HomeMy WebLinkAboutAdministrative Study of Police Operations in the Town of Mamaroneck 6/1/1983 Richard J. Condon William G. McMahon
Commissioner Deputy Commissioner
ADMINISTRATIVE STUDY
OF POLICE OPERATIONS
IN THE TOWN OF MAMARONECK
MAMARONECK, NEW YORK
DIVISION OF CRIMINAL JUSTICE SERVICES
BUREAU FOR MUNICIPAL POLICE
POLICE ADMINISTRATIVE SERVICES UNIT
STUYVESANT PLAZA
EXECUTIVE PARK TOWER
ALBANY, NEW YORK
Charles W. Rutherford
Supervisor
Police Administrative Services
Prepared By:
William H. Hogencamp F. William Kervan
Assoc. Police Specialist Assoc. Police Specialist
Carole E. Claren
Secretary
June, 1983
TABLE OF CONTENTS
EXECUTIVE SUMMARY i
PREFACE viii
CAVEAT ix
GLOSSARY OF TERMS x
INTRODUCTION 1
BACKGROUND 7
ORGANIZATION 8
RECORDS 12
MANPOWER ANALYSIS 15
DISPATCH AND DESK OPERATIONS 25
CRIMINAL INVESTIGATION 27
SUPERVISION 29
FORMAL DIRECTIVE SYSTEM 30
BUILDING FACILITY 31
CONCLUSION 38
APPENDIX
A - Organization 0-1
B - Records R-1
C - Criminal Investigation CI-1
D - Formal Directive System FD-1
E - Building Facility BF-1
EXECUTIVE SUMMARY
Introduction
At the request of Mr. Charles S. Baumblatt, Chief of
Police, Town of Mamaroneck Police Department, the Police
Administrative Services Unit of the Bureau for Municipal
Police, undertook an administrative survey of the above noted
department. The objectives of the study were to identify
administrative deficiencies and to provide realistic recommen-
dations for organizational improvement.
Overview of the Study
Organization - The present rank structure
of the Town of Mamaroneck Police Depart-
ment consists of a chief, two lieutenants ,
one detective sergeant and seven ser-
geants. The current operation, as depic-
ted in the personnel chart below, demon-
strates that the patrol division is under
the control of the two lieutenants and the
records, detective and juvenile functions
are commanded by personnel at the sergeant
rank. All five of these command officers
report to the chief . In addition, it was
SUPERVISORY PERSONNEL CHART
CHIEF
Patrol Lt. Patrol Lt. Records Sgt. Juvenile Sgt.
Patrol Patrol Patrol Patrol Patrol
Sgt. Sgt. Sgt. Sgt. Sgt.
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also noted that the eleven command person-
nel supervise a complement of twenty-six
sworn officers. This results in an
approximate ratio of supervisors to staff
of 1: 2 , which is extremely low and tends
to create a top heavy organization.
The study recommends the following organizational
proposals:
1. The Chief should be organizationally
responsible for the operations of the
entire department. To facilitate this
task, a proper span of control should be
developed that provides for the delegation
of authority and responsibility.
2. The Department should be divided into two
main divisions: Line and Staff .
3. These divisions should be under the
authority of a lieutenant.
4. The proposed position of Captain should
not be implemented. This position would
add another level to the organizational
structure, decrease the Chief ' s span of
control to one and serve to remove him
from the Department ' s daily operations .
5. The proposed functional organization
chart is as follows:
PROPOSED FUNCTIONAL CHART
CHIEF
Line Staff
(Patrol) (Administration)
-i Shift 1 - Records
- I Shift 2 H Detective]
HShift 3 --I Juvenile]
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Records - The records keeping system of
the Town of Mamaroneck Police Department
was found to have features which provide
easy access to information, but it also
contains procedures that make it difficult
to manage.
The following suggestions are made to improve and
streamline the system.
1. All patrol officers should be required to
complete a daily activity log.
2. The incident/complaint card should be made
out by the dispatcher.
3 . The incident/complaint card should be
modified to accommodate a time/date
stamping machine to record time of call,
dispatch, arrival and completion.
4. Incident/complaint cards should be
numbered in a sequential and standardized
method.
5. As an administrative safeguard, activity
logs and incident/complaint cards should
be reviewed by supervisory staff on a
daily basis.
6 . A new bail procedure, utilizing a double
entry journal system and a locked drop
safe box should be utilized.
Manpower Analysis and Sector Design - This
section is a critical area of concern in
respect to the Town of Mamaroneck Police
Department. Since personnel services are
a major component of any police department
budget, any misuse, misdirection,
under utilization or overstaffing results
in the unwarranted spending of tax
dollars.
The basic recommendations in respect to manpower and
sector design are as follows:
1. Patrol sectors should be restructured to
reflect current levels of activity and
calls for service.
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2. The Department should utilize a staffing
chart which takes into account personnel
availability for assignment and the
present level of activity.
3 . The Town of Mamaroneck Police Department
should utilize one post on the 12:00 am -
8 : 00 am shift, three on the 8 : 00 am - 4: 00
pm shift and three on the 4:00 pm - 12:00
am shift.
Dispatch and Desk Operations - Certain
deficiencies were observed concerning the
functions and physical layout of the dis-
patch and desk operation. Local law in
Westchester County requires a sworn
officer to work the desk. Since a sworn,
trained officer is mandated, the Bureau
for Municipal Police suggests that opera-
tions be revised to increase the produc-
tivity of this position.
Our recommendations concerning this operation are as
follows:
1 . The physical layout of the desk area
should be changed to provide security for
the desk officer.
2. A set of procedures should be designed
that outline the authority of the desk
officer in respect to supervisory problems
and other situations requiring a decision.
3. Consideration should be afforded to
purchasing equipment to tape all telephone
calls and radio transmissions.
4. The duties of the desk officer should be
reviewed in respect to the productivity of
this position. Additional duties such as
record review or filing could be included
within this job description to fill the
current available free time.
Criminal Investigation - Presently, most
of the responsibility for criminal inves-
tigation in the Town of Mamaroneck Police
Department rests in the detective squad.
The patrol force is responsible for a very
basic preliminary investigation and then
turns the information over to the detec-
tives. The detectives assume total
responsibility for the case until it is
closed.
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The Bureau recommends that the initial
responding officer be responsible for an
investigation from beginning to end. In
this fashion, the detectives assume more
of a supportive role in respect to
following up leads that cannot be easily
accomplished on the normal tours of the
responding officer.
In order to initiate a system of this nature, we propose
that the Town of Mamaroneck Police Department implement the
following:
1. A system for the management of continuing
investigations, and
2. A system to evaluate individual investi-
gators.
In addition we recommend the
implementation of an overlapping schedule
in the Detective Bureau. Utilizing one
shift of 8 : 00 am to 4: 00 pm and a second
one of 1: 00 pm to 9:00 pm will provide
additional investigative personnel during
the peak hours, while eliminating them
between the hours of 9:00 pm to 12: 00 am
which are generally not as conducive to
interviews and investigatory procedures.
Supervision - As with many departments
studied by the Bureau for Municipal
Police, the supervisory personnel of the
Town of Mamaroneck should be afforded
continuous managerial training. It seems
to be an established police tradition that
as soon as an officer passes a Civil
Service test, the officer is immediately
blessed with the ability to supervise.
Most people realize that being a police
officer requires a variety of skills. It
must also be understood that the role of
the police supervisor or manager requires
a new group of skills. It is incumbent
upon the jurisdiction' s governing body to
ensure that all personnel , especially
those newly appointed to positions of
authority and responsibility receive
proper training in a timely manner.
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Formal Directive System - Presently, the
Town of Mamaroneck Police Department
utilizes a system of direction which is
comprised of memorandums issued by the
Chief which are posted on the bulletin
board to be reviewed by all personnel.
This system does not ensure compliance or
continuity of command. It is
counterproductive to the effective
operation of the Department. We recommend
that a formal written directive system be
implemented within the Department. A
system of this nature, promulgating orders
that are relevant, authoritarian and
enforceable will increase the productivity
of the department.
Building Facility - The Town of Mamaroneck
Police Department is currently located in
an old renovated house. Although it is
well maintained, this facility does not
meet the present requirements of the
Department. The Bureau suggests that the
Town of Mamaroneck explore the possibility
of obtaining a different building to
facilitate police operations.
Report Format
The preceding Executive Summary was designed to provide a
brief synopsis and general overview of the study. Its purpose
is to allow the Chief and other interested parties to quickly
review the major findings of the study without becoming bogged
down with excessive theory or wordy generic discussion. It
serves as an introduction to the more detailed following
segments .
The body of the report identifies, isolates and analyzes
problems specifically related to the surveyed jurisdiction.
It is totally dedicated to the particular problems of the
requesting department. This section explores and expands upon
each question undertaken by the study. Each matter of concern
is afforded a subsection; problems are completely analyzed and
detailed recommendations are offered.
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The final portion contains background and general
information concerning each of the problems noted in the
preceding sections. This appendix portion includes general
information related to the findings of the study. Although
the material provided in this section is not completely
tailored to the jurisdiction in question, the information
included is necessary to completely comprehend the rationale
of the report. This data is also beneficial in respect to the
proper implementation of the report ' s recommendations.
When considered together, these three segments form a
comprehensive report. It is suggested that all principal
parties carefully review and evaluate each section of the
report before any attempt at implementation is initiated.
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PREFACE
The Bureau for Municipal Police expresses its gratitude
to the Chief of Police and staff of the Town of Mamaroneck
Police Department for their excellent cooperation during the
course of this study.
The Bureau for Municipal Police encourages dialogue by
the Town of Mamaroneck Police Department in respect to the
recommendations and conclusions of this report. In addition,
Bureau staff will be available at the request of the Chief of
Police to assist in the implementation of any of the report ' s
recommendations. Also, we will be happy to explain all or
any part of this report to those responsible for police
department operations.
— viii -
CAVEAT
The majority of the information, recommendations and
suggestions contained in this report are based upon calcula-
tions and analyses of data obtained from the records of the
Town of Mamaroneck Police Department. The extrapolation and
subsequent conclusions of the report are directly related to
the validity and reliability of the initially supplied
figures .
Even though the record keeping system of the Town of
Mamaroneck Police Department appears to correctly reflect the
agency ' s activity, the Bureau for Municipal Police cannot
guarantee the accuracy of all submitted data.
This report is not the ultimate answer to police opera-
tion in the Town of Mamaroneck. The Bureau for Municipal
Police believes however, that this report provides a sound
basis for further discussions from which will come prudent
decisions at the local level .
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GLOSSARY
Administration - The sum of all those ideas, techniques,
procedures and processes which are employed to help an
organization maintain, control, and coordinate formally
and informally organized human and material resources
for achieving its predetermined goals.
Beat - A specific area within a sector whether motorized or
foot.
Call For Service - Any complaint or request to which an offi-
cer is dispatched. Includes any activity generated by
an officer while on patrol which necessitates the call-
ing out of service.
Goal - A desired state of affairs which the organization
attempts to realize. It is a very broad and general
statement of purpose and intent.
Line Units - Those persons that carry out the primary tasks
of the organization. In a police agency, line generally
refers to patrol officers, and in certain instances,
detectives.
Management- - Guiding human and physical resources into dy-
namic organizational units that attain their objectives
to the satisfaction of those served with a high degree
of morale and sense of attainment on the part of those
rendering the service.
Mission - Describes in a general and brief fashion, the pur-
poses of the organization.
Objectives - Specific statements about situations or activi-
ties that management wants to occur. These are short
term achievements attainable within a given time
period.
Organization - Structural framework within which administra-
tion is conducted. It provides the framework, tasks and
rules for the administrative process.
Policy - The organizations ' overall action plan and intent,
states how the department will uphold the mission and
meet goals and objectives. Policy is not necessarily
specific, but reflects intent, concepts and philosophy.
Post - A specific duty position within the organizational
structure.
Preliminary Investigation - The police agency ' s first re-
sponr to a report that a crime occurred. Primary ob-
jective is to determine who committed the crime and
apprehension of offender.
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Procedure - Describes an operation while still allowing flexi-
bility within limits. Procedure serves to define policy
and provides an acceptable method for carrying it out.
Rules and Regulations - Restrictive and specific directives
which are intended to cover situations in which no devi-
ations are permitted. States what a member must do, as
' well as, must not do.
Sector - A geographic area assigned for patrol purposes
whether foot or motorized.
Shift - A time division of the day for purposes of assign-
ment. Shifts may be consecutive eight-hour periods, or
they may overlap to meet unusual or peak loads.
Span of Control - Number of personnel a manager has to con-
trol or supervise.
Staff Units - Those persons who backup or support the line
personnel . They provide a secondary function according
to the needs of the line function. In a police agency
staff includes communications, records, training, etc.
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INTRODUCTION
Division of Criminal Justice Services
The New York State Division of Criminal Justice Services
was created by Chapter 399 of Laws of 1972. This legislation
consolidated the Division for Local Police and the New York
State Identification and Intelligence System to form the
Division of Criminal Justice Services. The new agency came
into being September 1, 1972. The Division of Criminal Jus-
tice Services now has five major components which have been
designated as the Bureau for Municipal Police, Identification
and Data Systems , the Office of Planning and Program
Assistance, Office of Program Development and Research and
the Office of Prosecution, Defense and Support Services .
Bureau for Municipal Police
Chapter 399 of the Laws of 1972, also transferred the
Municipal Police Training Council from the Office for Local
Government to the newly created Division of Criminal Justice
Services. At the same time, all the functions and duties of
the Division for Local Police, the Director and the Executive
Director of the Municipal Police Training Council were trans-
ferred. The Bureau for Municipal Police was created within
the Division of Criminal Justice Services and serves as the
field support unit to the Commissioner and the Municipal
Police Training Council. The five major components of the
Bureau for Municipal Police are the Police Administrative
Services Unit, the Municipal Police Training Unit, the High-
way Safety Unit, the Office of Crime Prevention, and the
Peace Officer Training Unit.
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Police Administrative Services Unit
The Police Administrative Services Unit of the Bureau
for Municipal Police, offers administrative counseling and
in-depth surveys to local law enforcement agencies . This
counseling and the resulting surveys , are efforts to assist
the agencies with the continuing task of reviewing and up-
grading the many facets of administration requiring manage-
rial attention.
Frequently, emergencies of the day prevent police admin-
istrators from giving adequate attention to the areas of
planning, research and operational review. Accelerating
changes in the world today create unusual pressures for law
enforcement agencies and increase the need for flexibility in
management and organization.
The purpose, therefore, of the Police Administrative
Services program, is to provide (on a short term basis ) the
staff assistance necessary to aid administrators in combining
new ideas, concepts and methods with a professional and ob-
jective analysis of local realities. Conclusions and recom-
mendations drawn from this activity are presented in written
form. The report or survey, stresses immediate needs based
upon historical or present trends. By its very nature, the
survey is a critique. It is not an end in itself , but merely
documents the need for change. The value of the survey will
be directly proportional to the attention given to its
recommendations in terms of evaluation, implementation and
periodic review.
"Guidelines for Police Administrative Services" follows
and explain the program in greater detail.
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Guidelines for Police Administrative Services
The following guidelines are established to implement
New York State Executive Law, Section 837 subdivision 5 ,
which states :
The Division shall :
Conduct studies and analyses of the ad-
ministration or operations of any crimi-
nal justice agency when requested by the
head of such agency and make the results
thereof available for the benefit of such
agency .
Upon the request of the agency head and following a pre-
liminary evaluation, the Police Administrative Services Unit
may provide the following types of administrative services:
1. Staff Consultation
2. Limited Surveys
3. Comprehensive Surveys
1. Staff Consultation
Staff consultation is simply informal discussions
or conferences between an administrator of a department
and Bureau for Municipal Police staff . Staff
consultation is generally done without the preparation
of a formal report.
2. Limited Surveys
A limited survey consists of an analysis of a
single or limited number of functions within a police
agency , including a written report with recommendations .
An analysis of one or more of the following functions
would be included in such a survey:
Patrol Division Personnel Systems
Investigative Div. Rules of Conduct
Training New Bldg . Facility
Records Systems Consolidation and/or
joint services
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3. Comprehensive Surveys
A comprehensive survey includes extensive review
and analysis of the entire administration, operation and
services provided by a police agency and a written
report of the analysis with recommendations.
A comprehensive survey considers the entire
spectrum of a police operation. It examines the role of
the police agency and its relationship to other
functions of local, state and federal government; its
administrative, organizational and personnel problems;
its staff and line operations; information systems;
communications, equipment and facility .
The purpose of the comprehensive survey is to
analyze the entire police operation and where
appropriate, recommend new or improved systems and
procedures, techniques and methods to improve the
capability of the police agency to effectively perform
its mission.
Professional Service Costs and Agreements
When professional service is provided by Bureau for
Municipal Police staff , there will be no charge.
Limited and comprehensive surveys require a written
request from the agency head to be on file with the Bureau
for Municipal Police.
The jurisdiction requesting professional service shall
have distribution control over reports resulting from the
service.
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Implementation
The value of any survey or study, lies in the actual
implementation of approved recommendations which is the
responsibility of the requesting agency. The Bureau for
Municipal Police staff will, however, provide assistance as
needed to assure results and continuity of administrative
effort.
Mamaroneck Project
On March 18, 1982, the Police Administrative Services
Unit met with Chief Baumblatt and the three members of the
Police Commission. Subsequent to this exploratory meeting,
the Mamaroneck Police Department, in a letter dated March 23 ,
1982 , requested that the Bureau for Municipal Police undertake
an administrative study of its operation.
A formal Letter of Agreement was forwarded to the Chief
on March 26 and a signed copy was received by the Bureau for
Municipal Police on May 10, 1982. Pursuant to the receipt of
the Letter of Agreement, a preliminary survey packet was sent
to the Department and returned completed on June 14, 1982 .
Sector activity maps were received at a later date.
Upon reviewing the preliminary information, Mr. William
H. Hogencamp and Mr. F. Edward Graziano conducted a field
visit on September 9, 1982.
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The field visit resulted in a narrowing of the scope of
the study . In conference with the Police Administrative
Services Unit supervisor, Mr. Charles Rutherford, it was
decided to concentrate the resources of the Unit on those
areas deemed most important to the overall effectiveness of
the department. The following areas were analyzed by the
Police Administrative Services Unit.
1. Organization
2 . Records
3. Manpower
4 . Dispatch and Desk Operations
5. Criminal Investigation
6 . Supervision
7 . Formal Directive System
8 . Building Facility
The following report represents the Bureau for Municipal
Police ' s effort to assist the Mamaroneck Police Department
solve some of its administrative problems in the above
mentioned areas.
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BACKGROUND
The Town of Mamaroneck is located within lower
Westchester County bordering the City of New Rochelle. It is
a "bedroom" community for the New York City area with a 1980
population of 12, 340. This is slightly down from the 1970
total of 13, 002. The Town comprises 5. 7 square miles and has
approximately 38 miles of roadway. It is divided by the New
England Thruway which separates a portion of the Town.
The Police Department of the Town of Mamaroneck present-
ly operates with thirty-nine sworn personnel . The operating
budget for 1982 was $1, 244, 350, which represented an approxi-
mate 23% increase since 1978. The department fields four
patrols on the day and afternoon shifts and three on nights .
In addition to the patrol force, the Town also operates a
juvenile section, as well as a detective bureau. They han-
dled a total of 464 cases in 1981. A quick review of the
crime problem can be seen through the Part I crimes as follows:
1977 383
1978 350
1979 338
1980 387
1981 419
It should be noted that the listed Part I crimes are a
barometer of criminal activity, yet only a small portion of
departmental workload. In comparison, the projected total
calls for service for 1982 was 9,532. In percentage terms,
Part I crimes are only approximately 4% of the department ' s
workload.
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ORGANIZATION
The organizational chart of the Town of Mamaroneck Police
Department, which was provided to the Bureau for Municipal
Police as foundation data for this study, was found to be
deficient in a number of areas. The configuration of this
chart, which is depicted below, violates a number of accepted
organizational practices and was certainly not designed with
operational effectiveness in mind.
Provided Organizational Chart
CHIEF
Secretary
Administration Operations Detectives
Division Division
Investigations
Planning Patrol III
& Research
Juvenile
Traffic
Personnel
Internal
Transportation Affairs
Inspections
Firearms Property And
Public Evidence
Information - Control
Equipment
Community Liaison To
Relations Detention Prosecutors
Office
Complaints Training
Headquarters
Maintenance
Records
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As can be seen from the chart, this arrangement does not
properly group functional activities (i .e. , Training in the
Operations Division) nor does it differentiate between function,
subfunctions and program activities, ( i .e. equal chart prominence
afforded to Patrol, Transportation and Complaints) .
In reality, the organizational structure of a police
department the size of Mamaroneck is much more compact and
simple. In a department of less than one hundred personnel for
instance, officers are required to be generalists and therefore,
provide a variety of related functions. Separate organizational
units for Personnel, Property Control Detention, Training and
Firearms , as noted on the chart are not necessary and only
confuse the situation.
The actual present organizational chart of the Town of
Mamaroneck Police Department is depicted below.
ACTUAL FUNCTIONAL CHART
CHIEF
Patrol Records Detective Juvenile
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This chart demonstrates the four fundamental divisions of
the Department: patrol, records, detective, and juvenile, all of
which presently report to the Chief. Again, in a department of
this size, the current configuration is not designed for
effective operations.
The following discussion centers on observations and recom-
mendations to increase the overall effectiveness of the organiza-
tion. Some of the changes may be made quickly while others
should be implemented over a long period of time.
The department command structure consists of eleven persons.
They control the personnel balance of twenty-six. This is an
approximate ratio of supervisors to staff of 1: 2 ( 1: 2 . 36 actual ) .
A more appropriate ratio would be higher, such as 1:5. This
would create a more cost-effective operation, yet would not cause
an unmanageable span of control. A change in this ratio is dif-
ficult and is not even reflected in proposed staffing shown later
in this report, but it is a long range goal that should be
addressed by the Chief .
A second change to streamline the department is to rearrange
organizational and command structure. A proposed table of
organization is shown below.
PROPOSED FUNCTIONAL CHART
CHIEF
1 �
Line Staff
(Patrol) (Administration)
- Shift 1 - Records J
H Shift 2 HDetectej
HShift 3 H Juvenile
- 10 - I J
This table of organization follows guidelines presented
by the International Association of Chiefs of Police for small
departments from 20 to 100 sworn personnel.
It separates the department into the two fundamental areas
of line and staff. The line function would include the patrol
division and thusly, the majority of the department ' s personnel .
The staff segment would include the remaining support functions
which would include the present Records , Detective and Juvenile
Units. Under this system the line or patrol function is placed
under one lieutenant position and the staff or administrative
function under the other. This arrangement provides for greater
coordination of activity and strengthens the placement of
responsibility in those people in command.
The Chief discussed the possibility of the creation of a
position of captain within the organization. The captain would
be placed as a "buffer" between the two Lieutenants and the
Chief . This new position would not benefit the organization and
would compound the problem of a high supervisor to staff ratio.
Additionally, the position would tend to further insulate the
Chief from the day to day operations of the department. The
department should continue with the two lieutenants and during
those times when the Chief is away, one of the lieutenants should
be designated in charge.
Additional information concerning organizational theory is
located in Appendix A of this report.
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RECORDS
The extent to which police records are properly main-
tained and processed is directly related to administrative
performance and is a principle determining factor in the
quality of police services delivered to the community.
Due to the importance of the record keeping process , we
included it in the analysis of the Mamaroneck Police Depart-
ment. The record keeping system has features which provide
easy access to information but it also includes procedures
which make the system difficult to manage. The following
suggested changes address both the benefits and drawbacks of
the system.
It was noted that the patrol officer does not keep a
record of daily shift activities other than what is written
on the information/complaint card. This makes it difficult
to monitor the activity of the officer in the field. An
alternative which would permit an administrative review of a
patrol tour is the adoption of an individual activity sheet.
If implemented, this form would cause a change in the basic
records procedure. The incident/complaint card would no
longer be filled out by the officer in the field but rather
by the dispatcher. The officer would log any actions on the
activity sheet upon completion of the incident . In this
fashion, the card would become a tool for the administrator
to ascertain the various actions and responses of an officer
in the field. A comparison of the data contained on the
incident/complaint card could be made with the individual
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officer ' s activity sheet to review the response and ultimate
outcome of a call for service. For this system change to
succeed, strong supervisory support must be maintained
throughout all levels of the department to ensure
compliance.
