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Committee to Review Research on Police Policy and Practices Wesley Skogan and Kathleen Frydl, editors Committee on Law and Justice Division of Behavioral and Social Sciences and Education

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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Govern- ing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineer- ing, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropri- ate balance. This project was supported by Grant No. 2000-IJ-CX-0014 awarded by the Na- tional Institute of Justice, Office of Justice Programs, U.S. Department of Justice. Points of view in this document are those of the author and do not necessarily represent the official position or policies of the U.S. Department of Justice. Library of Congress Cataloging-in-Publication Data Fairness and effectiveness in policing : the evidence / Wesley Skogan and Kathleen Frydl, editors. p. cm. Includes bibliographical references and index. ISBN 0-309-08433-4 (hc) -- ISBN 0-309-52557-8 (PDF) 1. Police--United States. 2. Police administration--United States. 3. Law enforcement--United States. I. Skogan, Wesley G. II. Frydl, Kathleen. HV8138.F35 2003 363.230973--dc21 2003014400 Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http:// www.nap.edu. Printed in the United States of America. Copyright 2004 by the National Academy of Sciences. All rights reserved. Suggested citation: National Research Council. (2004). Fairness and Effectiveness in Policing: The Evidence. Committee to Review Research on Police Policy and Practices. Wesley Skogan and Kathleen Frydl, editors. Committee on Law and Jus- tice, Division of Behavioral and Social Sciences and Education. Washington, DC: The National Academies Press.

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Acad- emy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engi- neers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineer- ing programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is presi- dent of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its con- gressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Coun- cil is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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COMMITTEE TO REVIEW RESEARCH ON POLICE POLICY AND PRACTICES 2000-2003 Wesley Skogan (Chair), Department of Political Science and Institute of Policy Research, Northwestern University David H. Bayley (Vice Chair), School of Criminal Justice, University at Albany, SUNY Lawrence Bobo, Department of Sociology, Harvard University Ruth Davis, The Pymatuning Group, Inc., Alexandria, Virginia John Eck, Division of Criminal Justice, University of Cincinnati David A. Klinger, Criminology and Criminal Justice, University of Missouri-St. Louis Janet Lauritsen, Criminology and Criminal Justice, University of Missouri-St. Louis Tracey Maclin, School of Law, Boston University Stephen D. Mastrofski, Department of Public and International Affairs, George Mason University, Fairfax, Virginia Tracey L. Meares, School of Law, University of Chicago Mark H. Moore, John F. Kennedy School of Government, Harvard University Ruth Peterson, Sociology Department, Ohio State University Elaine B. Sharp, Department of Political Science, University of Kansas Lawrence Sherman, Fels Center of Government, University of Pennsylvania Samuel Walker, Criminal Justice, University of Nebraska, Omaha David Weisburd, Institute of Criminology, Hebrew University, and Department of Criminology and Criminal Justice, University of Maryland Robert Worden, School of Criminal Justice, University at Albany, SUNY Jeffrey Fagan (Committee on Law and Justice Liaison), Schools of Law and Public Health, Columbia University Kathleen Frydl, Study Director Ralph Patterson, Senior Project Assistant Edward R. Maguire (Consultant), Department of Public and International Affairs, George Mason University, Fairfax, Virginia Tom Tyler (Consultant), Department of Psychology, New York University Alexander Weiss (Consultant), Northwestern Center for Public Safety v

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COMMITTEE ON LAW AND JUSTICE Charles Wellford (Chair), Department of Criminology and Criminal Justice, University of Maryland Mark H. Moore (Vice Chair), Hauser Center for Non-Profit Institutions and John F. Kennedy School of Government, Harvard University David H. Bayley, School of Criminal Justice, University of Albany, SUNY Alfred Blumstein, H. John Heinz III School of Public Policy and Management, Carnegie Mellon University Richard Bonnie, Institute of Law, Psychiatry, and Public Policy, University of Virginia Law School Jeanette Covington, Department of Sociology, Rutgers University Martha Crenshaw, Department of Political Science, Wesleyan University Steven Durlauf, Department of Economics, University of Wisconsin, Madison Jeffrey Fagan, Schools of Law and Public Health, Columbia University John Ferejohn, Hoover Institution, Stanford University Darnell Hawkins, Department of Sociology, University of Illinois, Chicago Phillip Heymann, Harvard Law School, Harvard University Robert L. Johnson, Pediatric and Clinical Psychiatry and Adolescent and Young Adult Medicine, New Jersey Medical School Candace Kruttschnitt, Department of Sociology, University of Minnesota John H. Laub, Department of Criminology and Criminal Justice, University of Maryland Mark Lipsey, Center for Crime and Justice Policy Studies, Vanderbilt University Daniel D. Nagin, H. John Heinz III School of Public Policy and Management, Carnegie Mellon University Richard Rosenfeld, Department of Criminology and Criminal Justice, University of Missouri-St. Louis Christy Visher, Justice Policy Center, Urban Institute Cathy Spatz Widom, Department of Psychiatry, New Jersey Medical School Carol Petrie, Director Ralph Patterson, Senior Project Assistant vi

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Preface W hen the Committee to Review Research on Police Policies and Practice began its deliberations, crime rates were plunging, and the role of the police in this startling phenomenon was the sub- ject of vigorous public debate. At the same time, well-known police scan- dals linked to major U.S. police departments--including the Diallo and Louima cases in New York City and the Rampart scandal in Los Angeles-- were shaping the nation's dialogue on policing. By the time the committee concluded its deliberations, terrorists had attacked the nation. The committee attended to its charge to review policing research with these developments in mind. Consistent with the policies of the National Research Council (NRC), the committee confined its attention to social science research. When evidence was lacking concerning critical questions-- such as solutions to the challenges facing local law enforcement agencies in responding to terrorism--the committee includes them in its recommenda- tions for future research. On other subjects, such as the police role in pre- venting crime, there is a substantial body of cumulative research, and the committee makes recommendations for police policy and practice, as well as for research. In its deliberations, the committee returned again and again to the twin issues of fairness and effectiveness in policing. Many of the controversies and challenges facing today's police reflect a perception that these may be to a certain extent antithetical goals, but the committee con- cluded otherwise. These important concepts became the cornerstones of our report. vii

