Committee To Review Research On Police Policy and Practices Wesley Skogan and Kathleen Frydl, Editors

Committee to Review Research on Police Policy and Practices
Wesley Skogan and Kathleen Frydl, editors
Committee on Law and Justice

Division of Behavioral and Social Sciences and Education
Copyright © 2004. National Academies Press. All rights reserved.
National, Research Council, et al. Fairness and Effectiveness in Policing : The Evidence, edited by Kathleen Frydl, and Wesley
Skogan, National Academies Press, 2004. ProQuest Ebook Central, http://ebookcentral.proquest.com/lib/unimelb/detail.action?docID=3376394.
Created from unimelb on 2022-03-09 12:14:36.
DISCRETION BY POLICE
+ ve -
ve
Direct to rehab
prog
.
.
racial profiling
instead of ↳ biased
arresting .
↳ unlawful
•
Diverting youth from

often
crim justice system .
-
no procedural
fairness
↳ reduce trust in police .
Interacting with
•
↳ not have deferent

trust
community effect
=
.
Efficiency
2 FAIRNESS AND EFFECTIVENESS IN POLICING
asked the National Research Council to convene the Committee to Review

Research on Police Policy and Practices. The committee was asked to assess
police research and its influence on policing, as well as the influence and
operation of the community policing philosophy.
In responding to this charge, the committee examined police research
done primarily since 1968, including that sponsored by the 1994 crime act.
The committee developed an analytic framework that embodies the man-
date of the police to effectively control crime and ensure justice. The dual
mandate with regard to effectiveness and fairness forms the cornerstone of
this report. Much of our analysis focuses on the evaluation of police opera-
tions in light of these two dimensions. Evidence from policing research con-
tradicts any concern that an emphasis on policing that is fair and restrained
will necessarily undermine their crime control effectiveness, and vice versa,
for fairness and effectiveness are not mutually exclusive, but mutually rein-
forcing. The work of this committee suggests that policing that is perceived
as just is more effective in fostering a law-abiding society, and that success
in reducing crime enhances police legitimacy.
THE NATURE OF POLICING IN AMERICA

The report traces major themes in the development of American polic-
ing. It describes a policing “industry” that is highly diverse and decentral-
ized, as well as locally controlled and financed. While this is consistent with
America’s political tradition, it limits the ability of the federal government
to spark innovation or encourage uniform and progressive police policies.
Instead, such factors as crime, demographic change, local political culture,
the courts, and state legislation play important roles in stimulating reactive
change in this decentralized system. On one hand, fragmentation of the
police industry may hinder the development of coordinated responses to
national threats such as domestic antiterrorism efforts, although there is
almost no research on this topic at present. On the other hand, a highly
decentralized system avoids the risk of nationwide adoption of programs

that have little utility for a given locale. There is no systematic evidence on
what industry structure best promotes effectiveness, innovation, and ex-
perimentation.
At the street level, policing is highly discretionary, and individual offic-
ers work virtually without direct supervision. The discretionary nature of
routine police work increases the difficulty of ensuring the fairness and
lawfulness in everyday policing. Police are authorized to exercise their au-
thority in encounters with the public by issuing citations, making arrests,
and using force. While most encounters are trouble-free, the sheer volume
of police-citizen contact means that a significant number of individual citi-
zens come away dissatisfied with how they were treated. There is also evi-
EXECUTIVE SUMMARY 3
dence of racial and ethnic disparities in these assessments, as well as in

public opinion about the police generally. These disparities contribute to a
lowered sense of police legitimacy among minority groups.
In addition to their enforcement duties, the police provide a broad range
of services to the public, and more recently they have expanded their range
of crime prevention efforts, but there has been little research on these mat-
ters. Most research on detectives is dated, but the committee’s review of it
seriously challenges the idea that the capacity of the police to solve indi-
vidual crimes can be substantially improved. Traffic enforcement commands
significant police resources, but it too has escaped the attention of research-
ers. The emergence of racial profiling on the nation’s public agenda is chang-
ing that, but the committee concludes that most current data collection
efforts in this area are unlikely to speak to any of the policy issues involved.
One of our recommendations calls for more attention to the measurement
and research design issues involved in the study of traffic enforcement.
EXPLAINING POLICE BEHAVIOR

The committee assessed research on the causes of police behavior.
Among them are studies that address the central issue of the report: how to
ensure the effectiveness and lawfulness of policing. Research in this area
includes observational studies of police operations, analyses of administra-
tive records, and surveys of the public and the police. Almost all of this
research focuses on patrol officers, thus excluding many important elements
of police work.
The committee divided research on the determinants of police behavior
into analytic categories. The first chapter on this topic examines the impact
of situational factors and officer characteristics on police work. Situational
factors include features of the incident itself, the background and demeanor
of suspects, and their immediate context. Many studies of officers engaged
in encounters with citizens contrast the impact of legally relevant factors
with the influence of extralegal factors in shaping their on-street decisions

and actions. The outcomes that have been examined range from making an
arrest to using force, negotiating dispute settlements, or choosing to do
nothing at all. This research finds that the impact of legally relevant factors
is strong. Taking these into account, the class and gender of suspects play a
small role. However, more research is needed on the complex interplay of
race, ethnicity, and other social factors in police-citizen interactions.
Among officer characteristics, neither race nor gender has a direct in-
fluence on the outcome of routine police-citizen encounters, and there is no
clear effect of officer’s attitudes, job satisfaction, or personality. The com-
mittee found that research on factors linked to officer recruitment and train-
ing is surprisingly limited. There are few studies of the link between officer’s
knowledge, skill, ability, or intelligence and actual police practice. There is

no strong research support for police educational requirements, and re-
search on the effects of training on officer effectiveness is unconvincing.
Recruitment and training are among the most important activities of police
organizations, and more needs to be known about their role in ensuring
effective and lawful police conduct; the committee therefore offers a strong
research recommendation along these lines.
The committee also examined the impact of organizational and com-
munity factors on policing. The decisions and actions of officers are situ-
ated within these larger contexts, and they affect the quality of policing.
Organizations exist in order to define the roles of their members and regu-
larize the activities of individuals who fill them. Research indicates, for
example, that the policies and practices of police departments directly affect
the rate at which officers use lethal force. Arrests, citation rates, and mea-
sures of their success in solving cases vary greatly across police organiza-
tions, reflecting differences in their policies, performance standards, and
characteristic styles of operation. The committee notes the limited research
on police leadership and the role of leadership in affecting organizational
change.
Likewise, neighborhood and city-level factors affect both the decisions
of individual police officers and features of their departments. Police-citizen
encounters are situated in a neighborhood context that seems to indepen-
dently affect how they are conducted, and community factors affect police
resource allocation decisions and patrol activities. At the city level, issues
like how many officers the taxpayers are willing to support are locally de-
termined matters that are affected by a range of political, economic, and
crime factors. Local political cultures and the priorities of political leaders
affect policies and spending levels as well.
CRIME CONTROL EFFECTIVENESS

The committee examined research on police effectiveness at reducing

crime, disorder, and fear. There has been a great deal of research on these
topics, and the committee was able to distinguish between studies that em-
ployed adequate methods for studying them and others about which there
is less confidence. The committee assessed all work along two tracks: to
what extent are strategies effective, and to what extent do they utilize a
broad range of tools, including traditional law enforcement powers.
The committee concludes that contemporary policing has relied on an
operating model emphasizing reactive strategies to suppress crime. The
committee’s assessment of several decades of research is that there is weak
or, at best, mixed evidence regarding the effectiveness of what we have
defined as the “standard model” of policing. A large body of carefully con-
-
arrest
EXECUTIVE SUMMARY 5
ducted research has found much evidence of the effectiveness of what we

have called the “focused model” of policing.
The standard model is defined by the more or less across-the-board
reliance on random patrol, rapid response to calls for service, follow-up
investigations by detectives, and unfocused enforcement efforts. Debates
over the proper size of a city’s police department also usually hinge on the
standard assumption that larger is better when it comes to crime control.
There is strong research evidence that the more focused and specific the
strategies of the police, the more they are tailored to the problems they seek
to address, the more effective police will be in controlling crime and disor-
der. Research on police effectiveness in attacking chronic concentrations of
crime, widely known as “hot spots,” has found that well-managed investi-
gations and crackdowns can suppress crime, deter its future reappearance,
and avoid simply displacing a similar number of crimes elsewhere. Discov-
ering hot spots and tracking the effectiveness of policing efforts against
them has been facilitated by the widespread adoption of new computer
mapping and crime analysis technologies by the police, another new devel-
opment awaiting careful evaluation and analysis.
The committee reviewed evidence of the effectiveness of two widely
discussed alternatives to the standard model of policing: community and
problem-oriented policing. Problem-oriented policing stands in sharp con-
trast to the standard model because of its focus on developing highly local-
ized responses to the diverse problems that plague different communities.
Community policing always involves some form of public involvement, fre-
quently in the identification of priority problems and often with some role
for the community and for city service agencies in helping solve them. This
approach also adopts a problem-oriented stance that emphasizes develop-
ing local solutions to locally identified problems. Both are examples of what
the report dubs “tailored” responses to crime and disorder. In addition,
both seek to look beyond the traditional exercise of the law enforcement
powers of the police to reduce crime, disorder, and fear. Our review sug-
gests that such approaches have promise and should be the subject of more
systematic investigation.
LAWFULNESS AND LEGITIMACY

The committee also reviewed research on the criteria by which people
make judgments about the police: their lawfulness, that is, their compliance
with constitutional, statutory, and professional norms, and their legitimacy,
defined by the public’s beliefs about the police and their willingness to rec-
ognize police authority. These beliefs transcend mere popularity, which can
vacillate quite a bit. Rather, legitimacy as it used in this report means the
degree to which citizens recognize the police as appropriate and justified
representatives of government. Many controversies regarding policing fall

under these broad criteria of lawfulness and legitimacy; the current crisis of
racial profiling is only the most recent example of the challenge police agen-
cies face in balancing the demands of effective crime control, lawfulness,
and legitimacy. Research in this area includes studies of the implementation
and impact of court decisions and administrative policies on police behav-
ior in the field, and survey studies of the public that examine their attitudes
and experiences with police in their community.
Research has examined police compliance with the rules governing po-
lice interrogations, searches and seizures, and the use of excessive and lethal
force. Compliance has been found to be variable, but it can be enhanced by
the actions of determined police administrators. Research on corruption
finds that, like other forms of misconduct, police corruption can be traced
in part to lax administrative arrangements and a supportive informal peer
culture. The solutions to both problems are generally the same:ldetermined
leadership, enforcement of department policies and rules, and the creation
of new mechanisms for monitoring problem behavior.,There is only limited
research on the impact of formal legal efforts to control misconduct, through
criminal prosecution and civil suits against individual officers and federal
“pattern and practice” actions against police departments. Another area
about which more needs to be known is the effectiveness of civilian over-
sight bodies and review commissions that have been created to bring exter-
nal accountability to the police.
The committee concludes that the more lawful police are, the more
likely the outcomes produced by their actions will be accepted and em-
braced by the public. Lawful policing increases the stature of the police in
the eyes of citizens, creates a reservoir of support for police work, and
expedites the production of community safety by enhancing cooperation
with the police. In the end, policing in a democracy must be accomplished
by consent; that is, citizens must agree to the exercise of police power.
Research has found that people obey the law not just because they are
afraid of being punished or because they believe the law is morally right,
but also because they believe that the law and its enforcement are fairly
administered. The public’s judgment can be heavily influenced by the con-
duct of the police, one of the most visible representatives of law and govern-
ment in most citizens’ lives. This suggests the need to extend theories of
police effectiveness beyond the communication of a deterrent threat of pun-
ishment to encompass police engagement with communities.
RECOMMENDATIONS
A scientific knowledge base exists for helping communities to decide
what strategies to use to reduce crime and disorder while increasing police
I
con .
POLICE OFFICER DECISION-MAKING 1
Running head: POLICE OFFICER DECISION-MAKING
Police Officer Decision-Making in Stressful, Ambiguous and Potentially Violent
Situations
A thesis
submitted in partial fulfilment
of the requirements for the degree
of
Doctor of Psychology (Clinical; Forensic Specialisation)

at
Centre for Forensic Behavioural Science, Paul Mullen Centre

in association with
Swinburne University of Technology

Faculty of Health, Arts and Design
by
Innes Seric
B.A. (Hons)
© Ines Seric 2016
All rights reserved. This work may not be reproduced in whole or in part, by photocopy or
other means, without written permission of the author.
Abstract
For the majority of us, decisions that have a ripple effect - impacting our colleagues,
organisations, service consumers and the local community - are not typically made on a daily
basis. However, what is for many of us an occasional event can be the daily reality of police
officers. One only need recall the fatal shooting of 15-year-old Tyler Cassidy (see Coroner’s
Court of Victoria, 2011) to recognise the paramount consequences that may succeed police
officer decision-making.
Both researchers and practitioners have long recognised the need for decision-making
theory to form the basis of police officer discretion (e.g., Worden & Brandl, 1990),
particularly as demands on police officers grow on the count of technological advances and
increasing accountability to the courts and the community. Despite this, the policing sector
continues to receive little attention by means of generating an applicable and holistic theory
of decision-making.
Working within a constructivist grounded theory method, this thesis explored the
processes that underlie police officer decision-making. Forty-four, one-on-one interviews
were conducted with operational Victoria Police members. Concurrent collection of data,
analysis and theoretical development resulted in the generation of a grounded theory that
explains how officers functioned within a context of uncertainty. Results indicated the
presence of multiple interactions between organisational sociology, situational ambiguity and
individual characteristics in the production of a decision outcome. Working within and
between these three concepts, an overarching grounded theory of police officer decision-
making was developed. From this, a critical analysis of police leadership as the basis for a
new articulation between the occupational, organisational, and social spheres in the pursuit of
a more contemporary police structure is provided.

Acknowledgments
The first words of this thesis were written with the pen of glory and triumph; the last with the
rustic ink of humility and curiosity. I set out to meet the requirements of the course; what I
gained was imponderable knowledge and meaning. I would like to thank Professor Stuart
Thomas. You have taught me how to let go of the burden of perfectionism and to see the
forest for the trees. Thank you to Professor Pamela Green for teaching me the most ethereal
lesson of all; the world is only what I see of it – there is no fact, only interpretation. A thank
you to Professor Michael Daffern for offering a helping hand and a patient ear.
I would like to extend my sincere and overwhelming gratitude to the officers who
participated in this study; without their stories the words on the pages of this thesis would not
bear their momentous substance. Thank you to Acting Inspector Vin Butera, you were the
gatekeeper that helped transform ideas into reality.
A special thank you to my dear colleagues; Delene Brookstein, Marie Henshaw, and Svenja
Senkans, you are three immensely inspirational women. Without you, I fear, I would not have
learned the mammoth lesson of camaraderie.
I would like to thank my mother and father. Life has not always been kind to you. Thank you
for showing me the value of adversity, thank you for teaching me perseverance and instilling
in me fortitude. Admir, thank you for being exactly, perfectly just the way that you are – you
are my oldest and most loyal friend.
Finally, I would like to thank my partner. Ammar, you have absorbed everything I have
shared with you like a thirsty sponge! You have encouraged, condoled, cheered, and loved. I
cannot wait to walk into ever more exciting adventures with you.
General Declaration
In accordance with Swinburne University of Technology regulations, the following
declarations are made:
I, Ines Seric, hereby declare that this thesis contains no material which has been
accepted for the award to the candidate of any other degree or diploma at any
university or equivalent institution, except where due reference is made in the text of
the examinable outcome. To the best of the candidate’s knowledge this thesis contains
no material previously published or written by another person, except where due
reference is made in the text of the examinable outcome. Where the work is based on
joint research or publications, the thesis discloses the relative contributions of the
respective workers or authors.
As the candidate, I bore principal responsibility for the ideas, research design,
implementation and writing of this thesis, under the supervision of Professor Stuart Thomas
and Professor Pamela Green. In completing this thesis, I worked within the Centre for
Forensic Behavioural Science and the School of Health Sciences, Swinburne University of
Technology.
Ines Seric
Doctor of Psychology (Clinical & Forensic) Candidate
School of Health Sciences
Faculty of Health, Arts and Design
Swinburne University of Technology
Copyright Notices
Notice 1
Under the Copyright Act 1968, this thesis must be used only under the normal conditions of
scholarly fair dealing. In particular, no results or conclusions should be extracted from it, nor
should it be copied or closely paraphrased in whole or in part without the written consent of
the author. Proper written acknowledgment should be made for any assistance obtained from
this thesis.
Notice 2
I certify that I have made all reasonable efforts to secure copyright permissions for third party
content included in this thesis and have not knowingly added copyright content to my work
without the owner's permission.

Table of Contents
Abstract ...................................................................................................................................... 3
Acknowledgments...................................................................................................................... 4
Appendices ............................................................................................................................... 12
List of Tables ........................................................................................................................... 13
List of Figures .......................................................................................................................... 14
Map of Victoria Police ............................................................................................................ 15
Overview of Victoria Police Regions ...................................................................................... 16
CHAPTER ONE: AB INITIO – FROM THE BEGINNING .................................................. 17
1.1 A Brief History of the Victorian Police ................................................................. 20
1.2 Epistemological Stance ............................................................................................... 23
1.3 Thesis Overview ......................................................................................................... 24
CHAPTER TWO: THE BLUE LINE ...................................................................................... 27

2.1 The Place of Extant Literature in Grounded Theory .................................................. 28
2.2 Definitions .................................................................................................................. 29
2.3 Method ........................................................................................................................ 30
2.4 Organisational Factors ................................................................................................ 32
2.4.1 Wilson’s redux. ................................................................................................ 33
2.4.2 Pulling rank. ..................................................................................................... 40
2.4.3 Does size matter? ............................................................................................. 46
2.5 Offender Characteristics ............................................................................................. 50
2.5.1 Race and the police. ......................................................................................... 51
2.5.2 Demeanour or crime? ....................................................................................... 60
2.5.3 Is chivalry dead? .............................................................................................. 68

2.5.4 The influence of suspect mental illness. .......................................................... 74
2.6 Officer Characteristics ................................................................................................ 80
2.6.1 Train to decide. ................................................................................................ 81
2.6.2 Experience in making hard decisions. ............................................................. 86
2.7 Discussion ................................................................................................................... 91
CHAPTER THREE: METHODOLOGY - INTRODUCING GROUNDED THEORY ........ 93

3.1 Grounded Theory ........................................................................................................ 94
3.2 Methodological Tenets of Grounded Theory.............................................................. 97
3.2.1 The research question. ..................................................................................... 99
3.2.2 Data collection. ................................................................................................ 99
3.2.3 Data analysis. ................................................................................................. 100
3.2.4 Memo-writing. ............................................................................................... 104
3.3 Summary ................................................................................................................... 107
CHAPTER FOUR: METHOD .............................................................................................. 109

4.1 Tabula Rasa............................................................................................................... 109
4.2 Construction of the Research Question .................................................................... 110
4.3 Developing and Testing of Research Instruments .................................................... 111
4.4 Research Ethics ......................................................................................................... 112
4.4.1 Informed consent. .......................................................................................... 113
4.4.2 Risk of harm. .................................................................................................. 114
4.4.3 Confidentiality. .............................................................................................. 115
4.4.4 Ethics approval............................................................................................... 116

4.5 Fieldwork .................................................................................................................. 116
4.5.1 Data collection. ............................................................................................... 121
4.5.1.2 Reflections on the use of telephone interviews. ..................................... 125

4.5.2 Data preparation. ............................................................................................ 125
4.5.3 Data analysis. ................................................................................................. 127
4.5.3.1 Open coding. .......................................................................................... 129

4.5.3.2 Focused coding. ...................................................................................... 130
4.5.3.3 Theoretical (selective) coding. ............................................................... 133
4.6 Summary ................................................................................................................... 134
CHAPTER FIVE: TRUST, BUT VERIFY ........................................................................... 135

5.1 Credibility ................................................................................................................. 136
5.2 Transferability........................................................................................................... 139
5.3 Dependability and Confirmability ............................................................................ 139
5.4 Summary ................................................................................................................... 140
CHAPTER SIX: VICTORIA POLICE SOCIOLOGY.......................................................... 141

6.1 Hierarchy .................................................................................................................. 142
6.1.1 Supervisors. .................................................................................................... 143
6.1.1.1 Unilateral command. .............................................................................. 143

6.1.1.2 Reciprocal command. ............................................................................. 145
6.1.2 Officers. ................................................................................................................. 147
6.2 Leadership ................................................................................................................. 150
6.3 Geographical Variation ............................................................................................. 153
6.3.1 Rural PSAs. .................................................................................................... 154
6.3.1.1 Is rural policing the equivalent of community-oriented policing? ......... 158

6.3.2 Urban PSAs. ................................................................................................... 160
CHAPTER SEVEN: SITUATIONAL AMBIGUITY ........................................................... 164

7.1 Third Parties .............................................................................................................. 165
7.1.1 Ambulance personnel..................................................................................... 165
7.1.2 Public bystanders. .......................................................................................... 168
7.2 Police Partnerships .................................................................................................... 170
7.3 Suspect Characteristics ............................................................................................. 172
7.3.1 Demeanour. .................................................................................................... 173
7.3.1.1 The ambivalent suspect. ......................................................................... 173

7.3.1.2 The hostile suspect. ................................................................................ 174
7.3.2 Drug intoxication. .......................................................................................... 176
7.3.3 Mental illness. ................................................................................................ 177
7.4 Discussion ................................................................................................................. 179
CHAPTER EIGHT: THE INDIVIDUAL DECISION-MAKER .......................................... 181

8.1 Training ..................................................................................................................... 182
8.2 Experience ................................................................................................................ 186
8.2.1 Information processing. ................................................................................. 186
8.2.1.1 Anticipatory information processing. ..................................................... 187

8.2.1.2 Active information processing. .............................................................. 188
8.2.1.3 Future-oriented information processing. ................................................ 189
8.2.1.4 Sequential information processing. ........................................................ 191
8.2 Intuition: A central skill. ........................................................................................... 192
8.3 Individual Characteristics ......................................................................................... 196
8.3.1 Empathy. ........................................................................................................ 196

8.3.2 Placidity. ........................................................................................................ 198
8.3.3 Lived experience. ........................................................................................... 200
8.4 Discussion ................................................................................................................. 201
CHAPTER NINE: A GROUNDED THEORY OF POLICE OFFICER DECISION-

MAKING ............................................................................................................................... 204
Figure 10. Three composite factors of uncertainty in the policing context. ................... 205
9.1 Reducing Uncertainty ............................................................................................... 206
9.1.2 Reducing uncertainty through individual processes. ..................................... 209
9.2 Thriving on Uncertainty............................................................................................ 210
9.2.1 Social leadership: Promoting effective relationships. .................................... 211
9.2.1.1 Communication. ..................................................................................... 213

9.2.1.2 Common purpose. .................................................................................. 213
9.2.1.3 Collaboration. ......................................................................................... 214
9.2.2 Social leadership: Promoting reflective practice. .......................................... 215
9.3 Implications .............................................................................................................. 220
9.4 Limitations ....................................................................................................................... 225

9.5 Conclusion ................................................................................................................ 226
REFERENCES ...................................................................................................................... 229

APPENDICES ....................................................................................................................... 261
Appendices
Appendix 1. Quality appraisal questions. .............................................................................. 261
Appendix 2. Differences across Glaserian and Straussian schools of thought. ..................... 263
Appendix 3. Police officer decision-making interview guide. .............................................. 265
Appendix 4. Explanatory statement. ...................................................................................... 274
Appendix 5. Consent form. ................................................................................................... 277
Appendix 6. Telephone interview consent script. .................................................................. 279
Appendix 7. MUHREC approval letter. ................................................................................ 280
Appendix 8. RCC approval letter........................................................................................... 281
Appendix 9. VPHREC approval letter. .................................................................................. 282
Appendix 10. SUHREC approval letter. ................................................................................ 283
Appendix 11. Recruitment email template. ........................................................................... 285
Appendix 12. Recruitment advert. ......................................................................................... 286
Appendix 13. Data analysis audit trail. .................................................................................. 287

List of Tables
Table 1. Review of studies investigating Wilson’s typology………………………………...37

Table 2. Review of studies investigating the effect of supervision on police officer decision-
making………………………………………………………………………………………..43
Table 3. Review of studies investigating the effects of police station size on police officer
decision-making……………………………………………………………………………...48
Table 4. Review of studies investigating the effect of suspect race on police officer decision-
making………………………………………………………………………………………..54
Table 5. Review of studies investigating the effect of suspect demeanour on police officer
decision-making……………………………………………………………………………...62
Table 6. Review of studies investigating the effect of gender on police officer decision-
making………………………………………………………………………………………..70
Table 7. Review of studies investigating the effect of suspect mental illness on police officer
decision-making……………………………………………………………………………...77
Table 8. Review of studies investigating the effect of training on police officer decision-
making………………………………………………………………………………………..83
Table 9. Review of studies investigating the effect of officer’s level of experience on

decision-making……………………………………………………………………………...88
Table 10. A memo for an interview conducted in the current research. ................................ 105
Table 11. Frequency and percentage frequency distributions of participants classified by
years of experience. ............................................................................................................... 119
List of Figures
Figure 1. Thesis map. ............................................................................................................... 26
Figure 2. A sample diagram used as part of reflexive practice. ............................................. 106
Figure 3. Victoria Police regions. .......................................................................................... 118
Figure 4. Development of lines of research inquiry. ............................................................. 120
Figure 5. Excerpt of open coding. .......................................................................................... 130
Figure 6. Unilateral police command..................................................................................... 144
Figure 7. Reciprocal police command. .................................................................................. 146
Figure 8. Emergency service collaboration and responsibility. ............................................. 166
Figure 9. Stages of incident and types of information processing. ........................................ 187
Figure 10. Three composite factors of uncertainty in the policing context. .......................... 205
Figure 11. Components of effective relationships in policing environment .......................... 212

Map of Victoria Police

Overview of Victoria Police Regions
Source: Victoria Police Annual Report 2013-2014.

