FBI Law Enforcement Bulletin - June04leb

8/9/2019 FBI Law Enforcement Bulletin - June04leb

1/35

10 Police PracticeRole-Play Training

for Negotiators

Nontraditional

Training SystemsBy Brian C. Della

Compstat Implementation

By Jon M. Shane

The Fair Labor Standards Actand Police Compensation

By Michael E. Brooks

1

The final section of a three-part article

on Compstat, an information-drivenmanagerial process, discusses theimplementation and adaptability ofthe model.

By incorporating principles of adultlearning into training programs,agencies can help officers achieve theirfull potential.

13

ISSN 0014-5688 USPS 383-310

24Law enforcement administrators mustunderstand the FLSAs compensationprovisions.

United StatesDepartment of Justice

Federal Bureau of InvestigationWashington, DC 20535-0001

Robert S. Mueller IIIDirector

Contributors opinions and statementsshould not be considered an

endorsement by the FBI for any policy,program, or service.

The attorney general has determinedthat the publication of this periodical is

necessary in the transaction of thepublic business required by law. Useof funds for printing this periodical hasbeen approved by the director of theOffice of Management and Budget.

The FBI Law Enforcement Bulletin(ISSN-0014-5688) is published

monthly by the Federal Bureau ofInvestigation, 935 PennsylvaniaAvenue, N.W., Washington, D.C.

20535-0001. Periodicals postage paidat Washington, D.C., and additionalmailing offices. Postmaster: Sendaddress changes to Editor, FBI LawEnforcement Bulletin, FBI Academy,

Madison Building, Room 201,Quantico, VA 22135.

Editor

John E. Ott

Associate Editors

Cynthia L. Lewis

David W. MacWha

Bunny S. Morris

Art DirectorDenise Bennett Smith

Assistant Art Director

Stephanie L. Lowe

This publication is produced bymembers of the Law Enforcement

Communication Unit, Trainingand Development Division.

Internet Address

[email protected]

Cover Photos

Digital Stock

Send article submissions to Editor,FBI Law Enforcement Bulletin, FBIAcademy, Madison Building, Room

201, Quantico, VA 22135.

June 2004Volume 73Number 6

Features

Departments

22 Notable SpeechThe X-Factor in Policing


2/35

June 2004 / 1

raining is the most sig-nificant human resourcefunction undertaken by

Nontraditional Training SystemsRealizing the Effectiveness of an

Agencys Most Valuable ResourceBy BRIAN C. DELLA, M.S.

law enforcement agencies. Alllaw enforcement managementtextbooks cover the importanceof implementing effective train-ing programs. Each similarlydefines training as the plannedeffort by an organization tofacilitate employees learning

of job-related competencies.1

Most law enforcement of-ficers receive more training nowthan they have in the past. Manyagencies spend a significant

amount of time training new of-ficers and increasing on-the-joblearning through in-servicetraining programs. The majorityof this training focuses oncognitive (or factual) outcomes,not affective (or emotional)outcomes. Most law enforce-ment agencies, however, canmake better use of their in-service training programs by

shifting their paradigm to takeinto account the needs of adultlearners and by teaching withpurpose, not just to cover thematerial.2

FOCUSING ON TRAINING

Unfortunately, some instruc-tors place little emphasis onteaching adult learners or, fur-ther, communicating with theincreasing number of Genera-tion Xers.3 Both groups areunique in their learning prefer-ences and needs. Historically,law enforcement agencies haveused a traditional training sys-

tem model not particularlyconducive to adult learnersneeds, but, instead, seeminglybuilt around the needs of theorganization. Often, some

T

Digital Stock


3/35

Agencies

should focus onensuring educationand changing

perceptions, noton meetingmandates.

Sergeant Della serves with the Annapolis,Maryland, Police Department.

classes appear to cover repeti-tive, uninspiring topics simplyto meet mandated requirements,rather than satisfying thesestandards in a self-directedstudy curriculum. Training witha traditional approach does notalways realize the full effective-ness of the organizations mostvaluable resourceits people;agencies waste this important

management tool. A well-conceived training plan is anecessary ingredient.... It helpspolice personnel toward achange in attitudes and prac-tices...and in providing moreeffective police services.4

While training mandates estab-lish uniform minimal standardsof performance, the progressivelaw enforcement agency recog-

nizes that although training pro-vides the opportunity to acquireand improve job-related skills,it also extends further to careerplanning and development.5

Training is a set of activitiesthat provides an opportunity toacquire and improve job-relatedskills. A majority of officershave mastered much of themandated training and oftenwork in areas where the traininghas little job relevancy. Cover-ing this material in a self-direct-ed study program and using thetime and resources saved to

broaden officers career devel-opment in more challenging andinteresting areas would betterserve them and their agencies.The cognitive outcomes used tomeasure the degree to whichtrainees are familiar with prin-ciples, facts, techniques, proce-dures, and processes easily canbe achieved via self-directedstudy, which allows adult

learners to take responsibilityfor their own learning, andstandardized tests. Agenciescould tailor the new nontradi-tional learning objectives to

meet an officers career devel-opment goal.

DEVELOPING CAREERSThe basic framework forformal career planning involvesa five-step framework begin-ning with personal assessmentand then progressing throughanalysis of opportunities, selec-tion of career objectives, andimplementation of strategies.6

Training programs that chal-lenge and move people tohigher levels of intellectual

thought keep personnel moti-vated and improve the agencysability to serve the community.The benefits from this type oftraining program may not beimmediately recognizable, butsubtle, long-term results willoccur.

By focusing on career de-velopment, agencies pay moreattention to affective outcomes,such as attitudes and motivation

(which may include tolerancefor diversity, motivation tolearn, safety attitudes, andcustomer-service orientation),that will positively change anemployees attitude toward theorganization and the mission.Focusing on affective outcomesand not cognitive outcomes (thedegrees to which officers arefamiliar with facts and proce-dures) simply measured on amultiple-choice test compoundsthe organizations return oninvestment and the benefits de-rived from a training program.

2 / FBI Law Enforcement Bulletin


4/35

June 2004 / 3

Law enforcement officerin-service training can moveprogressively forward with an

emphasis on purpose. Purpose-ful teaching7 moves away fromtraditional training systems(characterized by presentingtopics in specific time framesand composed of lectures anddemonstrations with resultsmeasured in multiple-choicetest formats) to a systemsapproach, which aligns allelements of the educationalprocess. A successful training

program first must take intoconsideration some establishedprinciples of learning andrecognize the students apper-ceptive base: The students

past training and experienceand his ability to integrate thesewith his new learning and

experiences will materiallyaffect his learning rate.8

IDENTIFYING NEEDSOF ADULT LEARNERS

Law enforcement in-servicetraining programs should reflectMalcolm Knowles theory ofandragogy developed specifi-cally for adult learners. Andra-gogy emphasizes that adults areself-directed and expect to take

responsibility for their deci-sions; all adult-learning pro-grams must accommodate this.Basically, andragogy means thatinstruction for adults needs to

focus more on the process andless on the content. Strategies,such as case studies, role-plays,

simulations, and self-evaluation,are most useful, with the in-structor acting more as a facili-tator or resource than a lecturer.Andragogy is based on fourassumptions about the designof learning.

1) Self-concept: In contrast tothe dependency of children,adults have a deep psycho-logical need to be self-

directing. They resent andresist situations that do notallow for self-direction orcourses in which the trainerand the design shove

Established Principles of Learning

Principle of readiness: The conditions in the students environment are such that theyestablish an attitude favorable to learning.

Principle of effect: The effect of the students success in learning is pleasurable andsatisfying. The student will strive to continue doing what provides a pleasant effect tocontinue learning.

Principle of repetition: Experiences that are pleasing or satisfying lead to an accompa-nying desire to repeat the experience.

Principle of primacy: Things learned first create a strong impression in the mind that isdifficult to erase. For this reason, negative approaches to teaching should be avoided.

Principle of recency: Information acquired last generally is remembered best; frequentreview and summarization help fix in the mind the material covered.

Principle of intensity: The more intense the material taught, the more likely it will be

retained.

Source: E. Hilgard, G. Bower, Theories of Learning (New York, NY: Appleton Century-Crofts, 1966).


5/35


trainees into dependent rolesof children.

2) Experience: Adults have

accumulated a reservoir ofexperience that serves as aresource for learning, aswell as a broad base torelate new learning.

3) Readiness to learn: Adultsbecome ready to learn thingsthat they need to know or beable to do to fulfill their rolein society. For example,instructors should not teach

the principles of goodcomposition, but, rather,how to write an effectivebusiness letter.

4) Orientation to learning:Children have a subject-centered orientation tolearning; adults tend to havea problem-centered orienta-tion. For example, childrenmaster content to pass acourse or to be promoted tothe next grade; adults seekthe skills or knowledge theyneed to apply to real-lifeproblems they face.

