the Oakiand intewerton of Tach, Gran, and Galvin *Sunvival Git of the Metvo Dade PoiceFresrm Range uses ole paying of police citizen encounters to “enhance patrol officers’ sklisindefusingthe patentaly woient situations they fencounter every day” (Fyfe, 19871). Officers in groups are assigned various rles, such as ‘hat ofa perpetrator, bystander, orofcer. Fyfe, who with te Police Foundation designed and ‘evaluated the traning regimen, emghasized te importance, not ust of safety tactics, but of officer sensitvty and polteness when dealing with citizens in order to avoid escalation toViolence. in this vein, Scharf and Binder (1983) described the relevance of teaching officers Interpersonal skis and crisis intervention skis that may hep to defuse confontations with ‘agitated citizens. Goll (1982) also noted the importance of multicultural awareness on te aro ofcers. He explained (1982:172) that we need ta “sensitize officers to. cultural ‘ifferences amongracial andethnic groups that might lead ofcars to misreadthe dangerous- ress ofa situation on the street.” “Toch, Grant, and Galvin (1975) Implemented the Oakdand project designed to reduce the ‘amount of violence In policeciizn contacts, instead of designing and imposing the intervention upon the officers, tis team tumed the tasks of design and implementation over towellespected officers in the department wno had experiance with violent confontations ‘Tho ofcers generated varus poles andinterventions designedto reduce polcectizen olence including an inservice taining program for wolenoe-prone officers, a redesign of ‘2cademy and fel traning, the development of a Famly Csi intewention Unit, end the ‘evelopment ofan Oficer Review Pane ‘As pertains to aining and the use of force, the national survey collected information rom ‘departments regarcing the amount of training provided to recruit, the use of Feld Trainin, Office: programs, the length ofnew offer probation, and certain aspects ofin-senve training ‘These results are contained in Chapter IV. The results provide comparisons across agency ‘ype, size, and geographic locaton, C.5 MONITORING AND EARLY WARNING Since the eary 1970's, aw enforcement agencies have boon using vaious methods by which to monitor ther officers, wth a particule interest in cetecting oficers who are prone to misuse fore (FB1, 1991). Information contained within personne les can be used as part of en “early waming” system designed to help identity Volence-prone ffcers. Tne United States Commission on Chl Rights (1981:61) pointed out tat “the careful maintenance of ‘ecordsisessentiltomakingpossble the recognition of officers who arerequertiythe subject ‘f complaints or who demonstrate Identiable pattems of inappropriate behav.” They ‘deserved the information maintained by several departments which had developed early warning systems. This information include The number of times an office Is assaulted or resist inthe course af making an arrest, 28 well as the numer of injures sustained by an offer or ctizen in confrontations between the two ‘The number and outcome of citizen complains lodged against an offoer, alleging ‘abusive behavior orunwarranted use offer. Mary such complaintsare groundless, {andar that wouldbe wel-founded arenever mage; nevertheless, the accummulaton of alarge number of complaints against an offer may reveal something about that officer's style of policing.‘Te number of shootings or farms} discharges involving an officer ‘The picture of the officer presented in supervisory evaluations, intewdepertmentat rmemeranda, letters, and other reports. ‘The New York State Commission (2967) scknowiedged the ditfeuty In pinpointing Indcetors ofan ofcer ho is misusing force, but advocated te development of early waming ‘ystems, nonetheless. They reported that 19 of the 30 New York agencies that responded to. suney indicated that they had same form of eary intervention system in place. InSaitLake City, a policywas implemented whereby ofcerporformance was “inspected” periicallyby tne department, This invoWedan inspector intervewingpersons with whom the Dicer had recent interacted-—including suspects, witnesses, victims, and so forth. Ifthe inspector came across negative comments, s/he inteniewed at least five more eftizens. Officers were informed of the outcome of te inspection and given constructive feedback regarding postive andnegative points. I-serious problems” were found, n-person counseling {rould result. Reportedly one