CHAPTER ONE: AB INITIO – FROM THE BEGINNING
A lot of people think this is just a job that you go to take a lunch hour, job’s over,
something like that. But it’s a twenty-four hour deal, no two ways about it. And what
most people don’t see, just how hard it is to do the right thing. People think if I make
a judgment call that that’s a judgment on them. But that’s not what I do, and that’s not
what should be done. I have to take everything and play it as it lays. Sometimes
people need a little help. Sometimes people need to be forgiven. And sometimes they
need to go to jail. Now, it’s a very tricky thing on my part, making that call. The law
is the law, and heck if I’m gonna break it.
Officer Jim Kurring, Magnolia (Film, 1999)
The police force constitutes a significant legal entity that lies at the core of modern
society, widely recognised as “an organised body of police officers whose function and duty
it is to maintain the peace and good domestic order, to prevent and detect crime, to protect
life and property, and to provide emergency services” (Butt, 2004, p. 332). Various policing
scholars have, over time, injected the coercive force component into the definition. Alderson
(1979, p. 11), for example, noted that:
The police are instruments of the legal coercive power of the State to produce effects
intended by the legislation … They deny unconstitutional power to others, while at
the same time they have legal power to do their constitutional duty.
The mandate of the police, thus, comprises legal powers that fulfil the fundamental
requirements of keeping the peace and preventing crime. Arguably, policing is a
socially constructed entity - one that serves as a fundamental agent of social control and
functions within a normative and institutional framework shaped by local value systems (e.g.,
Loader & Mulcahy, 2003; Reiner, 2000). Mandated with the overall governance of serving
the community, uniformed, and highly visible the police represent the state’s legitimation and
power (Bittner, 1990) whilst being protected from direct forms of unwarranted partisan
political and other corporate interferences. The doctrine of constabulary independence,
famously asserted by Lord Denning in R v. Metropolitan Police Commissioner, ex parte
Blackburn (1968), decrees that:
No minister of the Crown can tell [the Commissioner] that he must, or must not, keep
observation on this place or that; or that he must, or must not, prosecute this man or
that one. Nor can any police authority tell him so. The responsibility for law
enforcement lies on him. He is answerable to the law and to the law alone.
This centrality of discretion, as concisely stipulated by Lord Denning and the fictional Officer
Jim, continues to be echoed in contemporary codes of police ethics. The Victoria Police Code
of Conduct (2014, p. 3) recently observed that:
As a Victoria Police employee you will encounter many, varied and complex
situations. Whatever the circumstances, you need to be able to make informed,
professional and ethical decisions. While legislation and organisational policy rules
and guidelines will direct or inform how to deal with certain matters, they cannot
prescribe every situation or experience. Using a decision making framework that has
regard to ethics, organisational values and human rights will help you make decisions
that reflect organisational standards and community expectations.
The ongoing interest in police discretion inspired the current research, which set out
to explore a twofold research question - how does police officer decision-making unfold
amidst dynamic and fast-paced circumstances, and what information or strategies do police
officers use to arrive at a decision outcome? In line with this, a grounded theory study was
undertaken to examine how officers make decisions in situations where specific actions are
not prescribed by police policy and/or procedure. It is worth drawing a distinction here
between discretion and what might be referred to as decision-making. The former is defined
as the liberty to decide and is fundamentally dictated by the limits of legal authority
(Stenning, 2009). The latter, in contrast, almost always involves some part of the former.
That is, an officer must first conclude that he has the legal power to decide (i.e., discretion)
before he can determine how best to resolve the problem situation (i.e., decision-making).
Decision-making is conceptualised in this thesis as a dynamic process that unfolds
amidst uncertain and ever-changing circumstances. It occurs within the confines of the
human mind, thus cannot be thought of as a linear process that results in the production of
optimal decision outcomes (as proposed by Rational Choice Theory; e.g., Dastani, Hulstijn,
& van der Torre, 2005). The prodigious interest in the process of decision-making as it occurs
in the real-world is evidenced across various disciplines, including domains of firefighting
(e.g., Lipshitz, Omodei, McClellan, & Wearing, 2007), aviation emergency (e.g., Orasanu,
Martin, & Davison, 2001), military command (e.g., George, Kaempf, Klein, Thorsden, &
Wold, 1996), and critical care nursing (e.g., Currey & Botti, 2003) to name but a few. Amidst
the stark surge of interest, it is somewhat surprising that the policing sector continues to be
predominantly overlooked. Consequential decisions made by police officers are apt to be
examined as they may contribute to the societal perception of the police as not adequately
prepared (Weitzer, 2005); positioning the police force at the forefront of public attention and
critique.
The research presented in the current thesis is timely in many respects. It is timely in a
theoretical sense as researchers have developed a more pronounced interest in explicating
real-life decision-making. It is timely from a socio-legal perspective given the increased
criticism of the police by the community and the subsequent ruptures in police-community
relations (e.g., Haile Michael & Ors v Konstantinidis, the Chief Commissioner of Victoria
Police, the State of Victoria & Ors, 2010). It is also timely in a political sense as the issues of
accountability and governance evidently continue to affect reform agenda (Victoria Police
Blue Paper, 2014).
1.1 A Brief History of the Victorian Police
The police as we know it today was first conceived by English society in the second
quarter of the nineteenth century (Reith, 1956). As is true for the majority of Common Law
nations, Australia derived its policing antecedents from Peel’s Constabulary - a paramilitary
form of policing emphasising the preservation of life and property and the detachment of the
police from parish authorities (Reith, 1948). The Metropolitan Police Act 1839 (UK)
introduced a centralised and unified system of policing, implemented piecemeal in Australian
colonies under the aegis of the British government.
Prior to this, and during the mid-eighteenth century, the role of police in Australia
was focused upon order maintenance of what was essentially a frontier land. Early policing
was profoundly influenced by the conflict between the Aboriginal inhabitants and the newly-
arrived British settlers (Broome, 1988; Reynolds, 1987). The intensity and duration of this
conflict has been said to account for the paramilitary nature of Australian police who, unlike
their British counterparts, were heavily armed and adopted a military appearance and
function (Palmer, 1994; Protective Security Review, 1979).
In 1835, six years after the establishment of Peel’s new police, settlers from Van
Diemen’s Land began to occupy the land of the Port Phillip District - later renamed the state
of Victoria. Police officers were deployed a short time later in 1836, their main role
pertaining to the propensity of White settlement. Almost two decades later in 1851, two
events transformed the colony and altered policing practice and history. On the 1st of July the
colony of Victoria separated from New South Wales - the discovery of gold followed and led
to a rapidly increasing population size. The established police servers were too sparsely
distributed to control the escalating and unprecedented rates of crime and disorder. A
centrally controlled Victoria police force was ultimately established in January of 1853
(Haldane, 1986), predicated on elements of the British policing experience modified to local
conditions. Large numbers of armed police officers were dispatched to the goldfields to
maintain law and order as well as to collect various mining taxes imposed on independent
miners (Haldane, 1986). The miners eventually retaliated against the revenue raising
measures, resulting in a period of civil disobedience (Connell & Irving, 1992) and the
eruption of several riots including the Eureka Stockade in 1854, Buckland River in 1857,
Lambing Flat in 1861 and the Clunes in 1873.
During the years of 1878-1880, the Kelly Outbreak epitomised the microcosm of the
police, bringing to light the role and reputation of the police force through scrupulous
commentary from a host of Kelly scholars (McQuilton, 1987). The historical events of this
era were later linked to a broader struggle over land and challengers to squatter privilege,
wherein “Australian nationalism took definite form in the class struggle between the landless
majority and the land monopolising squatters” (Hancock, 1948, p. 60). In the aftermath of the
Kelly Outbreak, the Longmore Royal Commission highlighted several areas of change that
bought about substantial reform within the structure and function of Victoria Police (Royal
Commission on the Police Force of Victoria, 1881-1883).
In the early 1880s policing in rural Victoria became less militaristic, in part due to the
outcomes of the Royal Commission (Haldane, 1986) and in part as a result of the shift in
significance of land as a basis for social division (Buckley & Wheelwright, 1988). The
policing focus diverted away from rural areas and towards cities and regional towns where
worker movements and militancy were on the rise. Waged labour became the primary form
of livelihood: industrial unions expanded and were incorporated into the labour movement
(Love, 1988). With the onset of mass unemployment during the 1890s depression (Buckley &
Wheelwright, 1988), social reform protests grew more politicised and the police were
increasingly involved in the ongoing conflict between employers and workers. Police
intervention in miner strikes frequently erupted into violent riots between the strikers and the
police (Scates, 1990).
With the outbreak of the First World War in 1914, State police forces became heavily
involved in surveillance. As part of the administration of the War Precautions Act “the police
were to supplement their numbers with special mounted constables recruited by police
officers in country districts” (Cain 1983, p. 237). The establishment of specialist paramilitary
squads (e.g., the Special Operations Group) was further propagated during 1962-1975 in
response to the Vietnam War (Hocking, 1993).
Currently, Victoria Police operates under the Victoria Police Act 2013 guided by the
strategic directions outlined in the Victoria Police Blueprint 2012-2015. Focus has been
heavily set on effective service delivery, improving community safety, working with
stakeholders, achieving goals, and developing the business (Victoria Police Blueprint, 2012-
2015). As already noted, the Victoria Police Code of Conduct (2014) outlines that members
“will encounter many, varied and complex situations” (p. 3) in achieving the above-specified
goals and that under such circumstances “informed, professional and ethical decisions” ought
to be made. The caveat that existing legislation, policy and guidelines “cannot prescribe
every situation or experience” (p. 3) directly speaks to the purpose of the current thesis.
Under circumstances where a prescribed strategic response is absent, it is unclear on what
decision-making processes officers are to rely. Indeed, in circumstances where a prescribed
method of response does exist, the police organisation cannot guarantee that officers will
necessarily ascribe to such policy direction.

1.2 Epistemological Stance
The current investigation falls within the scope of social constructivism (Berger &
Luckmann, 1966), which contends that reality is socially construed and cannot be perceived
from an entirely unbiased and objective stance (Burr, 2004). Knowledge and truth are
understood to be socially defined, emerging from the interactions of individuals (Schwandt,
2003) and varying across and within societies, groups and individuals themselves (Blaxter,
Hughes, & Tight, 2006). Adopting a constructivist approach enabled the researcher to
identify and give meaning to factors that may not have otherwise been exposed through
metrics. The research sought to produce a grounded theory (Glaser & Strauss, 1967) that
reflected the issues of most importance to the research participants whilst acknowledging that
generalisation across the entire police population was insurmountable.
The conception of a grounded theory was explicitly predicated on Charmaz’s (2006)
constructivist method - Constructivist Grounded Theory (CGT) - designed for the analysis of
social processes through which meaning is constructed and contested. The approach involves
a series of iterative, analytic steps that direct the researcher to move back and forth between
data and increasingly abstract theoretical concepts. The product of this process is a middle-
range theory that is grounded in the data and developed in relation to the interpretations of the
people experiencing the phenomenon (Gephart, 2004).
A constructivist approach was chosen given its strengths in theorising new areas of
research (Charmaz, 2006) as well as its pragmatic and systematic approach to analysis
(Myers, 2009). The explicit recognition that existent knowledge may influence perception
and interpretation of data fell in line with the researcher’s own conceptualisation of human
cognition. The acceptance of prior knowledge as inescapable enabled the use of existent
knowledge as a method of stimulating theoretical sensitivity and generating hypotheses
(Charmaz, 2006). As part of this, maintaining a level of vigilance was deemed paramount to
ensuring that interpretations and meanings assigned to the data did not stem from intrinsic
biases:
The researcher’s scrutiny of his or her research experience, decisions, and
interpretations in ways that bring the researcher into the process and allow the reader
to assess how and to what extent the researcher’s interests, positions, and assumptions
influenced inquiry. A reflexive stance informs how the researcher conducts his or her
research, relates to the research participants, and represents them in written reports
(Charmaz, 2006, p. 188-189).
In line with the researcher’s commitment to a constructivist approach, a reflexive
stance was practiced throughout the research process and particularly during the iterative data
collection and data analysis phase (e.g., Charmaz, 1990; 2006). Chapter 3 (Methodology) and
Chapter 4 (Method) elaborate further on this and include specific examples to highlight how
the above outlined notions were manifested.
1.3 Thesis Overview
The map of the thesis structure provided in Figure 1 illustrates the logic of the
grounded theory approach worked through in this thesis and the factors that were found to be
central to the functions of the participating Victoria Police members.
This introductory chapter provides a brief historical account of the policing context as
well as a broad overview of the CGT approach. Next, the context within which the inquiry
was conducted is introduced and situates the thesis within the current policing literature
(Chapter 2). The CGT approach is then described (Chapter 3) and its principles are applied
(Chapter 4). The research procedures described in the method chapters are subsequently
evaluated across several dimensions of rigour (Chapter 5). Following this, analytic focus is
drawn to the vacuum within which uncertainty functions - comprising the organisational
context (Chapter 6), the situational environment (Chapter 7), and the characteristics of the
decision-maker (Chapter 8). The dynamics between the organisation, the situational
environment and the decision-maker are integrated into an overarching grounded theory of
police officer decision-making (Chapter 9). The theory contends that the participating police
officers functioned within a system of uncertainty that unfolded as a result of a dynamic
interplay between a host of inter- and intra- individual factors. The implications for Victoria
Police are provided before the theory is offered for subsequent assessment and theoretical
development.
Figure 1. Thesis map.
LITERTURE REVIEW INTRODUCTION
DISCUSSION
METHODOLOGY
ORGANISATIONAL SITUATIONAL
CONTEXT ENVIRONMENT
POLICE LEADERSHIP
THE
DECISION-
MAKER
METHOD
RIGOUR
ANALYSIS
CHAPTER TWO: THE BLUE LINE
Police officers are required to understand the workings of, and effectively operate in the
complex social, political, and organisational systems within which they function (Mitchell &
Casey, 2007). Fundamental to this task is the process of decision-making, an issue that has
long presented as important yet controversial mostly due to the fact that “the decisions they
[police officers] make largely define the limits of the criminal justice process and have a
profound effect upon the overall administration of justice” (National Advisory Commission
on Criminal Justice Standards and Goals, 1973). In his seminal paper, Goldstein (1960)
argued that the function of the police officer cannot be wholly understood if it were to be
reduced to principles of pure legality. That is, police officers do not merely apply legal
maxims in a diplomatic and religious manner rather they employ their decision-making skills
to invoke the law of the land (Goldstein, 1960).
Discretion became a considerable object of focus following Goldstein’s publication,
with many police scholars suggesting that the manner in which order maintenance was
enforced varied considerably and was most commonly the result of extra-legal and
departmental features rather than training protocol and policies (Wilson, 1968). The primary
concern that subsequently arose was the lack of surety that police officers were adhering to
the doctrine of constabulary independence. As part of this debate, scholars posed the
following questions: Were police officers completely protected from unwarranted political
and other corporate or personal influences and pressures? Was police discretion arbitrary?
Did it lead to unethical behaviour?
In an attempt to provide empirical answers, policing research respectively shifted its
focus to the investigation of various factors hypothesised to impact police officer decision-
making including organisational features (e.g., Smith, 1984), perpetrator characteristics (e.g.,
Alpert, Dunham, & Smith, 2007; Klinger, 1994), and officer characteristics (Rosenbaum,
1987). This chapter provides an integrative review of this theoretical and empirical literature,
synthesising extant information to enable for conclusions to be drawn about the current state
of knowledge. Specifically, the review enabled:
(i) the identification of how police officer decision-making has thus far been
conceptualised and measured,
(ii) the identification of gaps in knowledge,
(iii) the development and refinement of the research objectives, and
(iv) the construction of preliminary interview questions.
2.1 The Place of Extant Literature in Grounded Theory
Within the field of grounded theory research, the use of existing literature represents a
polemical and divisive issue (Bryant & Charmaz, 2007). Whilst engagement with the
literature prior to data collection is axiomatic of most strategies of inquiry, Glaser and Strauss
(1967) explicitly argued against the practice. Others have echoed their concern, contending
that knowledge of the research base placed the researcher at risk of “plough[ing] ahead along
an established theoretical furrow … diminishing the potential for a wider repertoire of
theoretical innovation” (Dey, 2007, p. 176). In the ensuing decades, the position of the
founders – Strauss in particular – shifted significantly. Others also began to argue for the
importance of an early review of the literature, contending that it oriented the researcher
away from conceptual and methodological pitfalls (Urquhart, 2007), revealed how the
phenomenon had been studied to date (Denzin, 2002), facilitated the iterative nature of the
grounded theory method, and brought to bear unhelpful preconceptions (McCallin, 2003).
Within contemporary practice, there is a growing consensus that a middle ground –
one that acknowledges the original ethos of grounded theory but also recognises the practical
need for, and advantages of early engagement with existing literature – be adopted
(McCallin, 2003). In this thesis, engagement with the literature occurred prior to data
collection in order to identify what work had been undertaken thus far, which issues were
central to the field, and what knowledge gaps existed at that point in time. The literature
review was central to the formation and justification of the research questions and facilitated
a familiarity with the landscape of the subject (McMenamin, 2006).
2.2 Definitions
In setting the parameters of the current review, it was vital to consider how the key
terms of policing and decision-making were defined. Over four decades ago Bittner (1974)
observed that the police service was one of the best known yet least understood of public
institutions. Even now this impasse rings true, how does one approach the task of defining the
police? Is it to be done by charting the myriad factors that led to the establishment of the
modern police service or does one approach the matter by exploring the diverse roles the
service performs? It is beyond the scope of the current review to tread the path of this
philosophical expedition (see Rowe, 2008 for a comprehensive discussion). It will suffice to
specify here that policing refers to state-sponsored agencies that function at a local, state or
federal level in accordance with the Victoria Police Act 2013. Policing does not include
private agencies, intelligence organisations or crime commissions which serve somewhat
disparate roles. The goal of any policing agency is assumed to be analogous to that of
Victoria Police - to serve a specified community by upholding the law of the land and
promoting a safe, secure, and orderly society (Victoria Police Act, 2013). In achieving this
end goal, a combination of preventive, administrative, and repressive functions may be
applied.
Whilst the police are identified throughout this thesis as one broad set of social actors,
a significant degree of variation within the group is both anticipated and recognised. The
police as a service can be strikingly different in organisational form, function, resource base
and capacity across agencies and regions. In using the term police, the intention is not to
collapse this rich variation rather it is to draw attention to the dynamics through which
broadly shared understandings of appropriate action are created.
In terms of decision-making, the concept is defined here as a dynamic process that
unfolds amidst unpredictable and time pressured conditions. The decision-maker is
considered to be an active agent, assessing the situation by searching for available cues,
forming an interpretation, and ultimately producing an action outcome. It is assumed that this
process does not occur in a linear fashion or through mathematical computations as proposed
by rational choice theories. Rather the decision-maker is presumed to rely heavily on
previous experience as well as various cognitive strategies in arriving at what is considered to
be a satisfactory outcome. Evidently, police officers have a number of decision options
available to them when they engage in resolving a police-citizen encounter. Such options
include arrest, use of force, stops, citations and warnings. Although this is not an exhaustive
list by any means it includes the decision options that were considered in the current review.
2.3 Method
In order to generate a comprehensive, standardised, and reliable evidence summary of
factors contributing to police officer decision-making an international scope was adopted.
The studies included were those published in English between the period of 1980 and 2015.
The rationale for this time period pertained to the fact that studies preceding 1980 failed to
take into account the introduction of problem-oriented policing1 (Goldstein, 1979) and the
1
Problem-oriented policing is defined as a method of policing that aims to improve police effectiveness through
examining and acting on the underlying conditions that give rise to community problems. The problem is the
basic unit of police work, rather than crime, and is defined as something that can cause harm to citizens and the
police. Responses emphasise prevention, going beyond the criminal justice system, and engaging with other
public agencies, the community, and the private sector (Australian Institute of Criminology, 2004).
later implementation of community-oriented policing2 (Wilson & Kelling, 1982), which
gradually gained acceptance as alternatives to the traditional policing model in the 1980s.
Four commonly used electronic databases were utilised (Emerald, Taylor & Francis,
Wiley, and Sage). Searches were conducted using terms relevant to the review question i.e.,
police and Wilson for the review of Wilson’s typology; police, law enforcement, supervision,
and patrol for the review of police supervision; police, law enforcement, and department size
for the review of department size; police, law enforcement, race, racial profiling and arrest
for the review of suspect race; demeanour, police, law enforcement, and arrest for the review
of suspect demeanour; gender, sex, police, law enforcement, and arrest for the effect of
suspect gender; mental illness, police, law enforcement, and arrest for the review of persons
presenting with mental illness; training, police, and law enforcement for the review of the
effect of officer training; experience, police, and law enforcement for the effect of officer
experience. Terms depicting the police organisation (i.e., police, law enforcement) were
paired with all other relevant target words - searching once in the field ‘abstract’, once in the
field ‘keyword’ and once in the field ‘article title’. Reference lists of all relevant articles were
searched to identify additional articles and textbooks. The author scanned all titles and
abstracts prior to retrieval – primary and review articles were examined further for
information pertinent to the current research questions. This search strategy was repeated
annually to identify newly published articles.
Eligibility criteria addressed source (i.e., peer-reviewed sources), geography, and a
quality appraisal – the framework for which was adapted from Long, Gofrey, Randall,
Brettle, and Grant’s (2002) evaluation tool for mixed methods research (see Appendix 1).
Studies were excluded if data collection solely relied on subjective, officer reports in
2
Community-oriented policing refers to the engagement of the police with the community through the
restructuring of police organisations and daily activities of police officers. Central to the philosophy of
community-oriented policing is the emphasis on effective working partnerships with the community (Australian
Institute of Criminology, 2011).
response to constructed vignettes or computer simulations3. Although this research was
excluded due to methodological limitations it is nonetheless acknowledged that this research
base has contributed significantly to the understanding of police officer decision-making
(e.g., Stalans & Finn, 1995). Duplicates, book reviews, and content irrelevant articles were
removed. Given the broad scope of factors that have been investigated and the diversity of
measures utilised, formal meta-analytic methods were deemed as both impractical and
inapplicable. Instead, the current review focused on qualitative synthesis of the relevant
evidence-based literature. Research efforts using both quantitative and qualitative
methods have attempted to explain police behaviour during interactions with citizens (e.g.,
Mastrofski, 1981; Worden & Shepard, 1996). Such investigations have found that legal
variables (e.g., the seriousness of the alleged offence, the strength of evidence of criminal
wrongdoing against the suspect, the presence of a weapon) have a strong and constant
influence on formal police decisions (Novak, Frank, Smith, & Engel, 2002). The empirical
evidence for the effect of extra-legal factors is considerably more mixed and controversial.
As such, the current review places its focus on the latter.
2.4 Organisational Factors
All cultural systems consist of shared values, norms, beliefs, and expressive symbols
(Peterson, 1979). Organisational culture is not a distinct entity, similarly characterised by
beliefs, values, norms, and prototypes that are shared by its members (Jermier, Slocum, Fry,
& Gaines, 1991). According to Jermier et al. (1991), official organisational culture and
organisational subculture are disparate concepts. The former refers to an organisation’s
3
Participants are presented with digital colour photographs of Black and White persons that are paired with
either a weapon or a neutral object. Participants are instructed that their task is to determine whether or not to
shoot. Pictures of persons with a gun are deemed criminals, whilst those with a neutral object are innocent. The
photographs appear on screen for approximately 630 milliseconds; participants must press a certain key
designated for a shoot decision and a certain key for a don’t shoot decision (for an example see Plant & Peruche,
2005).
formal declarations of approved missions, goals, norms, and hierarchical structure
communicated through mission statements, policies, and other formal documentation. The
latter is the collective perception of official missions and standards of conduct held by the
organisation’s members, portrayed and exemplified through the day-to-day practices and
attitudes modelled by experienced members. The police subculture often emphasises that a
combination of personal values, common sense, and rules developed collectively are needed
to handle the stress that police officers face during their interactions with citizens and
superiors (e.g., Cochran & Bromley, 2003).
The influence that organisational culture has on individual decision-makers remains a
point of debate. Some researchers have found that police officers do consider organisational
factors in their decision-making (e.g. Wilson, 1968), others have categorised organisational
effects as minimal (Hassell, Zhao, & Maguire, 2003). In the sections that follow, previous
studies that have addressed the effects of various police organisational factors on officer
behaviour and decision-making are reviewed.
2.4.1 Wilson’s redux.
The cardinal assumption of all theoretical perspectives relating to the effect of
organisational context on police officer decision-making states that organisational values and
occupational norms influence the behaviour of individual officers. Wilson’s (1968) magnum
opus provides the most comprehensive premise, formulating police organisational styles as
catalysts of interorganisational variation and heterogeneous police departments. Wilson
recognises the presence of internal limits regarding the supervisor’s capacity to direct,
monitor, and enforce rule compliance by lower-ranking personnel. Whilst acknowledging the
limits of bureaucratic control over discretionary behaviour, Wilson contends that police
officer decision-making is the function and result of departmental goals. Central to his
argument is the concept of organisational ethos - constellations of organisational
characteristics that create collective values and attitudes held by the organisation’s members.
With these concepts in mind, Wilson (1968) proposed a typology of police officer types
inclusive of the service, watchman, and legalistic styles.
The service style is characterised by a professional orientation, wherein administrative
control is exerted through careful record keeping. The police officers display considerable
sensitivity to community values, particularly to those held by politically influential
community members. This community relations orientation is a pervasive feature in training
curricula, performance evaluations, and leadership selection. According to Wilson, the
service style of policing is often found in homogenous, middle-class communities where
there is typically a pre-existing agreement among citizens regarding the definition of public
order.
In contrast, the watchman style is characterised by the ubiquitous use of police
discretion. This type of organisation lacks professional orientation, exemplified by limited
levels in its personnel hierarchy. Record keeping practices are posited to be poor, often
incomplete, and at times non-existent. The police agency’s culture and norms are instilled
implicitly through the processes of recruitment and socialisation, maintaining a low profile
and avoiding controversy is axiomatic. Overall, watchman departments are described as
having flat bureaucratic structures, low budgets, little specialisations, and few rules.
Police officers based in legalistic style departments are said to be more likely to
intervene formally given high levels of professionalism and vigorous commitment to
enforcing the law. The commitment to the rule of law is accompanied and actualised by strict
guidelines and limits pertaining to the use of discretion. Legalistic departments are highly
complex, bureaucratic agencies that rely heavily on central administrative authority and
extensive rules. The supervisors demand high arrest and ticketing rates, not only to adhere to
principles of law and justice but to reduce public suspicion of corruption and shield against
criticism.
Wilson’s conceptualisation of the police structure is an eminent schema within the
policing literature, routinely referred to as the classic and preeminent theory of organisational
effects on police behaviour (Walker & Katz, 2008). In light of its acclaim and longstanding
praise, comparatively little research has been conducted to assess the theory’s contentions
(see Table 1).
Since the publication of Wilson's seminal work, several U.S. scholars have attempted
to consolidate his findings4. First, Smith and Klein (1983) examined the effects of various
organisational properties on arrest decisions, including levels of bureaucratisation and
professionalisation. The analysis indicated that the degree of bureaucratisation directly
influenced the probability of arrest, such that arrest rates were greater in bureaucratised than
professionalised departments. Similarly, Crank (1990; 1992) identified that the city-manager
type of municipal governance (appointed-mayor/bureaucratised) was associated with greater
police legalism for certain categories of crime when compared to mayor council governments
(elected-mayor/professionalised). However, failure to differentiate the two styles of local
government structure as done by Wilson significantly reduced the generalisability of these
findings (Zhao & Hassell, 2005).
The majority of the research has identified the presence of a high level of variation
within police departments (see Table 1), claiming that “city options tend to be congruent with
a particular political culture, but do not appear constrained to be so” (Langworthy, 1985, p.
98). This finding has been echoed by a collection of more recent U.S. studies (Chappell,
MacDonald & Manz, 2006; Hassell et al., 2003; Liederbach & Travis, 2008; Zhao, He, &
4
Studies investigating the impact of scale of patrol (i.e., number of officers serving a particular neighbourhood)
were excluded given their focus on the effect of organisational size rather than organisational culture and
context.
Lovrich, 2006; Zhao, Ren, & Lovrich, 2010) which failed to provide support for Wilson’s
contention. Little support for a relationship between local political culture and police
practices has led scholars to speculate as to the effect of major police reform, increase in
crime rates, and the expanding influence of the federal government on the applicability of
Wilson’s findings to modern policing. As Chappell et al. (2006) indicated, "real police
agencies do not fall squarely within only one of Wilson's typologies … most police
departments exhibit a cross-section of characteristics" (p. 303).
Despite the lack of evidence in support of Wilson’s typology, numerous researchers
have cautioned against dismissing his theory. Some emphasise methodological departures
from Wilson as warranting a hesitance to move towards falsification. Others posit that the
changes evident in contemporary police structure and its organisational nature have made
replication of the original test impossible. These policing scholars suggest that the lack of
support for Wilson’s typology attests to the fact that times have changed and that the police
organisation no longer holds direct ties to the political landscape. The relevance of Wilson’s
typology to the Australian context remains untested as does the relationship between the
police and the political sphere.