Other adult-learning theo-rists support Knowles andra-gogy principles. One theoristmaintains that adult-learningprograms should capitalize onthe experiences of participantswhile challenging adults to

move to increasingly advancedstages of personal develop-ment.... Adults should have asmuch choice as possible in theavailability and organization of

learning programs.9 Partici-pants who learn from purpose-ful teaching tend to become

lifelong learners who seekfurther educational and trainingopportunities, and they also leantoward modeling these behav-iors in their own teaching andmanagerial roles.10 Four keypoints facilitate an interactivelearning setting: 1) create alow-risk learning environment,which is accomplished by spe-cific seating arrangements in theclassroom to the manner that

Telling is teaching andlistening is learning.

Covering content will trans-

fer into practice in the field.

Recall is an appropriate wayto test mastery of learning.

All expertise and control oflearning necessarily residesin the instructor.11

Law enforcement trainingcan move its focus on studentlearning from mere knowledgecognition to higher levels of

expressed learning. BenjaminBlooms cognitive domaintaxonomy12 ranks the levels ofthinking and provides instruc-tors with a framework they canuse to build curriculum materi-als that take learners moredeeply into an area of study.The cognitive domain involvesknowledge and the developmentof intellectual skills, includingthe recall or recognition of

specific facts, proceduralpatterns, and concepts that servein the development of intellec-tual abilities and skills. Thedomain includes six majorcategories, from the simplestbehavior to the most complex,and can be thought of as de-grees of difficultiesthe firstone must be mastered before thenext one can take place.13

1) Knowledge: recalling or

recognizing information.

2) Comprehension: organizinglearned material describedin own words.

questions are answered and theresponse to answers given;2) encourage higher levels ofengagement, such as criticalthinking and problem solving;3) examine student learning toalter instruction if necessary;and 4) increase the studentslevel of critical thinking byincorporating specializedquestioning. Further, certain

principles allow the instructor/facilitator to break away fromthe incorrect assumptions madewith a traditional model ofteaching.

Training is onlyeffective if the

knowledge, skills,and behaviors are

transferred to practice.


6/35

June 2004 / 5

3) Application: using previ-ously learned material tosolve a problem.

4) Analysis: identifying rea-sons, causes, and motivesand considering availableevidence to reach a con-clusion, inference, or

generalization.5) Synthesis: combining ideas

or related information, pro-ducing original communica-

tions, and making predic-tions based on information.

6) Evaluation: judging themerit of an idea, solution, orwork.

PLANNING TRAININGPROGRAMS

After establishing wheretraining efforts should take lawenforcement and the outcomesthey should provide, agenciesmust plot the course to reach

these improved and expandedoutcomes. The instructionaldesign process is a systematicapproach for developing atraining program. The designshould emphasize that effectivetraining programs involve morethan choosing the easiest ormost familiar training approach.Agencies should focus onensuring education and chang-ing perceptions, not on meetingmandates. To this end, they can

Real teaching is more than imparting knowledge. Learning is defined as a demon-strated change of the participants behavior sought by the instructor. The behaviors sought

must not just be a regurgitation of information provided but, instead, must be a demonstra-tion of the behaviors required for effective application. This Purposeful Teachingapproach focuses on learning, not just covering material, and is composed of six essentialelements.

1) The creation of an environment supportive of and conducive to learning; the majorfactor is a high-intensity, but relatively safe, learning environment where the instruc-tion builds on successful experiences, not coercive or demeaning activities.

2) Clearly stated outcomes expressed in terms of how learners will demonstrate theiracquisition of knowledge and skills.

3) Activities structured for the needs of the learners, such as the use of their experience,teaching to multiple learning styles, and their inclusion in defining how they will be

taught.

4) Learners active physical and mental engagement in the learning process, rather thanreliance on passive listening, watching, and reading activities.

5) Interactive teaching techniques that enable a continuous checking for participantlearning so instruction can be modified for optimal learning.

6) Activities structured to precipitate critical thinking and problem solving; these skillsare not subjects to be taught, but processes to be involved in and reflected upon.

Purposeful Teaching

Source: K. Spencer, Center for Excellence in Teaching, Johns Hopkins University, Baltimore, MD, Purposeful

Teaching, http://www.rcmp-learning.org/docs/ecdd1140.htm.


7/35

follow a process that will guidethem through the design ofinstruction planning, from

recognizing needs, creating theright environment, and selectingthe best methods to evaluate thesuccess of the program.14

Departments can implementthis process for any trainingprogram; however, mandatedtraining requirements exist forall law enforcement officers.For example, some agenciesmandate a certain amount ofclassroom training for all fire-

arms, covering the 1) purpose offirearms instruction; 2) care,cleaning, and safe handling andstorage of service weapons;3) legal aspects of the use offirearms; and 4) fundamentalsof shooting, such as sight align-ment, sight picture, stance, grip,and trigger control. Withoutquestion, these represent impor-tant topics for law enforcementofficers to understand and mas-ter; however, they typically donot focus on the adult learner.Instead, they stress the cognitivethrough material lectured toofficers each year. This curricu-lum, built around the constraintsof the organization and theneeds and abilities of the in-structors, often prevents thedepartment from fulfilling theneeds of the officers and may

create an atmosphere of resent-ment because abilities go unrec-ognized. Typically, instructorsconduct firearms in-servicetraining by lecture and demon-

stration of the most basic pro-cedures and review of the use-of-force continuum and sig-

nificant case law with littleconsideration for the in-serviceattendees experience or exper-tise in the area. Officers, usuallygrouped in classes with signifi-cantly different levels of experi-ence and training, often receivethe same training with littlemodification every year. Byapplying a sound instructional

certainly should be proficientwith their duty weapons toavoid litigation and to provide

proper answers to citizens ifquestioned about firearmssafety. Further, many pressurepoints, such as performanceproblems, new technologylegislation, or an officers lackof basic skills, may suggest ormandate the need for training.An organizational analysiscertainly would confirm theappropriateness of this particu-lar training. A personal analysis

would determine whether lackof proficiency was the resultof inadequacy of knowledge,skills, or abilities and determinewhich, and to what extent,individuals need training. Atask analysis would identifythe important task, knowledge,skills, behaviors, and attitudesto emphasize in the training.

Creating the Right

Environment

The next step to successfulchange is ensuring officersreadiness for the training andthe enhancement of their moti-vation to learn. The mostimportant aspect concerningfirearms training is letting theofficers know that the purposeof the training is to try to im-prove performance, rather than

to point out incompetence. Bycreating a learning environmentthat recognizes the needs ofadult learners, a permanentchange in behavior can occur.

design process, departments cancreate a more effective coursethat moves the learning fromsimple cognition to affectivelearning, reflecting a changein attitudes and practice.

Recognizing Needs

By conducting a needsassessment, departments right-fully could conclude, for ex-

ample, that training officers inthe care, cleaning, safe han-dling, and legal aspects of fire-arms is necessary. The publicexpectation is high, and officers

...in-service trainingprograms shouldreflect Malcolm

Knowles theory ofandragogy developedspecifically for adult

learners.



8/35

June 2004 / 7

Officers must know why theyare learning the material, which,in turn, instructors should

express in objectives thatprovide the trainings purposeand expected outcomes. Train-ing objectives have three com-ponents: 1) a statement of whatthe officer is expected to do,2) a statement of the quality orlevel of performance deemedacceptable, and 3) a statementof the conditions under whichthe officer must perform.15

Officers also need to use their

own experiences as a basis forlearning. Here is where themove from the traditionalpedagogical instruction method(the one-way transfer of knowl-edge from the instructor to thestudent) must take place. Theandragogical style, whichpromotes the mutual involve-ment of the student and instruc-tor in the learning process tohelp enhance the learningenvironment, should replace thepedagogical instruction method.Allowing officers to learn byobserving and interacting withothers and by giving themopportunities to practice whatthey have learned further en-hances the learning environ-ment, providing immediatepositive feedback. These crucialelements should become key

components of the curriculum.Selecting the Best Methods

Training is only effectiveif the knowledge, skills, and

behaviors are transferred topractice. The transfer of trainingneeds to be supported and en-

couraged within the culture ofthe organization. Therefore,management not only mustsupport the training but verifythat officers have opportunitiesto apply the learning. Agenciescan employ different methods todetermine that they have se-lected the right training method.While the lecture process hasmerit in ensuring the presenta-tion of material, it proves the

least effective method forteaching adult learners. Also,law enforcement is one of thefew pro-fessions where the onusfor up-to-date training andcertification maintenance restswith the or-ganizations, not the

individual. This lack of personalresponsibility, coupled with thefact that adult learners are more

motivated when their need foractive participation in thelearning process is recognized,encourages the move to moreself-directed learning practices.Providing officers with printedmaterial clearly outlining andexplaining information thateasily measures knowledge,comprehension, and applicationprior to formal training allowsfor more class time to progress

instruction into areas thatencourage analysis, synthesis,and evaluation of the topic. Thismoves the training from thecoverage and regurgitation ofcontent onto selected responsetests to the demonstration of

Our Retention Levels

Source: K. Spencer, Center for Excellence in Teaching, Johns

Hopkins University, Baltimore, MD, Purposeful Teaching, http://www.rcmp-learning.org/docs/ecdd1140.htm.