year after malementation ofthe program, complaints against police nad cropped from five per dayton average of five per month (Smith, 1974), ‘The Bakersfield Police Department intiated in 1987 a program whereby offers tape recorded all officerciizen contacts. The program was developed as a result of cilen Complaints of officer dscourtay. Folwing implementation of this monitoring program, ‘complaints of iscourtey cropped to near zero (Breadaway, 1974). Related to the monitoring of force, the national suey collscted information on whether ‘departments systematically review use of force repor's and whether and how departments Intervene with ofces dentiied as using unnecessary or excessive fore, ©.6 CONCLUSION Inthis section wehave descrbedresearch that inks departmental policies, practies, and brovedures to tha use of reasonable or excessie force by police. Armajor drawback tothe resoarch in this aea the focus on asingeluriscilion or, atbest, several jurisdictions within Studies, Additionally, a vast mojoy of the stucles have focused on municipal police departments, negecting sheriffs" departments, county police departments, ane state agen- ‘es, Because of ths naraw focus, generalizations for purposes of policyrecommendations ‘aretenuous. Adiionaly mostofthe resnarch has fecusedon deadly force andnetorcermore ‘broadly. The survey conducted by the Police Foundation provides the frst national data that laws foran assessment of departmental policies, procedures, and practices andthe use of {orce, end, nso doing, measures ferce broadly, encompassing oth deadlyand ess than lethal force, and looks at sherfs' departments, county police departments, endstate agencies, as ‘well a municipal departments.DEPARTMENTAL POLICIES, PRACTICES, AND PROCEDURES AND THE RECEIPT AND DISPOSITION OF COMPLAINTS, The Independent Commission on LAPO was charged, ater the Rodney King incident, to review policy and practice within the LAPD. This Commission claimed tha, absent the video recoring, the oicersin the Rodney Kingincidont would never nave been held eecountabe for ‘their ehavir. The Commission report (1981) stated ‘The etfs of King's brother, Paul to fle a complaint were frustrated, and the report ofthe invohedofficers was falsified, Een there hadbeen an investigation, ourcase- boycace review of the handling of over 700 complaints indicates that without the Holley videotape the complaint might have been adjudged to be “not sustained,” because the offcers' version conficted with the account by King and his two passengers, who typcaly would have been viewed as not “independent.” “Though inited empirical informations avaiable, it appears there is wide variation among, ccepartments with regardto the rate ofcomplaint received (see. g., Kersoter, 1985; Welter, 11986; Dugan and Breda, 1991). Similarly, tnere is much varlaton In the extent to which complaints are found to be tue (see e.g, CuNer, 1975, and Dugan and Breda, 1991). As Indicated bythe Rociney King example, nowever, the levels at which complains are recehved “nd/or complaints ara surained may note indicate of the amnunt of msnnasivn fee used by department members, The numberof complains fled wth a department couldbe affected by factors suchas the amount of fath that etizens put inte the complaint review process and ‘the ease with which complaints can be fed. Levels at which complaints eve sustained may be affected by these same variabias ae wel as by the qualy ofthe vestigation, the level of root required to "sustain" a compiint, the eustence of independent witnesses, the characteristics ofthe complainants, and sofort, t's not surprising that when the police come under fire for misconduct, the processes for ‘receiving and ajuciating complaints comeunderscutny. ASreportedin the 1967 TaskForco Report on Pole (President's Commission on Law Enforcement and Administration of Justice, hereatterreferedtoasthe President's Commission: "How complaints shouldbe handed and how misconduct should be deat with has been the Subject of perhaps the fewest the many controversies about the polie hat nave raged in recent years” (1967: 19), Inthissectionwe review whatis known abouthow police departments receive and process, complaints of police misconduct and how these procedures might affect rates of complaints ‘eceived and the dlapositions of thaee complains. Most ofthe research reviewed has not focused spectcally on excessive force complaints, but rather more broadly on complaints ener.D.1 RATES