Table 1. Review of studies investigating Wilson’s typology.
Author/s Year Country Methodology Sample Comments Study Quality
Chappell, A. T., 2006 US Secondary Data Analysis: 1997 182 municipal police The application of community- Medium
MacDonald, J. Law Enforcement Management agencies. oriented (β = .06; p > .05) and
M., & Manz, P. and Administrative Statistics; problem-oriented policing (β = .09; p
W. 1997 FBI Uniform Crime > .05) strategies, the ratio of field to
Reports. administrative personnel (β = - .05; p
> .05), and the presence of a police
union (β = .09; p > .05) were not
significantly related to arrest –
contrary to Wilson’s contention.
Crank, J. P. 1990 US Survey: questionnaire measuring 8 municipal police Rejection of craftsmanship and Medium
craftsmanship and agencies; 205 police widespread adherence to the values
professionalism. officers. of professionalism identified -
Crank, J. P. 1992 US Secondary Data Analysis: 1986 392 municipal police Commission type municipal Medium
FBI arrest statistics; Illinois agencies. governments did not differ
Crime Reports; Illinois State significantly in legalistic behaviour
Police Index Offenses; 1986 from other types of municipal
Municipal Yearbook; 1980 US governments. City Manager
Census of General Population governments displayed more
Characteristics. legalistic behaviour than Mayor
Council governments for aggravated
assault (β = .10; p < .05), burglary (β
= .14; p < .05), and theft (β = .10; p <
.05) - consistent with Wilson’s
contention.
Hassell, K. D., 2003 US Mixed Methods: questionnaire 401 police agencies. Professionalism not a significant Medium
Zhao, J., & addressing organisational predictor of the extent of rules and
Maguire, E. R structure; 1997 Law Enforcement policies present in a police
Management and Administrative department (β = -0.11; p > .05),
Statistics; 1992 Census of specialised police functions (β = .04,

Government. p > .05), senior management
authority (β = - .09, p > .05) or
supervisor authority (β = .13, p >
.05). Professional government
significantly related to rank structure
(β = -.18, p < .05) in the opposite
direction than hypothesised –
Langworthy, R. 1985 US Secondary Data Analysis: 1975 152 police agencies. High degree of variability and Medium
H. FBI arrest statistics; 1975 Bureau overlap between governmental
of Census population estimates; classes. Wilson’s constraint theory is
1976 Municipal Yearbook. better understood as a theory of
tendency.
Liederbach, J., 2008 US Observational: 14-month 20 police agencies; 213 Type of election (X2 (2, N = 20) = Medium
& Travis L. F. systematic social observation of police officers; 583 .95, p = .62), type of government (X2
213 police officers over 4,813 observations. (2, N = 17) = .23, p = .89), and local
hours in South-western Ohio political culture (X2 (4, N = 16) =
during 1999 and 2000. 3.59, p = .46, were not significantly
associated with police style
(legalistic, service, watchman).
Population (X2 (2, N = 20) = 8.80, p
= .01) and median household income
(X2 (2, N = 20) = 6.80, p = .03) were
significantly associated with police
style, with less wealthy communities
more likely to exhibit a watchman
style – contrary to Wilson’s
contention.
Smith, D. A., & 1983 US Secondary Data Analysis: ‘Police 950 police-suspect Probability of arrest more likely in Medium
Klein, J. R. Services Study’ database encounters. high bureaucratic departments (β =
comprising of 24 police agencies, .11, p < .05) and less likely in low
900 observed shifts and 5,688 bureaucratic departments (β = .06, p
observed police-suspect < .10) supporting Wilson’s
encounters in St. Louise, MO; contention that departmental styles
Rochester, NY; Tampa and St. reflect differences in

Petersburg, FL during 1977. bureaucratization.
Zhao, J., & 2005 US Mixed Methods: questionnaire 304 police agencies. Professional government a significant Medium
Hassell, K. addressing organisational predictor of larceny arrest rates (β = -
structure and community policing .22, p < .05) and disorderly conduct
practices; 1992 Census of (β = -.18, p < .05) opposite the
Government; 1998 Uniform hypothesised direction. Professional
Crime Reports; 1990 US Census government not a significant
of Population; 1990 US Census of predictor of DWI (β = -.07, p > .05),
Population and Housing. and drunkenness (β = .00, p > .05)
arrest rates – contrary to Wilson’s
contention.
Zhao, J., He, 2006 US Mixed Methods: survey; 1993, 185 municipal police Professional government not a Medium
N., & Lovrich, 1996, and 2000 Uniform Crime agencies. significant predictor of larceny (β =
N. Reports; 1990 and 2000 US .49, p > .05), DWI (β = .51, p > .05),
Census of Population. drunkenness (β = 1.11, p > .05), and
disorderly conduct (β = .99, p > .05)
arrest rates – contrary to Wilson’s
contention.
Zhao, J., Ren, 2010 US Secondary Data Analysis: survey; 223 police agencies. No significant effect of local political Medium
L., & Lovrich, 1993, 1996, and 2000 Uniform culture on organisational structure in
N. Crime Reports; 1990 and 2000 terms of daytime patrol beats (β = -
US Census of Population. 8.02, p > .05) and special units (β = -
.36, p > .05).
2.4.2 Pulling rank.
Prior to the accession of the community-oriented policing era, police supervisors
performed traditional roles of supervision: monitoring subordinate officers’ activities and
enforcing departmental rules and regulations (Manning, 1997; Van Maanen, 1983). This type
of supervision was somewhat akin to transactional leadership – the fundamental premise
being that of quid pro quo (Allen & Maxfield, 1983; Rubinstein, 1973). With the evolution of
public management within the public sector, a cultural shift also occurred in police
organisations. Transactional dynamics became incompatible with new and increasingly
complex system structures (e.g., community-oriented policing, problem-oriented policing),
leaving police supervisors facing challenges that demanded the development of contemporary
supervisory skills. This transition altered the definition of supervision, field supervisors
became coaches and mentors (Goldstein, 1990), resource providers (Dantzker, 1999),
performance evaluators (Peak, Glensor, & Gaines, 1999), disciplinarians, and strategic
planners. Through these assorted roles the first-line supervisor is assumed to have control
over the actions of subordinate officers.
One of the earliest examinations of this widely accepted notion was reported by Allen
(1982). Using observational data, Allen investigated the effect of supervision on officer
activities. The analysis indicated that the ratio of supervisors to officers had a moderate effect
on how long officers spent at encounters, such that greater time was spent at an encounter in
the presence of a supervisor. However, supervisor presence did not have an effect on the
number of tasks officers completed (officer output). Allen’s conclusion that supervisors may
not have a substantial effect on officer behaviour has been replicated elsewhere (e.g., Brown,
1988), suggesting that the solidarity of police work and the supervisor’s dependence on the
actions of subordinates may limit the scope of his or her influence.

Researchers examining survey-based data have also reported little to no supervisory
influence on officer activities (Allen & Maxfield, 1983; Brown, 1988; Mastrofski, Ritti, &
Snipes, 1994; see Table 2). “The admitted reluctance of field supervisors to closely watch the
behaviour of patrolmen is corroborated by the perceptions of patrolmen”, giving rise to the
belief that “the routine actions of field supervisors have but a marginal impact on the way
they [police officers] use their discretion” (Brown, 1988, p. 121). Some differences relating
to size of department have been noted, indicating that supervisors working in smaller
departments may be more likely to observe police officer behaviour and intervene actively in
an incident (Brown, 1988).
Using the same data as Allen (1982), Smith (1984) classified police departments
based on their level of professionalism and bureaucratisation. The findings revealed that the
presence of a supervisor at an encounter significantly increased the probability of an arrest
only for militaristic5 and legalistic style police agencies. This effect was found to be
considerably smaller in fraternal6 agencies and non-significant within service style agencies.
Smith (1984) hypothesised that supervisors working within legalistic and militaristic
departments were more likely to utilise formal avenues of intervention, whilst those working
in service style agencies preferred to utilise informal resolution methods as a means of
upholding community-oriented policing principles. Further investigation into organisational
and supervisory styles has failed to replicate this association (Engel, 2000).
One notable study was that conducted by Brewer, Wilson, and Beck (1994) who
investigated supervisory effectiveness within an Australian police force. The findings
suggested that the provision of monitoring and feedback by supervisors increased effective
team performance (as rated across 12 efficiency dimensions). Monitoring via vetting
5
Smith (1984) defined militaristic police agencies as having a nonprofessional, bureaucratic style.
6
Smith (1984) defined fraternal police agencies as having a nonprofessional, nonbureaucratic style.
crime/arrest reports and court briefs had no effect, whilst mentoring via collecting verbal
reports from subordinates regarding policing activities was associated with more effective
team performance. This association was shown to be particularly pronounced when
monitoring involved the provision of some form of encouragement and/or instructional
feedback. The authors concluded that supervisors who spent more time engaged in solitary
activities were unable to effect team performance as fewer interactions with subordinates
equated to fewer opportunities for monitoring and feedback.
The minimal effect that supervisors have over police officers has been proposed, at
least in part, to be the result of personal ties established and maintained within the team (Van
Maanen, 1983). Van Maanen hypothesised that the police supervisor has access to a number
of resources to control subordinate behaviour including: (i) personnel brokering through the
assignment of police officers to particular tasks, (ii) institutional display and documentation,
and (iii) the mobilisation of expressive and symbolic tasks that induce motivation. Evidently,
there is wide scope within the police culture for supervisory control to develop, however Van
Maanen (1983) contended this is a prerogative that needs to be earned by the supervisor and
is not necessarily inherent.
Overall, the effects of supervision have generally been found to vary considerably and
to be small in magnitude (see Table 2). It is difficult to comment on precisely how
supervisors impact on subordinate performance given that the effects of supervision have
been examined across different tasks and organisations with little investigation of how
supervisory practice may be shaped by subordinate responses. Also of note is the limited
research available within the Australian context, making it difficult to infer any conclusions
regarding the effect supervisors have on subordinate officers within Australian policing
practices.
Table 2. Review of studies investigating the effect of supervision on police officer decision-making.
Author/s Year Country Methodology Sample Comments Study

Quality
Allen, D. N. 1982 US Secondary Data Analysis: ‘Police 833 supervisor-officer For each encounter with a supervisor Medium
Services Study’ database contacts. present approximately 45 minutes
comprising of 24 police agencies, more was spent at the encounter.
900 observed shifts and 5,688 Each supervisor/officer contact
observed police-suspect during the shift increased encounter
encounters in St. Louise, MO; time by approximately 2 minutes.
Rochester, NY; Tampa and St. Every additional appearance of a
Petersburg, FL during 1977. supervisor at an encounter scene
related to 23% fewer encounters
initiated by the patrol officer.
Brewer, N., 1994 Australia Mixed Methods: supervisory 20 police supervisors. Supervisors of higher-ranked teams Medium
Wilson, C., & effectiveness measured via spent significantly more time
Beck, K. superior officer’s ratings of the monitoring performance (r(18) = .40,
performance of each patrol p <.05)7; collecting verbal reports on
Sergeant’s team; Operant patrol activities (r(18) = .47, p <.05);
Supervisory Taxonomy and Index providing neutral feedback (r(18) =
used to observe and measure .51, p <.05); and doing paperwork
supervisor behaviour. (r(18) = .48, p <.05).
Brown, M. K. 1988 US Mixed Methods: observation of 198 patrolmen and 57 36% of patrolmen reported that their Medium
police-suspect encounters in Los field supervisors. behaviour was ‘often’ or ‘very often’
Angeles, Redondo Beach and observed by a supervisor; 11%
Inglewood conducted during 1972 reported that supervisors ‘often’ or
and 1973; survey administered to ‘very often’ intervened in an
policemen working in Los incident. 74% of patrolmen reported
Angeles Police Department, that they were allowed ‘more than
Inglewood Police Department and enough’ discretion; 22% reported
Redondo Beach Police that supervisors did not let them

Department. make their own decisions.
Engel, R. S. 2000 US Secondary Data Analysis: ‘Project 239 police officers; 81 Odds of using force on a suspect Medium
on Policing Neighborhoods’ supervisors; 1,487 non- increased by 2.06 when the officer
database comprising of 7,443 traffic-related suspects; had an ‘active’8 supervisor (for non-
observed police-suspect 581 traffic suspects. traffic-related offences). No
encounters in Indianapolis and St. significant effect of supervisory style
Petersburg, FL conducted during on arrest of non-traffic-related
1996 and 1997. suspects or the use of force or arrest
of traffic-related suspects.
Mastrofski, S., 1994 US Mixed Methods: survey 19 police agencies; 954 Supervisor’s DUI priority was not a Medium
Ritti, R., & administered between November surveys. Sample for significant predictor of arrest (β = -
Snipes, J. 1989 and July 1990; in-depth interviews not specified. .07, p = .12). Opportunity and
interviews conducted with capability accounted for 17% of the
administrators, supervisors, police variance in arrest residuals.
officers, court officials,
representatives of citizen groups,
and the press.
Smith, D. A. 1984 US Secondary Data Analysis: ‘Police 1,139 police-suspect Presence of supervisor significantly Medium
Services Study’ database encounters. increased probability of arrest (t =
comprising of 24 police agencies, 5.13) for certain police agencies. In
900 observed shifts and 5,688 militaristic and legalistic style police
observed police-suspect agencies arrest more likely to occur
encounters in St. Louise, MO; in presence of supervisor (t = 4.27; t
Rochester, NY; Tampa and St. = 4.09 respectively), in fraternal and
Petersburg, FL during 1977. service style police agencies presence
of supervisor had no significant
effect on the probability of arrest (t =
2.15; t = 1.30 respectively).
7
This examination utilised a one-tailed test of significance, allowing for a rejection of the null hypothesis with a less extreme result than that required by a two-tailed test. Authors did not justify the decisions to use a
one-tailed test with this particular category; all other behavioural categories and subcategories were tested with a two-tailed test of significance.
8
Active supervisors were defined as those engaged in high levels of patrol and supervisory functions in the field.
Smith, D. A., & 1984 US Secondary Data Analysis:’ Police 333 interpersonal Probability of arrest more likely in Medium
Klein, J. R. Services Study’ database disputes. the presence of a supervisor (β = .21,
comprising of 24 police agencies, p < .05); percentage of arrest when
900 observed shifts and 5,688 supervisor present and observing was
observed police-suspect 22.7; when supervisor participated as
encounters in St. Louise, MO; an equal 16.2% of suspects were
Rochester, NY; Tampa and St. arrested; when supervisor took
Petersburg, FL during 1977. charge 52.4% of suspects were
arrested.
Van Maanen, J. 1983 US Qualitative: analysis of Unspecified. Sergeants utilised personnel Medium
observational data of an brokering, institutional display and
unspecified number of police documentation and mobilisation of
officers in a de-identified district9. effort to control the behaviour of
patrolmen.
9
Did not specify sample data. The exclusion of location pertained to the de-identification of the interviewed officers. Study included in this review as qualitative analysis revealed a number of key themes.
2.4.3 Does size matter?
The desire to consolidate small police stations first arose in the U.S. during the 1930s,
and then again in the 1960s and 1970s (Altshuler, 1970; Walker, 1977). Government
reformers who advocated for the merging of small police stations argued that it would result
in improved police professionalism, productivity, and service quality due to its cost-
efficiency and the employment of highly trained professionals (Walker, 1977). Conversely,
the community-oriented policing movement warned of the local issues that may arise from
the consolidation process - “consolidating police services would decrease or eliminate the
close contact that exists between the police and the community. Authority of local police
officers would be lessened and they would lose their effectiveness” (Horgan, 1980, p. 2).
Propositions to merge police stations seldom come to fruition, primarily due to the fear of a
loss of community identity and autonomy (Falcone, Wells, & Weisheit, 2002). Whilst small-
scale consolidations have taken place, these have been of an insufficient proportion to
encapsulate the reality of the challenges and changes that may transpire. Consequently,
research in this area has relied heavily on cross-sectional comparisons of variously sized
stations.
The seminal work undertaken by Ostrom and colleagues commended small police
stations, finding that small- and medium-sized U.S. police stations performed more
effectively than their larger counterparts (Ostrom & Parks, 1973; Ostrom, Baugh, Guarasci,
Parks, & Whitaker, 1973; Ostrom & Whitaker, 1974). Later work corroborated Ostrom’s
contentions, indicating that small police stations provided the community with greater
accessibility and interpersonal familiarity (Crank & Wells, 1991; Schafer, Burruss, & Giblin,
2009; see Table 3) and outperformed their larger counterparts in clearance rates for various
major offences (Cordner, 1989). Paradoxically, some researchers found higher arrest rates
within larger police stations (Brown, 1988; Mastrofski, 1981). Significant debate ensued
regarding whether this was a reflection of station size or the type of crime that was being
patrolled. This has since been substantiated by the finding that smaller stations demonstrate
higher arrest rates for breaches of peace and drunk driving offence whilst larger stations show
higher arrest rates for theft-related offences (Langworthy, 1983; Mastrofski, Ritti, &
Hoffmaster, 1987).
Many of the above reviewed sources referred to ‘large’, ‘medium’ and ‘small’ police
stations. However, upon closer inspection it was noted that the parameters of these categories
were often arbitrarily defined (Sims, 1988). The specific number of sworn personnel required
to classify a station as large, medium or small varied widely across studies and limited the
generalisability of the findings. Nevertheless, there is an overall indication that stations of
varying size enforce particular laws with greater activity than others, indicating that the effect
of size may be more a result of the offence being considered. This is in relation to the U.S.
context and to the researcher’s knowledge no attempt has yet been made to investigate the
practices of small-, medium- and large-sized police stations in Australia. This is particularly
surprising given the vast differences in station size across urban and rural Australia.
Table 3. Review of studies investigating the effects of police station size on police officer decision-making.

Quality
Brown, M. K. 1988 US Mixed Methods: observation of 198 patrolmen and 57 Rates of homicide, forcible rape, Medium
police-suspect encounters in field supervisors. burglary and grand theft were higher
Los Angeles, Redondo Beach in large police departments than in
and Inglewood conducted small police departments. Rates of
during 1972 and 1973; survey armed robbery were higher in small
administered to policemen departments than in large police
working in Los Angeles Police departments.
Department, Inglewood Police
Department and Redondo
Beach Police Department.
Cordner, G. W. 1989 US Secondary Data Analysis: 84 police agencies. Region accounted for almost all of Medium
Uniform Crime Reports 1985; the explained variance in clearance
Maryland State Police database rates ( = .54, t(84) = 5.33, p < .01);
(clearance rates). with clearance rates in metropolitan
areas being substantially lower (18%-
23%) than in nonmetropolitan areas
(29%-30%).
Crank, J. P., & 1991 US Secondary Data Analysis: 399 police agencies. Size of department associated with Medium
Wells, E. I. Illinois Crime Reports 1986; significant changes in supervisory
Illinois Local Governmental ratio ( = .01, p < .001) and
Law Enforcement Officers’ organisational height10 (β = .01, p <
Training Board 1985. .001); increases in organisational size
found to contribute to height among
small – (β = .12, p < .001) and
medium-sized (β = .03, p < .001)
agencies; increases in organisational
size found to contribute to
supervisory ratio in small- (β = .07,
10
Height defined as the number of ranks in the organisation.
p < .001) and medium-sized (β = .06,

p < .001) agencies.
Langworthy, R. 1983 US Secondary Data Analysis: data 69 municipal police Agencies with more than 151 sworn Medium
H. presented by Ostrom, Parks, agencies. officers devoted the same proportion
and Whitaker; Kansas City, of officers to patrol as those agencies
Missouri Police Department with 21-50 sworn officers; an
administrative survey. increase in size of agency associated
with lower citizen to police officer
ratio (β = -.26, p < .05).
Mastrofski, S. 1981 US Secondary Data Analysis: 42 neighbourhoods. An increase of 10,000 in PAA11 Medium
D. ‘Police Services Study’ population decreased officer
database comprising of 24 familiarity with citizens (β = -.67, p <
police agencies, 900 observed .05); a reduction of 10,000 in PAA
shifts and 5,688 observed size increased the chances of a victim
police-suspect encounters in St. being comforted by 1% and increased
Louise, MO; Rochester, NY; the probability of arrest (β = .06, p <
Tampa and St. Petersburg, FL .05). Dramatic changes in the scale of
during 1977. patrol are required to produce modest
changes in behaviour. The
enlargement or reduction of scale
must be in units of 100,000 not
10,000.
Mastrofski, S. 1987 US Mixed Methods: questionnaire 71 police officers. Willingness to make DUI arrests Medium.
D., Ritti, R. R., addressing personal decreased as department size
& Hoffmaster, characteristics and attitudes; increased (β = -.38, p = .02).
D. participant observation of
officers on patrol; in-depth
interviews; collateral.
Schafer, J. A., 2009 US Secondary Data Analysis: 196 police agencies. Limited differences between agencies Medium
Burruss, G. W., Illinois Homeland Security located in metropolitan areas, urban
Giblin, M. J. Survey; Crime in Illinois 2006. county, and rural county.
11
The scale of police patrol in a study neighbourhood is indicated by the population of the primary assignment area (PAA) of officers serving that neighbourhood .
2.5 Offender Characteristics
Social scientists have often assumed the existence of a gap between how the law
operates in theory opposed to reality, accordingly concentrating their efforts on discovering
discriminatory practices by those who administer it (e.g., Hagan & Nagel, 1982). Legal
realists recognise the presence of the gap but conceptualise it disparately. The gap is
presumed to be structural - a consequence of the inability of the general rules of law to dictate
specific outcomes without the use of discretion. Legal realists ask whether discretion operates
in discriminatory ways, and if so, to what extent do decision-makers violate the principles of
equality before the law? A large body of international literature has sought to resolve this
predicament by exploring officer decision-making during police-suspect encounters.
Early research in the field provided ethnographic descriptions of police work,
succeeded by more quantitative analyses designed to investigate the influence of extra-legal
factors12. Extending from the knowledge that officers utilise their discretion, researchers
expressed doubt in the assumption that police officer judgment and decision-making is
founded entirely upon legal considerations (i.e., evidence of guilt). Consequently, interest in
the influence of extra-legal factors perpetually expanded, growing to encompass suspect race,
ethnicity, demeanour, mental health and a depository of other characteristics. Although extra-
legal variables were found to explain a relatively small portion of the variance in the
behaviour of police officers, the controversy lay in the legality of arrest when such variables
constituted grounds for arrest. Four decades on and the debate remains. Some claim that “the
influence of race and other extra-legal factors is diminishing” amidst contemporary
12
One challenge in reviewing the literature of extra-legal influences on arrest is the absence of any uniform
definition of what constitutes an extra-legal factor. To some extent, this is the result of the extensive variability
across jurisdictions in designating formal legal factors. What we can specify is what it does not encapsulate. The
term “extra-legal” is not used synonymously with “illegal” or “inappropriate”, rather it refers to that which is
not specifically prescribed in the relevant statutory law. Traditionally studied extra-legal factors include
offender race and ethnicity, with other characteristics being considered in more recent times.
community-oriented policing practice (Engel, Calnon, & Bernard, 2002, p. 252). Others
maintain that extra-legal factors continue to effect police actions (Lundman, 2004).
2.5.1 Race and the police.
The discretionary nature of police work has created widespread concern regarding
whether the law is applied fairly and impartially by the gatekeepers of the criminal justice
system. The question of whether police officers target persons on the basis of race is
increasingly being debated by policing officials, civil rights groups, and laypersons - most of
whom proclaim that improper or prejudiced race-based decision-making continues to plague
policing practice. The fundamental contention holds that police officers target non-White
persons when conducting traffic stops or field interrogations due to the activation of negative
stereotypes - stereotypes comprising of characteristics such as aggressiveness, violence, and
criminality (e.g., Brigham, 1973; Devine & Elliot, 1995).
The pertinent nature of this issue is exemplified by the diverse legislation enacted to
endorse compliance with the duty of strict enforcement. For example, in February of 2013
Victoria Police announced that it would examine its policies and practices amidst claims of
racial discrimination and profiling. In the 2014 report entitled Equality is not the same…, the
organisation committed to developing and implementing education reform to target
“unconscious bias, immersion, human rights, cultural awareness, and enhanced
communication training” (Victoria Police, 2014b, p. 12). Evidently, attempts to regulate
police discretion are ubiquitous. However, scholars and practitioners continue to attest to its
existence and inevitable exercise.
International studies (particularly those conducted in the U.S.) examining the effect of
race on the probability of arrest have identified disparities in the treatment of Black and
White suspects, to the disadvantage of the former (Alpert et al., 2007; Brown & Frank, 2005;
Crawford, 2000; Novak & Engel, 2005; Novak et al., 2002; Visher, 1983; Withrow, 2004;
see Table 4). Taking into account offender deference, seriousness of injuries sustained by the
victim (Smith & Visher, 1981), offender’s history of violence (Bachman & Coker, 1995), and
interaction-phase crime (Brown & Frank, 2005) failed to ameliorate the race effect in some
instances (Lundman, 1998; Smith, Visher, & Davidson, 1984). Indeed, this compilation of
literature suggests that Black suspects are arrested more frequently under circumstances that
do not constitute sufficient grounds for prosecution (Gelman, Fagan, & Kiss, 2005; Smith &
Petrocelli 2001), a finding supported by Kochel, Wilson, and Mastrofski’s (2011) recent
meta-analysis of the effect of suspect race on officers’ arrest decisions.
More sophisticated analyses (Mastrofski, Worden, & Snipes, 1995; Smith & Visher,
1981) have attributed this discrepancy to other legal and extra-legal factors including: Black
complainants lobbying more frequently for formal police action (Smith, 1987), Black
suspects presenting more prominently with a disrespectful demeanour, and various legal
factors (e.g., Engel, 2000). Null findings are commonly yielded across time, research sites,
and data collection methods (Berk & Loseke, 1980; Engel & Silver, 2001; Klinger, 1996;
Mastrofksi et al., 1995; Petrocelli, Piquero, & Smith, 2003; Smith, 1984; Smith & Klein,
1984; Worden & Pollitz, 1984), with most reporting no significant association between
suspect race and the probability of arrest. Adding further to the established ambiguity is the
frequent identification of an inverse effect (D’Alessio & Stolzenberg, 2003; Smith, 1987),
wherein White suspects (vs. Black suspects) were found to be more likely to be arrested for
various offence categories.
The existing international research on racial bias in arrest rates has failed to clarify the
race/arrest relationship. Some of the literature suggests that the association between race and
arrest is a spurious one and that taking into effect differing levels of antagonism or
seriousness of the offence eliminates the association. Others, however, have yielded evidence
to the contrary (e.g., Gelman et al., 2005; Kochel et al., 2011). Given vast differences in how
variables are measured and what legal and extra-legal factors are taken into consideration has
meant that discerning the relationship between race and arrest has been, and continues to be,
a problematic one. While previous U.S.-based studies are informative, the extent of the
generalisability of findings to Australia is not yet.

Table 4. Review of studies investigating the effect of suspect race on police officer decision-making.

Quality
Alpert, G. P., 2007 US Systematic Observation: 8 police districts; 400 2% of White and Hispanic suspects Medium
Dunham, R. G., observations of traffic and hours of observation. were arrested after a traffic stop
& Smith, M. R. violator patterns at selected compared to 3.7% of Black suspects.
intersections; demographic data
collected from the US Census
Bureau, 2000.
Bachman, R., & 1995 US Secondary Data Analysis: 1,535 intimate, male Black men who victimised Black Medium
Coker, A. L. National Crime Victimization perpetrated violence women were 1.94 times more likely
Survey 1987-1992. incidents. to be arrested than White men who
victimised White women when
controlling for victim injury,
offender’s history of violence, and
marital status.
Berk, S. F., & 1980 US Secondary Data Analysis: 405 incident reports. Race did not have a significant effect Medium
Loseke, D. R. domestic disturbance incidents on the probability of arrest (β = .02, p
provided through a special unit of > .05).
the District Attorney’s office of
Santa Barbara County. 730
incident reports were gathered
during 1978 and 1979.
Brown, R. A., 2005 US Secondary Data Analysis: 617 police-suspect Black (vs. White) suspects 14.7 times Medium
& Frank, J. ‘Cincinnati Police Department encounters. more likely to be arrested rather than
Community Policing Study’ cited in traffic encounters when
database comprising of 2,671 controlling for interaction-phase
observed police-suspect crime. Race exhibited no significant
encounters in Cincinnati during effect on arrest in the non-traffic
1997 and 1998. sample (odds ratio = 0.58, p > .05).
Crawford, C. 2000 US Secondary Data Analysis: 586 official reports that Black suspects comprised 88% of Medium
incident data of official responses resulted in action. those arrested for noise complaints
to excessive noise ordinance taking place in a vehicle.
violations in Midwest City during
1998 and 1999.
D’Alessio, S. J., 2003 US Secondary Data Analysis: 9,551 cases of forcible White suspects were 22% more likely Medium
& Stolzenberg, ‘National Incident-Based rape; 12,315 cases of to be arrested for robbery, 13 % more
L. Reporting System’ database robbery; 60,249 cases of likely to be arrested for aggravated
comprising of 2,852 reporting aggravated assault; assault, and 9% more likely to be
jurisdictions in 17 states during 253,504 cases of simple arrested for simple assault when
1999. assault. controlling for offence
characteristics, offender
characteristics and victim
characteristics. No differences
identified for cases of forcible rape.
Engel, R. S. 2000 US Secondary Data Analysis: ‘Project 239 police officers; 81 Race did not have a significant effect
on Policing Neighborhoods’ supervisors; 1,487 non- on the probability of arrest for either
database comprising of 7,443 traffic-related suspects; non-traffic (β = -.21, p > .05) or
observed police-suspect 581 traffic suspects. traffic (β = -.21, p > .05) suspects.
encounters in Indianapolis and St.
Petersburg, FL conducted during
1996 and 1997.
Engel, R. S., & 2001 US Secondary Data Analysis: ‘Project 1,289 misdemeanour Race did not have a significant effect
Silver, E. on Policing Neighborhoods’ offences; 1,578 on the probability of arrest for either
(POPN) dataset comprising of misdemeanour offences. the POPN (β = -.29, p > .05) or PSS
1,849 observed police-suspect (β = -.33, p > .05) datasets.
encounters in Indianapolis and St.
Petersburg during 1996-1997;
Police Services Study (PSS)
database comprising of 24 police
agencies, 900 observed shifts and
5,688 observed police-suspect
encounters in St. Louise, MO;
Rochester, NY; Tampa and St.
Petersburg, FL during 1977.
Gelman, A., 2005 US Secondary Data Analysis: New 15, 869 records. One in 7.9 White suspects stopped Medium
Fagan, J., & York Police Department police were arrested compared to 1 in 9.5
Kiss, A. records on stops during 1998 and Black suspects.
1999.
Klinger, D. A. 1996 US Secondary Data Analysis: ‘Metro 245 disputes. Race did not have a significant effect Medium
Dade Police Department Dispute on the probability of arrest (β = -.08,
Study’ database comprising of p > .05).
245 observed disputes in Metro
Dade County during 1985 and
1986.
Kochel, T. R., 2011 US Meta-analysis. 27 independent data sets. Minority suspects 30% more likely to Medium
Wilson, D. B., be arrested that White suspects.
& Mastrofski,
S. D.13
Lundman, R. J. 1998 US Systematic Observation: for 15 100 police-suspect Black drunk drivers were 18% more Medium
months starting in June 1970, encounters. likely to be arrested than their White
seven observers accompanied and Native American counterparts.
police officers in Midwest City
for a total of 365 eight-hour shifts
involving 2,000 police-suspect
encounters.
Mastrofski, S. 1995 US Systematic Observation: 120 officers; 1,300 Race did not have a significant effect Medium
D., Worden, R. researchers accompanied officers observation hours. on the probability of arrest (odds
E., & Snipes, J. on patrol beats, taking brief notes ratio = .58, p > .05).
B. on officer activities and
encounters.
Novak, K. J., & 2005 US Secondary Data Analysis: 617 police-suspect Non-White suspects were 0.85 times Medium
Engel, R. S. ‘Cincinnati Police Department encounters. more likely to be arrested than their
Community Policing Study’ White counterparts.
database comprising of 2,671
observed police-suspect
13
Despite the strength of the analytic method used in this study, some concern regarding its sample must be noted. The authors utilised a high percentage of unpublished doctoral theses in their estimation of effect.
This produces a number of concerns, including limited exposure to the peer-review process and restricted access to the original work.
encounters in Cincinnati during