10 percent of what we read 20 percent of what we hear

30 percent of what we see

40 percent of what we see and hear

60 percent of what we discuss with others

70 percent of what we experience personally

80 percent of what we discover and solve individuallyor in groups

95 percent of what we teach to someone else


9/35

new knowledge during a com-petent field performance. Otherbest practices to facilitate adultlearners and ensure learninginclude case study methods,

work groups, discussion panels,and practice sessions. Employ-ing as many of these methods aspossible ensures that personallearning preferences are consid-ered, and by strategically apply-ing all of the different levels ofengagement, law enforcementmanagers can exponentiallyincrease the learners retentionto obtain the most transfer oftraining to application.

Evaluating the Program

In evaluating training pro-grams, agencies must focus onthe training outcomes, which

they can measure in severalways: 1) cognitive; 2) skill-based; 3) results; and, mostimportant, 4) affective, or thechanges in officers motivations

and attitudes. With in-servicefirearms training, agencies moreeasily can measure the cognitiveoutcomes, which typically in-volve an ability to recite infor-mation previously presented.In challenging adult learners toaffective learning, agencieswill call upon them to compareand contrast, design, develop,critique, and justify the materi-als instructed.

Few law enforcement train-ing programs are evaluated in arigorous manner. Most trainingevaluations use routine traineeevaluation forms that ask

participants to describe theirattitudes about the adequacyand relevancy of programcontent and the capabilities ofthe instructional staff. But, any

training program evaluation alsoshould include an assessmentof the participants degree oflearning, which indicates if thetrainees knowledge of the sub-ject has increased or if certainskills have improved. In addi-tion, it may include measuresof attitudes toward specificconcepts or procedures. Anassessment of what studentshave learned in a training

program is important becausechanges in knowledge, skills,and attitudes usually can belinked to changes in behaviorand performance.16

ne agencys approach to lesson plan design includes facilitating adult learning,incorporating different teaching methods, recognizing varying learning preferences,

Sample Lesson Plan

and meeting the mandated requirement on annual firearms training. First, instructors usethe anticipatory set, a short activity that focuses the learners attention before the actuallesson begins. For example, questions are listed on the board referring to predistributedhandouts describing nomenclature of service weapon, cleaning materials used, and generalsafety practices. Instructors follow this with the purpose or objective of the training. Theinstructor imparts why the students need to learn the material, how they will be able totransfer the material, and how they will show learning as a result of the instruction. Know-ing that students have varying levels of knowledge and expertise and that they have hadprior training in this area, instructors should limit the lecture/modeling. A guided practicewill ensure continuity of knowledge. After this, the instructor should check for understand-ing by using a variety of questioning strategies to determine what learning has occurred. Anindependent practice should follow, and students should break into small work groups tosolve problems in either a case study format or situational problem-solving format. Theclosure segment or a review of the lesson, in which the instructor asks the students toprovide feedback or to demonstrate what has been learned, should follow.

O



10/35

June 2004 / 9

After emphasizing the im-portance of recognizing theadult learners needs and ways

to accommodate and developbetter training programs suitedto these needs, departmentsmust consider a lesson plan thatincorporates teaching methodsfocused on the adult learner, aswell as one that reflects a pro-gressive, affective outcome-based management philosophy.Without a systematic, compre-hensive lesson plan, the instruc-tor, students, and the depart-

ment lack a significant resource.The lesson plan constitutes theblueprint to meaningful instruc-tion, which departments canduplicate and use as a basis fortesting. Further, it can providethe specificity and detail re-quired to determine the purposeof the training, the desiredoutcomes, the conditions underwhich the student must per-form, and what type of testingtook place to ensure learning,items often missing in trainingoutlines.

CONCLUSION

Law enforcement has comea long way in recognizing theimportance and significance oftraining. To keep the trainingevolution progressing, trainersand managers can incorporateapproaches that consider theneeds of adult learners andallow them to be accountablefor their own learning.

By moving away from thetraditional lecture formats and

creating learning environmentsthat facilitate self-directedlearning, agencies can increase

officers retention capacitiesand better ensure that they puttheir training into practice.Mandated training requirementshave a valid purpose, butagencies should ensure that theybase teaching methods on theneeds of the students, not theconstraints and needs of theorganization. Simply tellingsomeone how to do somethingdoes not mean that learning has

occurred; covering mandatedcontent does not mean thatofficers will transfer the mate-rial into practice on the job.Instead, by adopting the prin-ciples of andragogy, agenciescan instruct with a higherpurpose and help their officersachieve full potential.

Endnotes1 R. Noe, J. Hollenbeck, B. Gerhart, P.

Wright,Human Resource Management:

Gaining a Competitive Advantage

(Boston, MA: McGraw Hill, 2000).2 For additional information on adult

learners, see Ralph Kennedy, Applying

Principles of Adult Learning: The Key to

More Effective Training Programs, FBI

Law Enforcement Bulletin, April 2003,

1-5.3 Some experts place the age range as

those born during the years 1961 through

1981, while others say between the years

1966 and 1976. For additional informa-

tion, see Elizabeth Foley and Adrienne

LeFevre, Understanding Generation X,

Trial, June 2000, 58-62; retrieved on

December 15, 2003, from http://

www.zmf.com/articles/art_gen_x.html.4 G.T. Felkenes,Effective Police Super-

vision: A Behavioral Approach (San Jose,

CA: Justice Systems Development, Inc.,

1977).5 This opinion was confirmed via an

informal research method conducted by

the author that included a survey of JohnsHopkins University Police Executive

Leadership Program graduate and under-

graduate students, representing 12 law

enforcement and fire service agencies

throughout Maryland and Washington,

DC. Nine students indicated that their

agencies in-service training curriculum

was constructed around the needs of the

agency and mandated topics, which per-

sonnel often resented due in large part to

the perceived minimization of the officers

intelligence and abilities and curricula not

tailored for adult learners and their career

objectives.6 J. Schermerhorn, J. Hunt, R. Osborn,

Organizational Behavior(New York, NY:

John Wiley and Sons, Inc., 2000).7 K. Spencer, Center for Excellence in

Teaching, Johns Hopkins University,

Baltimore, MD, Purposeful Teaching,

retrieved from http://www.rcmp-learning.

org/docs/ecdd1140.htm.8 N. F. Iannone and M. P. Iannone,

Supervision of Police Personnel (Upper

Saddle River, NJ: Prentice Hall, 2001).9 K. P. Cross,Adults as Learners

(San Francisco, CA: Jossey-Bass, 1981).

10 Supra note 7.11 Supra note 7.12 For additional information on

Benjamin Bloom, see Prospects: The

Quarterly Review of Comparative

Education 30, no. 3 (Paris, UNESCO:

International Bureau of Education,

September 2000); and http://

faculty.washington.edu/krumme/guides/

bloom.html.13 For additional information, see

http://www.nwlink.com/~donclark/hrd/

bloom.html.14 Supra note 1.15

Supra note 1.16 C. D. Hale, Police Patrol Operation

and Management(Englewood Cliffs, NJ:

Prentice Hall Career and Technology,

1994).


11/35

egotiations in the new millennium presentsignificant challenges for crisis interven-

Police Practice

Role-Play Training forNegotiators in Diverse

EnvironmentsBy James R. Maher, M.S., M.P.A.

tion teams throughout America. The multitude ofviolent incidents that take place in previously un-usual venues, such as schools in Columbine, Colo-rado, and the recent random shootings in theWashington, D.C. area, confirm that the UnitedStates has entered an increasingly complex anddifficult era. These new-age offenders1 possesssophisticated weaponry and a willingness to harminnocent people in areas previously consideredsacrosanct.

Hostage negotiators must train for these newchallenges. For a long time, experts in the field

have felt that negotiators can enhance their com-munication abilities through training as a way ofimproving their negotiation skills and by provid-ing members with a structured opportunity topractice their new skills to enhance confidence.2

Further, practicing strategies and risk assessmentsusing actual case studies can prove extremely help-ful.3 By using locations previously unfamiliar to

team members and tactical units, commanders maydecrease the anxiety associated with a particularenvironment while also role-playing in a realisticsetting.

ONE AGENCYS EXPERIENCE

The Suffolk County, New York, Police Depart-ment is attempting to address potential incidentsby training in a variety of locations and venues tounderstand and respond more quickly and effec-tively to a hostage or barricade incident. SuffolkCountys police hostage negotiation team began in

1976 with a small group of detectives trained in theconcepts and theories by the early pioneers in thisfield.

The Suffolk hostage negotiation team (HNT)presently has 24 members and responds to inci-dents in the 5 western townships that encompassthe Suffolk County Police District. All membersare either detectives or detective supervisors andserve in various capacities within the investigativecommands, including general services, arson,rackets, narcotics, and other specialized units. Theteam has responsibility for areas within the police

district, as well as for the remaining eastern town-ships stretching to Montauk Point on the south forkof Long Island and Orient Point on the north fork.All totaled, these combined areas have over 1.4million residents and encompass more than 911square miles.

