Police Accountability: A Leadership Development & Risk Management Approach

Preface 
Foreword 
Author Bio 
Acknowledgments 

Part I – Leadership 

Chapter 1 Leadership Theory 
Defining Leadership 
The Primary Leadership Theories and Perspectives
       The Traits Approach 
       The Behavioral Approach 
              The Autocratic Style 
              The Democratic/Participative Style 
              The Laissez-Faire Style 
       The Contingency Approach 
       The Situational Approach 
       The Path-Goal Approach 
       The Skills Approach 
       The Transactional Approach 
              The Limitations of These Leadership Theories 
Functional Leadership 
The Transformational Leader 
Servant Leadership 
Integrative/Virtuous Leadership 

Chapter 2 Leadership at All Levels 
Dispersed Leadership 
Holistic Leadership 
The Fundamentals of Executive Leadership 
Executive Leadership Mandates 
       Establishing the Mission 
       Mission Statement Basics 
New York City 
       Establishing a Vision and Organizational Values 
       Organizational Values
Leadership at the Management Level 
       The Functions of Management 
       Goal Setting 
       Policy and Procedure Development 
Leadership at the Supervisory Level 
Leadership at the Line Level 
              Conflict Resolution 
              Community Engagement 
Applied Leadership 
The Personality Differences Between Leaders and Nonleaders 
       Openness—Comfort with the Unfamiliar 
       Openness—New Ideas, Perspectives, and Viewpoints 
       Conscientiousness 
       Extroversion 
       Agreeableness 
       Neuroticism 
       Good Leaders 
Where Personality Comes From 
Appendix 2A Mission Statement 

Chapter 3 Integrated-Virtuous Leadership Lessons from the Ancient Stoics 
Erosion of the Social Order 
Historical Context 
       The Modern Age 
       Postmodernism 
Maintaining Social Order 
       Functionalist Perspective
       Symbolic Interactionist Perspective 
       Conflict Perspective 
       Defining the Moral Conflict 
       Summarizing the Problem 
       How to Spot an Ideologue 
The Foundation of Virtuous Leadership 
What Is Stoicism 
Stoicisms Clues to Virtuous Leadership 
       Courage 
       Wisdom 
       Justice 
       Temperance (Self-Discipline) 
Building Personal Virtue, the Seven Habits of Virtuous Leadership 
       Honesty 
       Self-Discipline 
       Compassion 
       Responsibility 
       Friendship 
       Work 
       Perseverance 

Chapter 4 Case Studies on Leadership 
Brief Summary of the Leadership Theories 
       The Traits Approach 
       The Behavioral Approach 
       The Contingency Approach 
Situational Leadership 
The Path-Goal Approach 
       The Skills Approach 
       The Transactional Approach 
       Functional Leadership 
       Transformational Leadership 
       Servant Leadership 

Part II – Introduction 

Chapter 5 Risk Management 
Risk Management 
       System(s) Thinking 
       Risk Management Concepts 
       Analysis 
Risk Causation 
       Proximate Cause Identification 
       Root Cause Identification 
       Risk Response 
       SWOT Analysis 
Risk Management Thinking 
       Errors 
       The External Versus Internal Locus of Control 
       Anti-Authority 
       Impulsiveness 
       Invulnerability 
       Machismo (the Old John Wayne Syndrome) 
       Pushing Too Far 
       Ego 
       Procrastination 
       Bias 
       Expectation Bias 
       Attribution Error 
       Combating Bias 
The Professional Mindset 
       Promoting Professionalism as a Tool of Accountability and Error Control 
       Levels of Professionalism 
       The Pseudoprofessional 
Crisis Events 
       The Black Swan 
       The Grey Rhino 
       What prevents us from engaging threats? 
       Combating the Grey Rhino and Preparing for the Possibility of a Black Swan 
Risk (Threat) Assessment 
Ask the Questions 
Map the Enterprise/Community 