1997 and 1998.
Novak, K. J., 2002 US Secondary Data Analysis: 334 police-suspect Being of a minority race increased Medium
Frank, J., ‘Cincinnati Police Department encounters. the likelihood of arrest by a factor of
Smith, B. W., & Community Policing Study’ 3.08 for beat officer encounters but
Engel, R. S. dataset comprising of 2,671 only by a factor of 1.37 for
observed police-suspect community-oriented policing
encounters in Cincinnati during officers.
1997 and 1998.
Petrocelli, M., 2003 US Secondary Data Analysis: traffic 4,782 traffic stops. Black suspects searched at a higher Medium
Piquero, A. R., stop data collected by the rate (β = .57, p < .05), however
& Smith, M. R. Richmond Police Department arrested less frequently (β = -.44, p <
from January to March 2000. .01) than their White counterparts.
Smith, D. A. 1984 US Secondary Data Analysis: ‘Police 1,139 police-suspect Race did not have a significant effect Medium
Services Study’ database encounters. on the probability of arrest (t = 1.47).
comprising of 24 police agencies,
900 observed shifts and 5,688
Smith, D. A. 1987 US Secondary Data Analysis: ‘Police 102 police-suspect Race of the disputing dyad Medium
Services Study’ database encounters. influenced how police handled the
comprising of 24 police agencies, encounter. In violent encounters
900 observed shifts and 5,688 among Non-whites the probability of
observed police-suspect arrest was .16, the estimated
encounters in St. Louise, MO; probability of arrest for encounters
Rochester, NY; Tampa and St. involving Whites was .59.
Smith, D. A., & 1984 US Secondary Data Analysis: ‘Police 333 interpersonal Race did not have a significant effect Medium
Klein, J. R. Services Study’ database disputes. on the probability of arrest (t = .17).
Smith, D. A., & 1981 US Secondary Data Analysis: ‘Police 742 police-suspect Black suspects were more likely to Medium
Visher, C. A Services Study’ database encounters. be arrested even when controlling for
comprising of 24 police agencies, the effects of suspect demeanour and
900 observed shifts and 5,688 various suspect characteristics (z =
observed police-suspect 2.23).
Smith, D. A., 1984 US Secondary Data Analysis: ‘Police 611 police-suspect Race found to be a significant Medium
Visher, C. A., Services Study’ database encounters. determinant of arrest when other
& Davidson, L. comprising of 24 police agencies, aspects of the encounter were
A. 900 observed shifts and 5,688 controlled for (t = 2.03). This race
observed police-suspect effect was eliminated in encounters
encounters in St. Louise, MO; involving both suspects and victims
Rochester, NY; Tampa and St. (t = 1.20).
Smith, M. R., & 2001 US Secondary Data Analysis; utilised 4,782 traffic stops. The ratio of stops to arrests was Medium
Petrocelli, M. traffic stop data collected by higher among minorities than it was
Richmond Police Department for Whites. Police stopped 1.8
from January 2000 to March minorities for every ticket issued or
2000. Officer vehicles were arrest made compared with 1.5
equipped with mobile data Whites.
computers that required the
officer to enter preselected
information on the suspect and the
stop; US bureau of the Census,
1990 for overall population
figures.
Visher, C. A. 1983 US Secondary Data Analysis: ‘Police 785 police-suspect Black male (t = 1.65) and Black Medium
Services Study’ database encounters. female (t = 2.09) suspects were more
comprising of 24 police agencies, likely to be arrested than their White
900 observed shifts and 5,688 counterparts.
Withrow, B. L. 2004 US Secondary Data Analysis: Wichita 37,454 police-suspect Black and Hispanic suspects were Medium
police department database encounters. 1.84 and 1.28 (respectively) times
comprising of 37,454 police- more likely to be arrested during a
citizen encounters in Witchita police stop compared to their White
during 2001; participating police counterparts.
officers collected data following
every police/citizen contact of an
official nature; US bureau of the
Census, 2001 for overall
population figures.
Worden, R. E., 1984 US Secondary Data Analysis: ‘Police 167 police-suspect Race had no effect on arrest Medium
& Pollitz, A. A. Services Study’ database encounters. decisions in a sample of domestic
comprising of 24 police agencies, disturbance incidents.
2.5.2 Demeanour or crime?
The widely held assumption that hostile suspects are more likely to be arrested than
their deferential counterparts arose from early qualitative research (Westley, 1970) and
subsequent quantitative analyses of observational data. Between 1980 and 1987 an array of
studies reported that the likelihood of arrest increased as the level of deference displayed by
suspects’ decreased (Black, 1980; Smith, 1984, 1987; Smith & Klein, 1983, 1984; Smith &
Visher, 1981; Smith, Visher, & Davidson, 1984; Visher, 1983; Worden & Pollitz, 1984). The
magnitude of the estimated effect was substantial, leading suspect antagonistic behaviour to
be conceptualised as an indicator of the need for formal means of control (i.e., arrest).
Strong objection for this proposition came from Klinger (1994) who contended that
the cited research failed to sufficiently control for crime and erred in the measurement of
demeanour. The author yielded statistical support for his criticism, finding that the effect of
disrespectful demeanour on officer decision-making was small in magnitude and statistically
insignificant. The majority of subsequent analyses, however, continued to demonstrate
significant findings regarding the influence of demeanour on arrest (Brown & Frank, 2005;
Crawford, 2000; Engel & Silver, 2001; Engel, Sobol, & Worden, 2000; Lundman, 1994,
1998; Mastrofski et al., 1995; Novak & Engel, 2005; Novak et al., 2002; Swatt, 2002;
Worden & Shepard, 1996; see Table 5), with some noted exceptions (Mastrofski, Snipes, &
Parks, 2000; Terrill & Mastrofski, 2002).
In their reanalysis of the Police Services Study (PSS) database, Worden and Shepard
(1996) failed to find any evidence to suggest that previous findings were biased, either by the
operationalisation of demeanour or by the failure to control more adequately for pre-
intervention and interaction-phase crime. In Klinger’s (1996) own reanalysis of his 1994
investigation a threshold effect was identified. Whilst three demeanour measures did not
exert a significant effect on the likelihood of arrest a measure of extreme hostility bore a
significant association. This was later corroborated by Engel et al., (2000) who found that the
effect of demeanour was contingent on its severity.
The demeanour literature is plagued by the operationalisation and measurement of the
term. Some have considered demeanour to be anything that may be interpreted negatively by
a police officer, others have defined it as a failure to display deference yet others have
distinguished between verbal acts of disrespect and physical acts of resistance. These various
behaviours are often assumed to be manifestations of the same concept and so it is difficult to
know precisely what is being captured in the resulting measures. With these limitations in
mind, the above reviewed U.S. literature suggests that suspect demeanour and non-compliant
or resistant behaviour contribute to the eventual decision to arrest. Even when a number of
other factors and interaction effects are taken into account, demeanour continues to exert an
effect on police officer decision-making. Notably this is a generalisation that can only be
applied to the U.S. - the relevance of suspect demeanour to the Australian policing context
remains untested.
Table 5. Review of studies investigating the effect of suspect demeanour on police officer decision-making.

Quality
Black 1980 US Systematic Observation: 554 police-suspect Antagonistic behaviours increased Medium
observation of police officers in encounters. the probability of arrest by 78% in
Boston, Chicago and Washington citizen-initiated encounters and by
D.C. conducted in 1966. 62% in police-initiated encounters.
Brown, R. A., 2005 US Secondary Data Analysis: 617 police-suspect Disrespectful demeanour did not Medium
& Frank, J. ‘Cincinnati Police Department encounters. significantly increase the likelihood
Community Policing Study’ of arrest for either non-traffic (odds
dataset utilising systematic social ratio = 4.20, p > .05) or traffic-related
observation to compare activities offences (odds ratios = 0.34, p > .05).
of community policing officers
and officers assigned to
traditional police duties during
1997 and 1998.
Crawford, C. 2000 US Secondary Data Analysis: 586 official reports that Suspect noncompliance increased the Medium
incident data of official responses resulted in action. likelihood of arrest (β = .29, p < .10)
to excessive noise ordinance
violations in Midwest City during
1998 and 1999.
Engel, R. S. 2000 US Secondary Data Analysis: ‘Project 239 police officers; 81 Displays of disrespect toward police
on Policing Neighborhoods’ supervisors; 1,487 non- associated with increased risk of
database comprising of 7,443 traffic-related suspects; arrest (β = .56, p < .01) and use of
observed police-suspect 581 traffic suspects. force (β = 1.40, p < .001) for non-
encounters in Indianapolis and St. traffic suspects and for traffic
Petersburg, FL conducted during suspects (β = .80, p < .01), (β = 1.06,
1996 and 1997. p < .001) respectively.
Engel, R. S., & 2001 US Secondary Data Analysis: ‘Project POPN 1,289 Suspects that were disrespectful Medium
Silver, E. on Policing Neighborhoods’ misdemeanour offences; towards an officer were more likely
(POPN) dataset comprising of PSS 1,578 to be arrested than their deferential
1,849 observed police-suspect misdemeanour offences. counterparts in the POPN (β = .53, p
encounters in Indianapolis and St. < .01) database, these findings were
Petersburg during 1996-1997; not replicated for the PSS database (β
Police Services Study (PSS) = -.16, p > .05). Noncompliant
database comprising of 24 police suspects were more likely to be
agencies, 900 observed shifts and arrested across both datasets (POPN;
5,688 observed police-suspect β = .94, p < .05, PSS; β = 1.45, p <
encounters in St. Louise, MO; .001).
Engel, R. S., 2000 US Secondary Data Analysis: ‘Police 1,461non traffic-related After controlling for interaction- Medium
Sobol, J. J., & Services Study’ database encounters; 1,082 traffic- phase crime, seriousness of
Worden, R. E. comprising of 24 police agencies, related encounters. encounter, and several demeanour
900 observed shifts and 5,688 interaction effects, disrespectful
observed police-suspect suspects were 2.2 times more likely
encounters in St. Louise, MO; to be arrested.
Klinger, D. A. 1994 US Secondary Data Analysis: Metro- 245 disputes. Demeanour did not exert a direct Medium
Dade police department dataset effect on arrest when interaction-
comprising of 245 observed phase crime was controlled for, (β =
disputes in Dade County, FL .01, p = .98).
during 1985 and 1986.
Klinger, D. A. 1996 US Secondary Data Analysis: Metro- 245 disputes. Three demeanour measures exerted Medium
Dade police department dataset no significant effect on the likelihood
comprising of 245 disputes in of arrest once measured crime was
Dade County, FL during 1985 and controlled for; a fourth measure
1986. (extreme hostility) significantly
predicted the probability of arrest (β
= 1.23, p < .05).
Lundman, R. L 1994 US Secondary Data Analysis: 195 public drunkenness Impolite and hostile demeanour did Medium
‘Midwest City Police-Citizen encounters; 200 juvenile not significantly predict the
Encounters’ dataset comprising of encounters; 290 traffic likelihood of arrest when crime was
365 observed eight-hour shifts law violation encounters. partially controlled for (β = .47, p >
conducted in 1970 and 1971. .05; β = .34, p > .05 respectively).
Mixed and greater than average
impolite demeanour was a significant
predictor of arrest (β = 1.02, p < .05;
β = .77, p < .05)14.
Lundamn, R. L. 1998 US Systematic Observation: for 15 100 police-suspect Impolite demeanour had the largest Medium
months starting in June 1970, encounters. relative effect on arrest, increasing
seven observers accompanied the probability of arrest by 28%.
police officers in Midwest City
encounters.
Mastrofski, S. 1995 US Secondary Data Analysis: 101 officers and 451 Active resistance increased the odds Medium
D., Worden, R. ‘Richmond Bureau of Police- citizens suspected of of arrest by 4.89.
E., & Snipes, J. Citizen Encounters’ database some criminal mischief.
B. comprising of 120 officers who
encountered 1,630 citizens in
Richmond during 1992.
Novak, K. J., & 2005 US Secondary Data Analysis: 617 police-suspect Disrespectful suspects were 0.82 Medium
Engel, R. S. ‘Cincinnati Police Department encounters. times more likely to be arrested than
Community Policing Study’ their deferential counterparts.
dataset comprising of 2,671
1997 and 1998.
14
These examinations utilised a one-tailed test of significance, allowing for a rejection of the null hypothesis with a less extreme result than that required by a two-tailed test. Authors did not justify the decisions to use
a one-tailed test.
Novak, K. J., 2002 US Secondary Data Analysis: 334 police-suspect Hostile (vs deferent) suspects were Medium
Frank, J., ‘Cincinnati Police Department encounters. 3.03 times more likely to be arrested
Smith, B. W., & Community Policing Study’ by beat officers and 1.46 times more
Engel, R. S. dataset comprising of 2,671 likely to be arrested by community-
observed police-suspect oriented policing officers.
encounters in Cincinnati during Noncompliance increased the
1997 and 1998. likelihood of arrest by a factor of
13.58 for beat officer encounters and
by a factor of 9.24 for community-
oriented policing officers.
Smith, D. A. 1984 US Secondary Data Analysis: ‘Police 1,139 police-suspect Arrest was significantly more likely Medium
Services Study’ database encounters. in encounters with antagonistic
comprising of 24 police agencies, offenders (t = 6.43); antagonistic
900 observed shifts and 5,688 suspects were not significantly more
observed police-suspect likely to be arrested in militaristic
encounters in St. Louise, MO; agencies (high bureaucratisation and
Rochester, NY; Tampa and St. low professionalism).
Smith, D. A. 1987 US Secondary Data Analysis: ‘Police 102 police-suspect Suspect antagonism toward the Medium
Services Study’ database encounters. police increased the probability of
comprising of 24 police agencies, arrest by .40.
Smith, D. A. & 1983 US Secondary Data Analysis: ‘Police 950 police-suspect Antagonistic behaviour increased the Medium
Klein. J. R. Services Study’ database encounters. probability of arrest across all
comprising of 24 police agencies, departmental contexts. Most
900 observed shifts and 5,688 profoundly in fraternal police
observed police-suspect agencies (β = .23, p < .05), followed
encounters in St. Louise, MO; by legalistic (β = .17, p < .05),
Rochester, NY; Tampa and St. militaristic (β = .15, p < .05) and
Petersburg, FL during 1977. service (β = .10, p < .05) style
agencies.
Smith, D. A., & 1984 US Secondary Data Analysis: ‘Police 333 interpersonal Demeanour significantly increased Medium
Klein, J. R. Services Study’ database disputes. the probability of arrest (t = 3.16);
comprising of 24 police agencies, 29% of antagonistic suspects were
900 observed shifts and 5,688 arrested compared to 11.7% of their
observed police-suspect deferential counterparts.
Smith, D. A., & 1981 US Secondary Data Analysis: ‘Police 742 police-suspect Antagonistic demeanour increased Medium
Visher, C. A. Services Study’ database encounters. the probability of arrest by .25.
Smith, D. A., 1984 US Secondary Data Analysis: ‘Police 611 police-suspect Disrespectful demeanour increased Medium.
Visher, C. A., Services Study’ database encounters. the probability of arrest by 1.03.
& Davidson, L. comprising of 24 police agencies,
A. 900 observed shifts and 5,688
Swatt, M. L. 2002 US Secondary Data Analysis: 1,989 citizens. Best predictor of arrest was Medium
Teplin’s (1984; 1985) dataset disrespectful/threatening demeanour
comprising of 1,382 observed (β = 2.79, Wald χ2 (23) = 69.01, p <
police-suspect encounters in .05), followed by
Chicago, IL during 1980 and acquiescent/detached demeanour (β =
1981. 2.16, Wald χ2 (23) = 50.77, p < .05),
and pleading/frightened demeanour
(β = 1.74, Wald χ2 (23) = 22.73, p <
.05).
Terrill, W., & 2002 US Secondary Data Analysis: ‘Project 3,166 police-suspect Suspects who displayed disrespectful
Mastrofski. S. on Policing Neighborhoods’ encounters. behaviour toward officers were no
D. database comprising of 3,116 more likely to have force used on
observed police-suspect them than were those who were
encounters in Indianapolis and St. respectful (β = -.06, p < .05).
Petersburg during 1996 and 1997.
Visher, C. A. 1983 US Secondary Data Analysis: ‘Police 785 police-suspect Hostile or antagonistic behaviour had Medium
Services Study’ database encounters. significant but equal effects on arrest
comprising of 24 police agencies, decisions for male and female
900 observed shifts and 5,688 suspects (t = - 1.29).
Worden, R. E., 1984 US Secondary Data Analysis: ‘Police 167 domestic disturbance Disrespectful demeanour increased Medium
& Pollitz, A. A. Services Study’ database encounters. the probability of arrest by .43.
Worden, R. E., 1996 US Secondary Data Analysis: ‘Police 2.932 suspects. Disrespectful demeanour increased Medium
& Shepard, R. Services Study’ database the probability of arrest from .06 to
L. comprising of 24 police agencies, .61. Passive noncompliance and
900 observed shifts and 5,688 active verbal resistance raise the
observed police-suspect probability of arrest from .09 to .27
encounters in St. Louise, MO; and .22, respectively.
2.5.3 Is chivalry dead?
Fiction has almost exclusively assigned the victim role to the female gender;
depicting the male as a violent aggressor and the female as a passive sufferer. Scholars have
argued that this societal attitude has penetrated the legal system, such that female offenders
are afforded greater leniency than their male counterparts. Pollak (1950) termed this
phenomenon the ‘chivalry hypothesis’ some 65 years ago, proposing that women who behave
in ways that are congruent with traditional female roles of purity and submission receive
preferential or lenient treatment (Horowitz & Pottieger, 1991). U.S. research on the effects of
gender bias on police officer decision-making is limited (see Table 6). However, there is
some evidence to suggest that officers are more likely to extend comfort or reassurance to
female citizens, display less suspicion towards women (Smith, Makarios, & Alpert, 2006),
issue more traffic-related tickets to male drivers (Makowsky & Stratmann, 2009), use greater
levels of force against male suspects (Terrill & Mastrofski, 2002), and arrest male suspects
significantly more than female suspects (Brown & Frank, 2005; Mastrofski et al., 1995;
Novak & Engel, 2005; Novak et al., 2002; Smith & Klein, 1984), with some noted exceptions
(Blalock, DeVaro, Leventhal, & Simon, 2011; Engel & Silver, 2001; Lundman 1998; Smith,
1984; Swatt, 2002).
The most comprehensive analysis of the effect of gender on arrest probability was
conducted by Smith and Visher (1981). The authors found that, all else being held constant,
gender had no significant effect on the probability of arrest. A complex pattern of interaction
between gender and police officer decision-making has since been identified (Visher, 1983),
suggesting that chivalrous treatment at the stage of arrest may depend largely on a set of
gender expectations that exist between men and women (Krohn, Curry, & Nelson-Kilger,
1983). Essentially, when women behave in a manner incongruent with traditional sex-roles
the tendency for police officers to offer greater leniency is extinguished. That is, “chivalry
exists … for those women who display appropriate gender behaviours and characteristics”
(Visher, 1983 p. 5).

Table 6. Review of studies investigating the effect of gender on police officer decision-making.

Quality
Blalock, G., 2011 US Secondary Data Analysis: 244,119 police-suspect No evidence to suggest that men are Medium
DeVaro, J., Bloomington, IL; Boston, MA; encounters. more likely than woman to be
Leventhal, S., & Highland Park, IL; Tennessee; ticketed when stopped.
Simon, D. H and Witchita, KS police datasets
comprising of 11,688; 176,033;
4,620; 15,404; and 36,374
encounters, respectively. Data
collection occurred between 2001
and 2005.
Brown, R. A., 2005 US Secondary Data Analysis: 617 police-suspect Female suspects were significantly Medium
& Frank, J. ‘Cincinnati Police Department encounters. less likely to be arrested than their
Community Policing Study’ male counterparts for both non-traffic
dataset utilising systematic social (β = -1.66, p < .05) and traffic-related
observation to compare activities (β = -3.47, p < .01) offences.
of community policing officers
and officers assigned to traditional
police duties during 1997 and
1998.
Engel, R. S., & 2001 US Secondary Data Analysis: ‘Project POPN 1,289 Male suspects were significantly Medium
Silver, E. on Policing Neighborhoods’ misdemeanour offences; more likely to be arrested in the
(POPN) dataset comprising of PSS 1,578 misdemeanour POPN (β = .42, p < .05) database,
1,849 observed police-suspect offences. this finding was not replicated for the
encounters in Indianapolis and St. PSS database (β = .33, p > .05).
Petersburg during 1996-1997;
Police Services Study (PSS)
database comprising of 24 police
agencies, 900 observed shifts and
5,688 observed police-suspect

Krohn, M. D., 1983 US Secondary Data Analysis: three 10,723 contacts. The non-additive effect of sex and Medium
Curry, J. P., & birth cohorts (1942, 1949, 1955) minority status indicated that the sex
Nelson-Kilger, from school census records difference for Black suspects was .13
S. totalling 6,127 persons. Police and .04 for White suspects. No
contact records for each cohort significant minority status difference
member were determined using in the probability of referral for
police files. A total of 19,489 contacts with males (White suspects
contacts were recorded. = .24; Black suspects = .26).
Lundamn, R. J. 1998 US Systematic Observation: for 15 100 police-suspect Sex did not significantly increase the Medium
months starting in June 1970, encounters. likelihood of arrest, males 2% more
seven observers accompanied likely to be arrested than their female
police officers in Midwest City counterparts.
encounters.
Makowsky, M. 2009 US Secondary Data Analysis: Boston 68,357 citations. Females were less likely to receive a Medium
D., & Glove dataset comprising of fine than males (β = -.33, p < .01);
Stratmann, T. 68,357 citations issued in the state fines received by females were 9%
from April 2001 through May lower in sum.
2001.
Mastrofski, S. 1995 US Secondary Data Analysis: 101 officers and 451 Being female reduced the odds of Medium
D., Worden, R. ‘Richmond Bureau of Police- citizens suspected of arrest by a factor of .30.
E., & Snipes, J. Citizen Encounters’ database some criminal mischief.
B. comprising of 120 officers who
encountered 1,630 citizens in
Richmond during 1992.
Novak, K. J., & 2005 US Secondary Data Analysis: 617 encounters. Male suspects were 0.87 times more Medium
Engel, R. S. ‘Cincinnati Police Department likely to be arrested than their female
Community Policing Study’ counterparts.
database comprising of 2,671

1997 and 1998.
Novak, K. J., 2002 US Secondary Data Analysis: 334 police-suspect Females significantly less likely to be Medium
Frank, J., ‘Cincinnati Police Department encounters. arrested than their male counterparts
Smith, B. W., & Community Policing Study’ (β = -1.34, p < .01); being male
Engel, R. S. dataset comprising of 2,671 increased the likelihood of arrest by a
observed police-suspect factor of .29 for beat officer
encounters in Cincinnati during encounters but only by a factor of .09
1997 and 1998. for community-oriented policing
officers.
Smith, D. A. 1984 US Secondary Data Analysis:’ Police 1,139 police-suspect Suspect sex did not significantly Medium
Services Study’ database encounters. affect the probability of arrest (t =
comprising of 24 police agencies, .64, p > .05).
Smith, D. A., & 1984 US Secondary Data Analysis: ‘Police 333 interpersonal Police were significantly less likely Medium
Klein, J. R. Services Study’ database disputes. to arrest in disputes involving female
comprising of 24 police agencies, complainants (11.4%) compared to
900 observed shifts and 5,688 male complainants (21.4%). Male
observed police-suspect suspects were significantly more
encounters in St. Louise, MO; likely to be arrested (17.7%) than
Rochester, NY; Tampa and St. their female counterparts (6.8%).
Smith, D. A., & 1981 US Secondary Data Analysis: ‘Police 742 police-suspect Sex did not significantly increase the Medium
Visher, C. A Services Study’ database encounters. likelihood of arrest (z = .77).
Smith, M. R., 2006 US Secondary Data Analysis: Miami- 62,926 traffic stops. Females were significantly less likely Medium
Makarios, M., Dade County police department to have a record check either of
& Alpert, G. P. dataset comprising of 66,109 themselves (β = -.59, p < .01) or their
traffic stops made during April vehicle (β = -.35, p < .01). When
though to October of 2001. controlling for suspicion, female
suspects continued to be significantly
less likely to be arrested than their
male counterparts (β = -.73, p < .01).
Swatt, M. L. 2002 US Secondary Data Analysis: 1,989 citizens. Suspect sex did not significantly Medium
Teplin’s (1984; 1985) dataset affect the probability of arrest (β = -
comprising of 1,382 observed .03, Wald χ2 (23) = .02, p > .05).
police-suspect encounters in
Chicago, IL during 1980 and
1981.
Terrill, W., & 2002 US Secondary Data Analysis: ‘Project 3,166 police-suspect Physical restraint was used with 19% Medium
Mastrofski, S. on Policing Neighborhoods’ encounters. of males and 13% of females. Verbal
D. database comprising of 3,116 force was also more likely to be used
observed police-suspect on males (44%) than on women
encounters in Indianapolis and St. (40%).
Petersburg during 1996 and 1997.
Visher, C. A. 1983 US Secondary Data Analysis: ‘Police 785 police-suspect 20% of male suspects were arrested Medium
Services Study’ database encounters. compared to 16% of female suspects
comprising of 24 police agencies, – a statistically insignificant
900 observed shifts and 5,688 difference; older female suspects
observed police-suspect were less likely to be arrested than
encounters in St. Louise, MO; their younger counterparts (t = -1.68,
Rochester, NY; Tampa and St. p < .05); Black female suspects were
Petersburg, FL during 1977. more likely to be arrested than their
White counterparts (t = 2.09, p <
.05); antagonistic female suspects
have no advantage over similar male
suspects (t = -1.29, p > .05).
2.5.4 The influence of suspect mental illness.
Police officers frequently encounter persons with mental illness (Teplin, Abram, &
McClelland, 1996). This contact has increased considerably since the 1960s given the
deinstitutionalisation of state mental hospitals (Teplin, 1983), more stringent standards for
civil commitment (Borzecki & Wormith, 1985; Laberge & Morin, 1995), limited access to
community treatment programs, and the compartmentalisation of public mental health
systems (Lurigio & Swartz, 2000). Consequently, policing has had to take on greater
responsibility in initiating interventions and providing assistance to people experiencing
mental illness. Increased contact, coupled with clear evidence to indicate that people
experiencing mental illness are overrepresented amongst incarcerated populations (Ogloff,
2002) has created grave concern as to the possible misapplication of the authority to arrest
(Engel & Silver, 2001).
The term criminalisation has been adopted to describe the disproportionate number of
people experiencing mental illness entering the criminal justice system (Lamb & Weinberger,
1998), raising concern that police officers are resorting more readily to criminal justice
sanctions rather than mental health options (Patch & Arrigo, 1999). Researchers differ in
their conceptualisation of the use of arrest. Some suggest it to be a means of handling the
potentially troublesome behaviour displayed by people experiencing mental illness (Teplin,
1984), whilst others perceive it as a gesture of compassion (Lamb, Weinberger, & DeCuir,
2002) or a reflection of the common belief that people experiencing mental illness are more
violent than the general population (Cuellar, Snowden, & Ewing, 2007). Regardless, the most
influential support for the tenants of the criminalisation hypothesis stemmed from Teplin’s
(1984) and Teplin and Preutt’s (1992) analysis of police interactions with 506 Chicago
suspects. Using the same data, the analyses indicated that the probability of being arrested
was 20% greater for suspects exhibiting signs of mental illness than for those who did not
appear mentally ill. This finding has been replicated more recently by Fisher et al. (2011).
However, debates regarding the accuracy of the criminalisation
hypothesis gradually surfaced (see Table 7). For example, Engel and Silver (2001) found that
suspects experiencing mental illness were significantly less likely to be arrested compared to
suspects deemed as not having a mental illness. The authors concluded that adequately taking
into account various demographic and suspect variables when considering the association
between arrest and mental illness eliminated the criminalisation hypothesis. This finding was
replicated by Novak and Engel (2005), who reported that mentally ill suspects were 1.17
times less likely to be arrested compared to non-mentally ill suspects. In conjunction with
other research (Bonovitz & Bonovitz, 1981; Green, 1997; Hiday, 1992; Swatt, 2002), these
findings diverted attention to the repudiation of the criminalisation hypothesis.
Interest in the role of mental illness and police intervention has recently surged in the
Australian context. However, the focus has predominantly been on police attitudes (Clifford,
2012) and hypothetical vignettes (Godfredson, Ogloff, Thomas, Luebbers, 2010) rather than
actual policing practices. One notable exception is Kesic’s (2011) examination of suspect
mental illness in incidents of fatal and nonfatal police use of force. Kesic’s findings indicated
that persons experiencing a major mental disorder were overrepresented in both fatal and
nonfatal incidents of police use of force. It was concluded that significant training reform was
needed to facilitate police officer decision-making when dealing with people experiencing
mental illness.
Evidently, conflicting findings exist as to the independent influence of a suspect’s
mental illness on the decision to arrest. Some researchers have yielded support for the
criminalisation hypothesis, yet others have found that police officers are reluctant to use
arrest in encounters involving people experiencing mental illness. Although uncertainty
continues to permeate the published literature, it appears that the reinterpretation of previous
findings within the context of more recent evidence indicates that mental illness in of itself
may not substantially increase the likelihood of arrest in police-suspect encounters. Although
arrest has not been investigated in the Australian context, there is some evidence to suggest
that police officers utilise more forceful tactics when dealing with suspects experiencing
mental illness (Kesic, 2011).