AND TYPES OF COMPLAINTS Sovera authors have provided rates of complaints recelved by various departments. Unfortunately, most of nese studes nave focused ona limited number of jursditions and ‘hemeasures havenot been consistent across studies, precluding rose studycomparsons. Walker ana Bumpnus (1992), tiga nding ofthe New York Cty Can Complaint Review Board (1990), reported that in 1980, misconduct complaints in New York Cty ranged! rom ‘Lper0,000 police citizen encountersto per 10,000 polcectizenencountars, depending ‘onthe area ofthe city. Kerstetter (1885) calculated rates of complaints per officer fr four Cites using data colected ty Perez (1978). Interestingly, tre 1976 rates of complaints par officer forties of tre cties—Kansas Cty, Oakiand, and Chicage—wereall.52:1. Berkeley's ‘ate was higher at 95:1. Dugan and Breda (2991) received survey responses from 165 _agenciesin the state of Washington. The average number of complaints per year ner agency was 4.2, oF .27 per “publi-contact enforcement officer inthe agency” (p. 166). These ‘researchers found no relationship betwoon sizes of agencies andthe rates of complaints oF of sustained complains, Both Welizer (1986) and Topping (1987) compared the rate of complaints in Norther ltetanato England and Wales. Both reported afar greater rate in Norther lela than in the other two countries, Topping (1987), for instance, found that he rate of complaints in "Norther Ireiand in 1985 was one per 500 persons inthe population compared to one per '3,000 persons in England ana Wales. Weltzer (986) noted het Norhem eland has two times the number ofpateefcers per personsin the population and faces verycferentaw ‘enforcement challenges than those faced by either England or Wales. ‘tempts to measure the extent to which act feceives complaints of misconduct can produce vast ciferentresuts depending onthe source of ata used. For instance, the Police Foundation publication, The Big Six: Poliong America’s Largest Cites (Pate and Hamiton, £991) reported that poice misconduct complaints received by the New York Cty Police Department, as reported by the department, inthe years 19865 through 1990 rared from approximately 5,000 to 10,000. Incantrast, te “Police tality Study” conducted by ‘the Criminal Section ofthe Civil Rights Division attempted to measure complaints of police misconduct against the New York City P.O. by revng on “complaints of offical misconduct that were investigated by tne Federal BureauofIneatigation and wnich were reported tothe Chil Rights Division” (U.S. Department of Justice, Civil Rignts Division, Criminal Secton, 11991: p. 1). For 1986 through 1990, the Gil Rights Division reported betwoon 6 and 23 ‘complaints of police misconduct against Now York City police officers Similar sporadic evidence Is availabe regarding the Ses of complaints received by \dopartments. Percentages of complaints that were excessive force complaints ranged rom 417.5 Dugan and Breda’ (1991) study of 168 Washington State departments to 68.4 in “Metro City” studied by Wagner (1980s). Twentyone percentof the misconduct complaints in Detroitin 1975 were fr excessive force (Littejohn, 2982). The corresponding ure for all fie cites stucied by Perez (1978) was 25 percent (Kersetter, 1985), and in Northem Ireland the figure was 35 percent (Topping. 1987).“Tne other catagories of complaints varied aeoss studes, as they do across departments, ‘Duga and Breda (1901) reported that 41.5 percentoftne complaints to the Washington state ‘agencies were for “verbal misconduct.” In contrast, Wagner (18804) reported that only 9.8 percent of the complaints against “Met City" offcers were for verbal abuse. Possibly Luttejona’s (1981) report of 24 percent “demeanor complaints” corresponds to the verbal ‘misconduct category. Other categories reported researchers aellegal arrest(at 15 percent {in fe oes, Kerstettr, 1985), legal arrest or search and seizure (at 31. percent in Phitadeiphiainthe earysixies, Coxe, 1962), harassment (at 26 percent inPhiladelphia, Coxe, 11961), ana procedure complaints (at 16 percent in Detroit in 1975, Litlejonn, 1984), To add to wnat is known about the nature and extent of citizen complaints of excessive focoe, the Police Foundation survey collected information from the netional sample of ‘Gopartments regarding the number of excessive force complaints recelved during 1991. The ‘humbers of complaints, as wel asthe rates of complaints pernumber of swom personnel, are presented