The incident/complaint card would continue to play an
important role in the records system. As noted earlier, it
would be filled out by the dispatcher for all calls for ser-
vice. A format modification to stamp time expended on a call
for service should be provided on the card. By the use of a
time/date stamping machine, information can be provided on
dispatch, response and total time expended on a call for
service. This provides invaluable information to management
on the amount of time which is used by a patrol officer in
the field. It can be used to restaff and redirect patrols to
the time of day when high demand is placed upon the patrol
force.
The number assigned to the incident/complaint card
should also be sequential and standardized. Presently, a
number is maintained on a complaint, but a different number
is assigned when a case file is opened on the incident. One
number assigned to the entire procedure should be utilized to
prevent confusion and/or duplication.
The present filing of incident/complaint cards by type,
alphabetically and by location should continue as it provides
an excellent retrieval format. This would necessitate the
continued use of the carbon paper, multiple copy format.
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While this record system change is extensive, its value
cannot be under estimated. With budgets being squeezed, it
is imperative that management use its resources for the
maximum benefit. The information provided by the described
system will help the administrator utilize his manpower
efficiently and effectively. Information is provided in
Appendix B that describes a records system which encompasses
the features described in this section. It can be used to
guide changes in Mamaroneck.
One last procedure that was noted in the records review,
that should be revised, is the recording and handling of
bail money. A process should be developed that minimizes the
handling of monies collected. Presently, the money collected
is placed in a drawer which is emptied in the morning. This
system allows a number of people to have access to the money
and does not include adequate control measures. A locked
drop safe-type box should be used with the key under the
control of one person. This would prevent unauthorized
access. To strengthen internal controls over this system,
copies of receipts should be included with the money placed
in the box. A ledger of monies collected could be reconciled
to the records of the person in control of the bail box.
This would further strengthen departmental safeguards against
theft or misuse.
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MANPOWER ANALYSIS & SECTOR DESIGN
Allocation and Distribution of Patrol Manpower
The allocation of manpower in a police department is a
critical problem faced by every police administrator. By far
the largest part of a police budget consists of personnel
costs, and the police budget itself is usually among the
largest of all municipal departments. In spite of the urgent
need throughout the country, an exact means for determining the
optimum number of officers to be allocated to a police
department has yet to be developed. Among the reasons for this
is the fact that no precise method exists for the determination
of the optimum number of man-hours necessary for preventive
patrol coverage as compared to the manpower necessary for
handling investigations of offenses and incidents, inspectional
services, and other activities which can be measured with some
degree of exactness . However, an equitable distribution of
existing police strength by time and area can be achieved with
reasonable precision.
Patrol is the most fundamental of all police operations .
Uniformed officers assigned to conspicuous patrol vehicles
provide the basic services for which any department was estab-
lished. The patrol force seeks to prevent criminal activity by
creating the appearance of omnipresence and thus, generating
the impression of immediate apprehension of offenders. When
placed in proper perspective, all other police operations
assist or supplement patrol activities.
- 15 -
Patrol ' s responsibilities are most certainly not limited
to the prevention of crimes and the apprehension of offenders.
The patrol force is also a service unit, providing assistance
and emergency care in the event of injury, sickness, loss of
property, or even simple inconvenience. Uniformed officers are
usually the first, and sometimes the only contact the public
has with the police. The importance of adequate staffing,
deployment, supervision and training for the uniformed patrol
division can hardly be overemphasized.
The basic factors required in determining the number of
officers necessary to adequately staff a patrol division are
the calls for service for a given period of time (from which
the number of patrol sectors can be identified) and the
average time that each officer is available for duty on a
yearly basis.
The record keeping system of the Town of Mamaroneck Police
Department was reviewed by the Bureau for Municipal Police and
was found to accurately reflect the recorded police workload in
respect to the data needed for these calculations.
Determining the Number of Patrol Posts
Utilizing a formula developed by the International
Association of Chiefs of Police, the following steps were
performed using Mamaroneck data.
1 . The total calls for service for each tour
of duty were obtained for the busiest
month (July 1981) , the slowest month
(February 1982) , and an average month
(September 1981) , for the past year.
- 16 -
2. The total calls for service for each tour
of duty for the 3 months were then pro-
jected to a 12 month total (multiplied by 4 ) .
3. The above 12 month total was multiplied
by the average time required to respond
to a call for service and complete the
preliminary investigation. This provides
the number of hours per year spent in
handling calls for service. Previous
studies have shown that the average time
required to investigate adequately at the
preliminary level by members of a patrol
force is 45 minutes ( . 75 hours) .
4. The hours per year in calls for services
was then multiplied by 3. This is a
"buffer" factor to account for the time
spent on preventive patrol, inspectional
services, vehicle servicing, personal
needs , etc. This gives the total patrol
hours.
5 . The total hours were then divided by
2, 920, the number of hours necessary to
man one post on one 8 hour shift for one
year ( 8 hours x 365 = 2, 920) . The quo-
tient equals the minimum number of patrol
posts needed for the particular tour of
duty.
The above described formula is worked out on the fol-
lowing page utilizing Town of Mamaroneck data. As previously
noted, the months of February 1982, September 1981, and July
1981 were chosen for analysis. These months were selected
because:
1 . This data base was considered to be re-
liable and accurate.
2. They were the most recent months available
for study.
3. They represent the slowest month, the
average month and the busiest month in
terms of calls for service.
- 17 -
Before utilizing this data it was broken down and
translated into:
1 . The day of week of the activity;
2. The time of day of the activity;
3. Eight ( 8 ) hour blocks which correspond
with Town of Mamaroneck shift assignments.
Actual
Shift Calls for Service
12 : 00 am - 8 : 00 am 329
8: 00 am - 4: 00 pm 988
4 : 00 pm - 12: 00 am 816
Converting these figures to a full year (multiplying by 4 )
indicated the approximate yearly calls for service:
Projected
Shift Calls for Service
12: 00 am - 8: 00 am 1, 316
8 : 00 am - 4 : 00 pm 3, 952
4 : 00 pm - 12: 00 am 3, 264
Next these numbers were multiplied by . 75 to get the
average time expended by an officer on a call .
Approximate
Shift Time Expended
12 : 00 am - 8 :00 am 987 hours/year
8 : 00 am - 4: 00 pm 2, 964 hours/year
4 : 00 pm - 12: 00 am 2, 448 hours/year
These figures are multiplied by three to include a buffer
factor and time for routine patrol .
Projected
Shift Time Expended
12: 00 am - 8 : 00 am 2, 961 hours/year
8: 00 am - 4: 00 pm 8, 892 hours/year
4 : 00 pm - 12: 00 am 7, 344 hours/year
- 18 -
These numbers are then divided by 2, 920 (the total hours
needed to fill an eight-hour post for one year 365 x 8 =
2, 920) .
Minimum
Shift Posts Needed
12: 00 am - 8: 00 am 1.01
8 : 00 am - 4: 00 pm 3. 04
4: 00 pm - 12: 00 am 2. 52
These raw numbers are rounded to whole numbers .
Minimum
Shift Posts Needed
12: 00 am - 8 : 00 am 1
8 : 00 am - 4:00 pm 3
4: 00 pm - 12: 00 am 3
Patrol Staffing Requirements
Once the number of patrol posts for each tour of duty
has been determined, the next step is to ascertain the
manpower needed to adequately staff these posts.
This coverage cannot be achieved by the simple expedient
of assigning one man for each post. Consideration must be
given to the extent of the demands for service, regular days
off , vacations, sick leave, personal leave, holidays and other
factors, which detract from an officer ' s time available for
patrol duty.
The potential available hours for each officer are simply
365 days a year of eight-hour tours of duty, or 2, 920 ( 365 x 8
hours ) . From department records, an average figure is
determined for each of the factors specified in the preceding
paragraph. The total of these averages will give us the
average time in a year that each man is not available for duty.
- 19 -
This is subtracted from 2, 920 hours to give the hours actually
available. The hours available are divided into 2, 920 hours
and the quotient is the assignment/availability factor.
Multiplying the number of officers needed on duty by this
factor will give the number of officers which should actually
be available.
The factors listed below were considered in respect
to calculating the Town of Mamaroneck Police Department ' s
assignment/availability factor.
Average Average
Factor Number of Days Man-Hours
Days Off 101. 20 x8* 809. 60
Vacation 26 . 20 x8 209. 60
Holidays . 30 x8 2. 40
Sick and Injury 8. 40 x8 67 . 20
Court Time (on duty) 2. 20 x8 17 . 60
Training 1.60 x8 12. 80
Compensatory Time Off . 90 x8 7 . 20
140 . 80 x8 1126 . 40
* (To change man-days to man-hours)
Once these calculations are completed, the hours are
totaled. The resulting number represents the average amount
of hours an officer is away from duty each year. If this
number is subtracted from the basic man year of 2 , 920 man
hours ( 365 days x 8 hours ) the difference would represent the
total hours available by an officer for duty.
Hours in Man Year Average Hours Off Hours Available
2, 920 - 1,126 . 42 = 1,793 . 60
The 2 , 920 hours in a man year is then divided by the
hours available to calculate the availability factor . This
- 20 -
availability factor will be used to determine the total number
of personnel needed to fill the posts which are required in
the Town.
Total Hours in a Man Year Hours Available Availability Factor
2, 920 1, 793. 60 = 1. 62
Finally we integrated the needed posts to our calculated
staffing chart with the availability factor included to account
for an officer ' s time off. The result is represented below.
8 : 00 am 9: 00 am 1:00 pm 4:00 pm 12: 00 am
to to to to to Raw
Post 4: 00 pm 5: 00 pm 9: 00 pm 12: 00 am 8 : 00 am Score
Chief 1. 00* 1 . 00
Lieutenant 1. 00 1. 00 2. 00
Sergeant 1 . 62 1.62 1. 62 4. 86
Detective Sgt. 1. 00 1. 00
Records Sgt. 1. 00 1 . 00
Desk Officer 1 .62 1.62 1.62 4. 86
Patrol Sector 1 1. 62 1.62 3. 24** 6 . 48
Patrol Sector 2 1.62 1.62 3. 24
Patrol Sector 3 1 . 62 1. 62 3 . 24
Detectives 2. 00 2. 00 4. 00
Juvenile 1. 00 1. 00
TOTAL 32. 68 = 33
(Note: The difference between the Raw Score and
True Total is due to rounding. )
*Those posts not filled on a 24-hour basis are given
a value of 1.
**Contract mandates a two officer car.
The personnel requirements and the post configurations
discussed represent present levels of activity as provided by
the Town of Mamaroneck Police Department. The above chart represents
minimum staffing requirements as calculated by the aforementioned
methodology.
The qualifier "minimum" must be emphasized. This figure
may not represent all staffing considerations that are peculiar
to the Town of Mamaroneck Police Department.
- 21 -
On the 12: 00 am - 8 : 00 am shift for instance, the activity
suggests the need for utilizing only two police officers in one
patrol sector. The type and severity of calls during this time
period may necessitate the inclusion of an additional patrol
during the shift. However, the sergeant on patrol could act as
a backup and the proximity to two other Village police agencies
(Mamaroneck and Larchmont ) may negate the requirement for
additional patrols. The final determination of a question like
this should be done on the local level where all the particular
variables can be examined prior to deciding on the need for more
patrols. It should be noted that by negotiation of the
contract. The two officer car could be separated into two
patrols at a minimum of additional expense; however, this would
require a renegotiation of the present collective bargaining
agreement.
Configuration of Sectors
The map provided by the police department which designated
each call for service by a dot, was utilized as the basis for
determining sector configuration. This map included the same
three months of activity (April and August 1981, and February
1982) which were used to determine the number of actual
posts. It was divided into areas by a grid system to facili-
tate counting the number of calls for service. In this case ,
as specific calls were not weighed, each call for service was
assigned the same value.
The grids were then combined to form patrol sector con-
figurations for the Mamaroneck Police Department. The sectors
were structured so that workload is approximately even. In
- 22 -
addition, they were designed to be as compact as possible
relative to expected or desired response time. Adjustments
for peculiarities of terrain, accessibility, unusually high
or low incident rate and/or other abnormalities were also
made.
Listed below are the three patrol sectors of the Town.
The peculiar configuration of the Township made for one split
sector (Sector #2 ) . This was primarily due to the dividing of
the Town by the Thruway.
Sector 1: All that area within the following street
boundaries and the boundaries of the Villages of Mamaroneck and
Larchmont as follows : From the Village of Larchmont line
westerly on Chatsworth Avenue until Myrtle Boulevard;
Northeasterly on Myrtle Boulevard until Lakeside; Around the
traffic semi-circle until Rocky Road; Northerly on Rocky Road
until Grove Drive; Easterly on Grove Drive until the Village
of Mamaroneck.
Sector 2: All that area within the following street
boundaries and the boundaries of the Villages of Mamaroneck and
Larchmont as follows : From the Village of Larchmont line
westerly on Chatsworth Avenue until Myrtle Boulevard;
Northeasterly on Myrtle Boulevard until Lakeside; Around the
traffic semi-circle until Rocky Road; Northerly on Rocky Road
until Grove Drive; Easterly on Grove Drive until the Village
of Mamaroneck; Northwesterly on Rockland Avenue until
Stoney Side Drive; Westerly on Stoney Side Drive until
Ellsworth Road; Northwesterly on Ellsworth Road until Little
Farm Road; Southwesterly on Little Farm Road until Brookside
Drive; Westerly on Brookside Drive until Weaver Street;
- 23 -
Northwesterly on Weaver Street until Murray Avenue; Northerly
on Murray Avenue until East Drive; West on East Drive until
West Drive; Northerly on West Drive until Rourke Glen Road;
West on Rourke Glen Road until South Drive; South on South
Drive until Glen Eagles Drive; West on Glen Eagles Drive until
Knollwood Drive; North on Knollwood Drive until the W.C.P.C.
lands.
Also included within Sector 2 are those Town lands located
south of the Thruway bounded by New Rochelle, the Village of
Mamaroneck and the Thruway.
Sector 3 : All that area within the Town that is not
included in Sectors 1 and 2.
Included within the Chiefs copy of this report is a map
graphically depicting the described sectors.
- 24 -
DISPATCH AND DESK OPERATIONS
The dispatch and desk operations of the Mamaroneck Police
Department were examined in relation to overall agency
operations. Certain deficiencies were observed and are
discussed below. It should be noted that the desk and dispatch
functions are handled by one officer, who is referred to as the
desk officer for the balance of this section.
The configuration of the desk and communications area
affords no security for the desk officer. The officer is
behind a desk which is basically open to the general public. A
person could easily enter the station, especially after normal
business hours, and hold the officer and department hostage
without much difficulty. Corrective measures for this problem
are discussed in the Building Facility Appendix.
Local law in Westchester County requires a sworn officer
on the desk. This situation is beyond the scope of change in
this report. It is, however, a waste of the services of a
trained, sworn officer who could be better used on the street.
A problem arises in this arrangement when the desk officer
becomes the shift supervisor by virtue of the desk position.
The desk officer position is the nerve center of the department'
during the afternoon and night shifts. The decisions of
responding to a call for service (which officer to send, the
execution of administrative activities, etc. ) are handled by a
patrol officer assigned to desk duty. These are actually in
the realm of supervisory decisions. This problem could be
minimized by establishing a set of procedures which
- 25 -
articulates the activities or situations that can be handled by
the desk officer versus those which would be in the super-
visor ' s purview. The alternative approach would be to place
the senior shift supervisor such as a lieutenant on the desk.
This would eliminate the problem but also reduces or removes
needed on-street supervision.
The department should also consider purchasing equipment
to tape telephone calls and radio transmissions. In this era
of ever increasing liability suits, accurate recall of depart-
mental response to requests for service is critical. While
these systems are expensive, the benefit provided to the
department overrides the cost.
Under utilization of the desk officer was the last defi-
ciency observed. The current duties of the desk officer entail
those activities generated by radio transmissions, telephone
inquiries or walk-in traffic. This presents, on the average, a
great deal of "free" unassigned time especially on the night
shift. A change in duties, such as records review, filing or
other related tasks should be placed within the responsibility
of the desk officer to increase department productivity.
- 26 -
CRIMINAL INVESTIGATION
The investigation of criminal activity is only a small
portion of the total activity of a police department, however,
it is a source of major concern to the police chief and the
public. The Town of Mamaroneck utilizes a detective sergeant ,
four detectives and youth sergeant for investigative activity
in the Town. Their caseload for 1981 was 464. This is an
average of approximately 93 cases per person assigned.
Statistically, this could be interpreted to indicate that the
squad is underworked. In reality, this would ignore the
complexities and difficulty of criminal investigation.
Analysis of the work done by the investigators does indicate
areas to improve the squad' s efficiency. These
recommendations are:
1. Work investigators ' hours from 8 :00 am
to 4 : 00 pm and 1:00 pm to 9 :00 pm;
2. Implement an enhanced preliminary
investigation program for the patrol
force.
At the present time, the Mamaroneck Detectives work a
schedule of 8 : 00 am to 4:00 pm and then 4:00 pm to 12 : 00 am.
This format for scheduling leaves a Detective on when there is
very little investigative activity. From approximately 9 : 00
pm to 12:00 am, the detective becomes basically another patrol
officer to answer calls as needed. It is difficult to
interview or gather information during these late hours. In
an overlapping proposal ( 8 :00 am to 4 :00 pm, and 1 :00 pm to
9: 00 pm) , the second tour detective could spend more time on
investigations.
- 27 -
The second recommendation for improving the criminal
investigation process would be to incorporate a system that
stresses an indepth preliminary investigation. Presently, in
the Town of Mamaroneck, the patrol force is responsible for a
very basic preliminary investigation and then the information
is turned over to the detective squad. The detectives then
assume responsibility until the case is cleared. This system
which stresses a perfunctory investigation by the patrol force
is counter-productive in a small department such as Mamaroneck.
Studies have shown that the preliminary investigation is the
most important link in the solving of a crime. In this stage
of the investigation, the majority of usable information is
uncovered. When an agency has the patrol officer do a basic
level investigation to turn over to a detective, very often
details, witnesses and evidence are ignored. This results in
the detective returning and attempting to gather the needed
evidence and information long after the commission of the
crime. A waste of time and effort by both members of the
department is the result.
The recommendation of the use of the indepth preliminary
investigation results in a more coordinated investigative
format and thus, a savings for the Mamaroneck taxpayers. It
may also be found under this proposal, that the investigative
unit can be reduced to reflect the change in workload. This
would have to be determined after the new system was implemented.
The drawback to implementing this approach is the extensive
training of officers involved in the program in the proper
procedures of handling the preliminary investigation. Further
information in enhancing the preliminary investigation
function can be found in Appendix C.
- 28 -
SUPERVISION
Supervision entails the guidance of other usually
subordinate persons toward the accomplishment of established
goals within prescribed guidelines. It is critical for the
success of the organization in meeting its objectives. It
does not begin and end with the position of Chief but
continues from the sergeant up through the chain of command.
Good supervisory or leadership techniques result in the
organization functioning smoothly. Conversely, bad practices
contribute to low morale and low levels of productivity. It
is in the best interest of the Chief and the department to
ensure that good supervisory practices are maintained. To
meet this desired end, the department should search out and
enroll the supervisory personnel in training to enhance these
skills. Some of this training can be found through the Course
in Police Supervision sponsored periodically within your
training zone through the auspices of the Bureau for Municipal
Police. It should be emphasized that training be provided for
all levels of supervisors. The training of the sergeants
without the inclusion of the upper echelon personnel may prove
counterproductive. Good supervisory practices must be
utilized throughout the agency to ensure department success.
- 29 -
FORMAL DIRECTIVE SYSTEM
One area found in need of change was that of formal
directives. Through the formal directive system of a
department, a Chief directs the personnel in desired channels
of activities. General and special orders will enable the
Chief to guide a patrol officer through such situations as a
D.W. I. arrest to such specific events as duties at a parade .
Presently, Mamaroneck uses a system of loosely drawn
memos to the officers. This assumes that the officer will
take the time to read the memo as it is posted on a bulletin
board. The memo approach does not promote compliance because
they are not of a permanent nature. A recommended change
would be to incorporate a formal directive system. The
department should implement a system that formalizes orders.
The Chief should ensure that each officer receives a copy, and
if compliance remains a concern, implement a system where the
officer signs for each of the orders upon receipt.
Included in Appendix D is a discussion on the merits of a
formal directive system.
- 30 -
BUILDING FACILITY
During the course of our on-site visit, members of the
Bureau for Municipal Police study team were requested by
Mamaroneck Police Department officials to comment on the
building facility currently utilized by the Department.
Although we do not purport to be an architectural firm, we do
believe that the design and arrangement of a police headquar-
ters can exercise a controlling influence upon the morale of
police personnel and the overall efficiency of a police
department.
A police building is probably one, of the most important
structures a community will erect. This facility shares re-
sponsibility for community services with schools, hospitals
and other municipal buildings. It reflects the image of the
community along with its philosophy and commitment to modern
police services, methods and procedures. As previously noted,
properly planned and designed, the department ' s building can
be a positive influence on the morale and the operational
efficiency of the entire staff . It may also serve as a source
of pride for the citizenry of the jurisdiction.
Since a police facility plays such a major role in any
community, it should be a matter of concern for all public
officials .
The Town of Mamaroneck Police Department is presently
located in an old house. Although the structure appears to be
well maintained and in good repair, it is not properly designed
to contain a modern police department. The Bureau for Municipal
Police believes that contemporary law enforcement is a complex
and technical endeavor that requires adequate support and
- 31 -
logistical provisions. Police facilities warrant a specific
design for a number of reasons. The configuration of modern
communications equipment and records retrieval systems, for
example, require special electrical and mechanical applica-
tions. The facility must be designed with the nature of the
task and with the future in mind. The interior design of
Mamaroneck' s present building does not meet these
requirements. It does not facilitate functional relationships
or work-flow patterns.
A police facility ' s main focus should be to promote the
cohesiveness of the operation and to present a professional
image. The Bureau for Municipal Police suggests that
consideration be afforded by the Mamaroneck Police Department
to locate or construct a new facility.
Two proposals have already surfaced to solve this
problem at the local level . One alternative is to build a
new facility on Town land near the New York State Thruway.
The second alternative is to convert part of the Town Hall
facility, which is a former school building located in the
Village of Mamaroneck. A review was made of a map of the
jurisdiction and a report on the subject produced by a local
taxpayers group and the Police Commission. It appears that
choice of the Town Hall site is the most cost-effective site .
Through renovation of a portion of the Town Hall, the
department could have sufficient space for operations with
room to expand if future needs should so dictate. This move
would be cheaper in terms of startup cost versus construction
of a new building. Additionally, the Town could sell two
- 32 -
parcels of land and get them back on the tax rolls which
would result in additional savings.
The Chief was concerned that placement of the department
in the Town Hall site would create a problem of accessibility
as well as a traffic problem near local schools. While it
lies further from the southwest corner of the Town than the
proposed new building site, alternatively it is closer to the
northeast. Secondly, this problem is somewhat overemphasized
because the Town is divided into patrol sectors with each
assigned a patrol car. Problems in the furthest reaches of
the Town would be handled by the assigned sector car for
that area not a vehicle from the stationhouse. A second
concern was expressed over traffic problems near the Town
Hall created by police patrol cars entering and leaving the
station. This seems to be a problem of supervision and
control rather than the location . An enforced policy on
vehicle operation should prevent this from being a problem.
Included in Appendix E is information on police building
facilities which addresses some of the problems of renovation
or building a new facility.
33
CONCLUSION
The information and recommendation included in this
report provide direction and guidance for the Chief to more
effectively manage his department. Some of the recommenda-
tions can be implemented rapidly such as the changes in the
records system or the new sector design. In contrast, some
of the recommendations must be implemented after a great deal
of planning, i .e. , manpower level changes or the refashioning
of the organizational structure. Whatever course of action
is taken, the Bureau for Municipal Police is willing to
assist the Town of Mamaroneck in the implementation of any or
all of the recommendations .
- 34 -
APPENDIX A
ORGANIZATION
The organizing process is the framework upon which any
operation is built; it provides the pattern which will be
adhered to by the individuals of the group. This process
establishes the hierarchy of positions and their relative
duties and responsibilities required to achieve the organiza-
tion goals and objectives .
Organization means different things to different people
and although it can be scientifically analyzed, two factors
of "organization" tend to complicate its function. "First,
organization is not a tangible, like a street or a building
or a piece of equipment and it cannot be described as if it
were. Organization is concerned with human beings, as well
as things . It involves us with dimensionless areas such as
authority, leadership, motivation , morale, and other human
factors . "1/
This appendix deals with the mechanics of the organizing
process and also briefly with a variety of human factors that
affect the process .