The unit has evolved and expanded over theyears with increased training conducted by theFBIs Crisis Negotiation Unit (CNU) and localtraining via its New York office. To maintain,broaden, and develop the necessary skills, the team

conducts training exercises approximately everyother month. Currently, all members of the teamreceive, at a minimum, a 1-week training schoolconducted by members of the FBIs New Yorkoffice. Some members also have attended a crisis

N


Mark C. Ide


12/35

June 2004 / 11

negotiation course at the FBI Academy. Duringboth of these schools, members take part in class-room instruction, as well as exercises designed to

simulate actual barricade or hostage events.Further, the team has trained jointly in the past

with neighboring departments, which proves ben-eficial as an information-sharing event, as wellas a cost-effective way to reduce training expenses.The tactical, technical, and emer-gency services units, as well asthe Special Investigations Bureau(SIB), work closely with theHNT providing logistical andelectronic support for trainingexercises.

Planning

Proper planning is a key ele-ment to the success of training invarying settings. HNT supervi-sors meet with representatives ofthe various facilities, arranging asuitable location for negotiations, observation, andpresence of communication equipment and ensur-ing separation and privacy from actual activitiestaking place. Each training location presents a dif-ferent environment; therefore, supervisors shouldaddress potential obstacles at the location and whattypes of incidents already have occurred there. Forexample, because the Suffolk hostage team mem-bers used a training building framed in steel, unex-pectedly, their police radios did not function. Toaccess equipment, the team requests blueprints ofpotential buildings to determine the location ofheating, cooling, and communication systems.Consultation with officials at the proposed siteenable HNT supervisors to design and implement arealistic role-play scenario based on the possible

threat environment unique to that location.Role-play scripts and scenarios are designed toprovide the best and most realistic training withinthe limitations of time and personnel available.Tactical officers from the emergency services unit

(ESU) use their tools and refine their procedures ina simulated crisis environment. Further, these ex-ercises help members evaluate candidates for posi-

tions on the team. Prospective members participatein structured role-plays and are examined for theirability to handle stress, think rationally, makedecisions, and work as a team member.4 In theseenvironments, candidates are evaluated, as well as

given the chance to decide if thisactivity is what they ultimatelywant to do on a regular basis.

Locations

The team consistently hassought locations that could be-

come potential hostage situationsites. These locations have beenlimited only by the imaginationof those who plan them. In 1998,the team executed a realistic hos-tage incident in a building thatpreviously had been a local bank

branch but now was slated for demolition. In thesummer of 2001, and in response to various schoolshootings nationwide, HNT and ESU conducted afull-scale exercise in a local high school using thefacility during the summer when it was not used forclasses. In addition to the realism of using an actualschool, the exercise gave education officials andpolice an opportunity to examine how an actualincident might develop. They encountered suchdifficulties as the inaccessibility of floor plans fortactical personnel and limitations on radio contactwithin the building. They evaluated and addressedthese problems in advance so that in the event of anactual incident, they already would have resolvedor minimized such difficulties.

Other locations used for role-play exercises

have included the local jail and the Suffolk CountyCorrectional Center, where team members andcorrections officers assigned to the facility staged apossible hostage scenario in an actual secureprison environment. The sheriffs emergency

...negotiators canenhance their

communicationabilities throughtraining....


13/35

response team and tactical personnel assigned tothe facility worked closely with negotiators in thecommand post to ensure that communication and

the flow of information was available to membersmaking critical decisions during the exercise.

Other venues for training exercises for theteam included a large medical facility at a localVeterans Affairs medical center where radioactivematerial for medical treatment was on site. Addi-tionally, this location had an outpatient base ofpersons with emotional and men-tal disabilities. The team alsoconducted reality-based exercisesin a state university dormitoryand a local municipal park. In

each of these locations, negotia-tors and tactical personnel inter-acted with the employees and se-curity forces who worked thereand had knowledge of thefacilitys operations.

When circumstances forcedteam members to negotiate face-to-face on a number of occasions,they realized that they needed to conduct practicalexercises that simulated such a difficult task. Someof the exercises following this discovery encom-passed extensive face-to-face negotiations. Work-ing in this virtual environment makes it less stress-ful on the negotiators when an actual incidentoccurs.

Results

Command staff and team members long haverecognized the benefits of such training contribut-ing to their success in negotiations. For example, in2001, the Suffolk County HNT handled 32 inci-dents, most of which involved barricaded subjects,

and their rate of successful resolution without aviolent conclusion was over 95 percent. Further, in2002, 34 hostage or barricaded subject incidentsoccurred, and all of these also were resolved

successfully. The reason for this success is at leastpartially due to continuous and various training.

CONCLUSIONToday, crisis negotiators face unprecedented

challenges. Role-plays offer them opportunities toimprove communication skills, practice strategies,and increase their chances of success. Experiencewith the Suffolk County, New York, police hos-tage negotiation team has proven that continued

and varied training benefits bothlaw enforcement and the commu-nities it serves. Representativesfrom each of the locations haveexpressed strong positive reac-

tion to the exercises and have re-quested additional ones in the fu-ture. Negotiators and tacticalpersonnel have become more fa-miliar with the particular loca-tions and their potential prob-lems. By expanding suchtraining, the department hopes tobe prepared for the unexpected

and often unique situations that negotiators mayencounter.

Endnotes1 The author uses this term to identify offenders with little or

no previous contact with law enforcement and who are willing to

commit suicide or homicide to carry out their missions.2 Arthur Slatkin, Enhancing Negotiator Training: Therapeutic

Communication, FBI Law Enforcement Bulletin, May 1996, 1-6.3 Chuck Regini, Crisis Negotiation Teams: Selection and

Training, FBI Law Enforcement Bulletin, November 2002, 1-5.4 Michael McMains and Wayman C. Mullins, Crisis Negotia-

tions: Managing Critical Incidents and Hostage Situations in Law

Enforcement and Corrections 2d ed. (Cincinnati, OH: Anderson

Publishing Company, 2001), 441.

Detective Lieutenant Maher serves with the Suffolk County,

New York, Police Department and is the commanding

officer of its hostage negotiation team.

Proper planningis a key element tothe success of

training in varyingsettings.



14/35

June 2004 / 13

he final stage of anynew managerial ap-

proach involves imple-menting the process. Compstat,as described in the first twoparts of this article, is no differ-ent; implementation presentsthe final challenge.1 Just as withthe design element, Compstatimplementation must have thecomplete support of the leadersof a law enforcement agency.2

These individuals must ensurethat all of their employeesunderstand the importance ofthe process and witness the highlevel of commitment that theybring to the entire effort.

IMPLEMENTATION

After designing itsCompstat program, an agencynow must implement the pro-cess. To do this, the agencymust consider a few key ele-ments: training, the Compstatmeeting protocols, the interac-tion (line of questioning), andthe roundtable discussion.

Training

Training for Compstat (orthe lack thereof) constitutes afrequent complaint of the par-ticipants. But, an agency canaccomplish training by firstpreparing a sample Compstat

book that exactly matches theone it will produce every week.

The agency must announceahead of time any subsequentchanges to the book so nosurprises occur for anyone heldaccountable for the alteredportion.3

Next, the agency shouldconduct a plenary session withall required attendees, chairedby the chief and the facilitators,at the facility where it will holdfuture Compstat meetings, usingthe actual equipment. This willgive participants the look andfeel of the impending meetingsand ease their transition once

T

CompstatImplementation

By JON M. SHANE

Mark C. Ide


15/35

the real meetings begin. Duringthe plenary session, the agencymust describe fully the purpose,

rationale, techniques, antici-pated organizational change,and expectations and ensure thatthe participants understand allof these issues. For furtherdevelopment, the agency maysend participants to an actualCompstat session in a practicingcommunity to observe firsthandwhat they can expect.4

Compstat Meeting Protocols

First, the department mustidentify the day and time forCompstat meetings, which mustbe the same each week. This isnot only imperative to datacollection but to consistency, asconsistency breeds conformity.Because crime is dynamic andtrends emerge and dissipatequickly, particularly due to thecommanders efforts, the

department should hold theCompstat session at least on aweekly basis. For example, if a

city has four police precincts,one precinct each week be-comes the featured command;therefore, the Compstat periodfor each precinctoccurs every4 weeks (once per month).5

Participants should expect tospend 2 or 3 hours at eachsession to cover all of thematerial.

Next, the department mustaddress the seating arrange-

ment. It should configure theCompstat room in a square (seeFigure 1), with assigned seating.The chief and other executivessit at the head of the table; thecommanders or designated par-ticipants sit on either side of thetable; the featured command sitsdirectly opposite the chief, fac-ing the executive audience; thedivision support staff members

sit behind the commanders; andany guests sit in the gallerybehind the chief.