in Chaptar IV forthe various agency types, sizes, and geographic locations. D.2 CITIZEN CONFIDENCE IN AND AWARENESS OF THE COMPLAINT PROCESS ‘As mentioned above, the rate of complaints received by a jurisdiction may be as much a oduct of etizen confidence inthe complaint process as anyother factor. West (1988:113) Frequently assumed to provide a measure otpotce performance, the complains rate isonet the mostnadly abused polcebased statistics. Thus, an increasing number of complaints fled wthaparicularagencymaynotrefectadeterorationinstandards, of ofcer behavior, but could be interpreted 8 indcatng a sign of increasing cizen tonfidence in the complains system. ‘Sina, Walker and Bumphus (1992) suggested that higher rates ofcomplaint received by departments may refect high clizen confidence in te investigation and disposition of ‘complaints and thus argued that “a more open and responsive" system for processing ‘complaints wouldixeleadtoan nceasein complaints. Theyreported( 2992, cttngWhitaer, $1982) that only one-third ofthe persons who belive they nave been mistreated by DOICe fe Complaints. They pointed outthat his ure isnot unike the propartion of persns\who report to the poles the ermes committed against hem. That 43 percent of those persons who did not report the mistreatment they perceked because it “wouldn't do any good” provides ‘dktional support far tne contention that lack of zen confidence in a complaint syster wll reduce the numberof complaints receved ‘Additional support comes rom case study data. As noted above ofthe veces studied by Perez (1978), Berkoley had the highest rato of complains of police misconduct (see Kersteter, 1985), The sare study also found thet the Berisley complaint processingsystem \was the most popular ofthe ve. Conversely, ln and Givbons (2984:p, 6) commenting onPorand noted that “many citizens haveno confidence inthe intemal Investigations Dislon} and its procedures, and are therefore reluctant to file complaints against te police." ‘Several researchers documented dramatic increases in complaints received by particular Jursactons folowing revisions tothe complaint revew processes that seemed to be more ‘pen andresponsive tothe pubic. Litejohn (1984), forinstance, deserved the historyofthe DDetoit Police Community Relations Bureau, which was established in 196: to, among other things, take over complaint investigation replacing the “decenvalzed precinct programs” (p 25). Coincding with the development of the new system and with other subsequent improvements to this unit, urged By Devos Atrcan American community, the number of ‘complaints lodged by citizens incteased aver 200 percent between 1962 and 1968 rom 65 10.213), Subsequent tothe creation ofthe civlian Board of Poice Commissioners (BPC) in 11974, increases n complaints were again dramatic. The number of complaints received by {this board in 1975 was twee the cumulatwe number received over the previous nine years! Litejohn expisined(2981:42): “Undoubtedly, the publcty which attended the creation ofthe BPC andits adoption agrievance system wnichwas general pereened ascredible accounts forthe phenomenal inctease in ctzen complaint reporss within one year.” Similar dramatic was the increase in complaints trom 200 per year to 100 per month in Philadelphia following modifications to the complaint review system and attendant pubicty (Uitejonn, 2983), AlsoWalker and Bumphus (1982, citing Kann, 1975)notedan “enormous” increase in complaints received by the New York ity Police Deparment following changes to the complaint review process that made't “more open and more accessible the pubic” (p 9). (One aspectofthis “openness” theextenttowhichadepartment makes tepublicaware ‘ofthe process by nicht lodge complaints. indeed, several studios (eg, Jones, 1977, ‘and Jones, 1980) found that citizens" propensity to contact goverment officisls—for instance—to request a service or lodge a complaint, is a function of need for service and ‘aworeness ofthe systems and services of goverment, (Sharp (1984) found that need for ‘Senice was the mere impertat variable ofthe wo, ) ‘West (1988) found that 54 percent ofthe departments he sted gave out information {othe public on the process for fling a complaint. Wagner and Decker (2993) found that brochures are “the most popular” form of acvertsing. To address this aspect othe complint process, the national survey collected information ‘on the varous ways departments make chizens in thei