Table 7. Review of studies investigating the effect of suspect mental illness on police officer decision-making.

Quality
Bonovitz, J. C., 1981 US Secondary Data Analysis: utilised 214 police-suspect 12 non-dangerous, treatment-resistant Medium
& Bonovitz, J. longitudinal data collected from encounters. individuals were arrested; 9 were
S. police department archives for the jailed.
years 1975 through to 1979.
Engel, R. S., & 2001 US Secondary Data Analysis: ‘Project POPN 1,289 Officers in the POPN study were Medium
Silver, E. on Policing Neighbourhoods’ misdemeanour offences; significantly less likely to arrest
(POPN) dataset comprising of PSS 1,578 mentally disorders suspects (7.6%)
1,849 observed police-suspect misdemeanour offences. compared with non-mentally
encounters in Indianapolis and St. disordered suspects (18.2%). A larger
Petersburg during 1996-1997; percentage of mentally disordered
‘Police Services Study’ (PSS) suspects were arrested (16.2%)
comprising of 5,688 observed compared with non-mentally
police-suspect encounters in St disordered suspects (13.0%) in the
Louise, MO; Rochester, NY; PSS dataset.
Tampa and St. Petersburg, FL
during 1977.
Fisher, W. H., 2011 US Secondary Data Analysis: 10,742 persons. 32.8% of the cohort was arrested at Medium
Simon, L., Roy- Massachusetts Department of least once during the observation
Bujnowski, K., mental health dataset comprising of period, compared with 23.2% of the
Grudzinskas, 10,742 persons receiving inpatient, general Massachusetts population.
A., Wolff, N., residential or case management The cohort were 1.84 times more
Crockett, E., & services during 1991 and 1992. likely to be arrested for drug-related
Banks, S. offences, 5.95 times more likely to be
arrested for assault and battery on a
police officer, and 4.22 times more
likely to be arrested for
misdemeanour crimes against
persons.
Green, T.M. 1997 US Mixed methods: quantitative 148 incident forms; 11 Suspects presenting with mental Medium
component comprised 148 incident police officer interviews illness were 4.17 times more likely to
coding forms completed by police be arrested if they committed a
officers after an encounter with a misdemeanour offence and 1.85
person suffering from mental times more likely to be arrested if
illness. Qualitative component they had a known criminal history.
comprised structured and semi- Informal sanctions were 1.99 times
structured interviews with 11 more likely if the suspect committed
police officers. a violation offence and 1.42 times
more likely if the suspect committed
no offence. Qualitative analysis
indicated that officers believed that
official sanctions can be punishing
for both the officer and the suspect.
Hiday, V. A. 1992 US Secondary Data Analysis: civil 1,226 mentally ill adults. Arrest of candidates in the 6-month Medium
commitment hearings for 1,226 follow-up was infrequent (7.1%);
allegedly mentally ill adults during over half of the arrests (50.9%) were
1984 and 1985 in North Carolina. accounted for by a small number
Court records were used to gather (1.55%) of candidates who had
demographic, diagnostic, and multiple arrests. Candidates were
dangerousness information. A more likely to be arrested for
follow-up occurred six months burglary and larceny than the general
following the commitment hearing. population (21.4% to11.4%, p < .05).
Kesic, D. 2011 AUS Data linkage: data were extracted 48 cases of fatalities, 48 deaths of persons with a mental High
from (i) the Use of Force register, 4,267 cases of nonfatal illness resulting from police use of
(ii) the Law Enforcement use of force. force between November 1982 and
Assistance Program, (iii) the Client February 2007. 91% of suspects were
Interface Management/Operational behaving in an aggressive manner,
Data Store. 91% had weapons, 82% refused to
drop the weapon, 80% threatened
officers with a weapon and 89%
resisted arrest. In the nonfatal use of
force sample, 50% of suspects had
been clients of the mental health
system; 38% had a diagnosed mental
disorder.
Novak, K. J., & 2005 US Secondary Data Analysis: 617 police-suspect Suspects presumed to have a mental Medium
Engel, R. S. ‘Cincinnati Police Department encounters. illness were 1.17 times less likely to
Community Policing Study’ be arrested compared to non-
database comprising of 2,671 mentally disordered suspects.
observed police-suspect encounters
in Cincinnati during 1997 and
1998.
Swatt, M. L. 2002 US Secondary Data Analysis: Teplin’s 1,989 citizens. Mentally illness did not affect the Medium
(1984; 1985) dataset comprising of probability of arrest (β = .41, Wald χ2
1,382 observed police-suspect (23) = .90, p > .05).
encounters in Chicago, IL during
1980 and 1981.
Teplin, L. A. 1984 US Systematic Observation: police 884 police-suspect Probability of arrest nearly 20% Medium
officers were observed in everyday encounters. greater for suspects exhibiting signs
interactions with citizens for 2,200 of mental disorder; 46.7% of
hours and 1,382 encounters in mentally ill suspects were arrested
Chicago, IL during 1980 and 1981. compared to 27.9% of suspects who
showed no signs of mental disorder.
Teplin, L. A., & 1992 US Systematic observation: police 1,072 police-suspect Mentally ill suspects had an arrest Medium
Pruett, N. S. officers were observed in everyday encounters. rate (46.7%) nearly double that of
interactions with citizens for 2,200 non-ill suspects (27.9%).
hours and 1,396 encounters in Hospitalisation was initiated for only
Chicago, IL during 1980 and 1981. 13.3% of the mentally ill suspects.
2.6 Officer Characteristics
Research on the exercise of police discretion has mostly adopted one of two
dispositions (Sherman, 1980). One approach is to examine the actions of police officers
during police-suspect encounters by accounting for any variation in behaviour in terms of
situational factors. Situational explanations posit that police officer behaviour is primarily
influenced by structural characteristics of the immediate situation: the nature of the problem,
the attributes and actions of the suspect, and a host of contextual variables (Berk & Loseke,
1980). The second approach attempts to examine differences in behavioural patterns by
identifying individual variations. This approach is underpinned by psychological theories
which assume that individual characteristics, experiences, views, and outlooks have an effect
on consequent behaviour (Muir, 1977; Worden, 1995). It is beyond the scope of the current
review to examine the attitudinal explanation of police behaviour, this has been extensively
covered elsewhere (see Brown, 1988; Muir, 1977). In the following sections, focus is placed
upon the effect of training and experience.
It is commonly assumed that those who have greater knowledge and more developed
skills perform better than those who have not yet acquired such attributes (e.g., Juliusson,
Karlsson, & Garling, 2005; Perkins & Rao, 1990). Police officers have frequently expressed
the belief that knowledge derived from the classroom setting is of limited value and that
learning occurs predominantly through doing (Bayley & Bittner, 1984), a premise which
police reformers have utilised as the precept to professionalising policing. Does this mean
that policing is not amenable to rational analysis and formal learning? Is the view of policing
as a craft the absolute antithesis of the view of policing as a science? The following sections
review the empirical rigor of this assumption and its implication for the current research.
2.6.1 Train to decide.
Many scholars have proposed that effective police training must address two
fundamental tasks: (i) police officers undertaking the training must acquire the basic
conceptual apparatus which will guide them in understanding the environmental demands
placed upon them, and (ii) training must provide guidance regarding how to exercise
judgment and discretion in real-life situations (Birzer, 2003; Haberfeld, 2002; Marenin,
2004). Although training has developed considerably since the 1960s (Mastrofski, 1990),
knowledge regarding its efficacy is mostly limited to whether higher quantities of training
produce desired changes in police practice. Research in the area is generally scarce, with the
available findings creating uncertainty as to the effect of training on police officer attitudes,
beliefs, skills, and practices. This has produced ample debate regarding whether police
officers base their decisions predominantly on training or their own discretion, an impasse
epitomised by Vinzant and Crothers’ (1998) statement:
Police officers draw on common sense, judgment and other personal resources
when analyzing and acting on a situation, rather than on rules, training or
supervision … The officer does not rely on a predetermined plan of action because no
such plan could possibly cover the variety and complexity of situations that might
arise. (p. 48)
One of the earliest examinations of the effects of training was conducted by
Rosenbaum (1987) who found that training may affect police officer views in the short-term
but that there were few long-term effects once the officers returned to their daily duties.
Recent research has noted similar positive, immediate effects of training on a number of
factors including communication skills (Wheller, Quinton, Fildes, & Mills, 2013), knowledge
of mental illness (Pinfold et al., 2003), behavioural performance (Lonsway, Welch, &
Fitzgerald, 2001), attitudes toward syringe access initiatives (Beletsky et al., 2011) and
trauma resilience (Arnetz, Nevedal, Lumley, Backman, & Lublin, 2008). However, the
generalisability of this research remains limited due to the absence of any follow-up data to
indicate the sustainability (or otherwise) of the identified effects (see Table 8).
The contingent nature of training’s effects appears to depend not only on the logistics
and content of the curricula, but also on the organisational environment from which the
police officer operates. Police officers working within stations that foster and encourage
training principles - manifested through ongoing, supportive supervisory practices - are able
to sustain and adhere to training doctrines (Mastrofski & Ritti, 1996). In other words,
retaining attitudes and beliefs acquired through the received training hinges on whether the
organisation and its leaders accommodate for an environment conducive to training practices.
Academy training that is not reinforced in the field has been shown to produce no lasting
effects on police officer attitudes (Dejong, Mastrofski, & Parks, 2001; Haarr, 2001; Wortley
& Homel, 1995).
Given the nature of resources injected into police training annually, further
examination of the effects of training on police officer decision-making is quintessential.
What role does training have in day-to-day judgments made by police officers? What role do
supervisors have in creating a police culture conducive to training principles?

Table 8. Review of studies investigating the effect of training on police officer decision-making.

Quality
Arnetz, B. B., 2009 US Randomised Controlled Trial: 18 18 police officers. Imagery-trained police officers (vs Medium
Nevedal, D. C., male police officers with 1 year control group) reported significantly
Lumley, M. A., experience in the Swedish police less negative mood following the
Backman, L., & force participated in a live, life-like simulation, t(16) = -2.35, p = .03;
Lublin, A. critical incident simulation. performed significantly better, t(16)
Biological, psychophysiological, = 2.67, p = .02; and had lower heart
behavioural, mood and stress levels rate during the simulation t(16) =
were measured during and after the 26.82, p = .00.
simulation. Nine police recruits
received imagery training over a
ten week period; the other 9 served
as the control group.
Beletsky, L., 2011 US One Group Pre-test Post-test 94 police officers At baseline, officers indicated that Medium
Agrawal, A., Design: an educational intervention responded to baseline syringe access initiatives promote
Moreau, B., was delivered by departmental survey; 78 responded to drug use (51%), increase the
Kumar, P., training specialists in Rhode Island the post-training survey. likelihood of police needle stick
Weiss-Laxer, targeting syringe policy and injuries (58%), and fail to reduce
N., & Heimer, community-level disease disease spread (38%). No significant
R. prevention; pre- and post- change in attitude and knowledge
questionnaires were used to regarding syringe access was
evaluate the effectiveness of the observed post-training.
intervention.
Dejong, C., 2001 US Secondary Data Analysis:’ Police 614 police-suspect Community policing training did not Medium
Mastrofski, S. Services Study’ database encounters. significantly affect the likelihood of
D., & Parks, R. comprising of 5,688 observed utilising problem-solving strategies
B. police-suspect encounters in St. (β = .05, p = .23).
Louise, MO; Rochester, NY;
during 1977.
Haarr, R. N. 2001 US Longitudinal: 446 police recruits 446 police recruits at T1; Positive gains made during Academy Medium
were followed through the Phoenix 389 police recruits at T2; training regarding community-
Regional Police Training Academy 356 police recruits at T3; policing (β = -.55, p < .01) and
and to respective police agencies. 292 police recruits at T4. problem-solving policing (β = -.75, p
A pre-test survey measuring <.01) deteriorated over the course of
baseline attitudes was administered follow-up. Orientation toward
on the first day of Academy community-oriented policing (β = -
training (T1); a post-test occurred .62, p < .01) and problem-solving
16 weeks later (T2); a second post- policing (β = -.59, p <.01) also
test occurred 12 weeks following reduced.
T2 (T3); a final post-test occurred
at the completion of the 1 year
probation period (T4).
Lonsway, K. 2001 US Randomised Controlled Trial: 161 police recruits. No significant differences in content Medium
A., Welch, S., comprised of a control group (30- knowledge F(1, 121) = 26.12, p < .49
& Fitzgerald, L. minute discussion on sexual and rape myth acceptance F(1, 127)
F. assault) and an experimental = .03, p < .86 were identified
training program (3.5 hour between the experimental and control
discussion on sexual assault); 161 groups. Recruits in the experimental
police recruits completed numerous group were more likely to address the
attitude and cognition measures needs and concerns of the victim, X2
following the discussion. (1, 325) = 13.81, p < .01 and were
more likely to provide empathy X2 (1,
N = 259) = 7.87, p < .01).
Mastrofski, S. 1996 US Secondary Data Analysis: survey 443 respondents. In supportive organisational Medium
D., & Ritti, R. data from an earlier analysis environments training increased
R. (Mastrofski et al., 1994) drunk-driving arrest productivity. In
comprising of 1,000 respondents unsupportive departments, training
during 1989 and 1990. showed no impact.
Pinfold, V., 2003 US One Group Pre-test Post-test 163 police officers At the conclusion of the workshop, Medium
Huxley, P., Design: an educational intervention received training; pre- 37% of officers remembered
Thornicroft, G., was delivered by service users in and post-data were information relating to violence,
Farmer, P., South East England targeting available for 109 recovery and prevalence. At follow-
Toulmin, H., & mental health awareness; pre- and officers. up, 6 officers recalled the
Graham T post-questionnaires were used to information. No impact on the belief
that people with mental illness are
evaluate the effectiveness of the likely to be violent was noted; 41%

intervention. rated the training as having no effect
on daily police work.
Rosenbaum, D. 1987 US Randomised Controlled Trial: 122 police recruits (T1), Officers in the experimental group Medium
P. participants were randomly 105 police recruits (T2). produced an average of 37.45 units of
assigned to either the experimental victim-orientated information per
group (received a three-day victim- scenario, while the control group
focused training program) or the averaged only 7.37 such units (p <
control group (received a three-day .01); experimental group supplied an
record-keeping practices training). average of 56.42 units of procedure-
Officers completed a two-part oriented information versus 95.26
survey immediately after the units for the control group (p < .01).
training (T1) and at four months
follow-up (T2).
Wheller, L., 2013 US Randomised Controlled Trial: 576 police officers. Officers in the treatment group had Medium
Quinton, P., participants were randomly attitudes that were significantly more
Fildes, A., & selected from a database of all positive than those in the control
Mills, A. P. C. serving constables within Greater group regarding the delivery of
Manchester Police and randomly quality service, building empathy and
assigned to the treatment group (to rapport, and fair decision-making.
receive training) or the control
group (to not receive training).
Wortley, R., & 1995 AUS Longitudinal: 412 police recruits 412 police recruits. Ethnocentrism increased significantly Medium
Homel, R. completed three surveys whilst during the first year of service;
attending routine aptitude and Academy training did not reduce
fitness examinations (T1); during recruit prejudice F(6,792) = 1.33, p >
Academy training (T2); and at the .05.
completion of the 1 year probation
period (T3).
2.6.2 Experience in making hard decisions.
The dichotomy between “book smart” and “street smart” transcends almost all
disciplines and occupations, the policing sector being no different. Proponents of experience
argue that repetitive exposure to the various situational contingencies of policing is crucial to
establishing good policing practice (Bayley & Bittner, 1984). The fundamental contention
holds that the reality police officers confront in the field is too complex to be reduced to
simple principles that can be taught in a classroom setting - “officers commonly portray
policing as being essentially a craft in which learning comes exclusively through experience
intuitively processed by individual officers” (Bayley & Bittner, 1984, p. 35). Despite the
extensive attention given to studying police work, little is known about the skills acquired
through experience and how, or whether, these change the way in which police officers
approach various encounters (see Table 9). There is limited existent evidence to suggest that
the length of an officer’s tenure has an effect on perceptions of victim cooperativeness
(Robinson & Chandek, 2000), referrals to mental health treatment (Finn & Stalans, 1995),
prejudice (Wortley & Homel, 1995), aggressiveness (Alpert & Dunham, 2004; Mastrofski,
Snipes, & Supina, 1996; Terrill & Mastrofski, 2002), decision-making frames (Dunham,
Alpert, Stroshine, & Bennett, 2005; Finn & Stalans, 2002; Withrow, 2004), implementation
of problem-solving strategies (Dejong et al., 2001), and conceptualisation of intimate partner
violence (Stalans & Finn, 1995).
An Australian-based study conducted by Wortley and Homel (1995) investigated
prejudice among police recruits and its trajectory over the period of their Academy training.
The findings indicated that levels of ethnocentrism (i.e., the belief in the inherent superiority
of one’s own ethnic group) remained unchanged between recruitment and Academy
graduation. The authors also found that field experience could increase police officer
prejudice, particularly if recruits were based in districts characterised by a large Aboriginal

population. It was thus concluded that experience may override the positive effects of training
or in some other way hinder the transfer of the gains made.
The concepts of experience, expertise, and tacit knowledge are ripe in the naturalistic
decision-making literature - a theoretical approach focused on how individuals make
decisions in dynamic, uncertain, and quickly developing situations (Cohen, 1993; Klein,
1999; Zsambok & Klein, 1997). The naturalistic decision-making framework has been
utilised in the formulation of various aspects of decision-making in fire-fighting, military
environments, nuclear power plants, and nursing (Klein, 2008). However, policing has
received surprisingly little attention. Some policing scholars have attempted to apply the
theory to risk management processes (Alpert & Rojek, 2011), decision-making in murder
inquiries (Mullins, Alison, & Crego, 2008), and investigations of rape (O’Keefe, 2002).
These attempts have been limited to theoretical speculation, with little empirical data. As it
stands, the role of experience in police officer decision-making remains empirically
unexplored and ambiguous whilst hypothetically and anecdotally robust.

Table 9. Review of studies investigating the effect of officer’s level of experience on decision-making.

Quality
Alpert, G. P., & 2004 US Secondary Data Analysis: Miami- 499 police-suspect Officers with < 5 years’ experience Medium
Dunham, R. G. Dade County police department encounters. used force in 44% of cases; officers
dataset comprising of 1,622 with 5-10 years’ experience used
observed police-suspect encounters force in 26% of cases; officers with >
during 1973. 10 years’ experience used force in
30% of cases. Officers with more
years of experience user a higher
level of force than officers with fewer
years of experience (r = .16, p = .01).
Dejong, C., 2001 US Secondary Data Analysis: ‘Police 614 police-suspect Officers with less than 10 years of Medium
Mastrofski, S. Services Study’ database encounters. experience were significantly more
D., & Parks, R. comprising of 5,688 observed likely to engage in problem-solving
B. police-suspect encounters in St. strategies (β = .17, p = .01).
Louise, MO; Rochester, NY;
during 1977.
Dunham, R., 2005 US Systematic Observation: field 103 stops. Length of tenure was significantly Medium
G., Alpert, G. observers accompanied officers on associated with suspect resistance, (r
P., Stroshine, three shifts in Savannah, Georgia = .28, p < .01), however did not
M. S., & during 2002. affect the likelihood of arrest (r = -
Bennett, K. .03, p > .05).
Finn, M. A., & 1995 US Survey: 257 police officers from 257 completed surveys. Experienced officers were more Medium
Stalans, L. J. North Georgia were randomly accurate in their decision to
assigned to read one of 12 scripts recommend outpatient mental health
(manipulated through victim injury, (82.25%) compared to their less
antagonism between disputants, experienced counterparts (64.71%).
and husband’s mental state). The accuracy of decisions to not
recommend was similar (73.53% and

72.97% respectively).
Finn, M. A., & 2002 US Secondary Data Analysis: 257 257 completed surveys. Novice officers focused on normative Medium
Stalans, L. J. police officers from North Georgia considerations (e.g.,
were randomly assigned to read blameworthiness), whereas
one of 12 scripts (manipulated experienced officers focused on
through victim injury, antagonism pragmatic and efficiency
between disputants, and husband’s considerations (e.g., risk of future
mental state). violence).
Mastrofski, S. 1996 US Secondary Data Analysis: 346 police-citizen Greater police experience was Medium
D., Snipes, J. ‘Richmond Bureau of Police- encounters; 89 police associated with a significantly lower
B., & Supina, Citizen Encounters’ database officers. likelihood that a compliance request
A. E. comprising of 120 officers who directed at a citizen would take the
encountered 1,630 citizens in form of a suggestion or entreaty (β =
Richmond during 1992. -.05, p < .05).
Robinson, A. 2000 US Survey: officers completed a 229 completed surveys. Length of tenure did not significantly Medium
L., & Chandek, Domestic Violence Case Summary predict the decision to arrest during
M. S. form at the scene of every domestic domestic incidents (β = .01, p > .05).
violence call; officers completed a
Supplemental Form devised by the
authors addressing perceptions of
victim cooperativeness and
characteristics.
Stalans, L. J., & 1995 US Survey: 128 police officers from 128 completed surveys. Experienced officers were more Medium
Finn, M. A. North Georgia were randomly accurate in their decision to
assigned to read one of 8 scripts recommend outpatient mental health
(manipulated through income of (100%) compared to their less
disputants and wife's actions). experienced counterparts (31.58%).
Experienced officers were 7.25 times
more likely to arrest if there was
evidence to substantiate claims,
novice officers were only 1.17 times
more likely to arrest under the same
circumstances. Novice officers more
frequently attributed blame (23.7%)