The dress code becomes thenext protocol to approach. Allpersonnel attending Compstatshould appear in uniform-of-the-day attire, preferably thedress uniform. Again, thispromotes consistency and sendsa message to both participantsand observers that Compstat isa formal process worthy ofeveryones undivided attentionand professional appearance.

The chief opens theCompstat session by welcomingeveryone and acknowledgingthe guests by name (if only afew attend, otherwise by theirorganizations). The first orderof business is accolades. Insofaras possible, commanders shouldbring their personnel toCompstat for the recognition ofoutstanding performance. Thecommander calls the officersbefore the Compstat group,provides a brief overview of theaction that led to the accolade,and commends the officers.This public display of praisestrengthens morale and sendsthe message that individualefforts produce a synergy thatcontributes to the whole.

The recap, prepared fromthe scribes notes of the previ-

ous meeting, occurs next. Thefacilitator reviews the items,and the commanders in questionexplain what they did to abatethe problem. The commanders

Just as withthe design element,

Compstatimplementation

must have the completesupport of the leadersof a law enforcement

agency.

Captain Shane is the commanding officer of the Policy andPlanning Division of the Newark, New Jersey, Police Department.



16/35

June 2004 / 15

must narrowly tailor theiranswers to the recap questionwithout superfluous detail.

Following the recap, thefeatured command memberstake their places at the table.The session begins with thefeatured commander providingan overview of his crime pos-ture and crime-control strategiessince he last appeared atCompstat.

The [overview] is intendedto be a comprehensive and

informative recapitulation ofcriminal activity and policeactivity within the command,showcasing what the com-mander is doing to identifyand solve problems.... Theexecutives may interrupt anddirect the [commander] tofocus more closely on aparticular issue, or they mayinterrupt to focus on a par-ticular case. The overall

process of interaction is fluidand flexible, with few fixedrules.

The [overview] is the com-manders chance to impressexecutives and other person-nel present at the meetingwith his...knowledge, leader-ship talents, crime-fightingabilities, and overall careerpotential. This is the com-

manders [opportunity] tobring problems and issues(especially those concerningthe adequacy of resources andcrime patterns that cross

precinct boundaries) to theattention of the executivestaffin essence, to publicly

communicate [his] needs and,in doing so, to place some ofthe responsibility and someof the accountability on theexecutives.6

of-life conditions, and crime-control strategies. The question-ing, at times, may become

adversarial, especially if thecommander failed to implementa plan of action. Commandersshould maintain their focus andneverlie as a means to extricatethemselves from difficultquestioning. The followingexample provides a typical lineof questioning that might arisein a robbery pattern involvingtwo suspects using a bluevehicle:

Facilitator: I see that sixrobberies involving the samevehicle occurred betweenAugust 3 and August 20 in yourprecinct. These six robberiesaccount for a 6-percent increaseover last week, a 2-percentincrease from last month at thistime, and a 10-percent increaseover this time last year. Explainthe increase to me and what youare doing about it.

Commander: Chief, mycrime control officer identifiedthe pattern 2 weeks ago andassumed that the drug trade inthe area was fueling the prob-lem. As the robberies occurredbetween 2200 and 0300, Iincreased patrols during thosetimes. I issued a directed patrolorder for the train station be-cause four of the six robberies

occurred in that vicinity. Inotified the transit policeofficers who patrol the interiorand a portion of the perimeter ofthe train station, and I briefed

The key to success for anycommander rests with being

prepared. This means exhibit-ing a willingness and commit-ment to knowing and under-standing the data and theunderlying conditions withinthe command, devising effec-tive strategies and tactics,relentlessly following up oninitiatives, and possessing theability to articulate plans andconditions.

Interaction

After the overview, thefacilitator asks a series of direct,probing questions concerningcurrent investigations, quality-

Insofar as possible,commanders

should bring theirpersonnel to

Compstat for therecognition ofoutstanding

performance.


17/35


them on the details. I personallyspoke to the chief of the transitpolice and advised him to post

crime bulletins where commut-ers could see them. The transitchief said that he also wouldincrease patrols during thosehours and review surveillancetapes from fixed camerasoutside the station. I assignedtwo officers to a task forceassembled by the robberydivision. The MO and thevehicle description are the sameon each of the robberies, but

I am not certain if one personcommitted all six robberies or ifthere are six separate suspects.

Facilitator: Robberydivision commander, what areyou doing about it?

Commander: Chief, Ideployed a task force of detec-tives and precinct personnelwho are working exclusively onthis investigation. I have someofficers in uniform, othersacting as decoys, and a teamconducting street surveillance.So far, the results have beennegative. I will continue thesetactics for another week; how-ever, if the results remain thesame, I will reassess the tactics.I issued a crime bulletin to allcommands, here is a copy. OnTuesday, we will have the latestvictim meet with the police

artist to develop a sketch. Theearlier victims could not iden-tify the gunman because hewore a mask, but the last victimstruggled with the suspect and

managed to pull off the mask.The earlier victims said thatthey could identify the voice,

a deep male voice. When anapprehension occurs, I willobtain a voice exemplar andhave the victims listen to it.As for the mask, I had it sentto forensics for analysis.

DNA testing on the suspectsmask by 5 p.m. today. Obvi-ously, robbery is the motive.

The precinct commander as-serted that the local drug tradeis fueling the problem, and it isa high-narcotics area. Let mesee the map of narcotics com-plaints. Narcotics divisioncommander, tell me what youare doing about this? Is there anexus between the drug tradein the area and the robberies?

Commander: Chief, onMonday, Tuesday, and Thurs-

day of last week, I conducted 12different buy-bust operations,two during the a.m. and two theduring the p.m. hours, whichyielded 12 arrests for sale andpossession of cocaine or heroin;15 field interviews, 5 of whichresulted in arrests for outstand-ing warrants; 6 traffic sum-monses; and 4 vehicles im-pounded. Unfortunately, theprisoner debriefings werenegative. We continue workingto establish a connection to thedrug trade and to ascertain thesuspects identities.

Facilitator: Gang divisioncommander, is the vehicledescription listed in the gangdatabase? Do any vehicles ofknown gang members matchthis vehicle?

Commander: Chief, I am

not sure. I will check on thatand advise the robbery divisionby the end of the day.

Facilitator: Place that onthe recap: gang division to

Facilitator: Crime scenecommander, what is the disposi-tion of the mask?

Commander: Chief, hairfibers were recovered frominside the mask. It is beingtested for DNA right now. OnceI have the DNA analysis, I willrun it through our database tosearch for a comparison. Ishould know something by theend of the day. No other evi-

dence was recovered from anyof the other crime scenes.Facilitator: Place that on

the recap: crime scene com-mander to provide results of

After the overview, thefacilitator asks a series

of direct, probingquestions concerningcurrent investigations,

quality-of-lifeconditions, andcrime-control

strategies.


18/35

June 2004 / 17

review the database of identi-fied gang members to see if anysimilar vehicles fit the descrip-tion and to notify the robberycommander by 5 p.m. today.Auto crimes commander, haveany blue vehicles been im-pounded since August 20, thedate of the last incident?

Commander: Chief, threeblue vehicles were impounded.I assigned a single detective toinvestigate all three. I alsonotified crime scene to print

each vehicle and advise me ofthe results. Two of the threevehicles were stolen; the otherwas towed for street cleaning.

Facilitator: For the recap,the auto squad commanderwill present the findings of theinvestigation of the three bluevehicles and the crime scene

commander will determinewhether latent prints or otherforensic evidence was recoveredfrom any of the vehicles by1 p.m. Monday, August 23.

Robbery division commander,what is the victimology? Do thevictims have a criminal history?

Commander: Chief, all sixvictims have prior drug arrests.Two are on probation, and Inotified the county probationdepartment of that fact onAugust 16.

Facilitator: Robberycommander, check with paroleand DOC to determine whocurrently is on parole and livingin the area, as well as who

Display Monitor with

Maps and Data

DisplayS

creenforCrimeMaps

DeputyChief -

Operations

Bureau

Chief of

Police

Chief of

Staff

CompStatScribe

Deputy

Chief -

Criminal

Inv. Bureau

Research& Planning

Division

Police

AcademyRecords

Division

AutoCrimes

Division

Sexual

Assault

Division

Robbery

DivisionHomicide

Division

Internal

Affairs

Division

Fugitive

Division

Narcotics

Division

ABC

Director

TaxiCommission

Director

DistrictCommander

DistrictCommander

TrafficDivision

Special

OperationsDivision

Prisoner

DetentionDivision

ATF

Task

Force

FBI

Task

Force

DEATask

Force

FeaturedComm

and

CommandingOfficer

Executive

Officer

Detective

Squad

Supervisor

Crime

Control

Officer

DivisionSupport Staff

DivisionSupport Staff

LegalAffairs

Seating forInvited Guests

District

Commander

DistrictCommander

Compstat Conference RoomFigure 1


19/35

recently was released fromprison and moved to the area.

Commander: Chief, the

task force already is workingon that. I should have someanswers by next Wednesday,August 25.