jurisdictions aware ofthe complaint process. Aditionaly, information was collected about various ather aspects ofthe complaint recess that mignt indicate a more open and responsive system. These ae discussed more fullyina subsequent section. The findings are presented Chapter IV for each ageney ype ‘and for each agency type by size.1D.3 INTERNAL AND EXTERNAL COMPLAINT SYSTEMS In many ofthe cites where ctizons were dissatsfiog with the complaint review process, ‘ystems incorporatingciilaninputwere adopted, oftenattheinsistencoothopublc (seve g. Hudson, 1974; Littejonn, 1984; Trl, 4990). Adepartment has “cvllan review" i at some point in the complaint process persons other than swom officers are involved (Walker and Bumphus, 1992). Tis can range from systems wherein etaens are Involved with the investigation and reviow to systoms whore an invidualctizan or ctizen board tlized only ininstances inwnion there is eizen dssatistaction with the departmental disposition (Walker and Bumphus, 1992). ‘Washington, 0.C., established he rst olan review boarsin 1948 andwastolonedmore ‘thanadecadelaterby boards that were developed inPhiladelphia(1958),Minneapals(1960), Rochester (1963), and New York City (1966) (see resident's Commission, 2967; Litle;onn, 11981). Walker and Bumhus (1992) reported that by October of 1992, 68 percentof the 50 largest U.S. cites had some sort of evilan review. The practicesin these large departments, however, re apparenty not replicated within tne smaller agencies. West (1988) surveyed a broader cross-section of departments and found that over 80 percent (83.9%) of the partments in the US. have “exclusively intemal” processes fr investigating complaints. ‘Thase with both external review and intemal affairs units were mare likely tobe large (West, 1988: 112), ‘Arnumber of authors have reviewed the poste and negative aspects of incorporating Cewitans into the compat eview process (see e.g, Getnom, 1966; Hudson, 1973; Ten, 11982, 1990; Brown, 1983; and Honsiey, 1988). Proponents of some form of civilian review “argue that itis requires to ensure objective investigation andalspositon of complaints an to ‘enhance the credbilty of the process (see, e.£.. American Civil Liberties Union, 1992) ‘Addtional arguments that cision participation wil make the system appear less Intimisating, ane tnus more accessible, provide for more thorough investigations, and provide for mere appropriate dispositions of misconduct complains (see eg, Brown, 1983; Kerstetter, 1985; Stolnek and Fye, 1993). conversely, opponents claim that only law enforcement personnel have the expertise to evaluate the police behavior and that citizens haverecourseinthe ormsoferiminal prosecution ‘orci suit ithey are not satisfied wth the departmental review see Tel, 1982 and Brown, 11983). They express concern natthe restraint mposecion police byan external review process ‘would resut in police becoming “so concerned about possible isciplinary action that they would be ineffective in their assigned duties” (Kerstetter, 1985:162). Alotofwhat we know about clan partiisatonin the complaintprocess comes fromcase “studios, The Philadelphia Board nas recelvoc the most attention (see eg. Brey, 1962; Coxe, 1961, 1965; Schwarz, 1970; Hudson, 1971; Hudson, 1972; Litejonn, 1981), but the processes ofotherciteshave been studie, as wel These include: Now York seve. Black, 11968; Hudson, 4971; Litisjonn, 1981; West, £981), Detiot (itlejonn, 1984; Teil, 1982; West, 1991), Chicago (Letman, 1981; Ter, 1982; West, 1991; Kerstetter ard Van Winkle, 43989), Berkeley (Perez, 1978; Teel, 1982: West, 1991), Kansas City (Teil, 1982; West, a2991), and Portiand Uoln and Ginbons, 1984), Aditionally, authors have looked at systems in Canada (see eg, Baron, 1970; Watt, 1984; Goldsmith and Farson, 1987). Proviinga broader perspective are the results of nationwide survey of cvlian complaint systems reported in 1986 by the New York Cty Police Department Civilian Complaint Review Board thereafter referred to as the New York City CCRB). The authors ofthis study dvided ‘complaint systems into thvee types: 8 completely internal system (hati, with no evan InvoWement), an independent civiian or board charged with both the investigation and {ispostion of complaints andthe “hybrc” system whereinthe police cepartmentinvestgates the complaints, and the civiian entity provides some typo of input to the system following, lnvestigaton. (For other categorzations of intemal and extemal