than did experienced officers (10.4%)
and were 3.10 times more likely to
arrest a husband when he injured a
hallucinating wife.
Terrill, W., & 2002 US Secondary Data Analysis: ‘Project 3,166 police-suspect Encounters with inexperienced Medium
Mastrofski. S. on Policing Neighbourhoods’ encounters. officers were significantly more
D. database comprising of 3,116 likely to result in higher levels of
observed police-suspect encounters force compared to those involving
in Indianapolis and St. Petersburg more experienced officers (β = -.01,
during 1996 and 1997. p <.01).
Withrow, B. L. 2004 US Secondary Data Analysis: Wichita 37,454 police-suspect Officers with greater years of Medium
police department dataset encounters. experience were .99 times less likely
comprising of 37,454 police-citizen to arrest a suspect than their less
encounters in Witchita during experienced counterparts.
2001; participating police officers
collected data following every
police/citizen contact of an official
nature; US bureau of the Census,
2001 for overall population figures.
Wortley, R., & 1995 AUS Longitudinal: 412 police recruits 412 police recruits. Recruits stationed at districts with an Medium
Homel, R. completed three surveys whilst Aboriginal population above 1.1%
attending routine aptitude and became increasingly prejudiced.
fitness examinations (T1); during
Academy training (T2); and at the
completion of the 1 year probation
period (T3).
2.7 Discussion
As expected, the preceding review of the factors influencing police officer decision-
making showed variation across and within studies with inadequate evidence to draw any
firm conclusions. Some themes nevertheless emerged. There were a sufficient number of
studies indicating that race, gender, and demeanour – and to some degree suspect mental
illness - influenced police practice to raise concern as to the constituents of officer decision-
making. The role of training and supervision appears to be muddied; despite the vast
resources injected into police training the available evidence indicates limited prospects of
attitudinal and behavioural change.
The current review has several strengths. The search strategy was extensive and
comprehensive, resulting in a large number of published studies and books. A transparent
methodological quality assessment was carried out, with numerous studies excluded due to
poor methodological rigor and little application to real-world scenarios. However,
randomised controlled trials were rare. This is not entirely unexpected given that correlates of
decision-making do not easily lend themselves to this type of design. Consequently, a large
proportion of the studies reviewed were founded on mixed methods. In an attempt to ensure
research quality, only peer-reviewed empirical work was included and a quality appraisal of
each study was undertaken.
Limitations also arose from the studies included in the review. Most notably, the
majority of the studies utilised have been conducted in the U.S. and as such were unable to
attain a ‘High’ quality rating as generalisability and applicability to the Australian criminal
justice system could not be guaranteed. Many of the studies reviewed relied on secondary
data analysis procedures, which allowed for access to large sample sizes and longitudinal
data. However, control of study population and measures collected were often not exactly
reflective of the research aims. The observational nature of the secondary data also meant that
assessing causality was almost an impossible feat.
In summary, researchers still have much to learn about the effects of legal and extra-
legal situational influences on police decision-making. This appears to be particularly so
within the Australian context. The search to uncover the causes and control of police practice
must extend beyond the limited domains of the situation and the individual police officer.
Situational explanations of police behaviour are predicated on implicit presumptions that
police officer behaviour is the result of situational parameters. Individual explanations
assume that inherent biases of the police officer account for the majority of errors made in the
decision-making process. Yet neither conceptualisation can adequately explain the
complexity and diversity of decision-making. Any theory of police officer decision-making
must assume a holistic stance, encapsulating the effect of situational ambiguity and
uncertainty of the work environment on individual police officers’ decision-making capacity.
It is the intention of the current research to seek to develop such a substantive theory by
considering how police officers make decisions in stressful, ambiguous and potentially
violent incidents. Specifically, the research question was twofold - how does police officer
decision-making unfold amidst dynamic and fast-paced circumstances, and what information
or strategies do police officers use to arrive at a decision outcome? In line with this, a
grounded theory study was undertaken to examine how officers make decisions in situations
where specific actions are not prescribed by police policy and/or procedure
CHAPTER THREE: METHODOLOGY - INTRODUCING GROUNDED THEORY
Qualitative research is utilised in numerous disciplines, fields and subject matters. It is an
interconnected family of terms, concepts and assumptions - its complexity clearly evidenced
by the vast and separate literatures addressing its assorted approaches (i.e., narrative inquiry,
phenomenology, ethnography, case study, and grounded theory). Accordingly, defining
qualitative research in its entirety is an elusive venture, with many scholars asserting that
there is “no general agreement about the conduct of … qualitative inquiry; perhaps there
never will or can be consensus …” (Eisner & Peshkin, 1990, p. 1). Few authors document a
specific or working definition, providing broad definitions that capture fundamental concepts:
“qualitative researchers seek answers to their questions in the real world … They gather what
they see, hear, and read from people and places and from events and activities” (Rossman &
Rallis, 2003, p. 4). Others have attempted more capacious definitions:
Qualitative research is a situated activity that locates the observer in the world. It
consists of a set of interpretive, material practices that make the world visible. The
practices transform the world. They turn the world in a series of representations,
including field notes, interviews, conversations, photographs, recordings, and memos
to the self … qualitative researchers study things in their natural settings, attempting
to make sense of, or to interpret, phenomena in terms of the meanings people bring to
them (Denzin & Lincoln, 2008a, p. 3).
Strauss and Corbin (1998) described qualitative research as:
Any type of research that produces findings not arrived at by statistical procedures or
other means of quantification. It can refer to research about persons’ lives, lived
experiences, behaviors, emotions, and feelings as well as about organizational
functioning, social movements, and cultural phenomena (p. 10).
The lack of a firm and fixed definition speaks to the dynamic, ever-evolving, and
progressive nature of qualitative inquiry - the pursuit of a discrete definition is an
insurmountable one. For this reason, researchers are increasingly required to provide clear
and direct explanations (as opposed to definitions) of their chosen method to make apparent
the process on which their research is founded (Suddaby, 2006). In response to this call for
transparency, this chapter is dedicated to the stipulation of the philosophical underpinnings
and procedural elements of the chosen grounded theory method.
3.1 Grounded Theory
First developed by Glaser and Strauss in the 1960s at the University of California,
grounded theory has become the most prodigiously cited qualitative research method in the
social sciences (Bryant & Charmaz, 2007) spanning the disciplines of psychology (Dodson &
Dickert, 2004), mental health nursing (Lakeman, 2013), environmental medicine
(Gustafsson, Dellve, Edlund, & Hagberg, 2003), and education (Kirchhoff & Lawrenz, 2011)
amongst others. With its origins firmly rooted in sociology, grounded theory emphasises the
importance of developing an understanding of human behaviour through discovery and
induction rather than from hypothesis testing and deduction. The fundamental question in
grounded theory is thus: if we assume that meaning is conferred onto the social world
through the interaction of actors, can these social processes then be investigated?
Grounded theory enables the researcher to construct a theoretical account of the
general features of a given research topic whilst simultaneously grounding this account in
empirical observation and data (Glaser & Strauss, 1967). Theories that are generated through
the grounded theory method utilise gerunds (a noun made from a verb by adding “-ing”),
focusing primarily on the processes and trajectories that result in identifiable stages and
phases (Glaser, 1978, 1998). The ultimate outcome is a substantive theory that identifies
analytic configurations (Strauss & Corbin, 1998) and makes lucid the synthesis of descriptive
information through theoretical concepts and relational statements. A focus on process is
central:
Bringing process into the analysis is essential. Process can be the organizing thread or
central category of theory, or it can take a less prominent role. Regardless of the role
it plays, process can be thought of as the difference between a snapshot and a
moving picture … Theory without process is missing a vital part of its story …
(Strauss & Corbin, 1998, p. 179).
Glaser and Strauss’ split in the early development of grounded theory resulted in a
bifurcation - the Glaserian (Glaser, 1992) and the Straussian (Strauss & Corbin, 1990)
schools of thought emerged - diverging primarily in methodological rather than philosophical
regards. The crux of this dichotomy relates to the adopted coding paradigm, the Glaserian
school offers a collection of concepts (i.e., a coding family) that guide the researcher in
developing theoretical sensitivity. Strauss’ coding paradigm focuses on the relationships
between the codes, asking questions such as ‘What conditions caused or influenced concepts
and categories?’ and ‘What are the associated effects or consequences?’ (Strauss & Corbin,
1998). The schools differ in a number of other ways, some negligible and others fundamental
to research direction and execution (see Appendix 2).
The split in methodological trajectories eventually led to the inception of the
constructivist tradition, most strongly associated with the writings of Charmaz (1995, 2006).
Discussions of ontology quickly arose as constructivist grounded theory (CGT) embraced the
epistemological position of subjectivism. Charmaz (2006) acknowledged that interactions
between the researcher and the participant could not be wholly objective and that the
researcher and participant both play an active role in generating data (Gergen, 1985, 2001).
Concepts of ‘truth’ and ‘reality’ were positioned within temporal, cultural, and structural
contexts (Charmaz, 2006) such that researchers were understood to “construct their respective
products from the fabric of the interactions, both witnessed and lived” (Charmaz, 2006,
p.178). This did not, however, preclude the need to present a chain of irrefutable evidence -
for every concept and interpretation produced the researcher ought to demonstrate a
compilation of instances that led to its construction.
Given these different trajectories, Bryant and Charmaz (2007) define the grounded
theory method as comprising a “systematic, inductive, and comparative approach for
conducting inquiry for the purpose of constructing theory” (p. 1). Constructivist grounded
theory differs from the Glaserian and Straussian traditions due to its focus on “how data,
analysis, and methodological strategies become constructed and takes into account the
research contexts and researchers’ positions, perspectives, priorities, and interactions”
(Bryant & Charmaz, 2007, p. 10). Essentially, CGT “assumes the relativism of multiple
social realities, recognises the mutual creation of knowledge by the viewer and the viewed,
and aims toward interpretive understanding of subjects’ meanings” (Charmaz, 2000, p. 510).
Grounded theory followers are an anomaly in forensic psychology research, of the
few studies using this approach some have adopted the Straussian principles (e.g., Joyce,
Dillane, & Vasquez, 2013; McCormack, Hudson, & Ward, 2002), some prefer the
constructivist model (e.g., Reynolds, 2012), and others have opted for a combination of the
two (e.g., Webster & Beech, 2000). The blending of approaches can be challenging, with
some authors contending that “boundaries between the two should be maintained rather than
a synthesis attempted” as it may “violate the philosophical underpinnings of both” (Heath &
Cowley, 2004).
For the purposes of the current research, a constructivist approach was adopted for
several reasons. Firstly, CGT reflects a shift toward social constructivist and postmodernism
doctrines and as such was deemed to be more compatible with contemporary styles of
thinking (McCann & Clark, 2003a; McCann & Clark, 2003b). Second, CGT takes into
account the broader environmental and contextual (i.e., macro) factors that may influence the
phenomenon under investigation, encouraging the production of theory that is both relevant
and compatible to the research setting. Third, as with all grounded theory approaches, the
constructivist framework enabled for theorising in a novel area of research through the
production of a middle-range theory that was ‘grounded’ in the data – identified in, and
developed in relation to, the interpretation of people experiencing the phenomenon (Gephart,
2004). Finally, and most prominently perhaps, was the researcher’s own acceptance of the
effect of the subjective interrelations between the researcher and the participant on the
construction of meaning (Hayes & Oppenheim, 1997). Thus, for the purposes of the current
research the researcher acknowledged herself as a constituent of the research endeavour,
having the disposition of a research apparatus rather than an impartial observer.
3.2 Methodological Tenets of Grounded Theory
In developing the grounded theory method, Glaser and Strauss drew on the
philosophical traditions of pragmatism and early symbolic interactionism (Suddaby, 2006).
The adoption of the pragmatist stance resulted in the rejection of the existence of a scientific
truth and the acceptance of science as an act of observation. The adopted tenants of symbolic
interactionism led to the rejection of the behaviourist notion that human behaviour could be
entirely explained and understood through observation of external stimuli (Locke, 2001). By
placing the interpretive process at the core of scientific inquiry, grounded theory was
presented as a practical research method that could analyse “the actual production of
meanings and concepts used by social actors in real settings” (Gephart, 2004, p. 457).
Hood (2007) argued that the philosophical underpinnings offered by the pragmatism
and symbolic interactionism traditions can be seen in the three central pillars of the grounded
theory method – constant comparison, theoretical sampling, and theoretical saturation. In
constant comparison, data are collected and comparatively analysed simultaneously. Charmaz
(2006) described this process as “taking comparisons from data and reaching up to construct
abstraction and then down to tie these abstractions to data” (p. 181). In this way, the CGT
method produces qualitative codes that arise from or within the data. Theoretical sampling
dictates that any decisions made about data selection must be determined on the basis of the
theory that is being developed rather than on pre-determined hypotheses. Theoretical
sampling is informed by the logic of abduction, in which iterative processes of induction and
deduction drive theory development. Finally, the development of theory occurs through the
theoretical saturation of categories identified in the data by the researcher. The GTM aims for
analytic generalisability, as such grounded theorists make claims about the plausibility of the
theorised elements, not their expressions in a population.
Bryant and Charmaz (2007) agree that the GTM was a profound methodological
development but contend that the initial formulation of the method maintained elements of
the positivist, objectivist tradition. They dispute the contention that there is a reality that is
“unitary, knowable, and waiting to be discovered” (p. 34) and propose that the researcher’s
interpretation supplements the iterative spiral of purposive data gathering and analysis. The
back and forth movement between the data and the conceptual elements being developed
encapsulate the assumption that the phenomenon being investigated is born out of a complex,
ambiguous and dynamic vacuum within which “answers become questionable and questions
ultimately produce answers” (Strauss, 1993, p. 19). The core thesis of GTM states that the
universe is “marked by tremendous fluidity; it won't and can't stand still. It is a universe
where fragmentation, splintering, and disappearance are the mirror images of appearance,
emergence, and coalescence … nothing is strictly determined” (Strauss, 1993, p. 19).

Consequently, any methodology that attempts to understand such a complex phenomenon
must be one of complexity itself (Charmaz, 2000) rather than one that is cloaked in positivist-
oriented claims. For this reason, numerous practical considerations need to be taken into
account to insure the materialisation of research aims. The following section outlines the
practical issues pertaining to the research question, data collection, data analysis, and memo-
writing.
3.2.1 The research question.
A grounded theory study begins with a statement identifying the topic area, conceived
only “in terms of a general disciplinary perspective” (Dey, 1999, p. 3). The research question
sets forth the parameters of the research project and is typically pitched at a descriptive rather
than explanatory level to strategically avoid the offering of any specific hypotheses. Open-
ended statements are employed to provide for sufficient flexibility and freedom. This scope
for divergence is met with restraint to limit distraction offered by unrelated or unproductive
avenues likely to lead to infinite pathways. From this initial opening, the study continually
narrows toward an area of particular concern: with action and process (e.g., ‘How do people
do x?’) and states and conditions (e.g., ‘Why do people do x?’) being the primary motivators
(Strauss & Corbin, 1990).
3.2.2 Data collection.
Grounded theory is compatible with a variety of data collection techniques including
interviews, observations, videos and focus groups. Regardless of the chosen technique/s the
key to data collection is the principle of theoretical sampling, a critical strategy for building a
grounded theory that asks the questions of ‘What groups or subgroups do I target next?’ and
‘For what theoretical purpose?’ (Glaser & Strauss, 1967). While early stages of data
collection call for openness and flexibility, theoretical sampling leads to the refinement and
ultimate saturation of existing and increasingly analytic categories. Theoretical sampling
manifests itself through continued sampling and coding of data until novel instances of
variation for existing categories cease to emerge (Charmaz, 2006). At this point, a handful of
categories and subcategories encapsulate the bulk of the available data. It is important to note
that although many researchers strive for complete saturation of categories, modifications and
changes in perspective may occur at any time;
When generation of theory is the aim, however, one is constantly alert to emergent
perspectives, what will change and help develop the theory. These perspectives can
easily occur on the final day of study or when the manuscript is reviewed in page
proof: so the published word is not the final one, but only a pause in the never-ending
process of generating theory (Glaser & Strauss, 1967, p. 40).
3.2.3 Data analysis.
Data analysis in qualitative research involves systematically alienating the properties
of concepts whilst simultaneously contrasting them with incoming information. Coding
constitutes the most primitive of such processes and serves as “the pivotal link between
collecting data and developing emergent theory to explain these data. Through coding, you
define what is happening in the data and begin to grapple with what it means” (Charmaz,
2006, p. 46) – ergo refining the dimensions of the research problem. Essentially, coding
refers to the attachment of linguistic labels to textual data (Schwandt, 2007), allowing for
analytical meaning to transpire.
The coding procedures of the grounded theory method consist of at least two principal
phases: (i) an initial phase involving the labelling of each word, line or segment of data,
followed by (ii) a focused and selective stage that utilises the most prominent or frequently
occurring codes to sort, synthesise, integrate, and organise the rich textual data. It should be
noted here that coding paradigms vary notably across the established schools of thought. The
Glaserian approach comprises three stages – open coding, selective coding and theoretical
coding (see Glaser, 1978; 2005). Strauss’ strand also consists of three, albeit vastly disparate,
stages – open coding, axial coding15,16 and selective coding (see Strauss & Corbin, 1990).
Given adherence to CGT, the current research will place focus on the coding procedure as
posited by Charmaz (2006).
According to Charmaz (2006), coding begins with an initial phase of analysis wherein
the researcher remains open to all possible directions indicated by the data. Charmaz (2006)
encourages researcher curiosity and the asking of questions such as: ‘What is this data a study
of?’, ‘What does the data suggest?’, ‘From whose point of view?’ and ‘What theoretical
category does this specific datum indicate?’ (p. 47). The presumption within these questions
leads the researcher to code data as action, such that some codes constitute lower level
abstractions (i.e., descriptive codes) whilst others fashion higher level abstractions (i.e.,
analytic codes). Descriptive labels – perhaps derived from words and/or phrases used in vivo
- are attached to discrete instances of phenomena and new, low-level categories frequently
arise. As coding progresses, the researcher is able to form higher-level categories that
systematically integrate the lower-level categories into coherent, analytical units. This coding
paradigm allows categories to be arranged in a hierarchical way, such that some constitute the
core whilst others lie in the periphery.
For many grounded theorists, line-by-line coding constitutes the first key step (Glaser,
15
Strauss and Corbin (1998) define axial coding as the act of “relating categories to subcategories along the
lines of their properties and dimensions” (p. 124). For an extensive description of axial coding refer to Strauss
(1987).
16
Although CGT does not necessarily oppose the application of axial coding, it was not explicitly utilised in the
current research. The primary reasons for this pertained to its overly restrictive nature and its loss of prominence
in the most recent publications proceeding from eminent followers of Straussian grounded theory (see Corbin &
Strauss, 2008).
1978)17, giving new insights into the data (Holton, 2007) and reducing the likelihood that the
researcher merely superimposes his or her preconceived notions (Charmaz, 2006). Key to this
process is the concept of interpretation or the identification of multiple meanings of an event,
object or experience that enables for the identification of themes which best consolidate the
content of the raw data (Denzin & Lincoln, 2008b). Given that constructivism “assumes the
relativism of multiple social realities, recognises the mutual creation of knowledge by the
viewer and the viewed, and aims toward interpretive understandings of subjects’ meanings”
(Charmaz, 2000, p. 510) coding unequivocally represents the analyst’s impressionistic
understanding of what is being described in the experiences, words, and interactions
expressed by the participant. However, this is not “an imprimatur for anarchy or for
ignorance” (Sandelowski, 1994, p. 58), qualitative researchers are not free to make wild
forays into fancy; nor can they be ignorant of the logic and aesthetic of their research method
(Sandelowski, 1994). Rather acknowledging that “there is a difference between an open mind
and an empty head” (Dey, 1999, p. 251) denotes the need to present evidence for derived
conceptualisations - achieved through the iterative process of the CGT method and ongoing
reflective journaling.
Whatever unit of data (e.g., line-by-line, sentence-by-sentence, paragraph-by-
paragraph, and page-by-page) is being used in the coding process the task requires ongoing
interaction with, and immersion in, the data “to dissect them meaningfully while keeping the
relations between the parts intact” (Miles & Huberman, 1994, p. 56). To ensure that coding
maintains momentum, the researcher constantly swings back and forth between the
identification of similarities among, and differences between, emerging categories (i.e.,
constant comparative analysis). Constant comparison ensures that the researcher does not
17
By 1992, Glaser disavowed line-by-line coding, stating that it leads to an overconceptualisation of the
incident and generates too great a number of categories and properties (p. 40). Nonetheless, he argued that it is
at the researcher’s discretion to select the most pronounced codes and compare these across incidents.
merely build up a collection of categories but rather anatomises them into smaller units of
meaning to unveil the full diversity and complexity of the data.
New, fruitful categories that emerge from this early stage of data analysis serve as the
focus for further data collection. Sampling is thus theoretically oriented, with a strong
direction toward conceptual theory. This is termed theoretical sampling and commonly
defined as “the process of data collection for generating theory whereby the analyst jointly
collects, codes and analyses his data and decides what data to collect next and where to find
them …” (Glaser & Strauss, 1967, p. 45). It is the checking of emerging theory against reality
through the sampling of incidents that may challenge or elaborate its developing claims.
Interlinked closely with this propensity to be true to the data is the doctrine of
theoretical sensitivity. Theoretical sensitivity refers to the personal qualities of the researcher
and points to an awareness of the subtleties of meaning - “having insight, the ability to give
meaning to data, the capacity to understand, and capability to separate the pertinent from that
which isn’t” (Strauss & Corbin, 1990, p. 42). It allows the researcher to move from a
descriptive to analytic level, developing a theory that is grounded, conceptually dense and
amiably integrated. Knowledge gained from existing literature can enhance sensitivity to
subtle nuances in data. However the researcher is discouraged from becoming enamoured
with previous work so as to avoid imposing it on the data. As Becker (1986, p. 149) stated
“use the literature, don’t let it use you”.
Focused coding (referred to as selective coding by both Glaser and Strauss) comprises
the second phase; herein the codes become more directed, selective and conceptual
(Charmaz, 2006). The most significant and/or frequent codes are applied to sort, synthesise,
and explain large units of data allowing for events, interactions, and perspectives that were
not previously lucid to come into view. The focused coding stage may prompt a return to
open coding, especially so if compelling avenues of exploration arise.

The final phase of coding is referred to as theoretical coding and occurs when core
categories have become saturated. Theoretical codes conceptualise underlying social
processes at an abstract level such that patterns of behaviour are identified and related. The
coding procedures implemented prior to this phase attempted to fracture the data and cluster
it according to abstract similarity. Conversely, theoretical coding attempts to knit the
fractured pieces back together to conceptualise causal relationships between the derived
hypotheses (Glaser, 1992). In other words, theoretical coding is the process by which
identified codes are related to each other and their relationships examined.
3.2.4 Memo-writing.
“Memos and diagrams begin as rather rudimentary representations of thought and
grow in complexity, density, clarity, and accuracy” (Corbin & Strauss, 2008, p. 118)
ultimately constituting a vital element of theory development. Memo-writing can be
understood as the researcher’s private diarising that often renders a disparate vantage point.
Recording the definition of categories, providing justification for chosen labels, tracing the
emergent relationship between categories, and communicating the progressive assimilation of
higher- and lower-level categories endorses integrative awareness of the emergent theory.
Memos can be long or short, abstract or concrete, integrative or original, graphical or verbal -
nevertheless, they must be dated, contain a heading, and specify to which section/s of data
they pertain. Diagrams serve a similar function - representing thought through visual
depictions that capture concepts at their most bare and fundamental level.
Table 10 and Figure 2 provide examples of a memo and a diagram produced by the
researcher during the course of data analysis. The memo in Table 10 highlights the
researcher’s reflections on the coding process as it related to a particular segment of a
particular interview. It emphasises how the researcher’s impressions about a particular

experience were analysed. Figure 2 depicts a diagram formulating the conceptual
relationships between situational features, physiological arousal and decision-making. Such
diagrams were commonly drawn to record the researcher’s thoughts regarding higher-order
concepts.
Table 10. A memo for an interview conducted in the current research.
12th of December 2014

Coding
"I didn’t bother them trying to get details at that stage", not sure how to
code this line. Seems to me to indicate a decision point at which the officer
decided not to seek further information from the paramedics. He decided
on this as he perceived them to be occupied with tending to the injured
victims. This may indicate that he perceived the health of the victim as
paramount. However, he later goes on to state that the paramedics were
female and expresses concern regarding this. It is possible that he did not
believe the information gleaned from the paramedics would be viable.
I am not sure where this fits. I don't think I have an existing category that
encapsulates this kind of decision point. It does not entirely fit the
'ambulance' code as the decision point does not directly relate to the fact
that the informants were paramedics. It does not fit the 'information' code
perfectly either as it relates mostly to lack of information. In this case he
could have had access to the information had he gathered it from the
paramedics. I will place this data under heuristics and biases for the present
moment as I believe it was a "shortcut" decision based on his previous
dealings with paramedics and other interorganisational members.
Figure 2. A sample diagram used as part of reflexive practice.
Immediate threat & high time pressure or

unexpected
Physiological
reaction/stress
Clouded thinking
Mod level of threat & low-mod time pressure
or highly distressing
Acting on own
Mild level of threat/low-mod time pressure
instinct/ less to do
with partnership
Memory loss/High level of stress leads to disoriented state

Options unclear
May take some time to “snap out of it” and focus on the situation
Training/experience consolidated into decision-making, rational
options considered and most appropriate chosen.
Management of situation primary focus.
Junior officers may struggle here, limited experience means they have
few templates to apply to situations. Mentoring very beneficial here.
Threat seems to comprise; weapon presence, number of offenders,
and demeanour of offender/s
3.3 Summary
Grounded theory involves the progressive identification and integration of categories
of meaning from data that “happens sequentially, subsequently, simultaneously,
serendipitously” (Glaser, 1998, p. 1). This process is concisely encapsulated in Fernandez’s
(2004) high-level model, which highlights the iterative spiral of purposive data gathering and
analysis. This spiral drives a process through which the researcher constructs, assesses, and
develops theoretical concepts that become increasingly abstract. The back and forth
movement between data and the conceptual elements being developed continues until a
theory, that accounts for all variation, has been constructed.
It should be noted that the method has been criticised by those prescribing to the
positivist tradition who often claim that the move away from the objective truth and towards
the doctrine of verstehen18 has led to biased, small scaled, and error prone research. The
accuracy of recall is often argued to deduct from the accuracy of research findings (Nagurney
et al., 2005) with the fallible nature of human memory perceived as a severe constraint on
reliability. The development of guiding frameworks (e.g., Elliott, Fischer, & Rennie, 1999)
has been deemed frivolous given the necessary reliance on researcher judgment – likely to be
impacted by a host of subjective factors such as the skill, insight, capabilities, experience, and
style of each analyst (Patton, 1990).
Although strict adherence to the traditionally defined principles of validity and
reliability cannot be achieved in qualitative work, several writers have demonstrated how
qualitative researchers can incorporate measures to increase the rigor and trustworthiness of
qualitative research (Lincoln & Guba, 1985; Silverman, 2001). An assessment of how well
the criteria were managed in the current thesis is provided in Chapter V.
18
Verstehen is a German term coined by the German philosopher and historian, Wilhelm Dilthey. The term
encapsulates the aim of the human sciences, that is, to understand meaning from the agent’s point of view
(Schwandt, 2007).
This chapter has introduced the CGT method and set it within a methodological spiral
of the grounded theory family and the qualitative research tradition more broadly. Several
evaluative criteria and limitations of the design were outlined and will be further explored in
the following chapters. Having provided a methodological orientation for the current inquiry,
the following chapter addresses the data-collection and theory-development process as well
as the key ethical principles pertaining to the research context.

CHAPTER FOUR: METHOD
In this chapter the processes of data collection and theoretical development are presented
within the context of Charmaz’s (2006) constructivist grounded theory (CGT) method. The
chapter addresses the strengths and suitability of the chosen approach and considers the data
from which the grounded theory of police officer decision-making was generated. The
rationale of theoretical sampling in informing the selection of data is explored and the process
of data collection and analysis is further detailed. The chapter also focuses on how the
research adhered to professional standards of ethical research practice.
4.1 Tabula Rasa
Within the field of grounded theory research, the use of existent literature represents a
critical and divisive issue. Glaser and Strauss (1967) originally recommended that the
researcher enter the field with the absence of any preconceived notions as a way of protecting
against constraint, contamination or inhibition induced by established theoretical concepts.
However, divorcing oneself entirely from all existing literature, experience, and expectation
has proven difficult (e.g., Charmaz, 2003).
Undertaking an early literature review can provide a cogent rationale for the research
endeavour (Coyne & Cowley, 2006; McGhee, Marland, & Atkinson, 2007): highlighting
pertinent gaps in existing knowledge (Creswell, 2007), contextualising the project (Urquhart,
2007), and facilitating the development of theoretical sensitivity (Denzin, 2002; McCann &
Clark, 2003b). Above all, knowledge of the literature safeguards against severe conceptual
and methodological pitfalls and aids the researcher in becoming aware of, rather than
remaining numb to, unhelpful or unjustifiable preconceptions (Maijala, Paavilainen, &
Astedt-Kurki, 2003). As Strubing (2007) noted, the fundamental point is “not whether
previous knowledge should be used in actual data analysis; the important insight lies rather in
how to make proper use of previous knowledge” (p. 587).
For the purpose of the current thesis, the literature review was produced within the
first year of candidature – a requirement set forth by the education provider. The researcher
remained aware of the dangers posed by an early literature review, that predominantly being
the possibility of indiscriminate application of established concepts to the current data (see
Glaser & Strauss, 1967). To counteract this risk, the researcher continuously engaged in the
process of reflexivity – defined here as an active, intersubjective practice of developing self-
awareness regarding the relationship between the investigator and the research environment
(Robson, 2011). To this end memoing was utilised to encapsulate the researcher’s internal
dialogue; chronicling any changes in theoretical knowledge and demonstrating fidelity to the
worldview of the research participants. Given continued immersion in the data throughout the
latter period of candidature the researcher made the conscious decision to periodically pause
analysis and engage in other research tasks so as to allow for awareness of any subtleties to
emerge and to promote insight into the distinction between “that which is created by the
researcher and the real” (Strauss & Corbin, 1990, p. 47).
4.2 Construction of the Research Question
In the original articulation of the grounded theory approach, Glaser and Strauss (1967)
indicated that research questions ought to exclusively be borne out of the research field. For
the novice, strict adherence to this philosophy generally conflicts with various dissertation
requirements (e.g., the production of progress reports and ethics committee applications) and
is thus frequently deemed implausible. The verity of this impasse has been acknowledged and
integrated into more contemporary applications of the grounded theory method (e.g., McGhee
et al., 2007) such that it is now common practice to identify research questions prior to
entering the field.

In the current project, initial research questions were constructed in consultation with
the research supervisors, the Victoria Police Blueprint 2012-2015 (Victoria Police, 2013) and
the Victoria Police Research Agenda (Victoria Police, 2014d) to ensure the research was
cohesive with, and complementary to, the strategic objectives and priorities of Victoria
Police. Specification of the research problem occurred with reference to the literature review.
Through this process it became apparent that the current research was seeking to investigate
how participants made decisions in fast-paced and potentially stressful encounters. The set
research questions, outlined below, were exploratory in nature and sought to investigate
processes (Maxwell, 2013):
(i) How does police officer decision-making unfold amidst dynamic and fast-paced
circumstances?
(ii) What information or strategies do police officers use to arrive at a decision
outcome?
For a detailed discussion of how these lines of inquiry narrowed and transformed throughout
the research process please refer to Section 4.5.
4.3 Developing and Testing of Research Instruments
The research interview constituted the rudimentary feature of the data collection
phase. The questions utilised to probe and generate data were founded on the initial
conceptual framework and the literature review, directing the conversation toward decision-
making. Open-ended, neutral, clear, and concise questions (McNamara, 2009) were utilised
to tap into several domains of decision-making including identification and rejection of
options, experience, training, time constraints, group dynamics, information availability and
characteristics of the suspect (see Appendix 3).
Following the development of the preliminary interview guide, pilot interviews were
conducted with two police officers. Reflecting on this experience, it was decided that
elements of the critical incident technique (CIT; Flanagan, 1954) needed to be implemented
in order to obtain more detailed accounts and to extract tacit knowledge. The critical incident
approach refers to “an epistemological process in which qualitative, descriptive data are
provided about real-life accounts” (Di Salvo, Nikkel, & Monroe, 1989, p. 554). The routine
approach dictates that one positive and one negative incident be elicited from each participant
(e.g., Edvardsson & Roos, 2001; Redfern & Norman, 1999). The current study, however,
placed greater focus on differences in decision-making across similar incidents. As such,
participants were initially asked to recall one incident in which they felt they had to make a
quick decision with later probing eliciting similar incidents which were than compared to the
original incident.
4.4 Research Ethics
Everyone agrees that among the highest duties of academics is to make sure that the
human beings they study – fellow citizens they probe, query, prod, and palpate – are
treated with dignity and respect (Shea, 2000, p. 28).
The planning and construction of the research proposal constituted one of the first key
steps in systematically delineating the research and cementing its applicability and pertinence
to Victoria Police. It was imperative that the researcher pre-empted and clarified
methodological strategies and design issues prior to seeking ethical approval. To this end,
several meetings were held with Victoria Police. Additionally, the writer conducted
background research into Victoria Police and the policing culture more broadly (e.g.,
Cochran & Bromley, 2003; Paoline, Myers, & Worden, 2000) to establish context. From this,
the following ethical issues were identified as being especially pertinent to the collection, use,
and dissemination of data arising from the current project.

