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Early
Intervention Systems For Law Enforcement
By Steve Rothlein
Law enforcement administrators throughout the
country have long recognized that a small
percentage of officers are responsible for a
disproportionate share of complaints, which can
tarnish the reputation of the entire agency. Since
the early 1980’s, many large police agencies began
to establish tracking systems that systematically
identify patterns of behavior of individual officers.
This is a problem solving approach which goes
beyond taking action on a particular incident which is
a concern, but identifying trends and patterns of
behavior which require a more strategic response.
The premise of an Early Intervention System is
essentially to identify an officer who is likely to
engage in potentially damaging behavior before the
behavior occurs. An Early Intervention System that
only systematically tracks complaints and other
behaviors for documentation after they have
happened without analysis and action to prevent
further improper conduct is not effective.
The key to successful implementation of an Early
Intervention System in a law enforcement agency is
credibility. The system must function in a manner
which is perceived as fair and effective by all of the
involved stakeholders; This is an achievable objective
which can become a significant tool a police chief
can utilize in managing the culture of their agency.
The following is a brief outline of the essential
elements required to establish an effective system:
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The purpose of establishing an Early Intervention
System:
- Identify officers suffering from stress prior to a
major incident
- Protect the officer and the department from
inappropriate behavior as a result of undue stress
- Systematically identify trends relating to training
needs, misconduct, or policy concerns that could
lead to departmental liability.
The foundation for an effective system includes
the following components:
- Accumulation of significant data. (garbage in,
garbage out.)
- Involvement of the First Line Supervisors
- Appropriate follow-up
The following are examples of risk indicators,
which can be built into the system:
- Complaints
- Use of force incidents
- Sick time
- Shooting incidents
- Resisting arrest cases
- Battery on a police officer cases
- Arrested subject injuries
- Officer Injury reports
- Pursuits
- Vehicle accidents
- Civil Litigation
- Head Strikes
The following are examples of action alternatives,
which can be initiated if an officer is identified:
- No-action ( the officers behavior has been
deemed appropriate)
- Psychological counseling
- Supervisory counseling
- Periods of supervised observation in the field
- Peer counseling
- Drug testing if reasonable suspicion exists
- Alcohol rehabilitation
- Reassignment
- Remedial Training
- Stress Reduction Training
Benefits of an Early Intervention System:
- Can salvage an officers career
- Defend the agency in a “custom and practice”
lawsuit
- Force supervisory involvement in officer
development
- Control complaints and use of force and restore
public confidence
- Supports termination
- Provides information to develop training, policy
and tactics
Pitfalls to avoid when establishing a system:
- Failure to utilize the system in a positive manner
as opposed to strictly punitive.
- Inappropriate follow-up for officer identified that
have acted appropriately
- Failing to gain overall support of the purpose
of the system
- Failure to use the system for Early intervention as
opposed to after the fact data.
Informal Indicators:
- Large sums of money
- Personality changes
- Lifestyle changes
- Circle of Associates
- Rumors
State of the art system:
- Focus on groups, not just individuals
- Focus on supervisors as well as officers
- Corruption analysis unit to interpret data
Summary
The establishment of an Early Intervention System in
a law enforcement agency in today’s policing
environment provides several advantages to a police
administrator. A primary benefit is that the entire
agency is put on notice that too many complaints
and other negative indicators are being reviewed by
the administration. Another benefit is the ability to
identify patterns and trends, which begin to emerge
when the collected data is blended and analyzed in a
comprehensive manner.
The Miami-Dade Police Department has one of the
earliest systems of this type in the United States,
and demonstrates the effectiveness of an Early
Intervention System. Their system clearly indicates
that since 1981, the first full year this system was
established in the department, the number of officers
identified for excessive complaints and use of force
was substantially diminished. Other major
departments, which have implemented this type of
system, have expressed similar results.
Each year new software systems have developed
which increase the effectiveness of data analysis for
this purpose. Perhaps one of the biggest challenges
facing law enforcement administrators today is to
develop systems that track not only individual
behavior, but group behavior as well. Many famous
police scandals including the Miami River Cops. LA
Majors, Rampart, and the Buddy Boys in New York all
involved groups of officers whom engaged in criminal
behavior. Looking at these cases in hindsight,
several characteristics emerge which may have been
helpful is discovering the potential for misconduct
prior to the front-page scandals erupting. Common
threads include theft complaints, brutality, and the
same shift and same supervisor of the involved
individuals. Law enforcement agencies tend to track
individual behavior, however, it is evident that
tracking group behavior is equally critical and should
be included in a state of the art system.
Steve Rothlein
Steve Rothlein, Hollywood, Florida - Retired Deputy Director
of the Miami-Dade Police Department of 29 years. Steve Served in
investigations, narcotics and Office of Professional Standards has taught
Internal Affairs courses for the I.A.C.P., Major Chiefs of Police, FBI, DEA,
INS and numerous other nationally respected organizations. Steve has authored
several articles including “The Changing Role of Internal Affairs,” “The Ramifications
of an Internal Affairs Investigation,” and “Fostering Integrity in Policing:
A Corruption Prevention Strategy.”
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