complaint systems, 860 Litlejonn, 1984; Teri, 1982; Petorson, 1994; and Walker and Bumphus, 1992.) The CCRS report compares the processes a the intemal systems and the two ehilon volved systems in terms of intake, investigation, and dispesiton. For the most pat, the systems co not fer ‘ppreciabiy except in terms ofthe cilia or som status of the actors a the various stages. ‘As such, wediscuss te stages of complaint processing betow in ageneralfashion, combining, Information about intemal and external systems, but indicating where ctferences exis. ‘Tre national survey collected information regarding the use of civilan review boards by ‘epartments across the county. Unlike previous surveys, tePoliceFeundation collected this information fermsmallas wells large agencies, and fom county police departments, shen" ‘epertments, and state agencies, 2s wel as fom cy police departments. The ndings are presented in Chaptor IV. D.3.1 INTAKE [As indicated above, Rodney King’s brother attempted to fle @ complaint of police ‘misconducton King's behalf butwas frustrated inhi attempt. Thisrepresents wnat happens when complaint intake processes place obstacles in the way ofthe cizans. At onetime in ‘San Francisco the counter at which complaints of potce misconduct were fled had ane inch ‘squares of paper and asign that ead “Write your omolainthere” (Schwartz, 1985). Though ‘resumen a joke, this communication sent a message ta citizens that complaints were not ‘welcome, Researchers have reviewed the intako processes ata number of departments. The Task Force Repor (President's Commission, 1967), forinstance, determined that jurisdictions used ‘a variety of methods to discourage citizens fram lodging complaints. A number of eties ‘tweatened complainants with crminal charges of false reports, and, in 1962, Washington, 1.., 0 in fact, So charge 40 percent of the complainants. The Task Force (Presigent's ‘Commission, 1967 reported that in Pilagelohie in 1959 twas "standard practice” to charge Persons complaining of excessive force with resisting arrestor disardey conduct. The prectcein Washington,DC. In 1966 wasto bargain away ne charges againtthe complainant if ne o she dropped the compaint (President's Commission, 1967). In Boston, a late a +1984, a person detained in ail overnight, a8 a requirement fr release, had to signa paperInicating that he or she would not hold the police lable for any behavior elated tothe arest (Fuller, 1964, a8 ced in Perez, 1978), ‘Tne Independent Commission on the LAPD heard testimony trom etzens inciting that ‘here were “significanthuries”(1991:158)toilngacomplaint. Some ctizens saicthoy were fearful, othersincicated thatthe complaint process was “unnecessary ait orimpossibie™ (2991:158), Evidence collected by the ACLU of Southem California indicated thatthe LAPD “actively discouraged the fling of complaints” (Walker and Bumphus, 1992: 11). Persons sho phonedthe departmentindieating tat they needed to fle complaints ofpalce misconduct ‘nereinftequenty refertedtothetoll free numberforfllngofcomaints (Walker and Bumps, 1982), ‘The Management Review Committee ofthe Boston PD. (St. Cla, 1992) reported that a numierofcommunity memberswho wenttothe police headquaterstofile complains of palice Imiscanduct were “decouraged" rom doing so, ethers were apparel informed that no more forms were avaiable “The report on the L.A. Sheri's Department indleated that “ewilans attempting to lodge complaitsat the chargedafficors station ae ignored, subjected verbal abuse, andinsome instances arestea” (Kots,1992:100). The team investigatngthe complaint process learned ‘that ctizens waited hours to receive the complaint fos they requested, Spanish-speaking ‘complainants were erroneously told that complaints Could only be lodked in Enlish, and ‘complainants were requited to provide thei erver's license numbers so that criminal record Departments cleary vary n tems ofthe ease with which citizens can fle complaints and ‘some researchers have looked at polices regardingthe receipt of complaints. Berel and Sisk (1964) forinstance, recelved surveys tom19:1 54 cites serving 25,000 persons ormore. They reported that the “normal practice” of these departments was to accept complaints by ‘mail by hone, orin person at either police headquarters or precnet stations. Three fourths bf the departments accepted anonymous complaints (0. by mallor phone). Adecade later, ‘Broadway (1974) reported his resuts from a 1971 suneyol 31 large cites