Chapter 6 Understanding Police Deviance 
Theoretical Clues to Police Deviance 
       Social Control Theory 
       Subculture of Violence 
       Police Values Drift 
       Risk vs Reward Theory 
       Rational Choice Theory 
       Deviance Is Fun
Categories of Police Officer Deviance 
       Police Crime 
       Occupational Deviance 
       Corruption 
       Abuse of Authority
Professionalism and Police Deviance 
       Authority of the Police 
       Limiting the Role 
       Citizen Relationships 
       Technology 
       Measures of Effectiveness 
       Police Deviance can be Legitimized and is Easily Hidden 
The Police Subculture and Deviance 
Learning and Supporting Deviance 
       Rationalization Strategies 
       Denial of Responsibility
       Denial of Injury
       Denial of the Victim 
       Condemnation of the Condemners 
       Appeal to Higher Loyalties

Part III – A System of Leadership Development and Accountability

Chapter 7 Recruitment, Selection, and Background Investigation 
Recruitment Considerations
       The Traditionalist Generation (before 1944) 
       The Baby Boomers (1946–1964) 
       What Appeals to Them 
       What They Don’t Like 
       Generation X (1965–1976) 
       What Appeals to Them? 
       Millennials or Generation Y (1977–1995) 
       What Appeals to Them? 
       What They Don’t Like 
The Advantage Law Enforcement Agencies Have in Recruiting Millennials 
       Tell Them the Truth, and Paint a Realistic Picture of What Life Is Like in the Police Agency 
       Tell Them How to Be Successful in the Agency 
       Connect With Them Personally 
       Offer Internships and Ride-Along Opportunities 
       Put Your Best People and Their Stories Out Front 
       Generation Z or I Gen, Centennials (1996 to Current) 
       What Appeals to Them? 
       What They Don’t Like 
       Some Specific Suggestions for Recruiting Generation Z 
The Application Process 
The Selection Process 
Fitness Assessment 
Preliminary Background Check
The Oral Examination
Background Investigation 
       Background Investigation Levels and Guidelines 
Understanding Law Enforcement Versus Policing: Implications for Recruitment 
       The Law Enforcement Role 
       The Policing Role 
       What, Exactly, Is It That We Want From the Police? 
       The Role of Police Discretion in Our System of Justice 
       Policing as a Profession, the Role of the Constable 
       Toward “Wise” Policing 
Appendix 7A Sample Mission, Oath of Office, Code of Ethics 
Appendix 7B (Sample) Personal History Questionnaire To be completed by the applicant 
Appendix 7C (Sample) Background Investigators Oral Interview Guide 

Chapter 8 Training, Evaluating, and Supervising Recruit Officers 
Socialization 
Policing Styles 
       The Watchman Style 
       The Legalistic Style 
       The Service Style 
Field Training—Stage I 
       Socialization Principles 
The Traditional Norms of Policing 
       Loyalty 
       Confidentiality and Silence 
       Danger
       Isolation
Field Training—Stage II—Police
Training Officer (PTO), Experiential Learning 
Concluding the Field Training Experience 
Discipline 
Supervision of Recruit Officers, FTOs, and Sergeants 
       Team Building and Cohesiveness 
       Group Conflict 
       Relationship Building 
       The Downside of Cohesiveness 
Probationary Officers—Performance Evaluation Basics 
       Rating Errors 
              Rating Bias 
              The Central Tendency Error 
              Halo Effect 
              Leniency Error 
Validity and Reliability Issues 
       The Graphic Rating Scale 
       The Behaviorally Anchored Rating Scales 
Appendix 8A Sample Recruit Training Manual 
Appendix 8B Sample Problem-based Learning Exercise 
Appendix 8C The Neighborhood Portfolio Sample Exercise 
Appendix 8D Sample Graphic (Trait) Rating Instrument 
Appendix 8E Sample Behavioral Anchored Rating Instrument Courtesy Michigan State Police 