Facilitator: For the recap:robbery commander to identifythe results of parole and DOCinquiry on parolees residencesby Wednesday, August 25.Lets move on. To the com-manders, I want intense moni-toring of this investigation.

Advise my office the minutesomething breaks.

The interaction duringCompstat is dynamic. Nostandard questions exist, exceptfor a few that the chief alwayswill want answered.

What was the motive? Wasit robbery, jealousy, re-venge, thrill, bias, dispute,domestic, debt?

What is the victimology(i.e., a complete historyof the victim, includinglifestyle, personality traits,and employment)? Otherimportant factors includethe victims age, occupa-tion, family background,reputation, likes and dis-likes, drug/alcohol use,financial troubles/stability,religious beliefs, routines/

habits (e.g., checking mailor walking the dog), crimi-nal history, connection toarea or suspect, DOC

history, and gang affiliation,along with name and vehiclerecord checks pertaining to

the victim, the last knownperson the victim spoke toor was seen with, and thecircumstances, enemies, orany known reason whysomeone may have wantedto harm the victim.

gang affiliation, and nameand vehicle record checks.

Was the incident suppress-

ible?7 Could patrol or aproactive street-crime unithave prevented the incident?Could detectives have beenmore assertive?

Why is performance up ordown? Patrol or investiga-tive strategies and tactics,motor vehicle checkpoints,supervision, motivatedemployees, morale, vaca-

tion, sick time, and person-nel strength can affectperformance.

What connection does thesuspect have to othercrimes? Multiple victimswho identify the samesuspect, the suspects MOor signature matches othersimilar unsolved crimes inthe area, and the examina-tion of forensic evidenceand surveillance tapesrepresent three ways todetermine a connection.

What progress has beenmade to date? Statementstaken, polygraph adminis-tered, suspects identified,warrants issued or served,composite sketch, and assetsseized can measureprogress.

What is the deployment andstrength level? The numberof sector cars, overlap/umbrella cars, walking

What is the profile of theoffender? This includes theoffenders signature (i.e.,identifiable characteristic)

and other known informa-tion, such as financialtroubles/stability, religiousbeliefs/fanaticism, reputa-tion/propensity for violence,drug/alcohol use, knownhangouts, NCIC inquiry,outstanding warrants,criminal history, likes/dislikes/obsessions/infatua-tions/perversions, the lastknown person the offender

spoke to or was seen withand the circumstances,enemies, connection to areaor victim, DOC history,

Adaptability

stands as one ofthe distinctionsabout

Compstat.



20/35

posts, overtime detail,special units, and uniformedand plainclothes personnel

can provide data. Is there a nexus to gangs,

drugs, or organized crime?Drug rip-off, drug kingpin,gang leader/member, mem-ber of crime family orcriminal enterprise, andpotential for vertical pros-ecution (e.g., RICO) or anenhanced prosecution/sentence can show a link.

Does recovered forensicevidence have a connectionto other crimes? Comparingsamples, such as DNA, traceevidence, bullets or shellcasings, pry or tool marks,latent prints, impressions(tires and shoes), writtendocuments, audio and videotapes, liquids, paint chips,and shards of glass, alongwith examining computer

hard drives and Internethistory can reveal aconnection.

What is the plan of action orwhat are the next steps?Develop a task force; servewarrants; raze buildings;tow derelict autos; padlocknotorious businesses; issuesummonses/motor vehicleenforcement; seize assets;

conduct inspections ofbuses, taverns, bodegas,ATMs, convenience stores,gas stations, and taxi cabs;present case to a grand jury;

seek civil enforcement(nuisance abatement);increase patrols; and initiate

overtime constitute somenext steps.

Above all, the chiefdoes notwant a recitation of the incidentreport. On occasion, a summarymay prove useful, and, if so,the chief will ask for it. Other-wise, reciting the incident re-port amounts to a superfluousdetail and makes commandersappear to be temporizing be-cause they are unprepared.Commanders must expect avariety of questions unique toeach investigation.

or decreased, what action planshe has created, and where heexpects to adjust strategies if

necessary.

Roundtable Discussion

During the presentations,other commanders should notinterject issues unrelated to thediscussion, causing the facilita-tor to engage in boundering.8

Instead, they should make notesand save their comments for thelast portion of Compstat, theroundtable. At this time, the

chief polls all of the othercommanders and asks if theyhave anything to discuss. Com-manders can debate trainingissues, announce other city ordepartment initiatives, reviewbudget issues or procurementproblems, and handle othersimilar items. When theroundtable discussion ends,the chief thanks everyone forattending and dismisses them.

ADAPTABILITY

Adaptability stands asone of the distinctions aboutCompstat. It is easily adaptableto subdivisions of the organiza-tion, such as internal affairs(IA), or to other segments ofgovernment. When organizedproperly, IA Compstat canreduce personnel complaints

while lessening corruption andincreasing integrity. This pro-motes a much higher degree ofoverall organizational disci-pline, and a well-disciplined

Once the crime presentationends, the performance presenta-tion begins, during which thefeatured commander must

answer for how his commandcompares with others. As withany other portion of Compstat,the commander must articulatewhy performance has increased

June 2004 / 19

Mark C. Ide


21/35

work force is in voluntarycompliance with the rules andregulations of the organization

and works efficiently to attainthe goals of the organization.9

Purchasing and procurementcan provide another elementsubject to Compstat. Scrutiniz-ing the purchasing process willensure that the agency acquiresmuch-needed equipment andmatriel as expeditiously aspossible. Compstat can identifyunscrupulous vendors andpractices, as well as uncover

contractual problems, systemdelays, and funding obstacles.Because purchasing ofteninvolves other elements of localgovernment, participants mayinclude the city manager/business administrator, thebudget director, and the pur-chasing agent.

How the Philadelphia PoliceDepartment uses the process tofocus on specialty units canillustrate Compstats adaptabil-ity. Because of its size anddecentralized command struc-ture, the department holdsCompstat meetings every 4weeks that focus exclusively onits specialized units, includingSWAT, canine, mounted,aviation, bomb disposal, envi-ronmental response, marine,and accident investigation. At

these meetings, participantsidentify and discuss perfor-mance measures, such as thenumber of cases involving

barricaded persons handled bySWAT personnel, the numberof vehicle pursuits engaged in

by aviation officers, and thenumber of code enforcementviolations issued by environ-mental response officers.10 Asanother example, Baltimoreuses CitiStat, a variant ofCompstat, to monitor all ofthe citys operations.11

CONCLUSION

Law enforcement agenciescan do well embracing theCompstat process. By adoptinga flexible, accountability-drivenlaw enforcement structure,cities that have made littleprogress to date can achievereductions on par with the mostdramatic declines in urbancrime during the last decade,

while those cities that alreadyexperienced success can con-tinue to force crime down toever lower levels.12 Crime rates

among the cities practicingCompstat reveal the programstrue success. In New York City

over the last 10 years, crimecame down 64 percent; inPhiladelphia, crime fell 23percent between 1995 and 2002;in Baltimore, crime decreased31 percent between 1995 and1999; and in Newark, crimedeclined 51 percent between1995 and 2001.13

Law enforcement agenciesneed invest only a negligibleamount of money to implement

Compstat. The key is for lawenforcement agencies to struc-ture for success. Creating thatstructure requires extensivecentral data collection andanalysis and constant feedbackand review of the effectivenessof police programs. Perhaps,most important of all, a cultureof accountability must beinstituted within the structure.At every level, from the wholecity to a single street, the lawenforcement personnel en-trusted with preventing crimemust take responsibility for[mistakes] and be recognizedfor success.14

Compstata transparentaccountability system thatobjectively measures perfor-mance and holds those respon-sible open to scrutinyoffers

more than police rhetoric. Itoffers favorable, achievableresults for large or small lawenforcement agencies.15



22/35

June 2004 / 21

Endnotes

1 Jon Shane, Compstat Process, FBI

Law Enforcement Bulletin, April 2004,

12-21; and Compstat Design, FBI LawEnforcement Bulletin, May 2004, 12-19.

2 For illustrative purposes and to

maintain clarity, the author refers to the

leaders of law enforcement organizations

as chiefs and employs masculine pronouns

for these individuals, as well as other

command-level personnel, throughout the

article as needed.3 To better manage spontaneous events,

the Newark Police Department established

a 24-hour rule, which states that a

commander is not expected to answer for

the 24-hour period immediately preceding

a Compstat session. A shooting, forexample, that occurred overnight will not

be part of the regularCompstat meeting;

however, the commander must be able to

answer basic questions about the incident,

but not the usual intimate details. Inquiries

about an event within the last 24 hours

constitute breaking the 24-hour rule. If

the chief breaks the 24-hour rule, it usually

occurs after the recap items. The rule

exists so commanders are not surprised by

questions that arise from a spontaneous

event and because they have not had

sufficient time before Compstat to explore

the details.4 Some agencies practicing Compstat

include Newark, NJ; Philadelphia, PA;

Boston, MA; Indianapolis, IN; Baltimore,

MD; New Orleans, LA; Broward County,

FL; Washington, DC; Austin, TX; Seattle,

WA; Mount Vernon, NY; Durham, NC;

Lowell, MA; Longmont, CO; Maryland

State Police; Los Angeles, CA; Minneapo-

lis, MN; Chicago, IL; San Diego, CA; and,

of course, New York, NY; see P.P.