Organizational Concepts
"The process of organizing seeks primarily to achieve
three primary goals. Without their achievement, conflict,
diminished effort and operational problems occur, thereby
frustrating , wasting and diverting the aims and resources of
the agency. The three primary goals of organization are: " 2/
1 . Division of Labor - This is the primary
goal of the organizing function, the most
important concept of this process . If
the organization is big enough, or its
- 0. 1 -
tasks are too numerous or too diversified
that some special assignments ( speciali-
zation) must be made. There must be a
clear division of work and responsibility.
"These responsibilities and work efforts
must be directed toward achieving organi-
zational goals and objectives and elimi-
nating duplication and undesirable, over-
lapping work done by others . "3/ In addi-
tion, the workload must be equally divid-
ed as much as possible, with each divi-
sional segment carrying the same amount
of responsibility in relation to overall
goals and objectives .
2 . Sources of Authority - This means that
there must be a centralized power source
to insure the compliance of individuals
to organizational goals . Authority is
necessary in any organization, especially
one that works on a 24 hour-a-day , seven-
day week, system that must rely on coor-
dinated, centralized authority for organi-
zation survival .
3. Relationships - Individual personnel must
understand their responsibilities , au-
thorities and positions within the or-
ganization as a whole. They must see
their function, position and standing in
light of the overall goals and objectives
of the organization. Since an organiza-
tion is merely a distinct grouping of •
individuals , stated human relations are
necessary. The formal "organizational
chart" is a graphic method of depicting
organizational relationships . It shows
individual relationships in addition to
various functional units and their coor-
dinated relationships .
Theories of Organization
1 . "Definite and clear-cut responsibilities
should be assigned to each executive ,
supervisor, and foreman.
2 . Responsibility should always be coupled
with corresponding authority.
3 . No change should be made in the scope or
responsibility of a position without a
definite understanding to the effect on
the part of all persons concerned .
- 0. 2 -
4. No executive or employee occupying a single
position in the organization should be
subject to definite orders from more than
one source.
5 . Orders should never be given to subordi-
nates over the head of a responsible
executive .
6 . Criticism of subordinates should be made
privately.
7 . No dispute of differences between execu-
tive or employees as to authority or
responsibility should be considered too
trivial for prompt and careful adjudica-
tion.
8 . Promotions, wage changes and disciplinary
action should always be approved by the
executive immediately superior to the one
directly responsible .
9 . No executive employee should be assistant
to, and at the same time a critic of , the
person he is assistant to.
10 . Any executive whose work is subject to
regular, inspections, should, whenever
practical , be given the assistance and
facilities necessary to enable him to
maintain an independent check of the
quality of his work. "4/
These theories are self-explanatory and, for the most
part , can be applied with some adoption to any organization,
including a municipal police agency. They contain no earth-
shaking ideas or innovative themes , but are merely common-
sense. They pertain to the human interactions of organiza-
tion, and tend to rely heavily on an established organization
hierarchy. As noted before, the actual physical approach to
organizing is not paramount because an "organization can only
make provision for, but cannot guarantee anything. It has no
life or vitality of its own; it is simply a vehicle for
management. "5/ "It is the men and not the organization chart
that do the work . "6/
- 0. 3 -
The organizational chart, however, is an important
product of the organizing process , which depicts the formal
structure of any operation.
The Formal Organization
"Formal organization is the name applied to the planned
organization in terms of stated goals, division of labor and
some kind of hierarchy of authority and control . "7/ The
formal side of organization has been defined as "the rational
coordination of a number of people for the achievement of
some explicit purpose or goal through division of labor and
function, and through a hierarchy of authority and responsi-
bility. ",/ Bernard stated,
"that it is a system of consciously coor-
dinated activities or forces of two or
more persons . "9/
Formal organizations are the products of time,
tradition and various policy makers . They are usually a
conglomerate of organizational ideas simply stated in the
hope of gaining compliance and some semblance of order .
The formal organization is composed of three dimensions
of structure; vertical , horizontal and lateral .
1 . Vertical - This is the traditional method of
communicating, directing, etc . , following
the organizational chart from top to
bottom and vice-versa. It follows strict
organizational lines and is in essence
the "chain of command. "
2 . Horizontal - This dimension of the formal
organization describes the relationship
of individuals of equal rank and authori-
ty, who have identical tasks and respon-
sibilities .
3 . Lateral - This dimension, like the hori-
zontal , concerns individuals of equal
rank and responsibility, but who have
differing , non-related tasks and/or re-
sponsibilities in the organization.
The formal organization is planned, structured, with
well-defined jobs, responsibilities and authority. The most
common ways of achieving this departmental, rational struc-
ture are as follows :
1 . Functional - This method of organizing
relies upon the actual work or function
that each individual of an organization
performs . Individuals performing like
units are then grouped together into a
unit; if necessary, units that are simi-
lar are formed, and then placed together
in the formal structure. This is readily
noted in the police service as patrol
personnel are formally charted separately
from investigative personnel, or adminis-
trative personnel , etc.
2 . Geographical - This divisionary process
concerns the actual physical area or
territory for which a particular group of
individuals is responsible , or one which
has authority. Police departments uti-
lize this process by defining division or
precincts boundaries , patrol car terri-
tories and even foot patrol beat loca-
tions .
3. Product or Service - This style of struc-
ture is similar to the functional method,
but the emphasis is on the actual service
involved. In a detective office for
instance, the function may be investiga-
tion, but the service may be further
broken down into homicide investigation,
stolen car investigation, missing person
investigation, etc.
4 . Time - Time phasing is a viable division
reference when it plays more than an
ordinary role in the overall operation
structure of the organization. Since
police departments work on a 24 hour-a-
day, seven-day week, the time factor is
very important. Coordination and unifi-
cation of direction suffer in this type
of operation, but due to the nature of
policing , this type of organizational
structure is necessary.
5 . Process - This type of division is re-
lated to products or services, but fur-
ther reduces the individuals by the type
of process they are involved in, e.g . the
- 0. 5 -
type of equipment used, polygraph opera-
tors, S.W.A.T. team marksmen and the like,
are examples of this type in law enforce-
ment.
6 . Customers or Clientele - This system
divides the organization in relation to
the type of people that it services .
Juvenile Aid Bureaus are an example of
this method of separation of units , in
most municipal departments .
7 . Alpha-Numerical - Only a very large or-
ganization would use this system.
Clients are divided by letter and/or
number . Investigation cases might be
assigned to certain detectives, after the
product services division had been utili-
zed if the case load was sufficient to
warrant this type of operation.
All police departments use a system composed of a varie-
ty of the above seven ( 7 ) components in their organizing ef-
forts. Most law enforcement agencies are organized in a very
simple, straightforward fashion. The President ' s Crime
Commission, in their Task Force Report noted that researchers
found "police departments to be monolythic in structure" and
recommended a "more rational division of labor. "10/
In an attempt to subdivide formal police organization in
a more rational or equitable manner, Paul M. Whisenand, in
his work Police Supervision, (drawn heavily from the Adminis-
trative Organization work of Pfiffner and Sherwood) has of-
fered the following four ( 4) structure types .
1. "Job Task Structure - This structure em-
bodies people working a specialized task;
it is the ultimate division of labor and
relies heavily on position classification
or job descriptions from an in-depth
analysis. This system insures centrali-
zation of authority and gives official
legitimacy to the organization. It is a
subdivision of tasks and not of people .
The human factor is not recognized in
this structure type.
- 0. 6 -
2. "Rank Structure - This system is custom-
made for the police service as it relies
on the militaristic rank structure so
prevalent in the majority of police agen-
cies. The job structure emphasizes the
duties to be performed, while this con-
cept of rank, stresses the personal sta-
tus , pay, and authority of the incum-
bents .
3 . "Skills Structure - Is the type of struc-
turing which depends not only on the task
but the type of specialized skill needed
to adequately perform it on a given level .
Management, as an example, is a skill ,
but its nature and depth can run from the
first line supervisor ( the police street
sergeant ) to the coordinating middle
managers , ( the captains and lieutenants )
to the administrative function of the top
executive, ( the chief ) . This division
may be utilized with technical and
professional personnel as well , and is
many times as dependent on formal
education as it is upon training. This
system places individuals in certain job
positions because they possess the neces-
sary skills or have the potential for
learning them in a reasonable time. This
system appears to complement the current
effort toward police professionalism.
4 . "Pay Structure - Since police departments
are tax supported operations and subject
to close scrutiny by the public, they
have more formal controls involving com-
pensation than private industry. As a
result, rigid pay structure is automati-
cally and usually legislatively estab-
lished. This system is comparative to
the rank division, except that it also
includes longevity and specific skills
and/or position that receive extra com-
pensations . "11/
Similar to the seven traditional methods of organiza-
tional subdivisions, these additional four can be found in
the majority of our contemporary departments.
After utilizing these eleven ( 11 ) methods of organiza-
tional subdivisions, we note that police agencies are divided
into three ( 3 ) primary sections .
- 0. 7 -
The first section is the largest and the most visible .
This is the operational segment of the organization which
includes general patrol , traffic enforcement, criminal inves-
tigation and the true "enforcement" aspects of policing . The
second segment has been created to support the operational
units , and consists of communications , maintenance , crime
laboratory, etc .
The administrative segment is the last primary division,
and consists not only of the executive arm, but also of
"intangible" administrative support unit such as planning and
research, personnel and training and inspectional services .
These are the basic subdivisions , but in reality, "a
police organization is perceived as a series of duties as-
signed according to a time period and a place of perfor-
mance. "12/ This simply means that the organization is divi-
ded into smaller units according to their time of operation.
After the time division, they are assigned territorial re-
sponsibility for that time. Encompassing the task time and
area is the authority or rank concept which is necessary for
direction and control .
In summary, the formal organization of most departments
are structured according to traditional and militaristic
methods . They appear to look operational when depicted on
organization charts, but for the most part, they are anti-
quated vehicles of contemporary management. The informal
organization, which will now be discussed, is a much more
viable source of organizational analysis .
- n_ 8 -
The Informal Organization
Due to the human factor of organizations , an informal
organization, one not represented on official charts or per-
haps not recognized by the administration, exists in every
organization . It is the result of friendships , "people ar-
rangement" that grow up naturally around the formal organiza-
tion.
In many instances , the informal organization is more
"organized" than the formal one . It usually has its own
communication network, hierarchy, system of rewards and
punishments and behavior patterns .
Like the formal organization, the informal one can also
be divided into three groups :
1 . Horizontal - This informal subdivision
consists of individuals of equal rank and
related tasks who are joined together as
a result of their position in the formal
organization.
2 . Diagonal - This group consists of people ,
of different ranks or titles who work at
different tasks within the organization.
3 . Vertical - These groups are comprised of
formal organization members of different
ranks who fall within the same line of
functional command hierarchy.
The informal organization is a natural occurrence and
depends on personal interest for its existence. The informal
organization occurs for a variety of reasons including such
undeniable human needs as :
1 . "Winning approval from friends and peers ;
2 . "Securing support from others in the
general work situation;
- 0. 9 -
3. "Reducing the social distance between
people associated together for work pur-
poses ;
4 . "Venting hostility and frustration;
5 . "Satisfying other personal and social needs
at work. "13/
They are also caused or created by the formal organiza-
tion in the following manner :
1 . "Some people respond actively to controls
imposed on them by the formal organization;
2 . "Some individuals assure leaderhip and
extend influence quite independent of
formal delegations;
3 . "Employees often improvise when they find
there is a failure in leadership or when
the formal regulations just don 't work. "14/
Informal organizations have several important characteris-
tics that give them their uniqueness . These characteristics
include :
1 . "Naturalness - Informal groups are spon-
taneous , they evolve and develop as a
natural occurrence in response to human
needs .
2 . "Interaction - Is informal , desired and
again spontaneous with more formal direc-
tion. Informal groups are dynamic.
3 . "Empathy - Informal group members , due to
their mutual bonding agents have a high
regard and degree of empathy for the
members of their group.
4 . "Social Distance - There are no social or
formal barriers within the informal or-
ganization as there are in the formula-
tions . Due to the lack of social dis-
tance, there is a greater deal of social
interaction among group members .
5 . "Democratic Spirit - Since there are no
formal barriers , naturalness and freedom
abound, and therefore, a democratic
atmosphere is formed.
- 0. 10 -
6 . "Leadership - Informal groups foster and
refine ' natural ' leaders . These indivi-
dual groups with and through the informal
organization are frequently given leader-
ship responsibility in the formal organi-
zation as a result of these proven leader-
ship attributes .
7 . Group Pressure - Informal organization
can exert great internal pressure on
employees either in compliance with a
total rejection of formal organizational
goals and objectives .
8 . "Cohesiveness and Unity - In order to
endure, the group must have the desire to
keep 'itself together . The informal group
must be attractive enough to elect mem-
bership and it must preserve the identity
and power of the group . "15/
The informal organization is a viable consideration in
every organization. It is as important and powerful as the
formal organization it is related to in many instances. The
informal organization must be recognized by the organization-
al hierarchy and it must be utilized by them, in order to
achieve an overall organizational objective( s ) . If the for-
mal organization does not recognize and work in conjunction
with the informal organization, problems will arise . This
uncooperative atmosphere will feature two separate gorups ,
each with different leaders , seeking different objectives ,
which will result in total organization inefficiency. This
is not to say that management must surrender to the informal
organization or rearrange its priorities to meet theirs .
They must, however, encourage the participation of the infor-
mal group and make its members feel like they are an integral
part of the organization. Management must harness the energy
and direct the informal organization into accepted, goal
oriented formal channels .
- 0. 11 -
Types of Organization Structure
Formal organizational structure types can be divided
into the short and tall organizations . One must realize that
organizations are usually designed for what they are trying to
achieve. Each type has its positive points and its drawbacks .
These structural variations are usually a matter of degree
even though a happy balance is sometimes difficult to achieve.
The short organization tends to reduce the vertical levels
of the organization. In other words , they attempt to reduce
the number of steps in the chain of command or the distance
from top to bottom and vice-versa. They tend to be intimate
and create a democratic brand of leadership as the principle
decision-maker is not removed from the operational level by an
over abundance of organizational levels . It seems to promote a
feeling of goodwill between superiors and employees and there-
fore, improves informal ties and increases general cooperation.
Because of these positive factors , however , it also creates an
authority problem, as the supervisor-employee relationship can
become too friendly and informal. Likewise, organization com-
munications to the top can become clogged for much the same
reason.
The tall organization, on the other hand, stresses formal
organization with various levels in the chain of command. This
system tends to foster an informal organization that is either
not aware of general organizational goals , or one that is , but
still chooses to develop and seek its operational goals . The
tall organization is extremely efficient on paper or when
depicted on an organization chart , but tends to get bogged down
and is self-defeating when the human factor is added.
Span of Control
Span of control has always been a managerial problem of
some consequence . It is particularly important when dealing
with law enforcement organizations since they must deal with a
variety of situations , often involving emergency matters .
"Span of management, more suitably describes the process
of the number of personnel a supervisor can manage than does
the term span of control . Control is only one aspect of the
management process . The term span of management encompasses
more of the factors relating to the problem of an individual ' s
capacity to oversee the activities of others . "16/ The span of
management depends on a variety of organizational factors ,
foremost of which is the process of grouping employees by the
type of work performed, the training of the personnel and the
quality and ability of middle managers . These factors must be
recognized and analyzed when determining the span of
management. There is, however, no formula or trusted theory
when dealing with span of management . Some experts have
stated that no more than four subordinates should report to
one supervisor, while others contend that one man can super-
vise up to thirty men.
In 1933 , a French managerial consultant by the name of
V.A. Graicunas , studied the relationships of subordinates to
supervisors . He broke the subordinate-supervisor relationship
into three separate groups; ( 1) direct single relationships ,
( 2 ) direct group relationships and ( 3 ) cross relationships .
With this breakdown, Graicunas was able to devise a mathemati-
- 0. 13 -
cal formula which depicts the actual number of interpersonal
relationships that occur in any organization .
The actual formula or how it came about is not necessary
for this discussion . What is important, however, is that the
formula shows that an individual with four subordinates, by
adding a fifth , increases the number of possible relationships
from 44 to 100 . This is an increase of 127% in people for
which he is responsible in return for a 25% increase in subor-
dinate work productivity. This brings us to the real problem
of span of management. As shown by the formula, there is a
great increase in the number of relationships when just one man
is added to a supervisor ' s responsibility. As these rela-
tionships increase, there is greater chance for inefficiencies ,
personality conflicts and overall poor supervision. On the
other hand, if one decides to increase the number of super-
visors , thus reducing the number of inter-relations per super-
visor , an increase in staff, money and managers is necessary.
Layers of authority and responsibility must be established and
the agency must become a "long organization. "
As the number of supervisors and managers increase, coor-
dination and organizational communications become very impor-
tant.
Span of management is, therefore, an extremely important
factor in every organization. It is an individual problem
that must be analyzed for every operation . A mistake on
either end of the spectrum, too many supervisors or too few
supervisors, can result in excessive costs , lack of effective-
ness and efficiency and general organizational decay. We will
now note a variety of management factors and aspects that
- 0. 14 -
should be recognized when determining the actual span of
management for any operation.
Various general aspects of the organization must be ex-
plored before any true span of management can be determined .
These are as follows :
1 . "Communication - If orders are direct ,
simple and explicit, there will be little
need for an over abundance of super-
vision. If the communication network
works properly, both upward and downward,
everyone should know their job and their
particular duties . Likewise, if the
chief administrator receives large bulky
reports , he may find it necessary to add
intermediates in order to filter the
reporting process . The better the com-
munication system, the fewer supervisors
needed.
2 . "Training - As training increases , the
need for supervision decreases . People
who are well trained, especially those
who perform routine, low level tasks ,
need much less supervision than those who
are ill trained or who are required to
perform more complex tasks . Training is
a very important aspect to be considered
when dealing with the span of management
and one that can be changed if the span
must be altered for one reason or another.
3 . "Planning - If the organization has stated
goals and objectives which are understood
by every member of the organization,
there is little need for close supervi-
sion in most cases . The better the plan-
ning process in an organization, the
shorter it can be. As previously noted,
planning is the key to an effective
organization, the question of span of
management is just another example of
this .
4 . "Delegation of Authority - If subordinates
have the proper authority to carry out
their duties, they will not be forced to
lean upon their supervisors for minor
decisions. Authority must be equal to
responsibility. As delegation of authori-
ty increases, the need for supervisors
decreases in any organization . "17/
- 0. 15 -
These four aspects are very important when dealing with
the question of span management . They relate to fundamental
organizational problems and must be considered on a generic
basis before police related factors are taken into considera-
tion.
There are other aspects that relate directly to the po-
lice organization that deal with the span of management .
These determinants should be explored before any final deter-
mination concerning the numerical relationship between super-
visors and subordinates.
1 . Ease and simplicity of instructions is
closely related to the general determinant
of communications . Since police are so
order and command conscious , this is a
major variable. The simpler the instruc-
tion, the less room for error. When
directives are issued using an over abun-
dance of police and military jargon, they
frequently lose their relevancy. Like-
wise, when a simple order is lost in
unrelated matter or a wordy text, com-
pliance is difficult. Orders just should
be short, clear and to the point . The
acronym KISS (keep it simple, sir ) should
be the guiding phrase for all directives .
Mark Twain once said, "I never write
metropolis when I get the same pay for
city. " This is the key to ease of in-
struction, an area to be closely analyzed
before any positive changes are made .
2 . Nature of the task is another determinant ,
especially relevant to policing . Since
most municipal departments are complex
with a variety of duties and tasks , there
should be a variation in the supervisor-
subordinate relationship according to the
task assigned.
The general rule concerning span of management is that
the lower level workers need less supervision than those per-
forming more complicated duties . This is not the case when
dealing with law enforcement agencies . The low level worker
in law enforcement is the line patrol officer and this is the
- 0. 16 -
most complicated and difficult job of all . Patrol units
generally need a greater deal of direct supervision because
they must handle such a diversified variety of tasks . Patrol
units are recognized as the "backbone" of police dpeartments
and as such, must be closely and properly supervised. Depend-
ing upon the other organizational factor , the patrol super-
visor ' s span of management might run anywhere from two units to
five or six men, but no more. The supervision should be
immediately available to any member of the patrol force who
might need guidance or an administrative decision regarding a
particular call . All other operational and support units
require less supervision than patrol personnel . Investigators,
for example, due to the nature of work, require little if any ,
close supervision. This is not to say that they should work
without any formal supervision, but the span of management of
an investigative supervisor should be much larger than that of
a patrol supervisor.
Individuals possessing special ability who work in tech-
nical areas such as computer operations , identification
bureaus , polygraph units, etc . , require very little actual
line supervision. These people are usually professional in
bearing and as a result , are internally motivated requiring
very little discipline or advisement. Likewise, personnel
assigned to operational research operations, training units or
planning bureaus , etc . , should not be subjected to militaris-
tic supervisory practices . They should look to their managers
for guidance and advice, but not for actual answers or strict
procedure. The traditional police supervisory roles have no
place when dealing with these people . Inferences to rank must
- n_ 17 -
be kept at a minimum. Since these types of operations must
work as a team with unrestricted input from all members , a
tight span of management tends to stifle creativity and results
in a lack of innovative ideas .
The nature of the task is certainly a very important
determinant to be analyzed when exploring the span of manage-
ment program in any department.
3 . Ability of supervisors is another factor
to be noted when determining the span of
management. A simple rule of thumb is ,
the better trained and prepared the
supervisors , the less supervisors needed .
This statement is self-explanatory. A
good, well-trained and properly prepared
individual can command more individuals
than a poorly trained supervisor. This
is true no matter what type of operation
the individual is associated . The chief
administrator must insure that his super-
visory and managerial personnel are of a
calibre that enables them to adequately
lead their men. In the long run, any
administrator would be money ahead to
properly prepare a few qualified indivi-
duals for supervisory positions, rather
than appoint a group of men as managers
in the hope that one or two might work
out and "pick up the slack of the others . "
The administrator will soon discover that
it is much easier to work with a "few
good men" than to try to get anything
accomplished working with a large group
of "also rans . "
4 . Harmony of subordinates is another deter-
minant that must be noted when dealing
with the span of management question. If
an organization has low morale, competing,
arguing factions or a labor management
problem, a system is close supervision is
warranted. If an organization is working
as a team, toward a set goal or objective ,
the mangerial task is made much easier .
Dissatisfaction and non-harmony create
line operation problems which can only be
mitigated through a small span of manage-
ment, resulting in a strict supervisory
policy . Police agencies are notorious for
- n 10 -
non-harmonious personnel and intra-
departmental warring factions . This is
probably due to the authoritarian and
egocentric personality of a number of
people attracted to law enforcement work.
By their very nature, police officers are
difficult to manage and thus , create a
supervisory problem. The administrator,
through his reporting system, must accura-
tely measure the personnel climate of his
organization before deciding upon a span
of management . The organizational
climate is a very important factor to be
analyzed. If the administrator tightens
the controls when it is not necessary,
lower morale and productivity will result .
Likewise, if he allows supervision to
become lax, or loose, the same problems
will result .
Span of management has a direct result on the total organi-
zational climate, it must be related to the operational struc-
ture and depict the personnel policy and procedure as determined
by the goals and objectives of the organization.
Administrative Span of Management
When dealing with the administrative span of management
questions , all of the aforementioned factors and determinants
must be taken into consideration and carefully analyzed in rela-
tion to the organizational climate . In addition, other factors
must also be considered when deciding upon the "top man ' s" span
of management .
The leadership style to which the administrator ascribes
must be considered. If the administrator is an autocratic
type, there will be required a structure allowing a large span
of control . Autocrats generally disregard any delegation of
authority and as a result, necessitate close personal contact
with the majority of their middle managers .
- 0. 19 -
If the administrator chooses to operate from a democratic
or even a laissez-faire base, the span of management can be
dramatically reduced. This system would allow for more dele-
gation of responsibility and authority in the organizational
structure and provides a training ground for future adminis-
trators .
The individual administrator ' s personality traits must
also be considered. The leadership qualities and abilities to
interact on a personal basis are extremely important factors
that must be analyzed on an individual basis . Some adminis-
trators , for example, are able to operate effectively utili-
zing a large span of management because of their personal
charisma and ability to facilitate an operation through per-
sonal leadership and one-on-one discussions . An effective
administrator of this type is certainly rare and his chance
for success decreases as his organization increases in size .
Likewise , an individual who is competent in all administrative
aspects , but finds it difficult to relate on a personal basis
to subordinates , should operate from a limited span of
management system. The administrator must relate ideas
through middle managers to the officer in the line operations .