Chapter 9 Officer Accountability
The Professional Development Portfolio 
Sources of Guidance 
Motivating Police Officers 
       Need Theory 
              Physiological Needs
              Security Needs 
              Social Needs 
              Esteem Needs 
              Self-Actualization Needs
       Motivation-Hygiene Theory 
       Theory X and Theory Y 
       Expectancy Theory 
       Equity Theory 
       Motivation, Summing It All Up 
The Professional Development Portfolio 
Section I—Commitment to Mission 
       Understanding “Community” 
       Law Enforcement Activity 
       The Case for Proactivity
The Performance Categories
       Performance Category—Law Enforcement Activity (Line Level) 
       Dimension—Self-Initiated Enforcement Activity 
              Self-Initiated Activity Quotas 
       Dimension—Use of Unassigned Time 
       Dimension—Procedural Justice 
       Dimension—Significant Case Investigation 
Performance Category—Risk Management Awareness 
Performance Category—Community Service/Engagement (line level) 
       Dimension—Nonenforcement Community Contacts 
       Dimension—Community Engagement 
       Dimension—RAT Problem-Solving Initiative 
Performance Category—Professional Development (Line Level) 
       Dimension—Knowledge of Current Policies and Procedures 
       Dimension—Self-Discipline 
       Dimension—Interpersonal Communication Skill 
       Dimension—Recognizing Skill Deficiencies 
Appendix 9A The Professional Development Portfolio Line Level 
Appendix 9B (Sample) Department Policies and Procedures Officer Competency Exam 

Chapter 10 Supervisor Accountability 
The Importance of Sergeants to Great Policing 
The Advantages of a Supervisory Role 
Promoting Competent Officers to Supervisors 
       Significant Work Experience and Accomplishments 
       Teamwork and Cooperation 
       Reliability and Discipline 
       Promotional Exam Frequency 
The Classic Principles of Supervision 
       Managing Performance 
       Guiding and Organizing Work 
       Managing Relationships 
Supervisory Leadership Styles 
       Traditional 
       Innovative 
       Supportive 
       Active 
The Impact of Supervisory Style on Officer Behavior 
Promoting Excellence in First-Line Supervision and Leadership 
Discipline—The Sergeant Role 
Employee Issues 
       The Ascending Officer 
       The Indifferent Officer 
       The Ambivalent Officer 
An Ethical Decision-Making Model 
Performance Category—Proactive Supervision and Law Enforcement Activity 
       Dimension—Self-Initiated Enforcement Activity 
       Dimension—Promoting Effective Use of Unassigned Enforcement Time 
       Dimension—Promoting Procedural Justice 
       Dimension—Combating Occupational Deviance 
       Dimension—Promoting Risk Management Thinking 
       Dimension—Team Building and Subordinate Development 
Performance Category—Promoting Community Engagement (Supervisory Level) 
       Dimension—Nonenforcement Community Contacts 
       Dimension—Community Partners 
       Dimension—Analysis and Problem Solving—Supervisory Level 
Performance Category—Professional Development Leadership (Supervisory Level) 
       Dimension—Policy and Procedure Knowledge 
       Dimension—Self-Discipline 
       Dimension—Interpersonal Communication 
       Dimension—Recognizing Skill Deficiencies 
Appendix 10A Sample Job Description Statement Police Supervisor (Sergeant / Officer in Charge) 
Appendix 10B Law Enforcement Officer CODE OF ETHICS 
Appendix 10C The Professional Development Portfolio 

Chapter 11 Administrative Accountability 
Risk Management—An Accountability Framework 
       Step 1—Administrative Rulemaking 
              Research and Organize 
              Write and Solicit Feedback 
              Risk Management Considerations 
       Step 2—Training 
       Step 3—Supervision and Inspection 
       Step 4—Discipline 
Administrative Accountability in Action: Circle Back to Step 1—Rulemaking 
       Controlling Use of Force 
       Policy and Procedure Concerns 
              Use of Nonlethal Force 
              Risk Management Tactics for Controlling Use of Force 
Ensuring Officer Knowledge of the Rules 
Investigating Complaints 
       Policy Guidance 
              The Complaint Process 
              Complaint Investigation 
              Classifying Complaints 
              Complaint Adjudication 
Difficult Employees 
Labor Relations 
       Unfair Labor Practices 
Appendix 11A The Professional Development Portfolio Administrative Level
Appendix 11B Sample Policy Template 

Index