McDonald,Managing Police Operations:

Implementing the New York Crime Control

ModelCompstat(Belmont, CA:

Wadsworth, 2002), 26.5 Generally, an overlap of data analysis

occurs with specialty commanders (e.g.,

robbery, narcotics, homicide, and auto

crimes) who participate each week. The

2-week interval gives these commanders a

better picture of trends and patterns than

the normal 1 week of data.6 V.E. Henry, The Compstat Paradigm:

Management Accountability in Policing,

Business and the Public Sector(New

York, NY: Looseleaf Law Publications,

2002), 227. See also http://www.nyc.gov/

html/nypd/html/chfdept/strategies.html .7 An incident is deemed suppressible if

1) it occurred on view, that is, the location

was visible from the street or 2) it occurred

as part of a pattern of recidivist behavior

by an identified suspect. For example,

there is an active domestic violence

investigation pending by the police

department, and the suspect has been

identified. If the detectives fail to make

an arrest or take some other enforcementaction (e.g., serve a restraining order) and

the suspect commits another domestic

violence incident, the second incident is

deemed suppressible.

8 Boundering is a questioning technique

used by an interviewer to prevent an

interviewee from straying from the subject

matter being discussed. See Donald

Schroeder, Frank Lombardo, and Jerry

Strollo,Management and Supervision of

Police Personnel (Binghampton, NY:

Gould Publications, 1995), 133.9 Ibid.10 Philadelphia Police Department, The

Philadelphia Compstat Meetings (Phila-delphia, PA, 2003); retrieved on May 6,

2003, from http://www.ppdonline.org/

ppd_compstat.htm .

The author thanks his friend and

colleague Chief Anthony F. Ambroseof the Newark, New Jersey, Police

Department for his inspiration andinsight concerning this article.

The key to successfor any commander

rests with being

prepared.

11 R.M. Linden, Working Across

Boundaries: Making Collaboration Work

in Government and Nonprofit Organiza-

tions (San Francisco, CA: Jossey-Bass/

John Wiley and Sons, 2002); retrieved onJune 1, 2003, from http://www.josseybass.

com/WileyCDA/Section/id-10980.html . For

more information, see http://www.

baltimorecity.gov/news/citistat/.12 G.L. Kelling and Ronald Corbett,

The Center for Civic Innovation at the

Manhattan Institute, Civic Bulletin 32,

This Works: Preventing and Reducing

Crime (New York, NY, March 2003).13 New York City crime figures from

the New York City Police Departments

CompStat Unit for the week of April 21

through April 27, 2003; retrieved on May

6, 2003, from http://www.nyc.gov/html/nypd/pdf/chfdept/cscity.pdf; and Philadel-

phia, Baltimore, and Newark crime figures

retrieved from U.S. Department of Justice,

Federal Bureau of Investigation, Crime in

the United States, for the years 1995

through 2001.14 Supra note 12.15 Case studies conducted in six New

York City police precincts in 2000 show

that precinct commanders use Compstat

technology to identify when specific types

of crime, such as robbery and burglary,

become unusually serious problems.

Incidences of such crimes fell after thecommanders employed specifically

devised tactics to combat the identified

problem; see G.L. Kelling and William H.

Sousa, Jr., The Center for Civic Innovation

at the Manhattan Institute, Civic Report

22, Do Police Matter? An Analysis of the

Impact of New York Citys Police

Reforms (New York, NY, 2001), 1-2;

retrieved on May 4, 2003, from http://

www.manhattan-institute.org/html/

cr_22.htm.


23/35

t is my honor to be here with you today to sharein this most important event in the career of a

Notable Speech

The X-Factor in PolicingBy Todd Wuestewald, M.S.

Chief Wuestewald heads theBroken Arrow, Oklahoma,

Police Department.

law enforcement officeracademy graduation.When asked if I would speak at this graduation, Istarted thinking about what it must be like to be ayoung law enforcement officer beginning a newcareer. How is it different today than when I gradu-ated from the academy many years ago, seemingly,in another century? Certainly, the differences aremany. The problems and concerns these new offi-cers will confront are far different from those mygeneration of police officers faced. Their watcheswill revolve around issues like terrorism, technol-ogy, diversity, and problem solving.

Today, law enforcement is on the front line in awar on terrorism, both foreign and domestic, in away that I never would have imagined. It is a globalwar, which stretches from Oklahoma to the farreaches of the earth. And, it is a war these men andwomen will be fighting throughout their careers.The fight will require special skills, knowledge,and equipment. Homeland security is now a basic

requirement of the job.There is also the challenge of diversity. Oursociety is far more diverse than it was 30, or even20, years ago. This fact creates new hurdles for lawenforcement in terms of language and culture. Wewill have to bridge these gaps to provide service toeveryone equally. And, then, there is the ever-expanding role of law enforcement in this age ofcommunity policing. Certainly, our communitiesexpect much more from a police officer today thanwhen I first pinned on the badge. Its not as simpleas putting the bad guys in jail anymore. Citizens

expect us to communicate and collaborate. Theyexpect openness and access. They expect us tosolve problems and form partnerships. Police workalways has involved much more than enforcing thelaw. But, today, the social aspects of policing are

center stage. It is certainly a much more complexjob we are asking these officers to perform.

Of all the differences between my day and

theirs, technology represents the greatest contrastand the supreme challenge. Consider this: when Ibegan my career as an officer, technology was a1977 Plymouth Fury with a 400-cubic inch, 4 bblV-8, an old hickory nightstick, and a .357 revolver.Now, compare that with the fact that these officerswill drive a police car with more sophisticatedelectronics than the first Apollo moon shotcarsfully equipped with state-of-the-art mobile datacomputers, digital video cameras, and 800 mega-hertz radios. They will wear lightweight ballisticvests made of space-age material that provide in-

credible new levels of protection. They will carryhigh-capacity, .40-caliber semiautomatic pistols,pepper spray, and electronic impulse Tasers ca-pable of stopping even the meanest and most deter-mined attacker. They will have access to infraredand thermal-imaging devices to help them see intothe darkness. They will use lasers to catch speeding


I


24/35

June 2004 / 23

motorists, and they will swipe a digital driverslicense to produce an electronic ticket. They willuse DNA to identify violent offenders and GPS

tracking devices to follow drug dealers, and crimemapping will help them predict where the nextburglary will occur.

Theirs is, indeed, Brave New World, asAldous Huxley termed it nearly 70 years ago in hisclassic science fiction novel. However, just asHuxley warned, there is danger in our overrelianceon technology. Technology tends to lull us intocomplacency. Yet, technologycannot change one basic aspect ofpolicingthe human element. Itis that element that continues to

be the critical factor in our collec-tive success or failure. I am talk-ing about the human element inthese men and women who wearthe badge, as well as the humanelement in those we serve.

This is the X-factor in polic-ing. It exerts itself in the form ofofficer discretion, decision mak-ing, and interpersonal communi-cations; it can be found in the human behind thewheel of the police car or in whose hands thetechnology is grasped. And, it is evident in thevictims of crime, even in the perpetrators of crime.We must be attentive to the X-factor to be suc-cessful. It will not be our technology that sparesus from the next horrific act of terrorismit willbe one human whispering an important piece of

information into the ear of another and that personknowing what to do with it. Technology is a greattool for making cases, but it is the hard work and

the communication between individuals that reallysolve crime. The cop on the beat, the detectivebeating the bushes, relationships betweenpeoplethese are the tried and true techniques ofpolice work. If we are going to be successful inbuilding bridges with our diverse constituents, en-gaging our communities, combating terrorism, andsolving the complicated problems of this era, it is

this X-factor, the human side ofpolice work, that will get the jobdone.

If there is one piece of advice

I can offer to the graduates, itwould be that in this brave newworld of yours, do not forget theX-factor as you embark on yourlaw enforcement careers. Re-member that it will be yoursound decision-making humanrelations skills, perseverance,compassion, and courage thatwill see us through. No matter

the nature of the problem or the trappings of theprofession, the human element always has beenand always will be the critical factor.

Anyone who has delivered a speech recently and would like to share the information with awider audience may submit a transcript of the presentation to the Bulletin for consideration.Presenters should submit their transcripts typed and double-spaced on 8 - by 11-inch white

paper with all pages numbered. When possible, an electronic version of the transcript savedon computer disk should accompany the document. Send the material to: Editor, FBI LawEnforcement Bulletin, FBI Academy, Madison Building, Room 201, Quantico, VA 22135.

Chief Wuestewald delivered this speech on December 17,

2003, at the graduation ceremony of the Oklahoma Councilon Law Enforcement Education and Training (CLEET).

this X-factor,the human sideof police work,...will get the

job done.