A non-personable administrator is at a distinct disadvantage
and must rely heavily upon immediate subordinates, not only to
filter directives down through his organization , but also to
receive the necessary organizational feedback.
Generally speaking, the span of management for a police
administrator in a medium or large municipal organization,
should be limited to four or five individuals depending upon
the structure of the department. The effective administrator
- 0. 20 -
should have direct relations with three high ranking officers ,
who are directly responsible for and have authority over each
of the three main divisions of his department . There should
be one person for each general operation, who should answer
only to the chief administrator concerning the sphere of
authority and responsibility. A large department should be
divided into the line operations division, which would include
various patrol units, investigative divisions , traffic units,
etc. The support operations division would include
communication operations, lab services, garage maintenance ,
etc . , and the administrative division would include payroll ,
training, personnel , etc. Having one person from each
operation who answers directly to the head administrator
provides for a short , workable span of control that provides
clear cut lines of authority and responsibility .
In addition to the three main "branch" managers answering
to the chief , two other smaller sections should also have a
direct line to the chief . These include the administrative
planning section which usually also encompasses the legal
advisor section. Since these sections were traditionally
created to serve and aid the chief administrator , these
individuals should not work through an intermediary. If a
managerial step is added between the doers, ( the planners and
legal advisor ) and the top administrator, the administrator
suffers . Staffers tend to serve their supervisor ' s wishes and
not that of the main decision maker when they are working
through various levels of authority. Communication problems
are also created between the staff and the administrator.
Efficiency and effectiveness are minimized and the units are
- 0. 21 -
regulated to only boxes on the organization chart, with very
little input or value .
The special investigation unit, that would include intel-
ligence and internal affairs operations , should also have a
direct line to the administrator and should not be forced to
operate through normal investigatory channels . The chief must
have immediate access to all information concerning internal
affairs and departmental problems . This information should be
received directly from the assigned investigators and not
through any intermediates who might change or distort the
specific information. Likewise , criminal intelligence
information must be readily available to the chief and the
immediate command staff . Due to the specific nature of this
information and the time factor which is usually involved, a
rapid and direct line to the top decision maker is warranted .
Organization Summary
There is no perfect model for police organizations . As
each police agency has a different set of community estab-
lished goals , no one brand of organizing will be acceptable to
everyone .
Tradition and the calibre of personnel play a large role
in the organizing structure and must be considered in relation
to the values or objectives of the department.
There must be sufficient levels of responsibility to
insure authority and command without creating a hierarchial
network existing only for itself and tending to cause more
organizational problems than it solves .
- 0. 22 -
Administrators must look at their departments as working
organizations which are combinations of the formal and infor-
mal organizations . The structure must be developed to enhance
this "working organization" as this is the vehicle of goal
achievement . Organization must be based on the theory that
human interaction is the primary ingredient for success and
that an organization that stifles this will soon cease to
function effectively.
- 0. 23 -
FOOTNOTES
1. Drexel A. Sprechler, ed. , The Changing Nature
of Police Organization, Leadership Resources ,
Incorporated, Washington, DC, 1973, p. 5 .
2. Normal C. Kassoff , Organizational Concepts ,
International Association of Chiefs of Police ,
Gaithersburg, Maryland, 1975 , p. 9 .
3 . Ibid . , p. 10 .
4. American Management Association, "Ten
Commandments of Organization. "
5 . George D. Eastman, Municipal Police
Administration, International City Management
Association, Washington, DC, 1971, p . 21 .
6 . Luther Gulick, ed. , Papers on the Science of
Administration, Institute of Public
Administration, New York, 1937 , p. 37 .
7. Sprechler, op . cit . , p. 5 .
8. Edgar H. Schein, Organizational Psychology ,
Prentice-Hall , Incorporated, Englewood Cliffs ,
New Jersey, 1970, p. 9.
9. Chester I. Bernard, The Foundation of The
Executive, Harvard University Press,
Cambridge, Massachusetts , 1956, p. 14 .
10. President ' s Commission on Law Enforcement and
Administration of Justice, The Challenge of
Crime in a Free Society, U. S. Governemnt
Printing Office, Washington, D.C. , 1967 , page
121.
11. Paul M. Whisenand, Police Supervision ,
Prentice-Hall , Incorporated, Englewood Cliffs ,
New Jersey, 1971, p. 90-94.
12 . O.W. Wilson and Roy McLaren, Police
Administration, McGraw-Hill , New York, 1963,
p. 49.
13 . Sprechler , op . cit . , p. 7 .
14 . Ibid. , p. 7 .
15. John M. Pfiffner and Frank P. Sherwood ,
Administrative Organization, Prentice-Hall ,
Incorporation, Englewood, New Jersey, p. 43-44 .
16 . Norman C. Kassoff , Organizational Concepts ,
International Association of Chiefs of Police,
Gaithersburg, Maryland, 1973 , p. 22 .
17 . H. Koomtz and C. O 'Donnell , Principles of
Management, McGraw-Hill , New York, 1965, page
212.
APPENDIX B
RECORDS
Introduction
There are three ( 3) basic concerns affecting law
enforcement with which the police executive must be kept
continuously informed: first , how much of each type of acti-
vity occurs; secondly, where these activities occur; and
thirdly, when they occur . Armed with this knowledge, he/she
has the greatest chance of placing the best available man-
power, in the most strategic areas , at the most opportune
time . A disregard for the value of such administrative tools
results inevitably in distribution of the force and the ex-
penditure of public funds largely by conjecture .
The value of documenting all complaints for police ser-
vices , both of a criminal and non-criminal nature, cannot be
over emphasized. Police work in any area is important public
business and like any other business should be represented by
adequate records of complaints received and the action taken.
It is important for the police administrator to insist that a
permanent written record be made of each complaint and that
this record be initiated at the time the complaint is re-
ceived. A record-keeping process of this nature, will pro-
vide proper administrative control .
There is a direct relationship between the efficiency of
the police department and the quality of its records and
records procedure . Complete information is essential for
effective police operations . Reports of crimes and other
matters of concern to the police must be classified, indexed,
and filed so that the information is readily available to the
officers working in the field. Analysis of these reports is
beneficial to commanding officers .
- R. 1 -
Every police administrator is called upon to continually
make decisions relating to manpower deployment, distribution
and allocation; fiscal expenditures; functional procedures
and operational plans; in relation to changing social condi-
tions . Much of the information necessary to arrive at sound
decisions may be gleaned from administrative reports or
records . These reports provide a picture of present condi-
tions and problems faced by the department. They also pro-
vide information concerning the activities and performance of
individual employees and organizational units in respect to
the attainment of departmental goals .
Basic requirements of this module will provide the de-
partment with the information and techniques to:
1 . Be responsive to the needs of
the officer in the field;
2. Act as valid background material
for the courts;
3. Provide necessary investigative
aids;
4 . Allow for agency reporting from
officer, through Chief , to other
governmental levels in the ap-
propriate summary fashion.
The records system of any police department must meet
certain basic requirements . Among these are:
1 . It must be comprehensive and
include records of all police
activity.
2. It must be adequately indexed to
permit ready reference and a
retrieval of information.
3 . It must be centralized to provide
adequate control and the maximum
workability for assigned person-
nel .
- R. 2 -
4. It must be as simple as is possi-
ble without the loss of compre-
hension and speed.
5 . It must lend itself to summa-
rization and analysis to provide
for the periodic appraisal of
police services , requirements ,
and effectiveness .
The so-called "police blotter" ( used by many police
departments ) does not accomplish numbers 2 , 4, and 5.
Communications
Most police records originate with reports transmitted
by some form of communication. Information to be added to
the record is received from time to time in a like manner .
Nearly all requests for police services are made by tele-
phone . The facts contained in these messages and resultant
action should be immediately recorded . Present procedures
may inhibit the proper recording of such information. The
need for a competent dispatch service which will provide the
foundation necessary for an efficient records system cannot
be overstated .
Complaint Memo Card
As an alternative to the present system of complaint
recording, a system based on the "Police Complaint Memo Card"
is recommended . A sample card is shown on page 4 . Upon
receipt of a call for service, the dispatcher should obtain a
blank complaint memo card and immediately enter the time
received. These times may be entered manually; it is strong-
ly recommended, however , that this process be accomplished
via the use of a time stamp machine . (Time stamp machines
are available at most office supply outlets and the use of
- R. 3 -
1 SOu ACE 2 NATURE O► OCCURRENCE IN PROGRESS 0 3 COMPLAINT NUMBER
001 443.3 004 Orrl• •0IIC3
0 02 ••D,* 0 07 O.. r,/re
003 •C•sor SMP COOS •
LOCATION O► OCCURRENCE 1. DATE b TIME STAMP
•
0
S. COMPLAINANT'! NAME 7. COMPLETE AOORES3
O
•
S. Pw ONE NO 3. 5'I ELO NUMBER 10. SACK•UP O►►'3 11. REPORTING 12. FOLLORUP
O►►ICER A3GNO. AREA
O 01 T/s
O 02 0
s
0
13. REMARKS
0
O
14. TOTAL TIME 13.01SPAT.
CAPENDED
0ci11.201S S/311 COMPLAINT MEMO
INSTRUCTIONS FOR COMPLETING COMPLAINT MEMO
1. Indicate source of complaint, whether phone, in person, etc.
2. Print the incident, such as: Auto Accident, Missing Person, Burglary, Loud Noise, etc. Check box if incic
is in progress. Enter BMP code number.
3. Enter the complaint number.
4. Enter the exact address, including building, room, apt. no. If location cannot be identified by an address,
show the distance & direction from a commonly known point.
5. Enter time complaint was received, time a unit was dispatched, time unit arrived at scene of accident, cnd
time unit reports back in service.
6. Print in capital letters the last name, first name and middle initial of the Complainant. After the middle
initial, indicate Mrs. or Miss or Ms. for females.
7. Enter residence address of Complainant including building, room, apt. no. Include city, town or village ni
if outside local jurisdiction.
8. Enter telephone no. of Complainant.
9. Indicate name of officer, or unit number, assigned to investigate complaint.
10. Indicate unit number(s) assigned as back-up on call.
11. This box for use in those areas using systems as G.B.F. D.I.M.E. Files or some other type of geographical
ing for reporting location of calls for service.
12. Dispatcher should indicate whether or not follow-up report is required. Type of incident requiring a folic
up report will depend upon local department requirements.
13. Enter brief description of complaint & action taken. If no follow-up report is required this will become ti
only police report of the incident. Reverse side of card may be used if needed.
14. The total time of call from its reception at the desk to its completion in the field is entered here in minut.
15. Person dispatching must initial after completing dispatch.
— p . a —
such machines should save valuable time and reduce the
possibility of human error . ) A filing bin or slot device
should also be utilized to store complaint cards through the
various stages to completion. Two boxes should be used and
labeled Dispatch Status Box and Completed Box. The Dispatch
Status Box will be divided into two ( 2) sections :
Dispatch Status Box
1. (a ) "Awaiting Dispatch"
( b) "Dispatched"
2 . Completed
After entering the time received on the complaint memo
card, the dispatcher should obtain all other pertinent details
of the complaint and enter them on the card. If an officer is
not immediately available for dispatch, the card should be
placed in box one ( 1 ) in the section entitled, "Awaiting
Dispatch" . If an officer is available, he or she should be
assigned the call . The card should be stamped in the appro-
priate block with the time and placed in box one ( 1 ) in the
part labeled, "Dispatched" . When the officer arrives at the
location of the incident, he/she should immediately notify
dispatch of their arrival . This procedure will allow the dis-
patcher to stamp the card with the time of arrival . When the
officer reports back in service , the time is stamped in the
time completed section. The completed card is then placed in
the completed box to be transferred to the records section .
Those complaint calls which are generated as a result of
independent action taken by the patrol force (officer initiate-
d) will be handled in the following manner:
1. Patrol officer will notify dispatcher when
handling such calls . The time will be re-
corded by the dispatcher.
- R. 5 -
2. Upon completion of said action, the patrol
officer involved will notify dispatcher of
the action taken.
3 . The dispatcher will enter the officer ' s
identification number on a complaint memo
card in the space allotted for the complain-
ant (Box 6 ) . All other information neces-
sary for the completion of this card will
then be transmitted by the officer and re-
corded by the dispatcher on the complaint
memo.
4 . A consecutive complaint number will then be
assigned.
5 . The time the action was completed will be
recorded in the time completed box on the
complaint memo card. The complaint memo
card will then be placed in the completed
box and await further processing.
6 . The call will then be entered on the radio/
telephone log .
Complaint Numbers
Of primary importance is the space on the card which is
reserved for the "complaint number, " (Box 3 ) . A sequential
number should be assigned to each complaint as it is re-
ceived. It is suggested that the sequence of numbers begin
with "1 " on January 1st of each year . As with the recording
of the times , use of an automatic numbering machine is recom-
mended. Assignment of a complaint number to each card is
necessary since these cards will be filed by this number .
Only calls for service, where an officer responds , should be
assigned a complaint number. The complaint number, consist-
ing of a number, the month and year, will be placed in the
upper right hand corner in the designated area; i .e. , the
first number on the first day of January in the year 1982
will read ( 0001-01-82 ) .
- R. 6 -
A manual system of assigning complaint numbers is also
available in which a complaint number sheet similar to that
as shown on page 8 is utilized. This sheet will be located
in the dispatch area. As a number is assigned, it will be
crossed out with the next number in succession being assigned
to the following complaint. All official reports will then
be given the same number as listed on the complaint memo
card.
Radio/Telephone Log
Each call received will be entered by the dispatcher in
a radio and telephone log similar to the one shown on page 9 .
A constant awareness of patrol locations , activities ,
and status should be maintained by the dispatcher . It is
vital to assign dispatchers who are willing to maintain this
awareness as it is paramount to the safety of patrol
personnel .
A brief explanation of the columns contained on the
radio telephone log is outlined on page 10 .
- R. 7 -
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0C1S-221.119/(11)
NEW YORK POLICE DEPARTMENT STATION
DAILY RADIO AND TELEPHONE LOG
DATE TOUR DISPATCHER-. DESK OFFICER
ARRIVE LEAVE
RECD CALLER COMPLAINT CAR I OFF. SENT TIME DISPOSITION
SCENE SCENE
Column I : Time received
The time in which the communication
was received.
Column II : Caller
The name of the individual from which
the call was received.
Column III : Complaint
The nature of the occurrence. In
incidents involving a vehicle, the
license plate number of that vehicle
will be recorded. Consecutive
complaint numbers will also appear
here.
Column IV: Car
The patrol vehicle number .
Column V: Officer Sent
The name of the officer handling the
incident.
Column VI : Time
The time which the officer was
dispatched.
Column VII : Arrive Scene
The time of the officer ' s arrival at
the scene .
Column VIII : Leave Scene
The time of completion of call by the
officer assigned .
Column IX: Disposition
A brief description of the action
taken. This box is only used if the
dispatcher handles the call and no
patrol is dispatched.
- R. 10 -
I . WHEN SHOULD AN INDEX CARD BE MADE? - Index cards should
be made:
a. On all subjects ,
b. On all suspects ,
c . On all victims ,
d. On all complainants in criminal cases and wanted
cases .
P. Witnesses should be indexed at the judgment of the
officer handling the case and/or his supervisor. A
blank block is left for "other" indices to suit the
files of the individual department . They may index
general correspondence by author , department, etc . ,
or whatever purpose you may find necessary .
II . RULES FOR GENERAL INDEXING
1 . (All entries on the Master Name Index Card shall
be in upper case , caps or numerals . )
a . NAME - The name should be entered correctly
and completely with the surname or last
name first , then the first name, the middle
name, and if there is a suffix (Jr . , 2nd,
etc . ) , it would be entered last . It is
necessary to use a comma between the
surname and the first name, and a space
between the first name, middle name and
suffix.
EXAMPLE: MARTIN, FREDERICK CHARLES JR.
b. ADDRESS - The most complete address
available , including zip code, must be
obtained and recorded as directed on the
index card.
c . NUMBER - This is the number referring the
index card to the complaint number assigned
to the original call or complaint. The
number should be assigned annually to start
out as of 12: 00 Midnight, January 1,
starting with Number 1, and proceding
numerically without interruption to the end
of the year. The complaint number should
be followed by a dash and the two numbers
of the current month , then the year.
EXAMPLE: 0001-01-78
- R. 12 -
Master Name Index Card
The Master Name Index Card will function as the major
index in the proposed records system. The records clerk will
be responsible for its completion according to the guidelines
set forth below. Upon its completion, it should be filed
immediately in alphabetical sequence according to the
surname . A sample Master Name Index Card is shown below.
LAST NAME FIRST NAME MIDDLE NAME
ADDRESS PHONE NUMOER
SOCIAL SECURITY NUMBER DATE Of BIRTH
DATE NUMBER DATE NUMBER
Ir
Z
0.S.2015 (e/e1)
DATE NUMBER DATE NUMBER
i e
d. PHONE NUMBER - An effort should be made to
enter the latest phone number .
e . DATE OF BIRTH - (In order to use as a
search identifier, the month, day and year
must be given) . Express as month, day and
year respectively. Use zeros for unknown
portions .
EXAMPLES: June 12, 1935 : 061235
1930 : 000030
June 1930: 060030
f . SOCIAL SECURITY - The Social Security
number should be entered without any dashes
or missing spaces , for example, 122034200 .
g . CROSS REFERENCES - These will be made in
accordance with your existing and future
records and can be made by number or, in
some cases , by name, but by number whenever
possible. This might include prior
complaints , and FBI number , a DCJS number ,
etc . Entries under cross reference can be
made at any time to increase the
intelligence value of the file , but they
must be exact references . For instance, an
entry of an FBI number or a DCJS number or
a prior arrest number must be based upon
positive identification and not a
similarity between names , addresses , date
of birth , etc .
III . GENERAL RULE
If there is a doubt, then index! This index is
designed so that all information in your department may
be readily retrievable, but at the same time, it would
not be necessary to pull all complaints or files listed
in the general index because of the classification
appearing on the various cards .
IV. TIME OF INDEXING
Initial indexing should occur as soon as possible
after the complaint is recorded in order for the general
index file to be constantly current. The direction for
indexing can be made by the officer assigned to the case
or his superior simply by underlining the name to be
indexed in red and that the person doing the indexing ,
upon creation of the index card, would simply overline
the red line with a blue line. In this way, looking at
the original complaint, it would be possible for a
- R. 13 -
reviewer to tell what names had been indexed and, if addi-
tional indexing should be desired, the officer would simp-
ly add more red underlining . Additional indexing can
occur at any time. It is also pointed out that indexing is
strictly a clerical effort and should be done by clerical
personnel rather than enforcement personnel whenever pos-
sible .
5 . THE INDEX CARD
An illustration of the recommended index card is
shown on page 11 . It is not necessary for you to keep
the DCJS form number , but we suggest that you do number
the form so that you, at all times , will have an inventory
of the forms used by your department .
We believe it absolutely essential , however, that
you have the name of your department printed on every
copy of every form that you use to satisfy both identifi-
cation and security needs . This , of course , could be
printed on at the same time the original printing is done .
We also suggest that you date the form as we have done to
increase the value of your forms inventory .
6 . ADAPTABILITY
This system is adaptable to the very small or the
very large department. The index cards may be colored in
accordance with the type of complaint, if found necessary.
Filing System
The file folder system, as described in the following
paragraph, was designed to replace traditional record systems .
This Bureau recommends the establishment of a four file system.
1 . FILE ONE: (General File, page 17 )
a . Will contain uniform traffic tickets ,
organized numerically according to ticket
number;
b. Daily radio and telephone logs in a
chronological order;
c . Daily activity reports , also organized
chronologically;
d. Motor vehicle accident forms (MV104-A)
organized according to consecutive complaint
number .
- R. 14 -
2 . FILE TWO: (Complaint and Arrest File, page 18 )
a . This file would consist of complaint and
arrest folders organized numerically
according to consecutive complaint
numbers.
3 . FILE THREE: (Type of Crime File, page 19 )
a. This file will contain carbon copies of
all complaint reports organized according
to crime topic headings in an alphabetical
sequence.
4 . FILE FOUR : (General Administrative File, page 20 )
a. Will contain information necessary to the
proper management of the department ' s
administrative affairs .
The General File was designed to contain those types of
records which are essential to the records-keeping process yet
do not fall into the other categories of records files
mentioned herein. The size of this file will vary with the
size of the department utilizing it . It should be located in
the records processing center . Under normal circumstances , in
an average police department , one file drawer would be
assigned to both motor vehicle accident forms and uniform
traffic ticket for storage purposes .
File Two would consist of a numerically organized
complaint/arrest folder system. These case folders would be
organized according to consecutive complaint number. This
procedure would automatically provide a chronological listing
as a secondary benefit . The numerical succession will
occasionally be broken due to those consecutive complaint
numbers which have been assigned to juvenile and motor vehicle
accident incidents .
- R. 15 -
In incidents where an arrest was made in conjunction with
a complaint, both the arrest and complaint information would
be contained in a single folder and indexed with the original
index consecutive complaint number .
Juvenile and youthful offender files will be located in
file folders and placed securely in their own drawer within
the complaint arrest file. These folders will be labeled with
only their consecutive complaint numbers . A "J" will be placed
after the number to further distinguish it as a juvenile record.
The number would thus read: ( 0001-01-78-J ) .
The rationale behind the type of crime folder deals mainly
with relevant statistical information. Reports will be com-
pleted in duplicate with the original placed in the numerically
filed case folder . The carbon is placed in sequential order ,
the most recent first, in the type of crime file . A situation
may arise where the head of the agency wishes to investigate a
given topic area; i .e . , burglaries . This information could be
made available immediately by retrieving the burglary file
folder . Comparisons of locations type of modus operandi would
then be made without the time-consuming process of hand search-
ing the index system.
A general administrative file will also be created to
provide a filing mechanism for those records of an administra-
tive nature to include : personnel , financial , purchase order
and maintenance receipt files . They will be organized accord-
ing to topic heading . Access to these records will be re-
stricted to the records clerk and the head of the agency. It
is also intended that the general administrative file be a
private file maintained by the head of the agency and should be
located in this office .
R 16
FILE ONE
(GENERAL FILE)
N\ITRAFFIC TICKETS (UTT' S)
RADIO TELEPHONE LOGS
DAILY ACTIVITY REPORTS
AUTOMOBILE ACCIDENTS (MV 104A)
GENERAL
FILE
FILE TWO
(COMPLAINT/ARREST FILE)
-------"\
0715-05-78
1 --\...1
�, 0470-04-78
co
1
0250-03-78 ...,\ —
0125-02-78
0001-01-78
COMPLAINT/
ARREST FILE
FILE THREE
(TYPE OF CRIME FILE)
CAR THEFT
BURGLARY
i 1
ASSAULT
ARSON
TYPE OF
CRIME FILE
FILE FOUR
(GENERAL ADMINISTRATIVE FILE)
i
DISCIPLINARY PROCEDURES
•
CONDUCT (RULES OF)
BUILDING PLANS
Jr-
DONG, CHIN WON
BUDGET
CALDWELL, WILLIAM
\ BOSWEIN,
ADMINISTRATIVE
MARCFILE
ASDEL, JOHN
PERSONNEL
FILE
It will be the records clerk ' s duty to maintain Uniform
Crime Report statistics as they are filed. The importance of
this procedure cannot be overemphasized, for it is here that
the cumulative totals of yearly crime statistics will be
generated.
Complaint and Report Writing
The primary source of complaints and reports usually
originate with the patrol . Even though a complaint is re-
ceived at headquarters by telephone , pertinent information
concerning the complaint is ordinarily obtained when the offi-
cer is dispatched to the scene of the incident and interviews
the complainant . It is vital that the department receive
written reports on all types of calls for service, whether it
be criminal or non-criminal in nature. It is recommended that
the practice of filling out reports in the field he implemen-
ted. All information pertaining to a given incident which has
been assigned a consecutive complaint number will be labeled
with that number and forwarded to the records clerk for pro-
cessing .
There is actually no easy way of report writing , but a
police agency should always analyze all possible methods to
encourage report writing and at the same time , keep their
officers in the field on their assigned post . The use of
simplified complaint forms and/or recording devices have been
utilized by many agencies to expedite this process.
The following pages contain a general overview of the
"ONE-WRITE" System for efficient report writing . The "ONE-
WRITE" System was adopted from the California Peace Officer
Standards and Training Unit. All sworn officers within the
department should familiarize themselves with its contents .
- R. 21 -
Typing of police reports has been an accepted and
standard practice in police departments for many years . The
work is done by the reporting officer, typing from notes or a
rough draft of a report, or by a typist-clerk copying the
officer ' s report . This is an inefficient system in that a
report is recopied one or more times with a costly and
unnecessary expenditure of labor, either by the officers or
the clerks .