4.4.1 Informed consent.
Defined as a person knowingly, voluntarily, intelligently, and in a clear and manifest
way giving his consent (Armiger, 1977), informed consent comprised one of the key ethical
considerations. As a means of upholding the rights and dignity of autonomous persons,
participating members were made aware of the purpose, procedure, and foreseeable risks and
benefits of the project. Participants reviewed printed copies of the Explanatory Statement (see
Appendix 4) and the Consent Form (see Appendix 5) during the pre-interview phase. Written
informed consent was judged to be too impractical for telephone interviews rather oral
consent was obtained through a pre-constructed script (see Appendix 6). Participants were
asked to sign the consent form in face-to-face interviews; participants were asked to
explicitly verbalise their willingness to participate in the case of telephone interviews.
The researcher remained acutely aware of the elements of command responsibility -
the primary constituent of which being the superior-subordinate relationship (Dempsey &
Forst, 2012). Given that this relationship type is commonly characterised by hierarchical
dynamics, there was an identified risk that superiors could utilise various control systems to
influence or encourage subordinates to participate19. To minimise the probability of coercion,
the purpose of the research project, the risks of participating, and the right to withdraw at any
time were made explicit through both written and spoken modes of communication:
I understand that my participation is voluntary, that I can choose not to participate in
part or all of the project, and that I can withdraw at any stage prior to the end of the
interview without being penalised or disadvantaged in any way (see Consent Form, p.
1, Appendix 5).
19
Coercion arises when individuals feel as though they cannot refuse to participate, if refusal causes a perceived
substantial loss to the individual, or if individuals believe that participation is not entirely voluntary (Scott-
Jones, 2000).
4.4.2 Risk of harm.
Given the possibility that sensitive topics would be explored in depth, the risk of
emotional and other harm (i.e., social and economic) to both the participant and the
researcher were acknowledged in the early stages of the design phase. The researcher was
aware of the literature documenting the risk of harm associated with research interviews (e.g.,
Rew, Bechtel, & Sapp, 1993), particularly so as participants were asked to convey stories
possibly comprising personal and intimate properties. Conversely, the writer was also
cognisant of the considerable evidence indicating that research participants experience
interviews as validating and consistently welcome the opportunity for introspection and
growth (e.g., Ortiz, 2001). As such, to make the assumption that all interviews are potentially
harmful was to remove participant agency in its entirety. Consequently, in the current
research project participants had control over what they said, how they said it, or whether
they said anything at all (Cassell & Symon, 1998).
Several other harm-minimisation strategies were implemented:
(i) police officers who reported a current diagnosis of post-traumatic stress
disorder (PTSD) were excluded from participation;
(ii) the selection of an incident was done collaboratively, if it was perceived that a
particular incident would cause emotional discomfort another was chosen;
(iii) a debrief occurred at the conclusion of interview to gauge the participant’s
level of distress and allow for participant feedback;
(iv) participants were made fully aware of the support and welfare services
available to them, including services internal to Victoria Police as well as
those external to the organisation; and,

(v) the researcher sought supervision during periods where personal distress was
experienced.
No participant reported distress ratings that would suggest an adverse reaction20 or trigger a
formal referral process. The researcher sought supervision from the secondary supervisor
once during the data collection phase to reaffirm a positive work-life balance.
4.4.3 Confidentiality.
For qualitative researchers maintaining participant confidentiality whilst presenting
rich, detailed accounts of social life presents as a unique challenge (Kaiser, 2009). Section
3.1.10 of the National Statement on Ethical Conduct in Human Research (National Health
and Medical Research Council; NHMRC, 2007) concisely stipulates the convention of
confidentiality in the following passage:
Participants are often easily identifiable … and the information they provide may be
sensitive. For those reasons, care should be taken that participants are not identifiable
by the information they provide, unless they have agreed to be identified. Special care
should be taken to protect the identity of participants when disseminating information
and storing material (p. 26).
In the current project, confidentiality was addressed during the design phase and at
three supplementary intervals: (i) data collection, (ii) data analysis, and (iii) dissemination of
research findings. In maximising the protection of participant identities and/or information,
the confidential nature of the succeeding interaction was made explicit at the pre-interview
phase. Research materials were stored in a restricted access area - a secure locked cabinet at
20
Highest rating of discomfort in the sample pertained to three subjective reports of “a little” anxious and one
report of “quite a bit” distressed. All other ratings fell into the “none at all” category.
the Centre for Forensic Behavioural Science - such that access was entirely controlled by the
researcher. Given the small sample size and the use of excerpts it was fundamental that
statements provided by participants could not be attributed to specific individuals or
locations. To this end, any identifying information (i.e., names of persons, names of police
stations, identified locations, personnel rank) was removed during the transcription process
and re-examined during data analysis, with no identifying information included in this thesis.
4.4.4 Ethics approval.
A proposal was subsequently drafted and parallel applications were made to
appropriate research ethics committees. Ethical clearance was first received from the Monash
University Human Research Ethics Committee (MUHREC; see Appendix 7) and the Victoria
Police Research Coordinating Committee (RCC; see Appendix 8). With approval granted
from the RCC, an application was filed and later approved by the Victoria Police Human
Research Ethics Committee (VPHREC; see Appendix 9). Following the transition of the
Doctor of Psychology (Clinical & Forensic) from Monash University to Swinburne
University during February of 201421, ethical approval was sought and granted from
Swinburne University Human Research Ethics Committee (SUHREC; see Appendix 10).
4.5 Fieldwork
In order to develop a rich, well-scoped conceptualisation of police officer decision-
making the first key concern involved the definition of the sample universe – the totality of
persons from which cases were to be sampled. To delineate the sample a set of inclusion and
exclusion criteria were specified, stipulating that participants must have been operational at
21
In late 2012, students enrolled in the Doctor of Psychology (Clinical & Forensic) at Monash University were
informed that the program was being disestablished. The ultimate outcome was the transfer of the doctorate
program and the enrolled cohorts to Swinburne University. For the writer, this occurred at the onset of her third
year of candidature.
the time of the interview and between the ages of 18-65 years. Officers who self-reported or
whose Sergeant identified them as being under investigation regarding a critical incident or
who were experiencing trauma symptoms at the time of interview were to be excluded from
participation. No officer that volunteered to participate disclosed having a current diagnosis
of PTSD or was involved in an ongoing investigation. No other demographic, geographical,
physical or psychological homogeneity was sought.
Frontline response by Victoria Police is provided through 54 Police Service Areas
(PSAs) and 329 stations dispersed across four regions; North West Metro, Southern Metro,
Eastern and Western (see Figure 3).The Eastern region was most represented in the current
sample, comprising seven out of the 12 (58%) stations visited22. Victoria Police data indicate
that the Eastern region comprises 17 of the 54 PSAs and 116 of the 329 stations (35%). Two
out of the 12 (17%) stations were based in the Southern Metro region, an area that has a total
of 9 PSAs and 29 stations (9%). The North West is also a smaller region with a total of 14
PSAs and 38 stations (11%). One of the 12 (8%) stations visited fell within its capacity. The
Western region was the least represented in the current sample, with only two of the stations
(17%) falling within its geography. The Western region is the biggest in Victoria, with 14
PSAs and 146 stations (45%). Access to participants in the Western region was particularly
challenging as many did not express interest in partaking in the research.
22
This did not include telephone interviews which were conducted with individual officers. The inability to
interview other members at the same station or to observe the social context made generalisability to the station
implausible.
Figure 3. Victoria Police regions.
Source: Victoria Police webpage: http://www.police.vic.gov.au/content.asp?Document_ID=3
In selecting stations for the research project, the researcher was directed by the aim to
elicit multiple views on police officer decision-making from variously ranked officers located
across disparate stations. Initial entry into the field provided a “point of departure” (Charmaz,
2006, p. 100) and was guided by the broad questions of ‘How does police officer decision-
making unfold amidst dynamic and fast-paced circumstances?’ and ‘What information or
strategies do police officers use to arrive at a decision outcome?’
In the first collection of interviews, the concepts of experience and training were
identified as areas where differences in decision-making were particularly pronounced (see
Figure 4). To this end, both experienced and novice police officers were interviewed (see
Table 11 for a summary) to synthesise the identified concepts and formulate the emerging
categories of information processing and intuition.

Table 11. Frequency and percentage frequency distributions of participants classified by

years of experience.
Experience (years) n %
<1 0 0%
1-5 11 25%
6-10 11 25%
11-15 5 11%
16-20 2 5%
21-25 8 18%
26-30 4 9%
≥ 31 3 7%
Through further focus and investigation, three additional lines of inquiry emerged and
prompted further theoretical sampling (see Figure 4). Prior to commencing the second round
of interviews a series of questions were designed to further explore the general themes that
had emerged from the first interviews. These included a greater focus on how experienced
officers differed in their decision-making capacity from their inexperienced counterparts,
what situational characteristics contributed to the described sense of ambiguity, and what the
identified regional variation could reveal about the police culture. Stratified sampling was
hence employed to target these specified geographical and psychological stratification
categories.
Figure 4. Development of lines of research inquiry.
FIELD ENTRY
How do police officers make decisions? What is the process by which split-second
decisions unfold?
Initial interviews conducted with variously experienced operational police officers.
Key themes in first round of interviews
How does experience How does training impact

impact decision- decision-making?
making?
Key themes in second round of interviews
Experienced officers Situational Regional variation

engage in characteristics (e.g., third in resources,
communication, parties, police police-community
“bigger picture” partnerships and suspect relations, and
perspective, complex characteristics) impact strategic options
information processing decision-making implemented
Categories
Experienced Situational ambiguity Police culture

decision-maker
4.5.1 Data collection.
Research participants were identified through self-expressed interest following the
state-wide dissemination of an approved email template (see Appendix 11) and the posting of
an advert on the Victoria Police intranet (see Appendix 12). The onus was thus on
participants to initiate contact (via email or telephone) with the researcher, this provided
some protection against coercion within the rank hierarchy. Subsequent to received
expressions of interest, a time and location for the interview/s were scheduled.
Face-to-face interviews (n = 38) transpired when police stations expressed interest in
participating. Telephone interviews (n = 6) took place when individual officers expressed
interest in the research, whilst the collective station at which they were based did not. All
participants received the Explanatory Statement prior to interview. Explanatory Statements
were emailed to officers engaged in telephone interviews prior to the scheduled interview
time.
Various components of rapport - “establishing trust and familiarity, showing genuine
interest, assuring confidentiality and not being judgmental” (Glassner & Loughlin, 1987, p.
35) – were deemed imperative to the interview process. Sometimes, rapport is developed
through ongoing reciprocal relationships other times during brief, one-off encounters. In the
current study, relationships with participants were ephemeral and fleeting, their purpose and
duration entirely predicated on the research interview. Consequently, rapport needed to occur
rapidly and concurrently with the interview. With such limited scope, several strategies were
utilised to encourage participants to feel at ease in disclosing their personal experiences.
During the opening of the interview, the researcher (i) clarified the purpose of the project, (ii)
discussed why the interviewee’s knowledge was sought, (iii) detailed the ways in which the
outcomes of the research may be of interest to the interviewee individually, and Victoria
Police organisationally, and (iv) assured the safeguard of confidentiality. Interest was
commonly piqued. Occasionally, further rationale for the research topic and cause for the
researcher’s agenda needed to be demonstrated. No participant declined to engage in the
interview.
The interviewing relationship adhered closely to Weiss’ propositions (1994, p. 65),
such that the researcher and the interviewee collaborated in the production of information that
was ultimately useful to the research project. The researcher guided the areas of exploration
whilst allowing the interviewee to freely express his or her opinions and reflections. Queries
made by the researcher did not stem from idle curiosity rather targeted information that the
participant may not have otherwise made available. In being privy to the participants’ internal
and external observations, the researcher expressed genuine respect to the participants’
integrity such that their appraisals, choices, motives, and personal worth were not
interrogated or questioned.
The most fundamental component of the interview was the attainment of concrete
information regarding the research questions. To this end, participants were asked to identify
and discuss a particular incident in which the decision/s they made had a significant impact
upon the outcome of that situation. Occasionally, participants required some guidance in
developing the incident adequately. One or more of the following techniques were utilised in
such instances:
Extending: this technique was used to identify precursors or antecedents e.g., “Just
talk me through how the incident unfolded, from when you arrived to when you
deemed it to be over”, “What happened right before that?”
Filling in detail: when a participant did not spontaneously offer sufficient detail the
researcher probed for further information e.g., “Could you elaborate a bit more on
that?” “You mentioned that _____, could you walk me through that?” “So you
were_____, what happened then?” “Could you say a bit more about that?”
Identifying actors: this technique was utilised to provide the incident with a social
context, particular attention was given to the presence of other officers and civilian
bystanders. “How many other officers were involved?”, “What was your role?”,
“Were there any citizen bystanders present?”
Consultation: given the focus on decision-making processes, it was imperative to
identify whether the participant consulted others in arriving at the decision outcome
e.g., “Did you talk through your plan with anyone else?”, “What did you partner
think?”
Inner events: this technique was used to elicit internal perceptions including emotional
state, cognitions, beliefs, assumptions, and what strivings and impulses the participant
experienced e.g., “When that was happening, what were the thoughts running through
your mind?”, “What feelings were you experiencing at that time?”
Making indications explicit: participants that answered with a gesture or facial
expression were probed for further detail by providing a reflective summary “So you
felt OK”, “You were worried”.
During the interviews the researcher engaged in active listening skills (Pearson,
Nelson, Titsworth, & Harter, 2006) in order to deepen her understanding of the participants’
preoccupations. Body language, gestures, and minimal verbal encouragers constituted primal
aspects of demonstrating the researcher’s attentiveness; phrasing and prompts were used to
further divulge reflections and insights. Occasionally, interviewees misinterpreted
paraphrasing23 for clarification. More lucid lead-in phrases such as “if I’ve understood you
properly, then …” or “just let me check that I’m with you. So you mean that …” were
23
In active listening, paraphrasing serves several functions. First, it is utilised to demonstrate to the interviewee the interviewer’s
understanding of their message. Second, it allows the interviewee to hear and respond to an interpretation of their message and, finally, to
correct or supplement their message with addition information (Louw, Todd, & Jimakorn, 2011).
adopted in later interviews as they proved more effective in conveying the researcher’s
intention. Participants were given sufficient time to reflect on their responses; pauses were
implemented to allow the interviewee to reflect, elaborate, and not feel rushed to provide an
answer (Gordon, 1992).
Participants’ verbal and nonverbal communication cues were also monitored to
ascertain their comfort with the pace, focus, and progress of the interview. Although it was
deemed problematic to assign meaning to specific nonverbal gestures, the general
presentation (i.e., eye contact, emblems, motor movements, paralingual cues) of the
participant was considered in gauging emotional reactions. If a participant was perceived as
being uncomfortable with a particular style of questioning, the researcher adjusted her
approach (e.g., greater use of reflective statement rather than direct questions) to permit the
flow of conversation. This occurred within the context of responsive interviewing, in which
the importance of building rapport predominated.
Each interview generally lasted between 30 minutes to two hours; all interviews were
audio recorded. One interview was excluded from data analysis as it was not recorded due to
researcher error. No participant declined to be audio taped. In total, 44 interviews directly
contributed to the current collection of research. The total sample included 8 female (18%)
and 36 male (82%) operational police officers. This is largely consistent with the number of
sworn female (22%) and male (78%) members as indicated by the Victoria Police Annual
Report 2013-2014.
After a field contact there was often a need to pause and reflect. A contact summary
sheet (see Appendix 13) was utilised to guide the iterative process, identify or modify
existing codes and to re-orient the researcher to the contact when returning to it at write-up.
4.5.1.2 Reflections on the use of telephone interviews.
Reasons of economy, time, and required access to geographically dispersed
participants made it necessary to conduct some telephone interviews. Although used less
frequently than face-to-face interviews in qualitative research (Opdenakker, 2006), the
telephone interview is nevertheless considered to be a legitimate data collection tool (Carr &
Worth, 2001; Sturges & Hanrahan, 2004; Sweet, 2002). Some literature comparing face-to-
face and telephone interviews has raised concern regarding the tendency for telephone
participants to cease contact more readily (Chapple, 1999), respond in a more acquiescent
and evasive manner (Robson, 2011), and present more cautiously in regards to self-revelation
(Tourangeau & Yan, 2007). In the current research, telephone contact resulted in shorter
interviews, such that no telephone interview exceeded 50 minutes. Greater verbal reinforcers
were also required e.g., “uh-huh”, “I see” given the absence of visual cues (Garbett &
McCormack, 2001). Although the elicitation of comprehensive and detailed responses during
telephone interviews did not pose as a distinct challenge, it is not possible to speculate as to
the differences in participants’ experiences across the two modalities.
4.5.2 Data preparation.
Largely emerging in linguistics and linguistic anthropology (Duranti, 1997), scholars
from varied disciplines (Lapadat & Lindsay, 1999; Mishler, 1984) have recognised the
centrality of transcription in qualitative research. Transcription processes can be thought of as
lying on a continuum of two dominant poles, naturalism, in which every utterance is recorded
in as much detail as possible, and denaturalism, wherein idiosyncratic elements of speech are
not transcribed. A denaturalised approach to transcription executes a verbatim depiction of
speech without fixating on intonations or involuntary vocalisations. Accuracy emanates from
the substance of the interview – the meanings and perceptions created and communicated
throughout the conversation. This approach has found particular relevance in ethnography
(e.g., Agar, 1996), grounded theory (Charmaz, 2000) and critical discourse analysis (e.g.,
Fairclough, 2013) all of which primarily focus on the content of the interview rather than its
mechanics.
Despite the widely documented variations in transcribing processes and products
(Baker, 1997; Duranti, 2007), interview-based empirical studies rarely explicate the
theoretically-laden decision-making process of transcription. Consequently, contemporary
literature provides limited direction and guidance regarding the specifics of the transcription
process (Halcomb & Davidson, 2006). Although some grounded theorists have argued that
transcription produces large quantities of descriptive data (Glaser, 1998), many others have
contended that a combination of verbatim transcription and notation of participants’
nonverbal behaviour is central to establishing reliability, validity and veracity (MacLean,
Meyer, & Estable, 2004; Wengraf, 2001). Transcription in the current study adhered to the
latter, enabling the researcher to code from verbatim transcripts and to establish an audit trail.
Initial experiences of converting audio-recorded interviews to text posed several
difficulties, predominantly stemming from the need for advanced typing skills and familiarity
with transcription software programs (e.g., Dragon Naturally Speaking software). Inspiration
came from a colleague who suggested the use of an open source software24. Audacity
appeared to be a user-friendly tool that enabled the editing of speed and other qualities of
speech (e.g., pitch). Interviews were then imported into Audacity (version 2.0.6) directly
from a Phillips Voice Tracer. The speed of the MP3 was decreased by 30%, allowing for
segments to be simultaneously transcribed into a Microsoft Word document. The duration of
each segment transcribed ranged from 20 to 40 seconds, although longer segments of audio
24
An open source program is one that is freely available to the public and can be modified and distributed by
any user. Open source programs are often developed within a community rather than by a single organisation or
individual.
were transcribed where speech style was marked by good quality and intelligibility. When the
comments on the recording were not clear, the notation ‘inaudible’ was made on the
transcript.
Given the situated and consequential nature of transcribing, it was decided that the
risks (i.e., error rates as high as 60%, Poland, 1995, risks to confidentiality) of outsourcing
transcription to hired transcribers outweighed the benefits (i.e., time, resources, technical
dilemmas). Transcription took place between February 2014 and December 2014, occurring
simultaneously with data collection and promoting theoretical sampling. All material relating
to the interviews was stored on either the researcher’s desktop computer located at the Centre
for Forensic Behavioural Science or in a secure locked cabinet found at the same location.
4.5.3 Data analysis.
Although software for analysing textual data has been available since the mid-1960s,
it was not until the early 1980s that qualitative researchers discovered the advantages of
computer-assisted data analysis (Kelle, 1995). The reluctance of qualitative researchers to
integrate computers into their work certainly reflected a polarity from the mainstream
methodologies of quantitative survey and experimental design, wherein the computer had
acquired the status of an indispensable aid. The advent of the personal computer incited
several qualitative researchers to develop software that could support the analysis of
qualitative data. Three decades on and the use of CAQDA software has become
constitutional, however not without controversy.
Debate regarding CAQDA’s potential methodological merits and dangers is
ubiquitous (e.g., Richards & Richards, 1991). Critics stipulate concern regarding the
computerised procedures of coding and retrieval, positing that CAQDA’s procedures fail to
integrate situational and contextual factors (Denzin & Lincoln, 2011) resulting in superficial
and circumscribed analysis. More broadly, CAQDA is perceived as attempting to confer the
authority of science onto qualitative research in an attempt to destigmatise non-quantitative
research approaches (Weaver & Atkinson, 1994). However, CAQDA programs can also be
thought of as sophisticated index systems that allow data to be categorised, stored, and then
retrieved selectively using the codes as the criteria for selection. As content analysis rarely
focuses on the use of specific words but on ideas and meaning the writer tends to agree with
Konopasek’s (2007) conception that:
It is always you, as the analyst, who has to do the real analysis. Because only human
researchers can think. The software only provides more or less useful assistance and
support to the thinking subject. It extends the researcher’s mental capabilities to
organise, to remember, and to be systematic. (p. 277 emphasis in original text).
Independent of any particular method, CAQDA fundamentally involves the breaking
up and disassembling of research materials into pieces, parts, elements, or units. With the
data broken down into manageable pieces, the researcher engages in a process of sorting and
sifting in order to assemble or reconstruct the data in a meaningful way. Given that NVivo –
a qualitative data analysis computer software package produced by QSR - was designed for
precisely these reasons (Richards & Richards, 1991) it was utilised in the current thesis to
enter, organise, search and retrieve data as well as to code, analyse and link it (Dohan &
Sanchez-Jankowski, 1998). The researcher attended a three-day training worship in NVivo 10
for Windows (a later version of Non-numerical Unstructured Data Indexing, Searching and
Theorizing) from Swinburne University of Technology and worked through the step-by-step
animated tutorials attached to the NVivo software.
First, a project was created and all transcripts were imported from Word. In order to
restrict access to the data a confidential password was created. Coding began with the reading
and rereading of whole transcripts, making marginal annotations and highlighting text
relevant to the research questions. After initial themes had been identified, although they had
already been well established through the process of theoretical sampling, the researcher
entered the phase of open coding.
4.5.3.1 Open coding.
For any given transcript the researcher perused the participant’s words for indicators –
any segment of text which made some assertion considered to be noteworthy was highlighted
and placed within the corresponding node (see Figure 5 for an example). The function of the
generated nodes was to store references to the coded text. Data that did not fit an existing
node or were distinct from others in a meaningful, study-important way prompted the
creation of a new node. Node labels were reviewed frequently and, typically, a slightly more
abstract name was attributed. This reflected a move towards a conceptual and structural order
that could relate the codes to one another in a coherent way whilst signifying what structural
role each performed within the context of a hierarchical node tree (Moghaddam, 2006). Clear
operational definitions were paramount to ensuring that the nodes were being applied
consistently over time.
Open coding led to the creation of nine nodes or concepts that in some way related to
the decision-making process: actor, development, junior members, organisation, partner,
region, situation, strategy, and suspect – with each having a collection of auxiliary child
nodes (see Appendix 13). In this way, open codes did not merely serve as a descriptor rather
attempted a conceptualisation of the tendencies observed in the raw data. Open coding paved
the way for the identified ideas and patterns to be abstracted and conceptualised into more
comprehensive concepts in latter stages of the analysis.

Figure 5. Excerpt of open coding.
OFFICER: It’s part of that and it’s a part of, when you’ve been 1
Experience
doing this for a long time1 um you’ve done it so many times2
you know what I mean, it’s just a habit basically3. 2
Templates
INTER: Mm. 3
Automatic/
OFFICER: When somebody is being attacked or something Heuristics
you just do it, you jump in4.
4
Police
INTER: So your previous experience may have sort of… Culture &
OFFICER: Yea of course it did! Personality &
Physiological
INTER: So in similar incidents in the past do you think you’ve Arousal
ever done anything different?
OFFICER: In what way? 5
Strategy -
disengage
INTER: In sort of trying to separate people that are getting
physically…
6
Attitude &
OFFICER: I’ve used batons before but I try not to use a baton. Personality
I’m a very non-violent person, I don’t like to hurt people and
um so whilst that’s going on all I’m trying to do is either
secure people or get them away basically5. I’m not in there to
fight. I hate fighting6. And I’m not a puncher, I’m a wrestler. I
don’t punch people. I’ve really only ever used a baton, I’ve
never used a pistol so on anybody-oh on one bloke but that
was a long time ago, I mazed him.
4.5.3.2 Focused coding.
Having established some analytic directions through initial line-by-line analysis,
focused coding was used to synthesise and explain larger segments of data (Charmaz, 2006).
Each category was fleshed out, examining the situations in which it appeared, when it
transformed and the relationships that emerged as a consequence. It should be noted here that
due to various epistemological debates not all researchers advocate for the use of focused
coding (Charmaz, 2006). Given the constructivist stance, the current study defined focused
coding liberally primarily utilising it to examine relationships between concepts, identify

higher order categories, and uncover dimensions such as conditions, contexts, processes and
outcomes that may have related to police officer decision-making (Charmaz, 2006).
The coding stripes function in NVivo was particularly helpful in this regard, allowing
the researcher to view nodes coded to particular segments of text. This facilitated the task of
comparing categories and concepts (Bringer, Johnston, & Brackenridge, 2006) by enabling a
visual overview of how the nodes related to one another. For example, one of the most
commonly referenced initial nodes was that of ‘rural’ geography. To develop insight into
how region may contribute to decision-making, all the data coded at this node was examined
by applying coding stripes to identify potential early relationships between other emergent
concepts (see Appendix 13). This revealed that much of the data coded at ‘rural’ geography
was often also coded at ‘community relations’, ‘rapport’ and ‘communication style’
prompting questions such as: ‘Are rural regions characterised by community-oriented
policing?’, ‘Do rurally-based officers rely more on the community to perform their duties
than their urban counterparts?’, and ‘Are rurally-based officers more likely to resolve
situations through communication / negotiation than urban-based officers?’
Questions such as these encouraged a thorough examination of specific segments of
data by searching for intersecting coding (i.e., searching for text coded at more than one
node). Queries provided a flexible way to gather and explore subtests of data in order to
identify patterns. For example, examination of the ’rural’ node coding stripes revealed that
references to ‘community relations’ were also coded at concepts labelled ‘resources’ and
‘creative problem solving’. By viewing all of the references coded at ‘community relations’ it
could be observed that officers in rural areas were more reliant on community relations as
they had limited access to resources and thus needed to engage in creative problem solving
strategies (e.g., receiving help from local community members).
The sets function also facilitated the management of data by grouping together project
items that shared common features; indicating that the selected items shared at least one
attribute (Bazeley, 2007). For example, early data revealed instances of negative cases in
regards to training – these were placed in a set called ‘negative cases’. The set was used to
scope queries, ultimately revealing that officers who expressed positive attitudes of training
were either an instructor or had some previous experience in this capacity.
Another NVivo search tool that was used for conceptual and theoretical development
was the matrix coding query function, allowing for the investigation of relationships between
concepts and categories by searching for data coded to multiple pairs of items. For example,
in order to compare how incidents were resolved across urban and rural regions a matrix
coding query was created. The results are presented in a matrix as illustrated in Appendix 13,
where each cell displays information concerning the corresponding pair of items. The
numbers in the displayed matrix were not reflective of what strategy was actually
implemented rather what options were considered. For example, rural officers considered
specialist services more than urban officers did, however this option was only implemented
once - at all other times the option was rejected on the basis of distance and time constraints.
Thus, it was paramount to review each cell in the matrix to investigate the causes for the
relationships.
Categories were linked with subcategories through the exercise of diagramming
(Charmaz, 2000), an endeavour that proved indispensable to the formation of the substantive
theory. The NVivo model building tool was used throughout the research process to visually
examine many of the analytical observations and to summarise the theoretical and conceptual
development of the grounded theory. The memo function was used in parallel to keep a
detailed account of the ongoing sampling and analytical decisions made.

4.5.3.3 Theoretical (selective) coding.
The codes identified during open and focused coding are compared during theoretical
coding with the aim of identifying theoretical categories that group various elements together,
identify shared properties of these elements, and expose the relationships between them. In
this process the researcher searches for elements within the data that support or disprove
emerging hypothetical relationships - testing these through the process of theoretical
sampling. Essentially, theoretical coding involves the integration and refinement of the codes
identified in the focused coding phase into a larger theoretical scheme (Glaser, 1978).
Memo-writing is emphasised within theoretical coding as a powerful tool that creates
the space for reflective practice on the concepts and categories identified in the data
(Lempert, 2007). The memos in turn may be treated as data, being coded and analysed
through the same constant comparative method in order to generate theoretical insight into
the theory under development. Glaser (1978) stressed the importance of a-priori theoretical
codes in making the researcher sensitive to subtle relationship between elements and
identified extant literature as a clear source of such sensitisation. In considering the
interpretation of theoretical coding, the current research favoured Glaser’s (1992) later
statement that every concept must earn its way into the theory rather than being directly
imported from the literature.
Though consistent memo-writing it became apparent that police officers’ strategic
responses were not only a response to the situational parameters but also reflected more
engrained cultural and individual level factors. On re-reading the transcripts, the coding, and
the associated memos uncertainty in the work place emerged as a repeatedly expressed
concern. Building on the emergent data regarding uncertainty, the importance of leadership in
manoeuvring through a highly uncertain occupational environment arose as the core category
that accounted for the variation in the patterns of police officer decision-making. Leadership
creates variation in cultural practices and individual knowledge, dictating to a large degree
police officer behaviour during dynamic situations – either directly (i.e., through command)
or indirectly (e.g., mentoring). Once this basic social process was firmly established, the
researcher consulted existing literature for comparisons (Charmaz, 2006; Glaser, 1978).
4.6 Summary
Having introduced the CGT method in Chapter Three, this chapter examined the
research design and how theoretical sampling and the constant comparative method were
applied to the current research. Data was collected from variously located police stations
using semi-structured interviews; theory generation occurred through analytic reflection,
supported by the use of NVivo and memo-writing. The next chapter focuses on the strategies
implemented to establish trustworthiness of the analysis that is subsequently presented.