25/35


ongress passed the FairLabor Standards Act(FLSA)1 during theC

economic depression in 1938 inan effort to expand the numberof jobs available in the UnitedStates. They reasoned that if anemployer was required to payemployees extra for workingmore than 40 hours a week, theemployer, instead, would decide

to hire new workers at the lowerwage, thus creating more jobs.In 1974, Congress amendedthe FLSA, making it applicableto public sector employees.

However, inNational Leagueof Cities v. Usery,2 the U.S.Supreme Court held that the1974 amendment of the FLSAwas unconstitutional withrespect to employees perform-ing traditional governmentfunctions, such as law enforce-ment. In 1985, the SupremeCourt reversed itself and ruledthat Congress did have the

power to apply the FLSA tostate and local governments.3

It is essential that a lawenforcement administratorcharged with scheduling

employees has an understandingof the applicability of theFLSAs compensation provi-sions to public sector employ-ees. Failure could lead tosignificant financial liability forunpaid wages and overtime. Forexample, the failure to properlycredit employees one-half hourper day for time spent per-forming a government function

could mushroom into millionsof dollars of liability when thatone-half hour is multiplied bythe number of employees per-forming the function and by the

Legal Digest

The Fair Labor Standards Act

and Police CompensationBy MICHAEL E. BROOKS, J.D.

PhotoDisc


26/35

June 2004 / 25

number of days the functionwas performed over a period of2 to 3 years. This is especially

true when considering that insome instances, such employeeswould be entitled to liquidateddamages in an amount equal tothe lost wages, as well as courtcosts and attorneys fees.4 Tofairly compensate employeesand avoid the consequences thatmay flow from miscalculationof wages, administrators musthave a working knowledge ofwho is covered by the FLSA,

what activities of coveredworkers must be compensated,what constitutes overtime underthe FLSA, how much a coveredemployee must be paid for anyovertime, and when a policeagency can give a coveredemployee compensatory hoursoff in lieu of paying overtimewages. This article addressesthese issues.

At the time that this articlewas written, the U.S. Depart-ment of Labor was proposing anumber of changes to thedefinitions of exemptions fromFLSA coverage. For example,under the proposed changes,most salaried managers andsupervisors no longer will beentitled to overtime pay underthe FLSA if their most signifi-cant responsibility involves the

supervision of other employees.Currently, the law generallyrequires that such individualsspend a majority of their time

engaged in the actual supervi-sion of other employees to beexempt from these provisions.5

Commentators have arguedexactly how much impact thesechanges actually will have onlaw enforcement.6 On April 19,2004, Secretary of Labor ElaineChao announced modificationsto the proposed changes.Among these modifications islanguage that clearly states thatpolice officers generally arecovered by the FLSA.7 Theoriginal proposed changes did

not make this distinction. All ofthe proposed changes, which arescheduled to take effect inAugust 2004, are detailed at theDepartment of Labor Web siteat www.dol.gov.

Coverage

The FLSA covers all publicemployees not specifically

exempted by the law. However,there are a number of specificexemptions. First, elected

officials and their appointedstaffs specifically are exemptedfrom coverage.8 In a sheriffsdepartment, that would includethe sheriff and those policy-making officials directly ap-pointed by the sheriff. One U.S.circuit court of appeals hasexpanded this exemption tosheriffs deputies.9

The most significant exemp-tion to law enforcement agen-

cies is the white-collar exemp-tion. This provision exemptssalaried executive, administra-tive, and professional personnelas long as the salary is greaterthan $8,060 per year.10 Underthis exemption, the salary maynot fluctuate except for ab-sences of more than 1 day.11 Inone case, the U.S. Supreme

The FLSA coversall public

employees notspecifically

exempted by thelaw.

Special Agent Brooks is a legalinstructor at the FBI Academy.


27/35

Court ruled that a salariedpolice sergeant still would fallwithin the white-collar exemp-

tion, even though the sergeantcould be subject to disciplinethat could result in the loss ofsalary unless there was a sig-nificant likelihood such anevent will occur.12 Currently,the executive subgroup of thewhite-collar exemption encom-passes the largest number ofpolice personnel. As noted,under the current law, anexecutive or manager generally

must spend a majority of workhours directly supervising theactivities of other employees toqualify under this exemption.The Department of Laborsproposed change to the defini-tion of an executive will exemptan individual who 1) is com-pensated on a salary basis inexcess of $455 per week; 2) hasthe primary responsibility ofmanaging the enterprise ormanaging a department orsubdivision of the enterprise; 3)customarily or regularly directsthe work of at least two or morefull-time employees; and 4) hasthe authority to hire and fire ormake suggestions and recom-mendations as to the hiring,firing, advancement, promotion,or any other change of status ofother employees.13 This change

likely will result in a number offirst-line police managers nolonger being covered by theFLSA. For example, currentlysalaried sergeants who spend a

majority of their time patrollingare covered by the FLSA. If thenew executive definition takes

effect, those same sergeants willnot be covered by the FLSA iftheir most significant responsi-bility is the management of twoor more employees and thesergeants evaluate those em-ployees job performance.

Currently, there is no maxi-mum salary that exempts anemployee from coverage underthe FLSA. Instead, the responsi-bilities of a salaried employee

determine whether that em-ployee is exempt from cover-age. Under the proposed De-partment of Labor changes tothe definitions of exempt

professional.14 Most policeofficers have some duties thatcould qualify as administrative

in nature under the new defini-tions. Therefore, a highly paidofficer, even one who receivesmuch compensation as a resultof overtime, likely will becovered no longer by the FLSAonce total compensation ex-ceeds $100,000 per year. How-ever, public employers whohave a contractual or statestatutory obligation to payovertime will continue to be

required to meet those contrac-tual and statutory obligations.

One last issue in that ofcovered employees is that ofvolunteers. There must be anemployment relationship beforethe FLSA applies to an indi-vidual and an employer. Avolunteer is not covered by theFLSA. Whether an individualis an employee or volunteer isa question of state law or con-tract. This does not allow a pub-lic employer to permit anemployee to volunteer to per-form the work of the employerduring off-duty time. Such anemployer would be required tocompensate under the FLSA ifthat employer allows theemployee to volunteer suchwork, even if the employer isnot factually aware that the

work is occurring.15

However,one U.S. circuit court of ap-peals has ruled that under theFLSA, a police agency is notrequired to compensate an

employees, most salariedemployees who earn more than$100,000 per year in totalcompensation, not countinghealth and retirement benefits,

will be exempt from coverageas a highly compensatedwhite-collar worker as long asthey have any duty identifiableas executive, administrative, or

...elected officialsand their appointedstaffs specifically

are exemptedfrom coverage.


One last issue in the area of


28/35

June 2004 / 27

employee who volunteers towork at a rescue squad duringoff-duty hours, even though the

rescue squad is directed by thesame governmental agencythat oversees the policedepartment.16

Compensated Activities

Once an employee is deter-mined to be covered under theFLSA, the next issue is whatactivities of the covered em-ployee must be counted towarddetermining the number of

hours that employee has workedand for which the employeemust be compensated. In gen-eral, a covered employee mustbe compensated for performingthe work of the employer. Inlaw enforcement, the issues ofthe compensability of time on-call, in travel, in training, caringfor equipment or animals, andduring meal breaks are frequentproblems for the law enforce-ment administrator.

Generally, time spent on-call is not compensable underthe FLSA unless the employeesare required to remain at theemployers premises or are sorestricted that they cannotengage in personal activities.17

InIngram v. County of Bucks,18

a group of county sheriffsdeputies were subject to on-

call shifts when they were notrequired to stay at work or weartheir uniforms. They wererequired, however, to wearpagers, respond to a summons

back to duty within a particularperiod of time; refrain fromdoing anything that would leave

them incapable of returning toduty, such as consuming alco-hol; and remain within a geo-graphical boundary. The depu-ties sued, claiming that theyshould have been compensatedunder the terms of the FLSA fortheir time spent on-call. TheThird Circuit U.S. Court ofAppeals held in favor of thedepartment. The court noted

or is required to use, a govern-ment vehicle in the commute.19

InImada v. City of Hercules,

California,20 a group of officersdemanded compensation underthe FLSA for time spent travel-ing directly from their home totraining activities required fortheir law enforcement certifica-tion. They did not receive anysuch compensation unless suchtravel occurred during thenormal work day. The officersnoted that travel time from theirstation to the training site was

compensated and that thetraining primarily benefitted theagency. The Ninth Circuit U.S.Court of Appeals upheld alower federal court ruling thatdenied the compensation. Thecourt noted that under theFLSA, employers are notrequired to compensate employ-ees for walking, riding, ortraveling to and from the actualplace of the performance of theprincipal activity or activitieswhich such employee is re-quired to perform.21 The courtalso noted that training is anormal activity for a law en-forcement officer and b

FBI Law Enforcement Bulletin - June04leb

Documents

Transcript of FBI Law Enforcement Bulletin - June04leb