In recent years , police management has been increasingly
concerned about the inefficient and cumbersome steps required
in the preparation of police reports taken in the field. As a
result, there has been considerable experimentation in the
reproduction and duplication of reports through the use of
tape recorders or other audio recording equipment . All such
recording systems require preparing the report two or more
times , and some have added new problems even as they tried to
solve old ones .
Supervisory review of reports, for example , has become
delayed due to the backlogging of reports waiting to be
transcribed . Supervisors are unable to review reports
prepared by officers under their direction. Occasionally, the
review problem becomes so acute that it is overlooked
completely and the quality of reports deteriorates . Other
major problems using transcribing systems are:
1 . Heavy backlogs of tapes to be transcribed ,
especially after busy weekends .
2 . Peaks and valleys in report input making
it difficult to schedule clerical
personnel to fit the transcribing need .
- R. 22 -
3. Transcription and transposition errors .
The "loss" of reports for extended periods
because they are dictated somewhere in the
middle of backlogged tapes .
4 . Transcription delays when the officer is
not available to clarify garbled
dictation.
In recognizing these problems and the variety of systems
which engendered them, it appears that preoccupation with
innovative methods may have side-tracked many from their
original purpose; to find a simple and effective way of
producing police reports at a minimal cost .
Many administrators have addressed this problem directly
by turning to the "ONE-WRITE" system of handwritten reports as
a means of simplifying the system, and at the same time
reducing cost .
While recognizing the benefits to be derived from
handwritten reports , some administrators point up objections ,
and hesitate to implement the system. For instance , it is
held that the typed report looks better, is preferred by
district attorneys and court personnel, and is a report of
which the department can be proud. Certainly these statements
are all true , and if the purpose of a police report is to
present an esthetically pleasing appearance to all who view
it, there is little other choice than to type reports .
However, this is not the purpose a police report is meant to
serve. A police report is intended to convey information to
its reader, and without detracting from its importance, it can
be said that it is not a hallowed document that requires
elaborate and repetitive application of effort to develop in
its final form. Interviews with court and district attorneys '
- R. 23 -
personnel have revealed that handwritten reports are accept-
able as long as they are legible and contain the proper infor-
mation.
It is frequently stated by administrators that handwrit-
ten reports have poor legibility and that some officers are
incapable of writing clearly. This objection is not without
foundation. However, benefits to be derived from a handwrit-
ten system warrant the expenditure of the effort required to
attain legibility. Training in block printing can easily be
provided for those who need it . It has been found that when
the department head is commmitted to the implementation of a
handwritten reporting system, and this commitment is passed
down to his supervisors , legibility quickly reaches an accept-
able level .
A review of the traditional objections to handwritten
reports shows that these objections are focused almost exclu-
sively on the appearance of the finished report.
The "ONE-WRITE" System is an efficient, inexpensive sys-
tem for police report writing . The essence of the system is
found in its name, "ONE-WRITE" . Upon completion of an inves-
tigation and while still at the scene, field officers either
hand-write or print a report . This handwritten report is the
only copy upon which time and effort will be expended prior to
duplication.
After the report is written, it is reviewed by a super-
visor . Generally, this is done in the field. If necessary,
corrections and/or additions are made at this point. The
completed and approved report is then delivered to the station
where it is processed and duplicated.
- R. 24 -
The vast majority of all reports lend themselves to this
system. Even some follow-up reports involving a short narra-
tive may be completed by means of "ONE-WRITE" . However,
selected reports requiring a long narrative should be dic-
tated, subject to supervisory control to insure that personnel
are not dictating reports that should be handwritten.
The major advantages of "ONE-WRITE" are best identified
when the system is viewed within the context of other report
writing systems . (See Illustration 1 , page 29 ) All report
writing systems may be divided into time segments . Since many
of the procedures involved in report writing are constant,
regardless of which system is used, it follows that some time
segments apply to every system, while others apply to particu-
lar systems . For instance , Illustration 1 shows that every
system has a time segment which is labeled "process" . Proces-
sing the report would include such tasks as index card prepar-
ation, distribution and filing . Since it may be fairly
assumed that this time segment would be similar in all the
systems , it may be eliminated as a basis for differentiating
between them.
With minor variations, this also applies to the "review"
and "travel" time segments . If these segments are removed
from the systems , the remaining segments give a true picture
of the variations encountered between the systems . (Refer to
Illustration 2, page 30 )
Illustration 2 shows that under "ONE-WRITE" , the only
time segment remaining is the writing of the report at the
scene . This process is very similar to the first segment in
- R. 25 -
all of the other systems . The reporting officer must ask
questions and record the answers to them regardless of which
system is used. Under "ONE-WRITE" , the officer exercises
greater care in recording the answers and instead of using a
notebook he/she records them on a copy of the applicable
report form. The time spent at the scene under "ONE-WRITE" is
not substantially greater than it is under any of the other
systems .
A better understanding of the cost savings identified
with "ONE-WRITE" , can be obtained by taking a close look at
the various systems in Illustration 2 . After elimination of
the similar segment in all systems , the "ONE-WRITE" process is
complete. No more personnel time is required for the report.
On the other hand, under the officer or clerk completion
system, the report must still be typed from the notes made by
the officer in the field. This time segment adds a cost fac-
tor not present under "ONE-WRITE" . Under all of the dictation
systems, two steps remain. The officer must dictate the
report (by whatever means the system requires ) , and the report
must be transcribed. The actual time required to complete
these two steps is considerable, and is in addition to that
required to complete a report under "ONE-WRITE" .
Additionally, a new element of "delay time" is often
associated with dictation systems . "Delay time" is caused by
the uneven flow of work to the transcribing clerks , causing
reports to backlog. In such cases , either additional person-
nel must be utilized, or the system must be shut down until
the backlog is cleared.
- R. 26 -
In the above discussion, the saving time, as identified
by the time segments through the use of the "ONE-WRITE" System
is emphasized. It is important to recognize that each one of
these time segments represents a significant financial cost.
The reduction of the number of time segments , therefore, im-
proves the cost-effectiveness of the reporting system.
"ONE-WRITE" provides advantages in addition to cost sav-
ings . For instance , if reports are reviewed in the field, the
officer ' s immediate supervisor can review the report and offer
criticism and support at the time and place it is most effec-
tive . Care should be exercised by the reviewing supervisor to
insure completeness . Since reports do not need to be typed,
there are no errors in transcription. Transcription and tran-
sposition problems are common and sometimes major problems
with other reporting methods .
The report flow of "ONE-WRITE" is even, and reports are
processed without backlogging. This permits the report to
reach its final destination in the least possible amount of
time . Finally, the handwritten report is more accurate since
it is the officer 's own report of what occurred . It is ,
therefore , better evidence in the event of its introduction
into a court proceeding .
"ONE-WRITE" has proven itself to be the most effective
report writing system available. This is just as true for
agencies with ten men as it is for agencies with 1, 000 men and
it has been heartily commended by both . The following section
is designed to assist those managers who would like to imple-
ment "ONE-WRITE" within their own agencies . It is emphasized
that this is only a guide and not a substitute for the planning
and staff contribution which must accompany such a change.
- R. 27 -
In the implementation of any new system, it is important
to proceed in a scheduled, orderly manner . This facilitates
control of the development of the system and provides a ready
reference as to how much has been done prior to the implemen-
tation of "ONE-WRITE" . Illustration 3, page 31, provides an
orderly schedule of those events which must take place prior
to the implementation of the system.
A department head must impress upon the agency the total
commitment to the implementation of a "ONE-WRITE" . Almost all
change is resisted by some persons in the organization regard-
less of the benefits to be derived. A thorough training pro-
gram to identify the reasons for and the benefits of "ONE-
WRITE" , should be instituted within the department . Once the
system is implemented, inspections must be carried out from
time to time to determine that supervisors are in fact requir-
ing compliance . Every typed report which could have been
handwritten is an unnecessary expense .
Training is a very important element in the development
of any new system. It may be necessary to provide instruction
in writing or printing to some officers .
The "ONE-WRITE" System requires an acceptable method of
duplicating reports . Some agencies use pre-stuffed or NCR
forms containing the number of copies they need. There are
many disadvantages to this method of duplication . To insure
high quality duplications, the best procedure is to have the
officer print or write on a single copy of the report and
duplicate this copy mechanically. The officer should be fur-
nished with a suitable writing instrument which provides an
acceptable copy on the duplicating machine utilized by the
department .
- R. 28 -
ILLUSTRATION 1
REPORTING SYSTEMS, TIME SEGMENTS
THE "ONE-WRITE" SYSTEM
SCENE __ FIELD __ TRAVEL
HANDWRITTEI~ REVIEW TO PROCESS
REPORT STATION
THE STATION DICTATION SYSTEM
SCENE TRAVEL 1
GATHER ""' TO DICTATE -- "TRANSCRIBE-1 REVIEW -_ PROCESS
INFORMATION STATION
THE FIELD DICTATION SYSTEM
SCENE __, DICTATE ___ TRAVEL -- _-
GATHER Iii - ,TRANSCRIBE- REVIEW PROCESS
NFOR"'IATIOI\ FIELD STATIONT
THE TELEPHONIC DICTATION SYSTEM
SCENE TRAVEL _ --TRANSCRIBE- --_ _ _
GATHER TO DICTATE -TRANSCRIBE REVIEW PROCESS
(NFORMATIOM E ' •k
THE OFFICER OR CLERK COMPLETION SYSTEM
IISCENE TRAVEL TYPED BY
GATHER TO OFFICER _ REVIEW f " - PROCESS
NFORMATICN STATION OR CLERK f
- R. 29 -
ILLUSTRATION 2
REPORTING SYSTEMS MINUS COM/00N TIME SEGMENTS
"ONE-WRITE"
HANDWRITTEN
REPORT
COMPLETED AT
SCENE
OFFICER OR CLERK COMPLETION
4TA GATHERIN PORT TYPED B
AT SCENEOFFICER
OR CLERK
STATION, FIELD, OR TELEPHONIC DICTATION SYSTEMS
DATA GATHERING REPORT
DICTATE
AT SCENE , TRANSCRIBED")
- R. "30 -
ILLUSTRATION 3
IMPLEMENTATION STEPS FOR "ONE-WRITE"
STEP 8 IMPLEMENT SYSTEM
STEP 7 TRAIN ALL PERSONNEL
STEP 6 PREPARE TRAINING MATERIAL
STEP 5 SELECT IMPLEMENTATION DATE
STEP 4 EVALUATE DUPLICATING EQUIPMENT NEED
STEP 3 ASSIGN RESPONSIBILITIES
STEP 2 OBTAIN STAFF INPUT
STEP 1 START PLANNING SYSTEM
It is again emphasized that "ONE-WRITE" will require
close supervision, especially in the beginning stages , to
avoid an informal return by some personnel to previously used
methods .
Daily Activity Reports
The use of daily activity reports is well supported in
the following statement .
"One of the major purposes of patrol
reporting, and all police reporting for
that matter, is to eliminate errors
caused by the frailty of human memory.
Unless both activities , as well as , the
details of incidents are recorded, they
may not be available in pure form when
needed in the future. Since the patrol
force must plan for its deployment and
since deployment is accomplished in al-
most all cases on a basis of past or
predicted activity or services , the need
for accurate and easily manageable rec-
ords becomes obvious .
"The only objective way to locate and
identify patrol problems is through the
statistical use of patrol records . Once
a problem has been located, identified
and a solution devised, the only objec-
tive method of measuring the effective-
ness of the solution is statistical
analysis of the same patrol records which
first identified the problem.
"Patrolmen usually execute their duties
without observation by supervisors .
Hence, a portion of supervisory evalua-
tion must be made on a basis of a compara-
evaluation of individual activity records .
In the large police department, precinct
or division, patrol activity records may
be cautiously compared to measure the
effectiveness of both line and
supervisory officers .
It is obvious , of course, that patrol
activities must be recorded . "5/
- R. 32 -
The adoption of a system utilizing daily activity reports
is recommended. The completion of such a report by all offi-
cers functioning in a patrol capacity will serve as a valuable
administrative control device .
The daily activity report should be completed by all
patrol officers and submitted to their immediate supervisor at
the completion of their respective shifts . It is the supervi-
sor ' s duty to collect these reports , assure their completeness
and forward them directly to the Chief .
The actual content of these reports may vary depending
upon the regulatory guidelines you set forth . A sample of
which is shown on pages 35 and 36 and the following sections
should be noted .
1 . Across the top of each sheet there are
blanks which designate Sector and Date.
These areas should contain the beat the
individual officer patrols and the date
on which the report was completed.
2 . Incident Section: Contains four vertical
columns labeled from left to right; com-
plaint number, time, action taken and
location. The officer should record all
activities both personal and official ,
plus the relevant complaint number when
the situation warrants the assignment of
a number .
3 . Shift Totals: This block is located in
the lower left hand corner of the docu-
ment . This section should be completed
at the close of each shift with the
totals listed in their respective blanks .
4 . Vehicle Block: Should be performed prior
to each shift by the officers assigned to
said vehicles . All serious problems
discovered which would cause the vehicle
to be declared not road worthy, should be
reported to the supervisor immediately .
- R. 33 -
5. Signature: The officer completing the
report should sign the block labeled
operator . The supervisor ' s signature
indicates that the report has been
checked for completeness .
The daily activity report concept was designed to offer a
means of administrative control in areas of concern . Staff
members may use them to: redirect the police thrust, provide
a quick condensation of patrol activities , a reference to
evaluation, provide leads in major crime investigations , and
as an integral part of the information retrieval process .
Processing of Record Within the Records Department
It will be the records clerk ' s responsibility to process
incoming reports in the following manner.
1 . Complaint memo cards will be filed accord-
ing to successive, consecutive, complaint
numbers ,
2 . Master name index cards will then be typed
according to the guidelines established in
the rules for general indexing section,
and filed in alphabetical sequence .
3 . Case folder files will then be constructed
and carry, as a means of identification,
the consecutive complaint number ( rules
governing the use of the filing system are
located in the File System Section of this
report ) .
4 . Daily activity reports will be forwarded
to the administrative officer charged with
their review and upon return filed, ac-
cording to guidelines .
- R. 34 -
DAILY ACTIVITY REPORT
POST DATE
COMPLAINT NO. TIME ACTION ..CCATION
SHIFT TOTALS VEHICLE
F I M O 1 V
ARRESTS, ACCIDENT•VEHICLE NUMI3EFl
NEED REPAIR
TRAFFIC TICKETS _ AIDED CASES 1 MILEAGE FINISH REPORTED
PARKING TICKETS OPEN DOORS START SIGNATURE.
_D INTERROGATION LIGHT OUTAGES SHIFT TOTAL
VEHICLES CHECKED ESCORT GAS OIL
OPERATOR
PREMISES CHECKED PROCESS SERVED CONDITION: VEHICLE
WARRANT CHECKS OTHER EQUIP.
SUPERVISOR
CPAS S 16.691 - R. 35 -
INSTRUCTIONS FOR COMPLETING SHIFT ACTIVITY REPORT
This report is designed to give you and your superi- viewed"; or "witness, John Jones, interviewed"; or
ors an accurate picture of your daily activities. It is "ticket issued"; or "summons served, ``lary Jones".
designed to furnish information which will result in your
increased ability to prevent crime, to make apnrehen- Location
sions, and, in general, to make your work more effective.
This report is used to assess the need for more or Here show the location where you actually did the
less manpower, the proper deployment of manpower, the work so that a person reviewing the report can tell ex-
cost of operation from both the standpoint of manpower, actly where you were and what you were doing at a
vehicle and equipment, and can furnish information for particular time.
better planning for your department.
There should be no duplication of record keeping. General
Most of the material which you enter on this form, with
the exception of complaint or file or traffic ticket num- This report should be reviewed for the purpose of
bers, you will not have to enter again on any other form. locating possible suspects. For instance, a burglary
In filling out this form, you should concentrate on ac- reported on your shift after you left the shift might show
curacy, brevity and fact. It is to be filled out as the that you could have interviewed the burglar in a car
work is done, not at the end of the shift. check but would have no way of knowing that he was a
burglar. But the additional information of knowing where
complaint No. that person was at a particular time could very ',ell
provide a good lead in a burglary.
The number of the complaint as issued by your desk There is no need to repeat information outside of
or dispatcher, or the number of the traffic ticket, sum- file numbers or key words that would show where the
mons, etc., should be entered accurately in this column. original information exists. For instance, if you had
If there is no number or ',vitt be no number, it should be under "Complaint No. - premises checked", there is no
classified as to nature, such as,"car check, aided case, need to repeat this under "action" in Column 3 — merely
field interrogation., etc.". write the time and the address checked under "Loca-
Time tion".
As stated above, this form should be completed as
the work is performed during the entire shift. To accom-
The time should be reported accurately to the min- plish its purpose of being effective in helping you and
ute, by 12-hour clock, with the addition of the letters your department, it should, of course, be written legibly
"A" or "P" to denote "A.M." or "P.M.". or hand printed. Additional entries, if necessary, should
(Example - 6:O.P). be made on additional sheets, dated as the original and
stapled to the original.
Action
Shift Totals
The action on each incident should be reported brief-
ly, but factually. For instance, a field interrogation Only totals are to be entered on these lines opposite
would contain the name and address of the person inter- "Arrest" - "F" should contain total number of felonies
viewed; a car check would contain the registration num- the same twith"M" formisdemeanors,"0" for ordinances
ber, the name of the operator. and perhaps passengers, and "V" for violations. These should not include traf-
if necessary; and aided case would contain the name
fic tickets or parking tickets which are listed below.
and address of the victim. On the last total, "other", just give the classification
In those cases where a complaint number is shown,
it may only be necessary to show "complainant inter- of the work done, such as "animals".
— R. 36 —
Summary Of The Records Processing System
The following narrative was developed to offer assistance
in designing an efficient system for the processing of records.
As mentioned previously in this report, it will be the
dispatchers duty to complete the following items :
1 . A complaint memo card for each call of a
service nature in which an officer re-
sponds, or in each incident where a ser-
vice request is handled by an officer
while on routine patrol .
2 . A radio/telephone log for all incoming
radio and telephone messages .
The following filing mechanisms should be located in the
dispatch area .
1 . A complaint memo card filing bin, consist-
ing of two compartments entitled "Awaiting
Dispatch" and "Dispatched" .
2 . Completed (Out Box) .
The complaint memo card filing bin should be utilized to
contain complaint memos throughout the dispatch process . Once
completed, the memo cards should be placed in the completed
Out Box.
The completed Out Box should contain those items which are
normally transferred to the records room in the course of the
work day.
EXAMPLE: Radio/Telephone Logs, Complaint Memo
Cards, Daily Activity Reports , etc.
- R. 37 -
FOOTNOTES
1/ Gourney and Bristown, Patrol Administration, Thomas
Publishing Co. 1961, page 146 .
- R. 38 -
APPENDIX C
CRIMINAL INVESTIGATIONS
Patrol Role in Investigations
It is a fundamental premise in law enforcement that the
patrol force in any police agency is responsible for all
police functions . The more effective the patrol force , the
less need there is for the more specialized units . The
specialized units are required only to the extent that the
patrol force falls short of 100% effectiveness in providing
full patrol service.
The primary function of the detective is to apprehend
those offenders who escape arrest by the patrol force and the
recovery of stolen property. In the growth of a department ,
the necessity arises for a specialized investigative unit of
one or more men when the uncleared case load of the patrol
force reaches a point where departmental efficiency demands
specialized assistance. Numerous offenses come to the
attention of the police which require extensive investigation
both in time and place for their solution. The number of
these offenses and the grave character of many of them, may
make necessary the organization of a separate unit in the
police department manned by persons assigned exclusively to
criminal investigation. The duties of the detectives
supplement those of the patrol force, and the coordination of
the work of these two units is among the most important of all
problems facing the police chief .
The size of the investigative unit should be flexible;
its strength is determined by the number of cases which are
escaping solution by the patrol force . Since the patrol force
is the largest unit of the department, it should be utilized
- CI . l -
to the utmost in the final disposition of as large a propor-
tion of the total case load as possible. Every case which can
be disposed of by the patrol force should be so handled. Too
frequently, investigators are observed handling a large volume
of petty cases which should be the responsibility of a patrol
officer . Thus , departmental policy with respect to patrol
responsibility is a highly important factor in determining the
personnel strength of the investigative unit . 1/
The amount of effort that patrol officers now devote to
investigating reported crimes varies significantly from agency
to agency. Policies and procedures in many departments very
narrowly restrict the role of the patrol officer in the inves-
tigative process . In most cases, the officer simply records
basic information about the crime and then turns the case over
to an investigator. The patrol officer may be responsible for
securing the crime scene if an extensive search is anticipated.
This restricted role seems to be based on the belief that the
role of the patrol officer must be limited in order to
facilitate both a prompt response to calls for service from
the public, and the carrying out of "preventive patrol" re-
sponsibilities . The belief is common that there is insuffi-
cient patrol time available, overall , to permit patrol offi-
cers to investigate crimes.
However, agencies that have successfully measured the
actual expenditure of time by patrol units have found that
large blocks of time are spent by patrol officers in an un-
structured way. Though it has been argued that routine patrol
provides a visible presence which has a deterrent effect on
- CI . 2 -
crime, it would appear that the impact of the presence could be
maximized if the unstructured time were better spent based on
needs identified by management.
One way of making this time more productive is to involve
patrol officers in the investigation of crimes which occur in
their patrol area. Active participation by patrol in a total
departmental effort to more efficiently handle the increase in
crime is a productive use of the most available personnel
resource in the department . 2/
Although the ultimate goal is to have the patrol force
conduct complete investigations of specified crimes , the
common sense approach toward this goal mandates that it be
done in four steps .
In-Depth Preliminary Investigation
Since the final outcome of an investigation is influenced
greatly by the prompt collection of accurate information
during the initial police contact with victims and witnesses ,
the first consideration should be the content of the report
prepared by the patrol officer . We will call this Step 1 .
A common complaint of investigators is that the quantity
and quality of information obtained by a patrol officer is
usually so inadequate that they must reinterview the victims
and witnesses before expanding the investigation. Dual
initial investigations are not only redundant and time-
consuming; they are also counter-productive . 3/
The timely gathering of information from victims and
witnesses at the scene of the crime has been proven to be
- CI . 3 -
vital to a successful investigation. Opportunity for catching
the suspect generally decreases in direct proportion to the
increase of time before adequate information is obtained.
Training patrol officers in collecting relevant
information during the initial investigation will help make
improvements in the results of criminal investigations .
Several agencies have tried using a revised crime report
form in order to decrease the time spent by patrol officers in
investigation , decrease duplication of effort, and increase the
probability of successful solution to crimes .
An example of a Crime Investigation Report used and
developed by Rochester, New York, Police Department is shown
on the next page followed by an explanation of its format .
The design of the form is based on what police experience
and statistical studies have confirmed: that most serious
crimes are solved as a direct consequence of information
provided by either the victim or witnesses . Therefore,
structured questions on the form, direct the patrol officer to
search for answers that are important and relevant to the
continued investigation .
The form contains 12 essential questions which need
direct answers ( unless an immediate, on-scene arrest is made ) .
These questions were developed by the agency after an analysis
of cases previously cleared or solved by the agency which
showed that 12 factors were dominant in the successful
clearance of crime cases . The use of background shading and
different type faces for the 12 structured questions on the
form, highlights the importance of the solvability factors , so
they cannot be overlooked.
- CI . 4 -
=.110.11111110101.0.11111LIOPOINOPRIMPRft- ,_
n..,,.._,,v.,�.,_.....____.....,_.__,01,1111CR
N
I 4 TIME OF 5. WHEN 6 LOCATION OF OFFENSE(HOUSE NO.STREET NAME) ,
OCCURRENCE M D Y _T REPORTED M D V T
IP •
7 VICTIMS NAME(LAST,FIRST MIDDLE)OR FIRM NAME IF BUSINESS 8. VICTIMS ADDRESS(HOUSE NUMBER,STREET NAME) 9 RESIDENCE PHONE DAY ..
NIGHT
I
10 VICTIMS PLACE OF EMPLOY,OR SCHOOL NAME
11 BUSINESS PHONE DAV 12 /J SE X�RACE AGE 13 REPORTING PERSONS SIGNATURE DATE
NIGHT VICTIM'S [/
14. WAS THERE A WITNESS TO THE CRIME? IF NO PLACE AN X IN BOX A A.
15 INDICATE WITH PROPER CODE IN BOXES PROVIDED,PERSON'S RELATIONSHIP TO INVESTIGATION.W-I WITNESS 01.NI-NOT INTERVIEWED 02,R REPORTING PERSON;PK PERSON WITH KNOWLEDGE
il
(INCLUDING REPORTING PERSON'S NAME IF DIFFERENT FROM VICTIM'S).IF CITIZEN INFORMATION FORM R P.D 1148 IS LEFT WITH ANY OF THESE PERSON'S INDICATE BY CIRCLING PERSONS DESIGNATED.