regarcing czen complaint intake. Seven ofthe 31 (22.6%) only ecaived complaints at police headquarters. “Te remaining 24 allowed for complaints to be filed at ary police facity and some of those 24,llowed for complaintstobe filed at atematwvolocations (e.g, with review boar), 2 wll Asked ifthy received complaints by mail, by phone and/orin person, 26 of 31 (83.9%) ofthe departments responded affimatvely to all three. Four of the 31 (12.9%) only recolved complaints ithe citizen made itin person. Six of te 31 required thatthe cizen make & notanzed statement, Dempsey (1972) and West (1988) asked dopartments to indicate who could receive ‘complaints, West eported that mostof the departments he surayed prefered thatthe intial Fepor be taken by a supensor. Most ofthe departments responding to Demosey's survey reported that complaintscouldberecevedby any superiorofficertherestindcstedthat “any offleer” couldrecene a complaint.‘Tne New York Cty CORE (1986) survey report indicated that almost all departments with intemal compaint systems accepted complains “24 hours @ day, seven days a week, in ‘person, by phone, or mall"(p. 3). Some departments provide for locations with “non-poice ‘stmaspheres” where complaints can be lodged. Upon receipt ofthe complaint, a report is propared tobe fontarded to the imestigating body. The national survey conducted by the Police Foundation collected various types of Information reitedto te intake stage of complaint processing, such as data on the methods by and locations at which ctzons can file complaints and tho time of day ctizens can fe ‘complaints. Adattonaly, information was colected regarsing the time linvts for ling ‘complaints, the assistance provided by departments to complainants, the requirements for ‘lingcomplaints, and te persons authorized wthindepartments to acceptcompiains. These results are presented in Chapter IV with comparisons of these policies and practices across the ageney types and agency sizes D.3.2 INVESTIGATION ‘Theres also variation across departments with regard to whe investigates complaints. The U.S. Commission on Chl Rights (1982) suggested that @ determinetion of the appropriate Investigative body should be made onthe basis of the folowing questions: 1. Whnis nthe hest position te dtarmine the facts honesty and witnout bias? 2. Whois best qualited te institute change? 3. Who has time avaiable 1o investigate the allegations? The National Advisory Commission on Criminal Justice Standards and Goals (1973) ‘recommended that investigations ofomplains of excessive or unnecessary force be handled bylnteral fats Units. And indeeaboth the New York CORB survey andthe survey conducted by West (198) incicated thatthe investigation is usualy completed by officers inthe Internal Affas Owvision. Both suey found that less serious complaints, however, were fequety investigated byte officer's Gision. The New York CCRB survey evealedtnat complains ae Investigated ina manner consistent with ary police investigation (1986:8): --with statements taken, documentary evidence collected, and interogation of Subjectanduitness offeers, Te FithAmendmentrigntofasubjectofceris generally protected, citer by allowing him/her o invoke the peivege, or Guaranteeing tat the statements made are not used in ary subsequent criminal proceeding. erstetter and Van Winkie (298) stucied Chicago complaints for 1985 and found that 40 percent of the cases had witnesses other than the complainant anc the offer. Forty percont of these witnesses were fellow police officers and 32 percent were “elated to oF involved win” the complainant. Only 28 percent of the witnesses were “independent,” that Is, they were neither police offeers nor related to or InvaWved with the complamants,erstetter and Van Winkle (188) reported that 36 parcent ofthe victims ether refused tocaoperate withthe irwestgators atthe outset ofthe investigation afer the intial contact with investigators) or “could not be located or identied.”_Similaty, Walker and Bumphus (4992, cting New York City, 1900) reported that one third ofthe complaints fied during a 12 ‘month period in New York ity were dropped because ether theetzenwithorew the complaint forthe etlzen was unavalale or refused to cooperate withthe investigation. Walker and ‘Bumphus noted that this ctizen behavior maybe the result, at least in pat, of investigators ‘bchavir. Theysuggesteathat “complaint processingoficlals may

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