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viii PREFACE Many people made generous contributions to the report's success. We thank the authors of the papers presented--Geoffrey Alpert, University of South Carolina; Ian Ayres, Yale Law School; Ron DeLord, Combined Law Enforcement Associations of Texas; Edward A. Flynn, Chief, Arlington County Police Department; Lorie Fridell, Police Executive Research Forum; James Fyfe, John Jay College of Criminal Justice; William King, Bowling Green University; Robert Langworthy, University of Alaska, Anchorage; James Lynch, American University; Gary Miller, Washington University in St. Louis; Joel Miller, Vera Institute of Justice; Craig Uchida, 21st Century Solutions; Carole Willis and Stella Yarrow, Producing and Reducing Crime Unit, Home Office, London, England. The committee would also like to acknowledge the hard work of the consultants for this report--Edward Maguire, George Mason University; Tom Tyler, New York University; and Alexander Weiss, Center for Public Safety. A special thank you goes to Joan Weiss, Executive Director of the Jus- tice Research and Statistics Association (JRSA), for agreeing to publish a thematic volume of the JRSA journal featuring the papers from our work- shop on improving data. This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with proce- dures approved by the NRC's Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evi- dence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the delibera- tive process. We thank the following individuals for their participation in the review of this report: Richard Berk, Department of Statistics, University of Califor- nia, Los Angeles; Brian Forst, Department of Justice, Law, and Society, American University; James J. Fyfe, Commission on Training, New York City Police Department; George L. Kelling, School of Criminal Justice, Rutgers University-Newark; David Kennedy, Kennedy School of Govern- ment, Harvard University; Gil Kerlikowske, Chief of Police, Seattle Police Department; Jerome H. Skolnick, School of Law, New York University; James Wilson, Anderson School, University of California, Los Angeles. Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations nor did they see the final draft of the report before its release. The review of this report was overseen by Philip J. Cook, Depart- ment of Public Policy, Duke University, and Alfred Blumstein, H. John Heinz III School of Public Policy and Management, Carnegie Mellon Uni-

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PREFACE ix versity. Appointed by the National Research Council, they were responsible for making certain that an independent examination of this report was car- ried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution. Wesley G. Skogan, Chair Committee to Review Research on Police Policy and Practices

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Contents EXECUTIVE SUMMARY 1 The Nature of Policing in America, 2 Explaining Police Behavior, 3 Crime Control Effectiveness, 4 Lawfulness and Legitimacy, 5 Recommendations, 6 1 INTRODUCTION 11 Scope and Themes of the Report, 12 Plan of the Report, 13 2 CRIMINAL JUSTICE RESEARCH ON POLICE 20 Scale of Police Research, 21 Subject Matter of Police Research, 22 Police Research Methodologies, 27 Auspices of Police Research, 29 Research Impact of the 1994 Crime Act, 30 Conclusion, 34 Appendix 2A: Methodology of Keyword Search, 36 3 THE NATURE OF POLICING IN THE UNITED STATES 47 Organizational Structure of American Policing, 48 Activities of the Police, 57 Staffing the Police, 79 Recent Innovations in Policing, 82 xi

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xii CONTENTS The Process of Adapting to Change, 93 Research Recommendations, 106 4 EXPLAINING POLICE BEHAVIOR: PEOPLE AND SITUATIONS 109 Nature of the Evidence, 111 Situational Influences on Police Behavior, 114 Legal Factors, 115 Officers' Outlooks and Characteristics, 128 Knowledge, Skills, and Ability, 137 Experiences of Officers, 139 Equal Employment Opportunity, Affirmative Action, and the Effects of Officer Race and Sex, 147 Implications, 152 5 EXPLAINING POLICE BEHAVIOR: ORGANIZATIONS AND CONTEXT 155 Measures of Organization Activities and Outputs, 157 Neglected Dimensions of Police Behavior, 162 Influence of Police Organization, 168 Influence of External Forces, 189 Conclusion, 214 6 THE EFFECTIVENESS OF POLICE ACTIVITIES IN REDUCING CRIME, DISORDER, AND FEAR 217 Strength of the Evidence, 219 Standard Model of Police Practices, 223 Community-Oriented Policing, 232 Focused Policing Efforts, 235 Problem-Oriented Policing, 243 Conclusion, 246 7 LAWFUL POLICING 252 Police Compliance with the Law and the Constitution, 253 Promoting Compliance with Legal and Constitutional Rules, 275 External Accountability Mechanisms, 288 8 POLICE FAIRNESS: LEGITIMACY AS THE CONSENT OF THE PUBLIC 291 Legitimacy and Policing, 293 Creating Legitimacy, 298 Building Legitimacy Through Organizational Reform, 308 Conclusion, 326

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CONTENTS xiii 9 THE FUTURE OF POLICING RESEARCH 327 Enhancing Crime Control Effectiveness, 328 Enhancing the Lawfulness of Police Actions, 328 Enhancing the Legitimacy of Policing, 329 Improving Personnel Practices, 329 Fostering Innovation, 329 Assessing Problem-Oriented and Community Policing, 330 Respondng to Terrorism, 330 Organizing Research, 330 REFERENCES 332 APPENDIX: Biographical Sketches 393 INDEX 401

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