ADDRESS CHECKED APT.0 PERSON INTERVIEWED AGE HOME ADDRESS APT 8 T RES
E
L 8U5.
---- •
11 E RES.
I BUS
T RES.
E.
I BUS.
I
T
E
L
T
BUS.RES
+ RES.
E
L BUS.
16. CAN A SUSPECT BE NAMED? IF NO PLACE AN X IN BOX B IP B.
I
SUSPECT MI NAME(INCLUDE ANY A-K A-INFO) SUSPECT 42(INCLUDE ANY A-K-A INFO)
17. CAN SUSPECT BE LOCATED? IF NO PLACE AN X IN BOX C C.
SUSPECT N1 CAN BE LOCATED AT SUSPECT 42 CAN BE LOCATED AT
I
18. CAN SUSPECT BE DESCRIBED? IF NO PLACE AN X IN BOX D D
SUSPECT#1 DESCRIPTION SUSPECT#2 DESCRIPTION
DESCRIBE EACH SUSPECT USING AGE,SEX,RACE,HEIGHT WEIGHT.ANY IDENTIFYING SCARS.MARKS&CLOTHING DESCRIPTION
IARRESTED ARRESTED •
❑ YES ❑ NO DYES ONO
19. CAN SUSPECT BE IDENTIFIED? IF NO PLACE AN X IN BOX E E.
US1N
I ,2PROVIDED.NDICATE WHO CAN DE IDENTIFY SUSPECT. , EAR �AKE //MODELBT COLWI OR 2P0 BOTTOM
INFORMATION BROADCASTIDENTIFYING20HARACTERI5TIC5
REGISTRATION
INFORMATION ` _./' 22. CAN SUSPECT VEHICLE BE IDENTIFIED?
23. TIME SUSPECT VEHICLE INFORMATION BROADCAST. IF NO PLACE AN X IN BOX F F.PLACE TIME IN BOX 23_ 23
24. IS STOLEN PROPERTY TRACEABLE? IF NO PLACE AN X IN BOX G
25 DESCRIBE PROPERTY STOLEN'DAMAGED 26 REMOVED FROM 27 PROPERTY IDENTIFICATION INFORMATION 28. PROP.VALUE G.
I
I
29. NATURE OF INJURY 30. TYPE OF INSTRUMENT,WEAPON OR FORCE USED TOTAL VALUE `
31 WHERE HOSPITALIZED 32. ATTENDING PHYSICIAN 33. PRONOUNCING PHYSICIAN/WHERE 34 DATE.'TIME PRONOUNCED 35. NAME OF MEDICAL EXAMINER
I36. IS THERE A SIGNIFICANT M.O PRESENT?IF YES,DESCRIBE IN NARRATIVE IF NO PLACE AN X IN BOX H r H.
37. IS THERE SIGNIFICANT PHYSICAL EVIDENCE PRESENT? IF YES,DESCRIBE IN NARRATIVE. IF NO PLACE AN X IN BOX I D
38. HAS EVIDENCE TECH WORK BEEN PERFORMED?(By: )REQUESTED?IF NO PLACE AN X IN BOX J I;41.
TECH WORK PERFORMED/REQUESTED: ❑ PHOTO ❑ FINGERPRINT ❑ COMPOSITE ❑ OTHER I_I
39 IS THERE REASON TO BELIEVE THAT THE PRELIMINARY INVESTIGATION CANNOT BE COMPLETED AT THIS TIME? IF NO PLACE AN X IN BOX K K.
I
40 CAN CRIME BE SOLVED WITH A REASONABLE AMOUNT OF INVESTIGATIVE EFFORT? IF NO PLACE AN X IN BOX L -
41. WAS THERE A DEFINITE LIMITED OPPORTUNITY FOR ANYONE EXCEPT THE SUSPECT TO COMMIT THE CRIME? IF NO PLACE AN X IN BOX M...------* L
42 POINT OF 43. PREMISE 44. PROP.
CRIME DESCRIPTION INV.II M.
45. NARRATIVE SUMMARIZE DETAILS OF CRIME INCLUDING PROGRESSION OF EVENTS,NAMES OF OTHER OFFICERS OR UNITS ASSISTING.
I
FOR ANY ADDITIONAL INFORMATION WHICH IS AN EXTENSION OF ANY OF THE ABOVE BLOCKS,INDICATE BLOCK NUMBER AT LEFT.
BLOCK NO. •
ASSIST
IASSIST
ASSIST
ASSIST
I
46.IS ONE OF THE SOLVABILITY FACTORS PRESENT IN THIS REPORT? 47 REPORTING OFFICER(S) ASSIGNED BEAT NO. 53.
❑ NO.OFFICE ❑ YES,FIELD ❑ YES,CLOSED
Eli
48.FIELD SUPERVISORY DECISION 49.REVIEWER 50.CRIME PREVENTION 52.CLOSED BY
❑ OFFICE ❑ FIELD ❑ CLOSED
I
❑ REQUESTED ❑ ADVISED ❑ ARREST ❑ WARRANT ADVISED
Sl.IF FIELD.INVESTIGATOR SHOULD ❑ NO ARREST ❑ UNFOUNDED
FOLLOW-UP SOLVABILITY FACTORS 0 NO PROSECUTION 0 JUVENILE DIVERSION
These 12 factors are:
1 . Immediate availability of witnesses .
2. Naming of a suspect.
3 . Information about suspect ' s locations .
4 . Information about suspect ' s description.
5 . Information about suspect ' s identification .
6 . Information about suspect ' s vehicular movement .
7 . Information about traceable property.
8 . Information about significant M.O.
9 . Information about significant physical evidence .
10 . Presence of an evidence technician who indicates
an a priori judgment that good physical
evidence is present .
11. A judgment by the patrol officer that there is
enough information available that , with a
reasonable investment of investigative effort ,
the probability of case solution is high .
12. A judgment by the patrol officer that there is
sufficient information available to conclude
that no one other than the suspect could have
committed the crime .
These dominant factors -- termed "solvability factors" --
are also logically based on the existing operations policies
and practices in place in the agency. Other agencies with
different capabilities and procedures might develop a slightly
different list of solvability factors.
No numerical weights are attached to any of the 12
solvability-factor questions; each is judged to be as
important as the other . If all factors are present, the
inference is that the case is probably solvable by follow-up
investigative efforts .
Rochester ' s policy is that if at least one of the factors
is present, the case is transmitted to the supervisor for
review and decision concerning assignment to the investigators .
- CI. 6 -
Requiring the patrol officer to check those questions
which have not been answered provides an outline of what yet
has to be done when the investigator plans his next steps, so
nothing is overlooked in conducting the follow-up. Thus , the
investigator is provided clear guidance for beginning work and
an outline or an "investigative map" for proceeding with the
investigation.
By designing , and using a revised crime report form
similar to the one shown earlier in this section, the outcome
of the initial investigation process and activities will be
different. In the process of completing the new form, the
patrol officer is automatically placed in a role other than
that of a passive "report taker , " whose report may or may not
be used .
Obtaining the desired outcomes from following the
procedures outlined in the legendary mnemonic , PRELIMINARY, are
substantially facilitated by an expanded information-gathering
instrument: 4/
P Proceed to the scene promptly and safely .
R Render assistance to the injured.
E Effect the arrest of the criminal .
L Locate and identify witnesses .
I Interview the complainant and the witnesses .
M Maintain the crime scene and protect the evidence .
I Interrogate the suspect .
N Note conditions, events , and remarks .
A Arrange for collection of evidence or collect it .
R Report the incident fully and accurately .
Y Yield the responsibility to the follow-up
investigator .
- CI . 7 -
Questions on the new form prescribe a directed search for
predetermined solvability factors, and the patrol officer
assumes an active role in the investigative process by
collecting information which can lead directly to the
apprehension of a suspect. The work of the patrol officer is
directly related to the continuation of the case by detectives.
Thus , use of the form acknowledges that the role of detective
and patrol officers are interdependent and inseparable.
The patrol officer ' s activities have a basic overriding
investigative objective: to collect in a structured , organized
manner , that information which experience and study have
demonstrated is most likely to solve a crime. Rather than
being thought of as a taker of miscellaneous information, the
patrol officer performs activities that have a clear and
meaningful purpose .
When the patrol officer "yields the case to the
investigator , " for follow-up, the outcome will be a report with
clear and detailed information. The information will have been
collected in a way which eliminates the need for investigators
to repeat any steps of the preliminary investigation and which
provides investigators an outline for developing follow-up
plans .
The patrol officer provides the "preliminary
investigation" -- the initial fact-finding phase of the
investigation of a reported crime during which prescribed and
structured questions are used. This ensures that all
available, appropriate information regarding the presence or
absence of solvability factors is documented for subsequent
use .
- 01 . 8 -
This definition resolves one of the management dilemmas
freqently posed in a discussion of the role of the patrol in the
preliminary investigation: How can management properly limit
the role?
Previous definitions and theories about preliminary inves-
tigation have suggested that the preliminary investigation
"terminates after the patrol officer has completed all that he
can possibly accomplish. "5/ Such a theory is inadequate because
it does not define what should be accomplished by the patrol
officer . Structured questions , derived from prior identifica-
tion of solvability factors , can, in fact be used to define what
the patrol officer should do. By requiring that the patrol
officer direct his or her activities only to those areas of
inquiry which are the most promising for successful case solu-
tion, the role of the patrol officer is effectively limited and
the manager ' s dilemma regarding role limits resolved.
Patrol Officers Make Recommendations Regarding
Continued Investigation
The previous step showed some of the procedures and bene-
fits which can derive from using a new report form to collect
information about "solvability factors . " With practiced use of
the form, in-service training, and improved communications
between patrol and investigators , additional responsibilities
and authority may be given to the patrol . This step gives the
patrol officer one additional level of responsibility: recom-
mending, after the initial investigation is completed, that the
case either be closed as early as possible or continued. We
will call this Step II .
- CI . 9 -
This patrol officer ' s recommendation is based on the
results of the "hunt for solvability" conducted in the initial
investigation. As a consequence of training and experience ,
the officer develops skill , knowledge , and the ability to pre-
dict that some cases have little , if any, probability of solu-
tion. There is little reason why such an officer, upon comple-
tion of the initial investigation, should not make a formal
recommendation to his supervisor to close or continue the case .
All experienced police officers know that some cases will
ever be solved . In most departments , an informal process
operates that effectively closes these cases by placing them on
the bottom of the detective ' s case load or by filing them in an
active but suspended file. Why shouldn ' t this informal process
which is already in place, be formalized? Why couldn ' t the
formalized process begin with a recommendation from a trained,
capable officer who has followed departmental policies and
procedures in conducting the initial investigation?
By introducing the patrol officer ' s recommendation into
the investigative process , a simple yet critical procedure
begins to emerge as a benefit in management of the process :
case screening. The recommendation by the patrol officer will
contain a judgment that some cases should be pursued or closed;
in effect, the officer screens the case.
The difference between Step 1 ( In-Depth Preliminary Inves-
tigation ) and Step 2 (Patrol Officers Make Recommendations
Regarding Continued Investigation ) is that the role of the
patrol is increased in Step 2 by giving the patrol officer and
his supervisor the authority and responsibility for making
recommendations about continuing or closing the investigation.
- CI . lo -
Both the patrol officer and the supervisor use solvability
factors -- the patrol officer, in collecting information and
making judgments about the value of this information for the
continued investigation, and the supervisor , in accepting the
officer ' s recommendation.
In Step II , the patrol officer will have received training
in technical investigative procedures so that his or her deci-
sion to call for specialists ( investigators ) will be based on
the judgment that their services will increase the chances that
the case will be solved. Since most agencies have a limited
number of investigators/technicians , they must be used as effi-
ciently as possible . Using them in cases which an officer
knows has a higher probability of success , will lessen the
possibility that investigators/technicians will be called un-
necessarily.
The basis for assigning cases for continued investigation
or follow-up will be the report form and recommendation by the
patrol officer , the evidence technician ' s report ( in some
cases ) and the supervisor ' s application of criteria -- all of
which are related to the solvability factors predetermined by
management .
A major consequence of these activities will be the elimi-
nation of wasted or inefficient investigative effort by the
agency .
This step explicitly acknowledges that there is a formal
administrative control procedure which focuses limited agency
resources only on those cases which have the best chance for
solution.
To inaugurate the use of Step II , training for patrol
officers and patrol supervisors will be required. The nature
- CI . 11 -
of this training will be determined by the understanding and
use by each concept of solvability that has been adopted by the
entire agency. Increased productivity and interdependency
between patrol and detectives will derive from training and
agencywide understanding of the solvability factors and the way
they are used.
Policies clarifying the recommending and decision-making
role of the patrol officers and detectives will he required.
The establishment of a policy regarding case-screening criteria
which incorporates solvability factors will lessen
misunderstandings and reduce the need for complicated and
repeated actions by detectives .
The Application of a Case-Screening System
In summary , the components of a case-screening system are:
1 . Accurate and complete collection of crime
information by the patrol officer .
2 . An on-scene determination of the
sufficiency of crime information
collected.
3. Permitting the patrol officer to make
decisions concerning follow-up
investigation.
4 . Review of that decision by a supervisor .
Putting these components into effect will require an agency to:
1 . Redefine the mission of the major
divisions .
2 . Redefine roles for patrol officers ,
supervisors , investigators, and managers
in the case screening process .
3 . Develop and use crime collection forms
that incorporate early closure
information .
- CI . 12 -
4. Provide training in the use of the new
system to all affected personnel .
The incorporation of case-screening creates the need to
develop a monitoring or management information system which
will provide to police administrators , sufficient feedback on
the system' s effectiveness .
Problems/Solutions
Many problems may be associated with the adoption of case-
screening, but the following are among the more important .
Problem: The most difficult obstacle to adopting a case-
screening system will be the community and political reaction
to the police taking the position that they will not
investigate all crimes . In most cases , the policy agency has
traditionally announced its ability and commitment to
investigate all crimes received from the public.
The reality, of course, is that no police agency can
afford the luxury of investigating all reported crimes. No
department has ever been able to live up to that expectation.
Basically, the question is whether the department ' s image
actually suffers more from that false representation than it
would from an honest declaration that there are cases which can
never be solved, and, therefore, should not be investigated
beyond the initial investigation. In an increasing number of
jurisdictions , the public is being advised of the reality of
the situation rather than the traditional myth. Research and
experience point toward the value of being honest about the
situation.
- CI . 13 -
Solution: If the decision is to acknowledge the reality ,
there is a need to develop a procedure which will instruct the
patrol officer so that he can inform the victim in an
intelligent and compassionate manner then the case will be
closed. The patrol officer , as the initial and possibly the
only respondent at the scene of a crime , should be properly
trained to carry out his new role in criminal investigation and
to explain it to the public.
Problem: The police manager, always alert to the problems
created by overburdening the organization with unnecessary
paperwork, may fear that case screening involves too much
paperwork.
Solution: Therefore, the new system should minimize
paperwork that may overlap present reporting systems .
Information gathered should be responsive to the manager ' s
needs concerning decisions on early closure .
Problem: Any system of early case closure should also
facilitate the ready access to cases which have been
inactivated or closed. This is essential so that a case can
easily be reopened if new leads are developed.
Solution: A simple mechanical process, which features
accurate case collection and retrieval capability, should
minimize this concern.
Problem: The perceived threat by detectives to their
traditional roles and methods of operation is another major
concern. The reduction of the overall caseload may be seen as
a justification for reducing the number of detectives on the
force.
- CI. 14 -
Solution: If the detectives are helped to see the reduc-
tion of workload as a means by which they can devote additional
time to work on the solvable crimes , they will be more inclined
to participate in a positive way.
CONCLUSION
Substantial benefits can be gained from instituting a
system which will eliminate a considerable amount of wasted
effort and energy. While these gains are readily apparent,
there are also real internal and external problems associated
with the implementation of such a change, many of which are
difficult to deal with.
Limited Investigation Model
The refinement added is that the patrol officer is trained
and authorized to make a decision to continue the investigation
of selected crimes beyond the initial investigative stage. In
all previous models , the investigative role of the patrol ends
when the outcomes of the initial recommendation; the completed
reports , plus a patrol recommendation; are turned over to the
supervisor . The patrol officer has authority to continue and
complete the investigation of certain crimes on the basis of
clearly established policy .
When this model is used, it is recognized that some cate-
gories of crimes do not require the usual assistance or the
skills of the specialist investigator . Not all cases need be
referred for follow-up by the patrol investigator.
Some consequences of this model will be that the detective
workload can be reduced in order to permit the best use of
specialist skills and abilities only on those cases which
- CI . l5 -
require such specialists . Further , by enabling the patrol to
conduct investigations under certain conditions , there will be
built up within the patrol ranks , a pool of investigative
talent , skills, and abilities . Thus , the police manager has
resources to consider when career advancement opportunities
open up .
Management policy making will , in this step, focus on
specifying those cases which are to be handled by detectives
and those which are to be handled at the patrol level .
Enhanced Investigative Model
Outlines the maximum and effective use of the patrol offi-
cer in the initial investigation . In this model , the patrol
officer not only completes a detailed report, but also has the
authority to complete the investigation and the close the case
on scene in most cases and to refer other cases for follow-up
investigation . Cases which require a high degree of speciali-
zation - homicide, rape, fraud, etc. - are referred to detec-
tives . The difference between this model and the Limited
Investigation model is that the manager determines which crime
categories categories the patrol officer is authorized to
investigate .
The patrol officer is required to conduct a prompt and
effective investigation of crimes in those categories that
local policy dictates can and should be handled by patrol . The
officer conducts a comprehensive investigation and makes appro-
priate use of technical and scientific examinations . Finally,
the patrol officer has the new authority and responsibility to
decide to close a case on scene or as early as possible.
- CI . 16 -
A case-screening system is in place and functioning as an
overall part of this investigative system in the local agency.
Further, the authority to close cases early is tied to the
policy of using solvability factors to screen or eject cases
from the investigative process as early as possible .
Implicit in the early case-closure system as used by the
patrol , must be a suitable response from the police to the
complainant. Recent studies have indicated that when a suit-
able reply is given to the complainant, either directly by the
patrol officer or within a few days by a telephone referral
from detectives or patrol , complainants react in a positive and
supportive manner .
CONCLUSION
It has become increasingly clear that most case clearances
in police agencies result from the information provided by the
initial responding patrol officer or from an immediate on--scene
arrest . The quick and efficient collection of relevant infor-
mation by the patrol officer is seen to be so important for the
successful outcome of an investigation that, without such
information, the probability of a case being solved, even by
intensive follow-up investigations, is minimal .
Both experience of police managers and recent studies have
identified those most important or dominant information
elements ( solvability factors ) , which can effectively be used
in developing an expanded role for the patrol officer in con-
ducting a more comprehensive initial investigation.
Solvability factors have been shown to have such direct
relationship to case clearances that several police agencies
- CI . 17 -
applied these factors in the development of management
strategies for the improvement of the criminal investigation
process .
Incorporating these findings into an enhanced role for
patrol may enable police managers to develop a management
framework within which local policies and procedures can be
developed with a view to improving the entire investigative
process . Considered from this angle, one can define the
preliminary investigation process as that initial fact-finding
phase of the investigation of a reported crime by which the
responding patrol officer identifies factors that result in one
or more of the following :
1 . The reported case if founded or unfounded
and investigation continues or the case is
closed.
2 . An arrest is made because solvability
factors are demonstratably present and
known to the patrol officer.
3 . The reported case is continued and/or
referred to others because dominant
solvability factors are present.
4 . The reported case is continued and/or
referred to others for investigation
because there are exceptional reasons for
continuation even though solvability
factors are not present.
5 . The reported case is not continued or
referred for investigation because
solvabiltiy factors are not present and
because there are no exceptional reasons
for continuing the investigation and/or
referring the reported case.
This definition overcomes some of the limitations in other
descriptions and theories about the investigative role of
patrol . It states clearly, that the preliminary investigation
has a definite investigative goal : to get the facts that
- CI . 18 -
enable the patrol officer to make a determination about
continuation. It also states the manner in which that goad is
to be achieved -- by the "hunt" for solvability factors that
local policy has determined are the most important and
predictable elements regarding the probability of solving the
crime.
The task for police managers is to organize the resources
of local departments in such a manner that the patrol officer
receives guidance, support, and direction in conducting the
"search for solvability" .
It is important to remember what the definition does and
does not state about the role of the patrol in the
investigative process :
1 . It does not state that patrol officers
will be responsible for conducting and
completing all of the investigation of
all reported felony or misdemeanor
crimes . It does state that patrol
officers will follow agency policy and
procedures regarding the search for
solvability and apply them in making an
initial determination about referring or
closing cases .
2 . It does not state that patrol officers
will do anything that is beyond the scope
of their authority. It does state that
the patrol officer will do all that
he/she should do to collect facts which
indicate the presence of solvability
factors and to use these facts to make an
initial determination about referring the
case or closing it.
3 . It does not state that a patrol officer
will act unilaterally in making decisions
or determinations . It does state that
they can make certain determinations
based on local police policies and
procedures . Procedures regarding the
supervisory review of field decisions or
determinations are also included.
4 . It does not state that the agency
organizational structure or the patrol
units and the detective units must be
- CI . 19 -
reorganized or that police personnel must
be deployed in a different way. The
definition is silent on this issue .
5 . It does not state that the patrol officer
cannot perform services within the
investigatory process not included in the
definition. It does , however, set forth
the essential investigative elements of
preliminary investigation.
Finally, it seems obvious that the roles of patrol and
detectives cannot be viewed as completely separate and
distinct functions .
Patrol fulfills not only a crime suppressant role, but
also performs an investigative function. How effectively the
patrol officer documents the events of a crime to which he or
she responds has a definite impact on the case outcome when
investigators attempt to pursue the case.
Whenever new roles are assigned to the patrol officer ( and
we have delineated only the best known to date) , they will have
an affect not only on the case outcome, but also on the effec-
tive management of the entire process of criminal investigation.
Complete Investigation of Crimes by Patrol Force
The procedures outlined in Steps I and II extend the role
of the patrol force to the point where they are responsible for
a completed comprehensive report on the initial investigation
plus a recommendation as to the continuance or closing of the
investigation. There is one more step to be considered and
planned for if the recommendation is thought to be feasible
with present personnel and policies . This step is to extend
the role of the patrol officer so that he is trained and
authorized to continue the investigation of selected crimes
beyond the initial investigation stage .
•-•-r
Not all crimes require the usual assistance or the skills
of the specialist investigator. Not all cases need be referred
by the patrol officer for follow-up. The patrol officer is
required to conduct a prompt and effective investigation of
crimes in those categories that local policy decides can and
should be handled by patrol . The officer conducts a comprehen-
sive investigation and makes appropriate use of technical and
scientific examinations . Finally, the patrol officer has the
new authority and responsibility to decide to close a case on
scene , or as early as possible.
Some consequences of allowing patrol investigation of
crimes will be a reduced workload for specialist investigators
who can concentrate their skills and abilities on those cases
requiring concentration. Further, there will be built up with-
in the patrol ranks , a source of investigative talent, skills ,
and abilities for the future.
Implicit in the early case-closure system by the patrol
must be a suitable response from the police to the complainant .
Recent studies have indicated that when a suitable reply is
given to the complainant, either directly by the patrol officer
or within a few days by a telephone referral from the investi-
gators or patrol , complainants react in a positive and suppor-
tive manner .
Management of the Continuing Investigation
Once the initial investigation of the reported crime has
been completed by the uniform officer, the case is most often
referred to the specialized Criminal Investigation Unit for
continuation of the investigation. The number and category of
crimes referred will be determined by departmental policies
governing the case screening process .
- 01 . 21 -
Although the cases referred for continuing investigation
are supposed to be received and processed under a well-struc-
tured management procedure, this ordinarily does not happen.
More typically, the assignment , the investigation and the deci-
sions about case continuation are made by the individual inves-
tigator without management input .
In many agencies , the person who gets the referred case
for investigation will be the one who was on duty at the time
of referral or the one who was assigned to "catch" those cases
referred during a particular period of the day. The assignment
thus is dictated by chance rather than according to sound
management principles .
Upon "catching" the complaint , the investigator decides
the course of investigative action. He will informally screen
all the cases assigned to him or accumulated during his "watch"
and decide which ones are worth serious pursuit . Generally ,
the actions taken and reports prepared will be kept in the
investigator ' s personal file, which remains inaccessible to all
others . Supervisors and other managers are kept vaguely in-
formed concerning the progress of a case. As a consequence of
this process , the investigator generally determines his own
workload and makes decisions concerning priority of effort .
While this kind of investigative routine is lamentable
when viewed from the management perspective, it nevertheless
conforms with the facts .
A review of the available literature largely confirms the
absence in police dpeartments of a management system for
assigning , coordinating, directing , monitoring , and evaluating
the overall investigative effort .
- CI . 22 -
The lack of managerial control over the continuing inves-
tigation process undoubtedly leads to many shortcomings , such
as inequitable caseloads , improper assignment of cases , incor-
rect priority decisions, lateness of investigator response and
lack of investigative continuity. Unquestionably, the absence
of managerial direction in this vital activity has contributed
in some degree to the dismal performance of investigative
efforts on reported crime in most departments .
In 1975 , only 63 percent of the crimes against the person,
19 percent of the crimes against property, and 21 percent of
the 11, 256, 000 reported Part I offenses , were cleared by arrest
according to the Uniform Crime Report . In 1974 , the
percentages for clearance by arrest were roughly the same .
Since a large number of arrests are made by uniformed
personnel , the performance record of the investigative process
may be even poorer than these statistics suggest.
In light of these facts, police administrators have
increasingly recognized the necessity for establishing a
management system for the continuing investigation process . In
1973 , the National Advisory Commission on Criminal Justice
Standards and Goals recommended that:
"Every police agency should establish quality control
procedures to insure that every reported crime receives the
investigation it warrants . These procedures should include:
a . A follow-up report of each open
investigation every 10 days and command
approval of every continuance of an
investigation past 30 days;
b. Constant inspection and review of
individual team and unit criminal
investigation reports and investigator
activity summaries; and
- CI . 23 -
c. Individual team and unit performance
measures based at least on arrests and
dispositions, crimes cleared, property
recovered and caseload . "6/
Another perspective on the effectiveness of the criminal
investigation effort is stated as follows :
"The effectiveness of conventional police
action is directly attributable to the
employment of the defensive strategy,
which by its very nature is restricted to
the use of a single major tactic-investi-
gation. The investigation tactic has
several basic weaknesses . The most seri-
ous of these being that its success is
predicated on the assumption that the
criminal has made a mistake . . . the investi-
gator ' s efforts are primarily concerned
with obtaining sufficient data. . . above
all , throughout the entire investigative
process he is hoping that all of this
effort will culminate in sufficient data
to allow him to make an arrest. From this
point of view, the investigation may be
described rather accurately as being a
process of 'wishful thinking ' . "7/
While it may not be clear how much improvement can be
achieved by establishing a management system in the continuing
investigation process , it seems reasonable to assume that some
improvement is likely in comparison with the non-managed pro-
cess . Even if there is little or no improvement, the manager
will at least be able to make intelligent decisions about
resource allocations and alternative courses of action.
In establishing the management system for continuing in-
vestigations, the overall goal should be to increase the number
of case investigations of serious crimes that are cleared by
prosecutable arrests of criminals responsible .
Objectives of a managed investigation process could
include :
Assigning case investigations more
effectively;
Improving on the quality of case inves-
tigation and preparation;
- 01 . 24 -
Monitoring the process of case investi-
gation and making decisions about con-
tinuation;
Evaluating results on the basis of
investigative outcomes .
The supervisor of the investigative unit, as is the case
for all managers , should be held accountable for achieving
stated goals and objectives through the effort of his team.
The supervisor must:
1 . Organize the unit;
2 . Establish work schedules and deploy
resources;
3 . Determine effective and economical
assignment policies;
4 . Organize workloads;
5 . Assign cases on an equitable and skills
basis ;
6 . Make decisions about "exceptional "
investments of time to certain cases;
7 . Coordinate and direct the unit ' s inves-
tigative efforts ;
8 . Develop required records to facilitate
direction, monitoring , and evaluation of
efforts;
9 . Supervise personnel on a continuous
basis;
10 . Evaluate performance;
11. Train and develop investigators;
12 . Promote a rapport with internal and
external units that affect the ability
of the unit to meet its goal .
Other management activities may also be called for .
However , the above listing should be a good starting point.
In organizing the unit, the supervisor must make decisions
about hours of operation, deployment of investigative personnel
- CI . 25 -
based on workload needs, and whether investigators will work
alone , in pairs, or as part of a team.
Many agencies place stress on the economic advantages of
having investigators work alone and reject the "luxury" of a
team approach. However, the mix of resource use is limited
only by the imagination of the supervisor or the requirements
of a fixed policy that mandates a particular assignment pattern
One of the most important decisions to be made is the
assignment of a referred case . Not only must the manager con-
sider current caseloads , by he must also assess who has the
skills required to bring the case to a successful conclusion.
If the case is of low-level priority or the investigative
abilities and skills of each member are reasonably equal , this
assessment need not involve more than a quick judgment. On the
other hand, if the case is very serious , or will require special
skills or expertise, a reasoned judgment must be made as to who
is best qualified to conduct the investigation. If putting the
right investigator on the case requires a reshuffling of
workloads, the manager must make this decision.
Such a judgment obviously assumes that the supervisor
knows the investigative backgrounds , strengths, and weaknesses
of all of his personnel . In units with many investigators, it
may be necessary to develop a skills profile of each investi-
gator for the supervisor ' s reference.
Case assignment records should be maintained by both the
supervisor and the investigator to provide adequate and timely
information concerning case assignments and ensure proper re-
view of investigative progress . Such records would indicate
the date the case was assigned, the category of crime, a list
- CI. 26 -
of review decision dates, and closure or continuation informa-
tion. (A sample of such a record is shown in Figure 2, on
page 28 . )
The supervisor should also maintain a record of the
distribution throughout the unit of case assignments .
Assignment of unequal caseloads , unless done deliberately for
good reasons, can be self-defeating for efficient and effective
performance.
Clearly , the supervisor should also be knowledgeable about
the activities as outlined in Figure 3 on page 29 . The list is
by no means exhaustive and can be expanded or shortened
depending on local agency requirements. This listing of
activities might later be developed into a report that provides
needed information concerning the amount of time spent by the
investigator in development of the investigative plan,
interviews , office activities , records searches and field
investigative efforts .
One recent research study 8/ found that investigators '
time in several different agencies was generally spent as
follows :
1 . 45 percent on non-case work
a . administrative assignments
b. speeches
c. travel
d . surveillance of specific locations , etc .
2 . 55 percent on case work, broken down as
follows :
a. 40 percent ( 22 percent of the total )
investigating crimes that are never
solved.
b. 12 percent ( 7 percent of the total )
investigating crimes that are solved.
c. 48 percent ( 26 percent of the total )
on cleared cases after arrest .
- CI. 27 -
CASE ASSIGNMENT RECORD- -INDIVIDUAL INVESTIGATOR
NAME OF INVESTIGATOR
Date Case Case Category Review Decision Dates Closed Closed with Results Reason for Close
Assigned # of Crime 10 20 30 40 , on Date (Briefly Describe) or Continuation
w
1
1
n G
H
N
00 ! 1!
1
1
1
FIGURE 3
Typical activities associated with case investigations :
1 . Develop an investigative plan.
2 . Analyze the case and available information .
3 . Determine which investigative steps are of
highest priority.
4 . Define the steps to be taken to best approach
the crime.
5 . Assess the potential information sources .
6 . Confer with superiors concerning the plan .
7 . Discuss the case with other specialists and
appropriate uniformed officers .
8 . Telephone the victim ( and make an appointment ,
where appropriate) .
9 . Interview the victim, witnesses , and potential
witnesses (e.g. , neighbors ) .
10 . Make other telephone contacts .
11 . Conduct a records search .
12 . Transmit official APB 's , etc .
13 . Conduct required surveillance .
14 . Prepare required reports and records on case
progress .
15 . Contact other governmental agencies .
16 . Travel in connection with investigative effort .
17 . Interrogate suspects or prisoners in custody .
18 . Arrest and process the prisoner .
19. Confer with the prosecutor .
20 . Appear in court after the arrest .
21 . Other .
- CI . 29 -
While these percentages may not reflect the breakdowns in
every agency , they at least furnish some idea of how
investigators ' efforts are currently allocated.
Another very important responsibility of the supervisor in
monitoring case investigations is to review progress on a
regular basis with each of the investigators so that decisions
can be made as to whether various investigations should be
continued . The investigator should be required to make a
recommendation. If his recommendation is to continue, the
investigator should be required to show why he believes the
case can be solved.
The supervisor must be accountable for the decision
reached. If the case is an exceptional one, the supervisor
alone bears the responsibility for the decision to continue the
investigation . (At some point, the Town Supervisor must be
told that his daughter ' s stolen bicycle case will not be
solved! ) In all other cases , the supervisor must make a "hard-
nosed" assessment based on the principal of diminishing
returns . He must recognize the inadvisability of investing
considerable additional effort to go from say 85 to 90 on the
"likelihood" scale when the chances of success are still
uncertain. He must decide that the investigation is to be
discontinued when further effort would be neither economical
nor productive. The time for making this decision will depend
on the seriousness of the crime, the informational available,
and the political factors, if any.
This type of decision-making review of the status of an
investigation can only be done when the investigator is
required to analyze the information in the case, prepare an
investigative plan and maintain a case folder that is current
and complete. While such a procedure is not generally followed
at present , in most departments a policy decision can change
the situation virtually overnight .
Upon receipt of the preliminary investigation report, the
investigator should carefully analyze the amount and quality of
information supplied. An experienced investigator will look
for the key solvability, as well as for the emotional factors
in the case . (Many of the questions for which the investigator
should seek answers have been included in Figure 4 , on page 33. )
It should be clear that a well-constructed preliminary
investigation form (as discussed previously) will provide the
bulk of the information needed and will substantially reduce
the amount of time needed to conduct a case analysis .
Once the analysis has been made and a decision reached
that the case should be investigated further, the investigator
should develop an investigative plan. After the approaches ,
strategies, and work format have been outlined, the plan should
be discussed with the supervisor . There should be an agreement
as to the decision to continue, the appropriateness of the plan
and the first review date to further decide on continuation.
The steps to be completed are recorded on the
Investigator ' s Checklist in Figure 5 on page 34 . Each agency
should expand on this basic list, based on needs, priorities
and organizational structure.
A folder for each case should be established, containing
complete and current records of the status of the case:
1. An index sheet to record inclusions;
- CI. 31 -
2. A copy of the initial investigation report
completed by the uniformed officer;
3 . A copy of the case analysis;
4 . An investigative plan;
5 . An investigator ' s checklist; (See Figure 5 ,
on page 34 . )
6 . A list of review dates on case progress;
7 . Supplementary investigative reports ;
8 . Photos; and
9 . Lab reports .
Each folder becomes the property of the investigator and
the supervisor ( not the investigator ) should control access to
the information . Other investigators seeking information on
the case, or access to the folder, should seek approval from
the supervisor. This rule not only maintains the integrity of
the information, but facilitates the supervisor ' s task of
coordinating the unit ' s entire investigative effort.
Another critical responsibility of the supervisor is to
measure the efficiency and effectiveness of the unit ' s, as well
as , the individual ' s performance. While note perfect, the
current measuring stick is generally the number of cases
cleared by arrest .
To evaluate the results of activities and determine
performance levels, it will be necessary to develop several
summary information report forms . Most departments already
have such forms. A suggested form which provides information
on individual performance for each member of the unit is shown
in Figure 6 on page 35 .
- CI. 32 -
FIGURE 4
Questions The Investigator Will Seek Answers To:
1. Was the victim injured? If so, to what extent?
2. Is the criminal known to the victim?
3 . Was a suspect harmed? Identified?
4. Was the criminal armed? Type of weapon?
5 . Can (or will ) the victim identify the criminal?
6 . Was a usuable description of the criminal obtained?
7 . Is there anything unusual in the description?
8 . Were there witnesses?
9 . Was a motor vehicle used? Tag number?
10 . Were serial numbers on stolen property provided?
Available?
11 . What was the value of the property stolen?
12 . Were fingerprints obtained at scene?
13 . Is there other physical evidence?
14 . Was there a familiar M.O. pattern?
15 . Have other similar type crimes been committed in
neighborhood?
16 . What amount of publicity is likely?
17 . Was it a particularly heinous crime?
18 . Were special interests involved?
19 . Other (etc. ) ?
- CI. 33 -
INVESTIGATOR' S CHECKLIST
ACTIVITY YES NO COMMENTS
Victim interviewed in person
by phone
IT at home (if not , explain)
Witnesses interviewed in person
by phone
Residential/commercial neighbors interviewed in person
ft by phone
Officer on scene interviewed in person
Crime scene visited
Crime scene searched
Area of crime canvassed
Fingerprint search conducted
Photos taken at scene
Other forensic support provided
a Physical evidence search produced leads
M . 0 . files searched ()I
Photos of known criminals viewed by victim
Major offenders files accessed
Local hospital records search (if appropriate)
Prison records on recent releases checked
Parole file checked
Local police departments checked
Checked recent aliases •
Informant ' s file checked
Unit members checked for information sources
CASELOAD DISPOSITIONS ARRESTS
Cleared
Active at New by Exceptional Closed: • # of
"Pick-up
of Start of Cases Unfounded Arrest Clearance No Results Active Cases
Investigator Month Rec'd Total # % # % % % % End of Month Adult Juvenile Arrests
A
B
C
D
E
F
G
H
I
J
i K c�
L
M I I a\
n `
N
V
I
W
X
� I i
These report forms should provide basic information on the
performance of the individual investigator, the overall
performance of the unit, and the relative performance of each
investigator, as well as an indication of the quality of the
investigative effort as viewed by the prosecutor .
Many other reports could be developed to measure
performance. Many factors impact upon the performance of the
individual investigator, as well as the unit, and the manager
must carefully consider all those factors before arriving at a
decision concerning the effectiveness of an individual
investigator .
Continuing to do business as usual , with the investigator
making his own management decision, will only perpetuate the
very dismal record of cases cleared by arrest. Indeed, the
police administrator may well acknowledge that the present
investigative process is really an exercise in wishful
thinking.
While it is not a certainty that substantive improvements
in investigative performance will occur once management assumes
control of the investigative process , it is reasonable to
assume that improvements are likely. Managers would be able to
make responsible decisions about allocation of resources and
alternative courses of action to deal with the continually
escalating crime problem.
- CI. 36 -
FOOTNOTES
1/ V.A. Leonard, Police Organization and Management, second
edition, The Foundation Press, Brooklyn, 1964 .
2/ Managing Criminal Investigations, National Institute of
Law Enforcement and Criminal Justice, LEAA, Washington, DC
1976 .
3/ Ibid.
4/ Peter B. Bloch, and Donald R. Weidman, Managing Criminal
Investigations, LEAA, Washington, DC, 1975 , pages 23 - 24 .
5/ Ibid.
6/ National Advisory Commission on Criminal Justice Standards &
Goals : Police, January, 1973, page 233 .
7/ Crime Control Team -- An Experiment In Municipal Police
Department and Operations. Elliot and Sardino, 1971 .
8/ The Criminal Investigation Process -- A Summary Report .
Rand Corporation, June, 1976 , page 16 .
- CI. 37 -
APPENDIX D
FORMAL DIRECTIVE SYSTEM
Law enforcement officers may employ unusual discretion-
ary power in dealing with members of the public and in hand-
ling police problems. Because of this power and because
their activities frequently occur as emergencies, police
personnel are often called upon to make major decisions
affecting the public without benefit of study or con-
sultation. In order to ensure that this power is used wisely
and in furtherance of department objectives, law enforcement
administrators should provide their personnel with policies
and procedural guidelines. Policies and procedures are
essential for the proper performance of police duties and for
accomplishment of the police mission.
Although a law enforcement agency operates twenty-four
hours a day, 365 days per year, the chief administrator works
only a fraction of that time. Taking into account regular
days off, holiday and vacations, the head of the agency is
present only about 20 to 25 percent of the time. Yet, the
chief is accountable for 100 percent of its operation.
During any absence, the chief must rely upon each member of
the department to perform at an acceptable level and ensure
that the department is functioning as a unified force. One
method to achieve this is through the development of a well
structured, comprehensive set of directives which is systema-
tically and regularly enforced.
Developing and maintaining this ongoing system of
communication is one of the most difficult tasks faced by the
- FD. 1 -
police administrator. In developing the following system of
model directives, the Bureau for Municipal Police has
utilized a number of principles.
First, the police personnel required to act, respond to,
or be guided by a written directive, must have confidence in
its integrity.
The written order must be recognized and accepted as an
authoritative order (either by signature or by accepted
practice) by those whose actions are governed by its force .
The order must be legal; otherwise it cannot compel a
response from those for whom it has application.
The written order must be current. If time or
circumstances have made all or any part of the order obsolete
or have altered its applicability, its validity is subject to
question.
There must be ready availability of the order for those
to whom it applies. The value and reliability of the order
is nullified if , at the time it is needed, it cannot be
located.
Directives should be classified according to scope,
duration and applicability. They should be divided into
three ( 3) main categories - General Orders, Special Orders
and Personnel Orders.
1. General Orders - affect more than one
organizational unit of the department
and/or establish a policy or procedure
affecting the department and an outside
- FD. 2 -
agency. This type of order should eman-
ate from the office of the chief of
police. General Orders are long-term
directives that remain in force until
they are rescinded or modified. Policy,
procedure and rules and regulations com-
prise the basic informational elements
that may be contained within a General
Order.
a. Policy - should reflect the overall
action plan and intent of the agency. It
is written in a general manner and should
not be constrictive or too specific. A
policy statement should reflect and arti-
culate the intent, concept and philosophy
of the department. It should serve as a
flexible guide and should allow latitude
for "justifiable diversions" from the
normal course of action. Finally, policy
should tell subordinates why management
wants a certain course of action or
behavior.
b. Procedures - are generally written
to be more specific than policies but
less restrictive than a rule or regula-
tion. Procedures are designed to
describe an operation while still
allowing some flexibility within limits.
Procedures are a series of steps to be
followed in a definite order; "if that
happens, do this. " Procedures serve to
define policy and to provide an
acceptable method for carrying it out.
c. Rules and Regulations - are specific
directives which are intended to cover
situations in which no deviations are
permitted. They apply each time the
situation or activity included occurs. A
rule/regulation states things the officer
must do as well as those not to be done.
They should always be written and limited
to situations which can result in disci-
plinary action if the rule/regulation is
violated.
- FD. 3 -
Since General Orders are semi-permanent,
a copy of each such directive should be
made available to each member of the
department with instructions for
retention as reference material . This
enables the chief administrator of a
department to hold all personnel
accountable for complying with the
directives content.
The first General Order issued should be
an explanatory order authorizing and
establishing the General Order System and
providing for its operation and
maintenance.
2. Special Orders - are orders issued by a
chief of police which are applicable to
the department as a whole, or to a
division, unit or individual . Special
Orders establish a temporary policy or
procedure for a given situation, usually
for a specific length of time. When the
effective period of a Special Order is
not stated, it automatically becomes
inoperative at the conclusion of the
incident or situation that caused the
directive ' s issuance.
A Special Order may be issued to initiate
a specific action, or to provide a basis
for decision making in a particular
instance. It may be a plan of action
that serves to coordinate the activities
of several officers in handling a
scheduled special activity or event
(e.g. , parade, athletic event, etc. ) . It
may also be used to establish a temporary
policy or procedure adopted by the
department.
3. Personnel Orders - Personnel Orders are
directives issued by the chief of police
whenever there is a change in personnel
status, such as:
a. Appointments;
b. Transfers;
c. Leave of Absence;
d. Separation from Service;
e. Demotions;
f . Suspensions;
g. Promotions;
h. Restorations to Duty, etc.
- FD. 4 -
Development of Written Directives
Directives should be developed to cover all major
operations and functions of the department - before problems
arise. This is especially true when implementing new
programs or procedures. Many times directives are initiated
as a reaction to an apparent problem. How speedily that
problem is resolved depends, to a large extent, on the
priority assigned, the amount of resources applied and the
amount of study time allotted.
Problem Analysis
In order to deal with problems on a rational basis, they
should be studied and analyzed. In a small agency, problem
areas will probably be reviewed by the department head or
assigned to a subordinate for study and recommendations.
Larger agencies may have personnel assigned to a research and
planning unit who have been specifically trained in the
directives development process.
When a decision is made regarding the proper handling of
a situation, a directive should be issued to guide those who
must implement the decision. Depending on the nature of the
problem, the directive may involve a policy, procedure, rule,
regulation, or combinations thereof .
- FD.5 -
Maintenance and Control of Directives
Frequently, law enforcement agencies perceive the
development of their system of directives as a one-time
administrative task and fail to establish adequate control
and maintenance procedures. In establishing an effective
system of directives, there must be a definite assignment of
responsibility for directives development and centralized
maintenance and distribution control. These responsibilities
may be assigned to an individual or to a unit. If a
department is large enough, the responsibility should be
delegated to the research and planning unit.
In the initial stages of directives system development,
the person or a unit assigned will be faced by what is
seemingly a tremendous task. It is recommended that other
knowledgeable personnel in the department be employed in a
task force approach to directives system development. The
following steps should be followed in this approach:
1. Inventory all existing directives;
2. Examine and recommend desirable
control features;
3 . Develop a proposed distribution
system;
4 . Establish a proposed conversion
schedule.
The person or unit responsible for directives management
should also be assigned responsibility for its continued
coordination and maintenance. To ensure that directives are
managed properly, top management should assign only personnel
who possess the knowledge and skills necessary to carry out
the critical review process.
- FD. 6 -
The duties of the directives management unit
include:
1 . Final preparation of directives
for issuance;
2. Maintenance of the number control
system;
3 . Circulation of proposed directives
for staff review;
4 . Preparation of indexes;
5. Supervision of reproduction and
distribution;
6 . Periodic audit of the system;
7 . Evaluation of suggestions and
recommendations for the system' s
improvement;
Responsibility for Drafting Directives
In small departments, responsibility for drafting
directives may be retained by the chief, or assigned to a
subordinate who has demonstrated a talent for staff work.
In larger departments, responsiblity for drafting
directives may be assigned to a specialized unit, or the
responsibility may be assigned to major divisions within a
department according to criteria established by the chief of
police.
Whatever assignment system is used, directives, once
drafted, should be reviewed for purposes of editing and
finalization by the person or unit charged with directives
management. Following this review, unit managers affected by
its issuance should be provided with an opportunity to review
and comment concerning the directive. This can best be
accomplished by providing each affected manager a copy of the
proposed directive. This process, commonly referred to as
staff review, helps to reveal objections that can be resolved
and eliminated prior to the final review by the chief . To
ensure prompt return of directives, a completion date for
staff review should be established.
Establishing a Standardized Format for Directives
Directives should have a standardized format .
Standardization as applied to directives has several distinct
advantages, including ease of recognizing, reading, filing,
retrieving, correcting and updating.
Each directive should contain a heading with specific
informational elements including:
1 . Department identification
Examples: Albany Police Department
Columbia County Sheriff 's Dept.
2. Directive type (General Order, Special
Order, Personnel Order)
Example: General Order
3 . A year index control code which identifies
an order by the year issued and the chrono-
logical position of issue within the year.
Example: The sixth General Order issued in
1982 is identified as "82-6" . Example Year
Index Control Logs for General, Special and
Personnel Orders should be used by the
person or unit assigned responsibility for
directives management.
4. Date of issuance - The date of issuance or
last revision. This facilitates the quick
determination of an order 's currency.
Example: Revised
January 24, 1983
5 . How indexed ( in the alphabetical index) .
This facilitates control by illustrating
how the order should be indexed in the
alphabetical index. A directive should be
indexed under all key words describing a
directive ' s content. This is done to
insure proper indexing and to provide a
- FD. 8 -
range of reference for persons seeking
subject information. Index titles should
be listed alphabetically.
Example: Index as:
Directives and Manuals, System
of Manuals, and System of
Directives, System of
Directives and Manuals
6 . Order title - The purpose of having a title
is to establish a short, succinct,
descriptive heading that can be used to
identify the nature of the information
contained therein.
Examples: "Prisoner Security"
"System of Directives and
Manuals"
7 . The purpose paragraph - The purpose
paragraph in an order is included to
provide the reader with an explanation as
to why an order is issued.
Example: "Purpose"
This order is issued to establish policies,
procedures and standards relating to the
management of all manuals and orders
published by the department.
Conclusion
The need for an effective system of directives is
evident to most law enforcement administrators. However, in
order for such a system to exist, there must be an ongoing
commitment to this objective by the department ' s leadership.
The decision to commit the resources necessary to the
accomplishment of the proposed system should not be taken
lightly. It would be very wasteful to begin the system, only
to later terminate it.
- FD. 9 -
The following questions should be carefully considered
and answered before development of a system of directives is
undertaken. They are:
1. Is there a need to provide direction to
the personnel making discretionary
decisions within the department?
2 . Will the implementation and maintenance
of the proposed system fulfill the need?
3. Are the skills available in the
department to institute and maintain the
proposed system?
4 . If the skills are not available, what
are the alternatives?
5 . Is the department chief administrator
willing to commit these skills to a
directives system project and see it to
its completion?
The development and implementation of a system of
directives will assist all personnel in a police organization
to make their decisions in a predictable and circumscribed
manner.
- FD. 10 -
APPENDIX E
BUILDING FACILITY
"Perhaps no item of police equipment or property has the
potential for providing or denying optimal utilization of
command and supportive services personnel in any greater de-
gree than the police headquarters building itself . Earlier
this century, the automobile reduced the need for large number
of officers to provide onstreet police service or for emergen-
cy standby purposes, but no such dramatic invention has re-
duced the nonline personnel requirements of a police agency .
Indeed, the complexities of staff and auxiliary services, and
utilization of sophisticated automated data processing equip-
ment and systems, the growth of planning and research activi-
ties , the increase in training requirements -- all emphasize
the need for sound planning of police facilities if both space
and personnel are to be used effectively and economically.
"When an old building is recognized as inadequate,
several alternative responses to the problem may be identi-
fied: ( 1 ) doing nothing about the building or its floor plan
and employing additional personnel in numbers sufficient to
overcome the operational handicaps of the existing facility,
( 2 ) reducing service to the public and to the line or field
elements of the department whenever the physical and func-
tional relationships of people and their work are such that
they require more time and/or personnel than is presently
available, ( 3 ) researching the departmental and public needs
and redesigning and modifying those portions of the structure
which present operational or administrative problems , or ( 4 )
designing and constructing a new facility.
"In some situations , the handicap of a poorly arranged
building may be overcome by minimal reconstruction or reloca-
tion of offices and work areas, though this approach may not
always be used to great advantage in cases where unusual prob-
lems exist. It is generally unwise, however, to attempt to
redesign the police station in an existing structure. Experi-
ence throughout the nation has shown that such moves may even-
tually cost more than new construction, and the results are
seldom satisfactory. The most economical approach, if viewed
from a 20 to 40 year vantage point, probably will be in the
design and construction of a new facility. This is true be-
cause the expenses of reconstruction are essentially a one-
time cost, but the personnel costs of employees whose work
performance is limited or wasted through poor building design
continue year after year. Moreover, delaying new buildings
when the need is apparent can be costly because of rising
construction costs.
"If only one unnecessary 24-hour per day position is
saved or eliminated by such a move, the annual salary savings
amounts to approximately five times the cost of one person ' s
salary and fringe benefits . Unnecessary recurring personnel
expenditures are a major consideration in building design.
The luxury of poor working quarters is beyond the reach of
- BF. 1 -
most police departments in the United States . Given an
already undermanned field force, the additional cost burden
for personal services occasioned by poor building design is a
major consideration. Fortunately, there is a developing
awareness of the impact of poor design on police efficiency
and costs for personal services . "1/
Since most citizens have little or no contact with the
police, they base their opinions largely on fleeting observa-
tions of police buildings, police automobiles, and the general
appearance of police officers . Private business has learned
that an ill-equipped and dilapidated building long in need of
replacement contributes to low production and low employee
morale. Without convenient facilities, the most conscientious
officer finds his tasks difficult . Conversely attractive
buildings create a favorable impression on the public, encour-
age public confidence and support, and promote department
efficiency.
The following sections offer some considerations which
should be taken into account in planning such a facility .
Separate Facilities
Practically all the planning experts in the law enforce-
ment field recommend that the facilities for a police station
or headquarters be entirely separate from the other functions
of government with the exception of the functions of the crimi-
nal court and the prosecuting and defense attorneys . There
are many reasons for this opinion:
1 . The functions of the police department are
entirely different from the normal func-
tions of other divisions of government .
The matter of security, protection from
attack, possibility of violence within the
confines of the station, are all within
the regular purview of law enforcement
- BF. 2 -
activities. They are also all very dis-
rupting to the normal processes of other
governmental offices .
2. From security standpoint, it is less cost-
ly to build a separate facility. Because
of the security necessary for police pri-
soner-type activities , there would neces-
sarily have to be some sort of secure
separation between police and non-police
sections.
3 . A law enforcement agency operates 24 hours
a day, seven days a week, necessitating
full utilities, such as heat and light, on
a continual basis . Most other governmen-
tal offices operate on a five-day, 40-hour
week basis with 11 or 12 holidays so that
considerable savings in utilities and main-
tenance can be affected. The joining of
these two operations would reduce, even
eliminate any economy along this line.
4 . There is indication from both population
and crime trends, as well as, additional
services being assigned to law enforcement ,
that the need for additional space facili-
ties would be almost certain. If the
police headquarters is constructed as a
separate facility with ample space, addi-
tions to a one-story building are much
easier and much less costly to build when
they are needed, rather than to build
anticipating the needs of the department 20
years in the future. This space, of
course, would be initially little used,
but it would have to be maintained, heated,
lighted, etc. The experience of other
police agencies who have had their facili-
ties constructed as part of other govern-
mental offices has been that they have run
out of space almost immediately and the
difficulty of enlarging a major building of
this type is obvious .
Personnel
The accompanying suggested space requirement plans are
formulated on the basis that the headquarters building should
be operated with a minimum of personnel . The principle being
followed is that a reduction and/or the increased efficiency
- BF. 3 -
of handling police incidents can be accomplished most by the
presence of officers in the field where these incidents are
most likely to occur .
However, it is also anticipated in these plans that,
should an emergency occur demanding an increase of headquar-
ters activity and direction, the space and facilities will
already exist so that these activities can take place smoothly
and with sufficient personnel to handle adequately any of the
emergencies that may arise . In particular, while the communi-
cations center will normally be handled by one individual , it
should be so constructed that three of four positions could be
manned immediately without any physical change .
It should also be borne in mind that when another opera-
tion requiring more than one man takes place within the head-
quarters , such as the incarceration or release of a prisoner,
that personnel are immediately available by radio to assist
the officer in these operations .
One purpose of these suggestions is to reduce headquar-
ters ' personnel , not to increase it, by presenting a modern,
efficient operational plan.
Location
A few of the general principles followed by most police
administrators throughout the country in picking a location
for a police headquarters are as follows :
1. There should be maximum accessibility to
the area being served, both from the
standpoint of all the police functions, as
well as, the convenience of the public
served.
- BF. 4 -
2. Sufficient land should be available for
adequate parking, not only of police vehi-
cles, but for the convenience of the pub-
lic in doing business with the police,
plus space for occasional impounded vehi-
cles , and sufficient planned space for
adequate snow removal.
3. The location should provide for future
expansion should this be necessary.
General Construction
Most police administrators feel that the projected life
for public buildings should not be less than 25 nor more than
50 years .
The building itself should be fireproof , earthquakeproof ,
floodproof, and highly resistant to outside attack or to the
threat of sabotage to any of its facilities .
The general building should be pleasing in design and of
an architectural type in accordance with its surroundings .
Those windows or doors or openings of a security nature might
possibly be covered by ornamental iron, security type glass,
and the like, to avoid the appearance of a jail or a fort .
A one-floor building with basement storage, range, etc. ,
is most economical . Usually the introduction of stairs and
elevators create additional personnel needs , where the trans-
portation of prisoners is required.
The various surface materials should require as little
repair, painting and maintenance as possible, and yet always
maintain a clean and attractive appearance .
For future expansion or change in space, consideration
should be given to partitions that may be readily moved to
change the office arrangement and to ample floor conduit space
for future power, telephone and communications cable require-
ments .
- BF. 5 -
Closed circuit television, which is being employed exten-
sively in police training, security surveillances , and the
inspection of traffic points should be considered in the plan-
ning of electrical conduits .
Cables for telephones , radio, electricity should be placed
underground for entrance into this building to prevent sabotage
in this area .
The general design of the building should reduce to a
minimum, the number of positions that would have to be manned
should the building be subject to attack.
All ceilings should be acoustically treated. The building
should be centrally heated and air-conditioned .
Provision should be made for the emergency generation of
power, preferably to the entire police headquarters building,
but certainly to the communications area, the area of electri-
cally controlled locks , heating and lighting and the detention
area.
Main Entrance
The main entrance of the building should be marked by an
attractive sign, easily identifiable to the general public and
should permit immediate access to a uniformed dispatcher or
officer who will be designated to handle business with the
public , as well as , telephone and radio communications . This
entrance should be well lighted, attractive, with the proper
directory if necessary, a place for members of the public to
wait in comfort should that be necessary and suitable lavatories
for the use of the public. The communications area should be
visible to the public so that if there are partitions beyond
- BF. 6 -
the height of the reception counter, these partitions should
be of transparent plastic material , now available for security
purposes, or shatterproof glass. In this way, if the communi-
cations dispatcher is busy at the time a member of the public
wants attention, the fact that he is on the telephone or on
the radio is readily apparent to the member of the public and
there will not be an assumption of laxity or inattention on
the part of the department. The entire main reception area
should be visible at all times to the communications dispatch-
er as a security measure to the station. If necessary, an
electrically controlled security lock may be put on the front
door with outside lights sufficient to identify the individual
desiring entrance, which could be operated at night or during
those times when a minimum of personnel is on duty at the
station.
A public telephone should exist in the main reception
area, as well as, some facilities for writing, such as acci-
dent reports , proofs of loss, etc. , and this writing should
not takelace on the main reception desk but, if
p p possible, at
self-lighted counters against another wall of the reception
area.
Boxes or a cabinet or a "bank" type glass-topped counter
readily identifiable and available to the public should be
provided to contain those forms generally needed by the public,
such as Motor Vehicle forms, accident reports, license applica-
tions, etc . , so that they could be obtained by the public with-
out the personal assistance of the dispatcher.
Consideration should be given to some type of display to
attract public interest on any type of current campaign or
- BF. 7 -
program in the field of crime prevention, traffic, etc. This
display should be made of a portable nature rather than per-
manently attached to any wall , making the space more usable in
the event of emergency.
Public Access
"Public access should not conflict
with prisoner passageways or areas; this
will avoid exposure of prisoners to the
public and will eliminate the possibility
of harm to either. The public, of course,
must be restricted in its movement within
designated areas of the building. Avoid-
ance of prisoner ' s public contact elimi-
nates the possibility of embarrassment,
particularly to women and children, and
criticism of the agency and its procedures .
Also eliminated is the possibility of
passing weapons to prisoners and escape
efforts . "
"Public counters or business windows
should be within reasonable distance of
the building entrance to avoid public
confusion and to limit the public ' s need
to move about the police buildings . The
public information and complaint desk
should be adjacent to the communications
or dispatch area. This is particularly
important in the smaller departments .
Equally important is provision of a single
complaint counter or center; this avoids
duplication of services and permits better
administrative control and convenience.
Public telephones for the use of attorneys,
bondsmen, visitors, and the public, should
be located away from the main counter to
avoid confusion and disruption of ongoing
police services . "2/
Telephone Communications
There should be a sufficient number of incoming telephone
lines , listed to one, easy-to-remember, number upon which the
department receives calls from the general public. This
number should be well publicized, and, if possible, appear on
the front page of the telephone books in the jurisdiction.
- BF. 8 -
Consideration should also be given to the future installation of
the national emergency number 911, which could result in a
central dispatch center for all safety services .
There should be at least three or more lines (Chief ,
Detective Division and Dispatcher Desk) for out-going calls
and incoming calls from members of the department, and instru-
ctions should be issued to all personnel that out-going calls
be limited to these particular lines to keep the general
police number available at all times for incoming calls from
the public.
Close liaison should be maintained with the Telephone
Company to design a system capable of taking care of the
present and future needs of the department in this important
function. A monitoring check on incoming calls by the Tele-
phone Company to determine present load would be very important.
Thought should be given to the possibility of installing
equipment that would record incoming telephone calls and radio
messages on tapes or belts, should such a function be determined
necessary.
Radio Communications
It is suggested that at this time the four principal desk
duties of operating the telephone, the radio, the receiving of
complaints and dispatching of officers , could be handled by
one civilian dispatcher. However, desk space allotted should
be for at least a minimum of four members of the department in
the event of an emergency demanding individual operation of a
police or civil defense radio and one or more incoming tele-
phone lines or the installation of the 911 system.
- BF. 9 -
Therefore, radio communications would be at the same desk
or console where incoming telephone communications are handled
and this would be in plain view of the entire reception area .
This position should also be in view of any temporarily de-
tained prisoner and the separate desk for the booking of
prisoners , which should not be visible to the public reception
area. The dispatcher should be immediately available to the
records section, and in the view of the safe where firearms
are stored.
If there is more than one radio receiver on the communi-
cations desk, a relay switch should be attached to the micro-
phones which would automatically shut off the other receivers
while a radio transmission is being made so that no background
noise is broadcast . In addition, it would be wise to install
a warning light stating "On the air" which would be illumina-
ted when the microphone key is depressed to warn others who
may be within voice range at the time of a transmission to
cease all noise, again avoiding background noise and insuring
the clarity of transmissions .
The master control center for the inner communications of
the building should also be located at the communications
desk. This communications desk would also be the area in
which the teletype machine would be placed, along with the
call box receiving center, if there is one, and any future
computer terminal .
Teletype machines should be enclosed in a separate and
acoustically treated cubicle to minimize the effect of their
noise .
- BF. lO -
Interoffice Communications
There should be an interoffice, electronic communication
system linking every office in the building, and this should
be separate and apart from the regular radio or telephone
systems . This system should be so designed that the dispatch-
er will have the master console at his command, but any person
in the building may call any other person. The speakers on
this sytem should be microphones, as well as receivers, so
that the dispatcher can continually monitor the entire build-
ing for security purposes.
Some departments have installed dual master consoles so
that the Chief of the department, or the commanding officer at
the time, can communicate with all of the personnel in the
building simultaneously.
Each of the speakers located throughout the building on
this system should have a switch which can automatically ren-
der the microphones and speakers inoperable so that no claim
of illegal eavesdropping could be made at any time.
The possibility of future use of closed circuit tele-
vision for surveillance, both inside and outside of the faci-
lity, should be considered so that future spacing for such
wiring and monitors may be included in the plans of this
building .
Record System
The record section should have a counter readily accessi-
ble to the public and a separate counter readily accessible to
police officers, and this latter counter may or may not be
divided from a counter available for booking prisoners . It
would be preferable if it were divided . Actual entry into the
- BF. 11 -
area of the records should be denied everyone, including
police officers , with the exception of those officers assigned
there, and, of course, the commanding officers . This will
reduce confusion, promote efficiency of a good charge-out
system for the records, and, more importantly, provide for the
security and efficiency of the record system. All records
except the confidential records of the Chief should be filed
in this area.
Mail boxes should be provided to facilitate the distribu-
tion of information among the operating divisions , and/or
individual officers . This would normally be in or on a coun-
ter at a central point through which the records normally
would flow.
There should also be an area in this immediate vicinity
available to officers for the posting of notices , alarms ,
special or general orders , so that they could be read and
initialed if necessary by those officers to whom they are
directed and not create a traffic problem.
Identification and Photographic Section
Because modern photographic techniques, particularly the
use of color photography, play an important role in crime
detection and law enforcement, careful consideration should be
given to the size and location of the work area allocated to
this section. All fingerprinting and photographing should be
done here. Files of photographs and fingerprints of criminals
should be maintained under departmental regulations to insure
the security of such files .
The placement of sinks, lights , plumbing, storage and
studio should be planned to make maximum use of space avail-
- BF. 12 -
able. Allocation of space should include possible future
expansion, keeping in mind that the use and preservation of
video tapes may well become important in law enforcement work.
A complete photographic darkroom can help develop a high
quality police photographic system for the department.
Office of the Chief
The Office of the Chief of Police should be near the
communications center, but it should be located so that it is
not within the easy general view of the public so that they
could tell whether or not the Chief was present. In many
cases, the work of the Chief is hindered by citizens who de-
sired to make their complaint to the Chief when it could be
more properly handled by desk officers . The Chief ' s office
should be furnished with dignity and be capable of complete
privacy when desired. Very often an irate complainant can be
easily calmed, by quiet, dignified surroundings leading to an
intelligent resolution of a problem. There should be suffi-
cient space in the Chief ' s office for consultation and inter-
views , as well as, staff meetings. There should be space for
a reference library, file cabinets for confidential files, and
the equipment necessary to maintain duty rosters, assignment
sheets and personnel lists that the Chief may desire to have
at his fingertips. There should be private lavatory facili-
ties and an adjacent entrance to a private secretarial office,
which could also be the Chief ' s reception room.
Supervisory Personnel
Supervisory personnel should be provided glass-partitioned
office space . They should be capable of viewing as much of the
- BF. 13 -
police operation as possible. The number and size of this
office space should be compatible with the needs of the de-
partment at the time.
For future expansion, it is recommended that these parti-
tions be movable.
Officers ' Quarters
Adequate, comfortable and efficient facilities should be
provided for the personnel of the department. There should be
some division of the facilities for commanding officers and
patrolmen. There should be adequate locker space, dressing
room space, and some facilities for the provision of refresh-
ment and light lunches, space for facilities for the proper
care of uniforms and shining of leather and brass . There
should also be sanitary facilities, including showers in these
quarters . In a room apart from the locker room space, desk
space should be provided for the making of reports, storage of
forms , and a reference library for the general personnel .
Detective Facilities
The location of the detective division offices should be
influenced by the fact that detectives make most frequent use
of the records section services . Consideration should also be
given to the location of the interview rooms in their relation
to the offices of the detective division.
Interview Rooms
One or more interview rooms, according to projected need,
should be provided for the use of the department in interview-
ing complainants, suspects, and witnesses . This room should be
- BF. 14 -
so partitioned that it could not be viewed by members of the
public using the station, so that they would be unable to iden-
tify suspects, informants, and complainants, etc.
It would be of value to have one of these rooms equipped
with a two-way mirror to afford victims and witnesses views of
suspects without giving the suspect a view in return. Such a
room could also be used for giving of intoxication tests .
Rooms that could be used by suspects and defendants should
be equipped with a minimum of furniture which could be floor
mounted and an anchored telephone and intercom installation,
which could not be available for use as weapons .
Jail Facilities
Attention is called to the Correction Law of the State of
New York that requires plans for the construction of any jail
facility to be submitted to the Commission of Correction in
Albany prior to construction for approval by the Commission.
The jail should be of maximum security construction since
a great number of inmates are unclassified on admission as to
their potential for violence, escape, illness or self-harm. In
addition, a security type evacuation door in the cell block
area should be considered in the event of fire or other
emergencies.
Booking Area
The "booking area" , should be accessible from the
security garage entrance and possibly a street entrance well
removed from the main or public entrance. The door to this
entrance could be either an electrically controlled lock or a
- BF. 15 -
lock that could be operated with the call box key which is in
the possession of each officer. A counter where the actual
record-keeping would be done for this operation should, at all
times, be visible to the dispatcher but , it should be
invisible and separated by sight and sound, if possible, from
the main reception or public area . This would avoid any
confusion or meeting of prisoners who may be drunk or
disorderly with a member of the public who is merely seeking
information. This area should be of adequate size to
accommodate the maximum number of prisoners that are usually
brought in at one time.
There should be no manually operated light switches on
the walls of this area.
The booking room should adjoin the records area. Off the
booking area should be the main door to the jail , again in the
constant view of the dispatcher . In this way, he can assist
another officer in the incarceration or release of a prisoner
and maintain the security rule that it takes two officers to
perform this task at all times. Additionally, the key to the
main door of the lockup should never go beyond that door into
the actual cell block area.
Consideration should be given to electric locks under the
control of the dispatcher and a double-door entry system so
that these two doors will not open at the same time . This
would eliminate the transfer or exhibition of keys , which, of
course , are only as safe as the man carrying them.
Visiting Facilities
Some visiting facilities which would permit no physical
contact for the passing of any object should be constructed.
- BF. 16 -
This may be in the form of special glass with sound power
phones on each side where the prisoner does not leave the main
door of the lockup and the visit can be supervised as required
in the Correction Law. There could also be a facility inside
the main door of the jail but with partial partitioned privacy
for the interview of prisoners by attorneys, law enforcement
officers and clergy.
Inspection mirrors may be considered to enable complete
and frequent viewing of all of the cell area with a minimum of
personnel and time.
Garage
The headquarters building should have a security-type
garage for the delivery of prisoners and suspects. The out-
side door to this garage should be operated electrically by
the dispatcher on command from the patrol vehicle. Attention
should be given to the ventilation of this area since it is
possible that occasionally the patrol vehicle may run briefly
with the doors closed.
Vehicle storage facilities located inside the garage
should provide enough space to house most vehicles not in use ,
especially when the weather is severe . The garage entrance
should not be open directly onto a public street unless
sufficient space is provided so that police vehicles need not
be backed out into oncoming traffic. If also used for main-
tenance and repair of departmental vehicles, the garage should
be provided with additional space for a small office, parts
and storage, and the actual repair area.
- BF. 17 -
Parking Area
Ample parking space immediately adjacent to the police
building should be provided. This parking area should be
immediately available to at least two streets to provide con-
tinual availability and mobility of police equipment and per-
sonnel . The parking area should provide for those police
vehicles not on patrol, the vehicles of employees who work
full-time at headquarters, space for visiting department offi-
cers, clergy, attorneys, press, etc . , and sufficient visitor
parking for the general public who have business at police
headquarters .
This parking area should be designed so that it may be
easily cleared of snow, since it will be actively used on a
24-hour , seven day a week basis .
Physical attacks on police stations have been solved in
some instances by having the parking area for police vehicles
either completely under cover or walled in to make public
access at least difficult. Some departments have placed the
parking area for police vehicles under closed circuit TV sur-
veillance, with the monitor at the communications desk.
Training Room
The training room should be designed, by use of mobile
furniture, as a classroom, or as a dormitory or assembly space
in the event of an emergency. Consideration should be given
in the design and construction of this room for the use of
visual aids, including the possible use of closed circuit
television. However, items such as projection screens , black-
boards , maps, should be of a portable nature to increase the
number of uses to which this space can be put .
- BF. 18 -
If possible, this space should be located so that when
training sessions are held and an abnormal number of officers
or persons are present, their entrance and exit will not
affect normal police operations and that the room should not
serve as a traffic path to other portions of the building. In
addition, lockers should not be placed in a room with these
functions.
Firearms Range
A four-point, 50-foot range could probably be constructed
at minimum expense in the basement of a building. Suitable
precautions should be taken to minimize distraction from the
noise and any danger from ricocheting shots. In addition to
suitable illumination of the target and firing areas, as well
as , well-designed acoustical treatment, provision should be
made for extra ventilation during the firing periods since the
smoke and gases generated can be quite sickening. In the area
in back of the firing points, there could be a locked storage
cabinet for firearms supplies and unassembled ammunition.
Consideration should be given here, because of the
expenses of constructing the range, to joint training facili-
ties with the county or possibly other agencies , such as the
military, since the use of firearms, while important, is not a
major part of modern law enforcement training .
Gun Vault
A walk-in type gun vault should be provided to store all
arms , weapons, including tear gas, and completely assembled
ammunition. This vault should be so situated that it could be
under the constant observation of the dispatcher at all times .
- BF. 19 -
It is also suggested that it be situation in such a place that
officers on their way to an emergency requiring the use of the
contents of this vault could be issued weapons or ammunition
on their way out .
It is suggested that a dehumidifier be provided for this
area to minimize moisture damage to this expensive equipment.
Evidence and Property Storage
The Evidence Storage Area should meet certain physical
design requirements . It should be large enough for the stor-
age of oversize items. Shelves and specially designed
"evidence lockers" should be installed to permit an unclutter-
ed and orderly appearance. The evidence room should have no
windows and be equipped with a security-type steel door which
should be kept locked at all times. Only a few designated
officers should be issued keys to this area .
Space will also be necessary for the storage of office
supplies, janitorial supplies , recovered and found property,
etc. These items should be stored in a separate room from the
evidence room.
- BF. 20 -
FOOTNOTES
1/ Municipal Police Administration, George D Eastman,
Editor, page 276-277 .
2/ Ibid.
- BF. 21 -