CHAPTER FIVE: TRUST, BUT VERIFY
Validity-related issues in qualitative research have been discussed for more than half a
century (Atkinson, Coffey, & Delamont, 2003; Reason & Bradbury, 2008) and continue to be
disputed across several disciplines including psychology (Cassell & Symon, 2011),
engineering (Borrego, Douglas, & Amelink, 2009), and health (Freshwater, Cahill, Walsh, &
Muncey, 2010). Researchers wishing to take steps to enhance, assess, and document the
quality of their investigation are faced with a broad range of evaluative frameworks, each
with its own set of empiricoanalytical criteria. This dissertation was primarily influenced by
Lincoln and Guba’s (1985) conception of naturalistic inquiry, which they later acknowledged
as coinciding with constructivist grounded theory (CGT; Lincoln & Guba, 2013).
Lincoln and Guba (1985) perceived qualitative research as producing “multiple
constructed realities that can be studied holistically” (p. 37). In order to reveal these realities,
Lincoln and Guba argued that human participants must be the primary data collection source
and the setting ought to be a natural one as actors are “wholes that cannot be understood in
isolation from their contexts” (p. 39). In this context, the researcher is depicted as the primary
data-gathering instrument – the principle apparatus that encapsulates, responds to, and
describes the complex interactions observed. Given that the product of this type of enquiry is
provisional and context-specific, positivist evaluative criteria such as validity and reliability
do not carry equivalent connotations (Angen, 2000). Thus, Lincoln and Guba’s (1985)
criteria of authenticity and trustworthiness, in addition to Charmaz’s (2006) principles, were
applied to this research project. That is, credibility (reconceptualisation of internal validity),
transferability (reconceptualisation of external validity/generalisability), dependability
(reconceptualisation of reliability), and confirmability (reconceptualisation of objectivity)
were considered in evaluating the trustworthiness of the outcomes of the research. Lincoln
and Guba’s conceptualisation was utilised as it is cited as the “gold standard” (Whittemore,
Chase, & Mandle, 2001, p. 527) in providing practical direction for qualitative investigators.
5.1 Credibility
The canon of internal validity – ensuring that a study measures or tests what it
actually set out to – constitutes an essential component of the positivist method. The
qualitative equivalent, credibility, entails conscious effort in composing accurate
interpretations of data (Carboni, 1995). Credibility asks the questions of ‘How congruent are
the findings with reality?’ (Merriam, 1998) and ‘Does the explanation fit the description?’
(Janesick, 1994). The sections below are dedicated to detailing the provisions implemented to
promote credibility of the current research.
Prolonged engagement refers to the development of an early familiarity with the
culture of the participating organisation, typically commencing prior to data collection.
Prolonged engagement is recommended partly to acquire sufficient observations to identify
any distortions that may exist and partly to develop congenial relationships with members of
the participating community. The length of time appropriate to spend in a particular context is
said to be a function of the purpose of the research and the experience of the researcher
(Lincoln & Guba, 1985) - evidently the literature provides very little in way of specific
guidance. Anthropologists conducting fieldwork in an unfamiliar culture often report
spending at least one year enmeshed in the research site (Werner & Schoepfle, 1987). This is
consistent with Stewart’s (1998) proposition that prolonged fieldwork “has customarily been
construed as 12 to 18 months” (p. 68). In the current project, prolonged engagement began
with ongoing meetings with Victoria Police, a review of the appropriate police literature, and
the development of rapport with various members of Victoria Police. The field work
encompassed 11 months, enabling sufficient time for the researcher to develop a nuanced
understanding of the culture, language, and views of Victoria Police members.

A second means by which credibility is enhanced during data collection is through the
triangulation of sources and methods (Denzin, 2009). Triangulation is based on the premise
that no single method can adequately describe the empirical reality, thus multiple methods of
data collection and analysis are utilised to corroborate findings, ascertain validity, and
promote a deeper understanding of the identified phenomenon (Denzin, 2009; Wilson, &
Hutchinson, 1991). The former claim is deemed somewhat controversial as it assumes that
the weakness of one method can be compensated for by another and presumes that opposing
accounts can always be amalgamated. Rather than seeing triangulation as a method of
validation, the current research utilised the technique to ensure that a rich, robust, and
comprehensive account of police officer decision-making was developed.
Four kinds of triangulation contribute to the verification of qualitative analysis; (i)
ascertaining the consistency of findings generated by different data collection methods, that
is, methods triangulation; (ii) examining the consistency of different data sources with the
same method, that is, triangulation of sources; (iii) using multiple analysts to review findings,
that is analyst triangulation; and (iv) using multiple perspectives or theories to interpret the
data, that is, theory triangulation. Methods triangulation occurs at the level of research design
or data collection (Thurmond, 2001). Interviews, observations and reflexive journaling were
utilised for triangulation of methods. Comparisons and cross-checking of the consistency of
information derived at different times and by different informants was achieved through site
triangulation. That is, participants located across various police service areas were
interviewed to reduce the effect of local factors and to allow for the possible emergence of
between-group differences.
To promote authenticity of the data, member checking – the submission of material
relevant to the investigation for checking by the participants who constituted the original
source of the material (Byrne, 2001) – occurred informally during interviews through the use
of clarifying techniques (e.g., “so what you’re saying is …”). Lincoln and Guba (1985)
posited another kind of check, one in which findings and interpretations are shared with, and
critically evaluated by, the participants during the data analysis phase (Creswell, 2007). This
method was not employed as it assumes that there is a fixed reality that can be explained by
the researcher and confirmed by the participant (Barbour, 2001) – directly contradicting the
researcher’s constructivist ontology. Ethically, reading interview transcripts and recalling the
distressing memories was assessed as likely to lead to negative emotions for the participants
(Lowes & Gill, 2006) and deemed a risk that could possibly not be outweighed by the
attained benefits.
Analyst triangulation – using more than one researcher at any research stage (Denzin,
1989) - was limited by resource constraints (the researcher entered the field as the sole
interviewer/observer). Notwithstanding, data interpretation occurred in consultation with the
research supervisors (Shenton, 2004). The meetings provided a sounding board for
developing ideas and led to the incorporation of theoretical perspectives which may have
otherwise been overlooked. The writer also attended monthly qualitative group meetings
during the fourth year of candidature, wherein further opportunities for scrutiny of the project
by colleagues and academics transpired. In addition to external scrutiny, the investigator
herself sought to evaluate the project through reflective commentary (see Appendix 13).
Negative case analysis - as recommended by various commentators (Lincoln & Guba,
1985; Miles & Huberman, 1994; Silverman, 2000) - occurred when patterns and trends that
were previously identified needed to be more thoroughly analysed by considering the
instances and cases that did not fit the original formation. Continuous searching for, and
discussion of these exceptions may have broadened the tenets, altered the tenets, or cast doubt
on them entirely. Regardless of the outcome the process ensured that contradictory data were
not dismissed rather incorporated into the theory until it accounted for the majority of cases.
For example, the researcher discovered that several participants provided contrary
information to the general consensus that training had no effect on real life decision-making.
Upon further investigation, these differences appeared to be associated with whether the
participant was currently, or had previously worked within the capacity of an instructor. That
is, direct experience with teaching the curricula contributed to a positive attitude toward the
principles of training and increased the likelihood of their incorporation into day-to-day
decision-making.
5.2 Transferability
Regardless of the methodology adopted, researchers are expected to address the
applicability of their research results beyond the setting from which they derived (Lee &
Baskerville, 2003). Lincoln and Guba (1985) argued that it is the responsibility of the
investigator to ensure that sufficient contextual information about the field (i.e., thick
descriptions, Geertz, 1973) is provided to the reader such that they themselves can determine
how transferable the findings might be. Authors disagree on the nature and extent of
background information that ought to be offered (e.g., Erlandson, 1993; Merriam, 2009).
However, few disagree with the need to provide a full description of all the contextual factors
impinging on the inquiry (Guba, 1981). To facilitate transferability, background information
regarding the context of study is provided in the methodology chapters and Appendices (see
Appendix 13) that provides both aggregate and case specific information.
5.3 Dependability and Confirmability
Paralleling the concept of reliability, dependability refers to the stability of findings
over time across similar participants in a similar context. Detailed and comprehensive
documentation of theoretical, methodological, and analytical decisions is required to ensure
the dependability of the research findings (Koch, 2006). The researcher, thus, should make
transparent the methods by which the data were collected, recorded, and analysed (Bowen,
2009). In producing a thorough account of the current researcher, the development of several
lines of inquiry and construction of concepts is presented through a log of all research
activities in the field (with dates, purpose, substance and outcome noted) and a log of data
analysis activity (Guba & Lincoln, 1982; see Appendix 13 for examples). To offer visible
evidence of how raw data transitioned into themes, salient concepts, and findings (Lincoln &
Guba, 1985; Koch, 2006) reflexive memos amassed the inquirer’s perceptions, insights, and
affective experiences to adduce that interpretations of the data were not merely “figments of
the inquirer’s imagination” (Tobin & Begley, 2004, p. 392).
5.4 Summary
The current chapter has argued that regardless of one’s discipline or the method
employed, validity and reliability constitute vital elements in any research endeavour. These
positivist concepts remain contested in qualitative research and are indeed entirely complex
questions. The writer acknowledges and concurs with LeCompte and Preissle’s (1993)
imploration:
Unique situations cannot be reconstructed precisely, even the exact replication of
research methods may fail to produce identical results. Qualitative research occurs in
natural settings and often is undertaken to record a process of change, so replication is
only approximated, never achieved … because human behaviour is never static, no
study is replicated exactly, regardless of the methods and designs used (p. 332).
CHAPTER SIX: VICTORIA POLICE SOCIOLOGY
The seminal work of Westley (1970) identified the police as a “social and occupational
group” (p. 8) whose monolithic and static identity exerted considerable influence over the
working environment of the police organisation (Chan, 1999; Manning & Van Maanen,
1978). Policing scholars have since argued that the inherent uncertainty of police work results
in the conception of an obstinate culture (Manning, 1977), manifested in a layer of informal
norms and values. Contemporary scholars, however, warn against capacious assumptions –
they contend that the existence of a police culture is not definite (Cochran & Bromley, 2003)
and even in its presence may be poorly defined or exceedingly malleable (Chan, 1996).
Existing descriptions of the police culture are discernibly a reflection of the North American
context. Whether, and if so how, the concept manifests globally is scarcely scrutinised,
providing a cogent rationale for the current exploration.
The current research suggests that organisational and operational aspects of policing -
the rigid rank hierarchy and the impact of superior and peer relations - are crucial
considerations in understanding police officer decision-making. Given this, the current
chapter draws on the strengths of the utilised theory-generating method to identify the critical
elements of the Victorian Police culture before considering its implications for day-to-day
operational duties. Research participants across various geographical regions offered a range
of views on how the police culture influenced the development and augmentation of their
decision-making skills. Working within the constant comparative method (see Chapters
Three and Four), officers’ descriptions of the policing context were compared and contrasted
within and between interviews. The views presented hereafter are supported by illustrative
interview excerpts - no claims are made as to the generalisability of these views to the
broader Victoria Police populace.

6.1 Hierarchy
Manifesting as the command of dominant and superior members, coordination and
authority comprised prominent structural arrangements of the Victorian Police culture. The
rank hierarchy was most notably highlighted through the variously prescribed roles and
powers of individual rank groups:
… our police command recognises that if you have an experienced supervisor or
commander, if they make a decision to do something then we are very careful about
criticising somebody who is senior and experienced like me, to criticise us from
making a decision based on the circumstances at the time …
Officers commonly identified the unifying role of seniority, attributing the responsibility of
social and operational coordination to senior ranks. This was said to predominantly manifest
in the communication of directives and the guiding of behaviour toward a specified goal:
But I suppose that’s in some way where the rank system is beneficial because they
expect to be told what to do by me, and I expect to be told what to do by my higher
ranking people. It’s not a free for all, it’s a structure, a system.
In the following sections, the police occupational culture is mapped according to the two
most commonly interviewed configurations of the Victoria Police structure: supervisors (i.e.,
Sergeants and Senior Sergeants) and Constables. Given that access to specialised units was
occluded, the degree of specialisation present within the hierarchy cannot be entirely spoken
to. Nevertheless, it should be noted that officers frequently acknowledged limits to their
capacity and recognised the need for specialist intervention:
I knew they are trained to do it, I know they’re equipped and I know they have the,
they have more fire power and better tactics and they’re better trained than we are.
6.1.1 Supervisors.
Officers in this rank segment described being actively involved in the monitoring of
police officer performance and the resolution of incidents, either by attending physically or
by deploying orders over the police radio. The supervisor’s powers appeared to be a direct
derivative of the formal hierarchy, enabling for coordinated action and resource allocation to
transpire:
… the Senior Sergeant turned up and the Inspector … some more supervisors with
more rank, greater than mine, and with that they then take control …
Variation in how authority was practiced emerged as a by-product of the experience of the
police officer and the individual characteristics of the supervisor. These factors interacted to
produce two distinct types of influence: (i) unilateral, and (ii) reciprocal.
6.1.1.1 Unilateral command.
Unilateral command was characterised by the utilisation of hierarchy, rank, and rules
in the achievement of a desired set of objectives. Supervisors functioning within this
approach consistently described issuing directives through a top-down method of
communication (see Figure 6):
I direct a junior member, I need you to go and do this. I need you to give that bloke a
caution, and record the caution, and give him his rights, and if he wants to make
phone calls and things like that. If it’s a junior member I’ve got to walk him through
step by step …
Figure 6. Unilateral police command.
The application of unilateral authority was most commonly described when experience was
unequally distributed within a dyad, as in the supervisor-novice duo. Supervisors generally
assumed that inexperienced officers were unable to function effectively or to generate novel
ideas or knowledge in the absence of directives. Consequently, supervisors described giving
detailed directions and adjusting their objectives:
… if it had been a more experienced member I probably would have done more … I
didn’t want to put him in a situation that he felt uncomfortable with … If I had
someone else that was more senior that I probably worked with a lot more … I’m
might have gone up there.
The inexperienced officers reported abiding by the directives of the supervisor, indicating a
detachment from autonomous practice and an alignment to the organisational hierarchy:
I’m relying on my partner, my more experienced partner working with me to guide
me into what my reaction should be and watching them.
Incidents characterised by time constraints and a scarce margin of error appeared to benefit
from the efficiency of unilateral command. When stakes were high and the situation was
dynamic, supervisors noted that the actions of the inexperienced officer could have had
especially detrimental outcomes. The pertinent concern was that the officer would either
adopt the “superman” persona or otherwise “freeze” in response to a perceived threat.
Supervisors identified either reaction as inappropriate and exercised authority to ensure that
neither eventuated:
… it’s the stress, they’re quick to use other tools you know what I mean?
I don’t know how they would react that’s the thing, would they have frozen? Maybe.
Would they have chased the crook or stood there and scratched their head?
6.1.1.2 Reciprocal command.
In contrast to unilateral command, supervisors who described functioning within
reciprocal command commonly stressed the importance of participative communication,
dispensing with strict rules of hierarchy and promoting vertical information flow:
I said I’m not happy, we need to check this house, I’m not happy with this and I said
are you guys OK with coming in? … there’s consultation going on as well. Even
though I’m the Sergeant, if the three Senior Constables all said to me [name deleted] -
we’re not really happy with this, we don’t really want to do it we’d rather just wait -
then I’d sort of think about that and think OK.
Reciprocal command typically transpired between a supervisor and one or more experienced
officers. Officers’ with a considerable level of experience were perceived by supervisors as
an indispensable aid as well as a limitation on their discretionary power. Supervisors reported
being reliant on the experienced officers’ willingness to carry out specified orders. In order to
achieve equilibrium, supervisors sought to establish a collaborative partnership by
recognising the value of the officers’ input and active participation in the decision-making
process (see Figure 7):

I’ll say well what do you think and they’ll say this, this, and this and I’ll go - didn’t
think of that, that’s a good idea lets go with that!
Figure 7. Reciprocal police command.
Supervisors functioning within reciprocal command also described imparting substantial
resources into the provision of social support, advocating strongly for the welfare of their
personnel:
I run through the members - if you need help I’m here, there is counselling, there is
welfare, if you’re worried about that go outside - go and see your own doctor, do
whatever you need to get a handle on things, don’t bottle it up …
A host of individual factors appeared to inform how each supervisor determined the best
means by which to tend to the welfare needs of his or her constituencies. Thus, strategies
varied greatly - ranging from correction of behaviour to sophisticated methods of monitoring
mental health:
… we’ve got now here basically a wellbeing register that we keep here, and it’s
basically, so we are on the system … supervisors and Sergeants got access to it so if
there’s an incident we put the details on there so we can know and keep an eye out on
the members and we know what they’ve been involved in.

Overall, supervisors predominantly described functioning within one of the above-identified
interactional styles. Although variation in supervisory practices between officers was noted,
there was little discussion to suggest that individual supervisors employed flexibility in their
approach. That is, supervisors appeared to adhere to one type of supervisory style with little
demonstrated variation in response to situational and/or relational circumstances.
Contingency theorists have long argued that successful leadership requires adaptation
to the needs of the supervisee (Avery, 2001; Hoy & Miskel, 2005; Waugh & Streib, 2006).
Supervisory style must not only change from person to person, but also, in reaction to the
assigned task. In assigning each task, the supervisor must choose whether to direct, coach,
delegate or support the officer. As the officer becomes more able to operate independently,
the supervisor must once again adapt his or her style to foster their emerging autonomy. The
most effective supervisory style may thus be one that fits the task, the supervisor-subordinate
dyad, the context, the situation, as well as the individual officer. Ultimately, one supervisor
may embody both a unilateral and reciprocal command style: adopting either one in reaction
to the immediate environmental and situational dynamics.
6.1.2 Officers.
With a strong focus on performance, accountability, and cost-containment amidst
structural, procedural, and cultural complexities, it is not surprising that officers described
functioning under a high level of job stress. A collegial alliance appeared to emerge over
time, fostering a sense of dependability and safety amidst a tumultuous and ever-threatening
environment:
I probably usually, I talk to my partner or colleagues you know if you end up tuning
up to a traumatic event you’ve got them to sort of back you up there.

… to know that your partner has been taught the same as you so therefore you would
expect or anticipate that their response is similar - or you would arrive … you’d be
making the same assessments and considerations at the same … at that time as well so
you, so you’re on the same page I suppose to a degree to the person you’re working
with.
Early in their career, officers described depending immensely on hierarchical control in
manoeuvring the complex social and operational milieu of the police organisation. Without
the anchoring of hierarchy, the officers noted that they would have been functioning blindly
in the day-to-day process of decision-making. As experience accumulated, however, officers
noted a corresponding shift in allegiance. They described diverting away from reliance on
supervisors and toward the collegial community – relying on fellow officers to “have my
back”:
And support from your colleagues is what I found you know only as much as 2 years
ago had I not gotten support that I got I wouldn’t be here now, I wouldn’t be in this
office now because I just would have felt you know and how do I get out of this, just
move on and start again.
… that’s part of what we do as coppers, we have to do that … we will get out of this,
and you’re coming too, build that confidence up and you get through it.
The importance of collegial affiliation was most prominently illustrated when officers
reported receiving little support from their fellow officers. This was often experienced as an
exceptionally distressing event, having subsequent negative effects on the officer’s emotional
and social well-being:

It would have assisted me greatly to have had some support from people I’d worked
with for 5-6 years, but whether that was an instruction from whoever at the office,
don’t contact him or whatever I don’t know. It got to me, it added to what I was
already going through and just the thought, well someone might have dropped around
to see me.
This concept of solidarity did not appear to permeate rank or social category. Detectives and
Constables, for example, although principally of the same social category (i.e., the police)
expressed reservation in seeking out each other’s counsel and protection. The vertical and
horizontal divide imposed by the hierarchy was rarely contravened and pointed to a pervasive
lack of inter-rank communication. Likewise, non-police (e.g., family members) were rarely
identified as a social support. Over time, officers described ceasing to expect non-police
persons to understand the danger and unpredictability of their occupational environment:
I don’t get into talking much with family about what’s going on but yeah I kind of
keep work here and separate, don’t really talk about it and my wife doesn’t want to
know anything about it so.
I found that I felt I was just talking to somebody that was giving me excuses, they
don’t work in the field, they don’t understand … I just thought they’re not making me
feel better about anything, whether they could’ve I don’t know. If I was to sit down
with a colleague they’d go - oh yeah I know and they’d sympathise and empathise.
Officers described a sense of belonging and cohesion that developed as part of rank
membership. It appeared to derive from both common experiences encountered in the field
and through the inherent social learning process that diverted officers away from the
organisational hierarchy toward the collegial community. Belonging was most commonly
seen as the consequence of a need for insulation from the omnipresent threat of danger that
could not be identified in advance. Officers indicated that over time they had come to believe
that the only people who could be counted on in problematic situations were not their
supervisors or the organisation but other officers:
… they keep going on about police numbers, as far as you know some police stations
are short staffed, most police stations are short staffed but if Vic Pol just changed a
few policies and procedures that would take a lot of pressure and stress off the
frontline and it will actually help us but they don’t do those things. We just feel like
we’re banging our heads against the wall, that’s what I feel like anyways.
6.2 Leadership
Internal relationships, dynamics, and traditions within the workplace were described
as highly influential in shaping the outcomes of the police station and its members. The
supervisor’s leadership qualities played a key role in providing direction regarding standards
and expectations of practice as well as dictating the culture, values, beliefs, and aspirations of
the workplace. Interpersonal relationships formed critical determinants of the trajectory of
officers’ development, with many officers reporting that the most fundamental role of police
supervisors related to the establishment of a work environment that enabled them to perform
their duties to the best of their abilities.
Many of the officers interviewed noted that police supervisors needed to continually
and consistently focus on people and the nurturing of relationships. Policies, procedures and
protocols were described as being fundamental to the organisation, however the
materialisation of efficient processes and operations was said to rely most heavily on
supervisors promoting relationships:
It would probably be your local peer support officer who’s a copper and where we are
our support bloke is good. But in your bigger stations you just get lost in the mix, like
in [location deleted] so much going on, like they’re more interested in that your paper
is up to date than how you’re travelling. So something like that would be handy or just
even for the bosses to get around a bit more and yeah like, they do it for their own
agenda and they’re all trying to get up the ladder so they don’t really care.
… you know I offer my ear I say they can say to me anything they like. Very few
members come back to me that don’t know me … I know the members here. What I
will have is members from here come to me after they’ve been at incidents controlled
by other Sergeants and run through things there, that’s a personal thing I know them
on a personal level.
In promoting relationships, officers identified effective communication as a key quality of
strong leadership. Discussions regarding planning action, testing knowledge, and debriefing
following an incident were all noted as effective platforms for the transference of tangible
and esoteric qualities from the supervisor to the officer:
… debrief the members after the training, after the scene has been cleared and I run
through what they did well and I explain why I did things and why I directed them to
do things that weren’t being done - because unless they’re told why they got told to
go and do something they have no idea why they’ve done it and that’s something that
we as an organisation have not done well for a number of years, we’re getting better
at it now …
… simple craft is being lost because it’s just not being passed on because senior
members are going out …
As agents of leadership, supervisors were perceived as being in a powerful position to
provide social support and to alleviate strain. In order for supervisor support to be of benefit,
however, the supervisor needed to dispense with rigid rules and adherence to the hierarchical
structure. The abatement of power dynamics was said to foster open communication and
afforded the opportunity for officers to express vulnerability and engage in genuine self-
reflection:
Sometimes people have issues that have never gone away so yeah. And it’s almost
like it’s expected, it’s your job. I don’t, I agree that’s what we do. In saying that I will
carry and support you all the way through. No begrudging it, that part of the
conversation is not in their head it just stops at you’re supposed to do it.
… that’s where it’s so good in the debrief afterwards in big scenarios that you can talk
it over with your peers and your senior members, how did I go in that situation and
get that feedback.
The importance of knowledge, genuineness, and patience in leadership was distinctly
highlighted when officers described functioning under a supervisor that they perceived as
ineffective:
They don’t coach properly, don’t teach the right things, they’re not genuine about it or
they just have, they just have preconceived ideas or a chip on the shoulder and it can
really reflect on the junior members.
The importance of adequate supervisory support identified by the interviewed officers
is corroborated by existing evidence, which indicates that effective police leadership
comprises dimensions of ethical practice (e.g., Vito, Suresh, & Richards, 2011), role
modelling (e.g., Densten, 2003), communication (e.g., Brough & Frame, 2004; Butterfield,
Edwards, & Woodall, 2005), critical thinking (e.g., Meaklim & Sims, 2011), decision-making
(e.g., Densten, 2003; Hoque, Arends, & Alexander, 2004), trustworthiness (Wheatcroft,
Alison, & McGrory, 2012), and legitimacy (Duncan, Mouly, & Nilakant, 2001). Police
supervisors play a central role in unifying the social and operational mechanisms of the police
– they are expected to facilitate the knowledge and skill development of subordinate officers,
to provide adequate social support, and to instil values in the work environment. For this
reason Victoria Police culture did not present as a monolith - it was not expressed equally
across all stations. Admittedly, all police stations shared comparable structures, equipment,
and practices espoused by Victoria Police as tools for achieving its mandates. Nonetheless,
local police station culture appeared to vary as a result of the expectations entrenched by
police supervisors:
… the experience that you get is really dependent on the stations that you go to, and
the attitude of the senior members that you have worked with when you’re at those
stations.
Patterns of economic and social mobility appeared to introduce even larger-scale variation,
such that the geographical location of the police station had a significant impact upon the
visions, priorities, and values promulgated by police supervisors and the means by which
officers fulfilled their roles and responsibilities:
I suppose entwine yourself in the community so that you know more people and
things and they then know you and get a better understanding of you that it’s not just
this bloke in a blue shirt they are human, yeah. It’s a two way street you get that from
them and they get a better understanding of us.
6.3 Geographical Variation
Victoria has a land area of over 227 thousand square kilometres yet over 75% of its 5
million residents reside within the Melbourne metropolitan area (Australian Bureau of
Statistics, 2011). The remaining population is scattered across vast rural regions, each of
which are subdivided into police service areas (PSAs) or local area commands. Each PSA has
a number of police stations, with some rural stations staffed by only one officer (Adcock,
2002) and some small rural villages being serviced by officers located in neighbouring towns
(Jobes, Donnermeyer, Barclay, & Weinand, 2000). Throughout the iterative process of data
collection and analysis it became evident that the material conditions of policing in
geographically remote and isolated communities influenced how policing practices were
carried out. Remoteness is defined here as per the Accessibility/Remoteness Index of
Australia (ARIA) classification developed by the Department of Health and Aged Care
(1997). The ARIA methodology stipulates that rural and urban areas are defined by
accessibility to goods and services; with metropolitan areas having high access and remote
areas having very restricted access. As per this definition, the following sections outline the
unique challenges and practices present across rural PSAs and how these differed in
comparison to the challenges and practices characteristic of urban PSAs.
6.3.1 Rural PSAs.
The effects of geography alone posed a serious problem for rural police officers,
having an impact on response time or the speed in which support services could be provided.
With only a few police officers covering large areas of land, all decisions could potentially
have had serious implications on the availability of police resources. For example, an arrest
could take the arresting officer a number of hours to process:
So now I’ve got a dilemma, I’ve got him and I’ve only got three hours from the time
of the accident to get him back for a breath test, to breathalyse him, and I’m the only
one who’s got one within two to two and a half hours’ drive. I’m the only one who’s
got a breathalyser and I’m already an hour into the accident at around 7pm. So what
do I do, I can’t … I’m the only copper there. I can’t leave the ambulance girls alone
with all these drunken idiots, who is going to look after them?
Many of the work pressures identified by rural police officers were associated with the
geographical distance from police backup and other relevant emergency and social services.
The need to maximise scarce resources meant that officers needed to be able to deal with
“anything and everything”:
I’m trying to deal with the scene, crime scene, deal with the injured people, protect
the ambos [ambulance officers], find this crook - and that was almost a 24 hour job
that!
Admittedly, precisely analysing and describing the intricacies of any localised culture is an
extremely challenging research endeavour. This is particularly so given the limited time the
researcher spent at each police station (i.e., one working day). Nevertheless, several key
features did arise as distinguishing rural from urban police culture. A key difference pertained
to the regular use of informal means of social control (e.g., engaging the family, utilising the
community as a resource) by rural officers in the resolution of incidents. This appeared to be
founded on a strong relationship between the police and the local community:
In the country you work a lot by yourself, your backup is a long way away and a lot
of the time you know the people you’re going out to see because you see those people
in shopping centres so if you’re going to punch them up … if you’re not going to treat
them with respect, it’s going to come back and bite you in the ass … the other day I
went to arrest a guy with a warrant, knocked on the door, ended up having breakfast
together because he was cooking his breakfast. you know what I mean?
Informal control was facilitated by the fact that many officers operating in rural PSAs knew
the local residents outside of their formal working environment. As such, officers reported
knowing quite a lot about the people that they served:
I think they’re [rural stations] more involved in the community and certainly happens
to an extent in [location deleted] … smaller country towns, you know, they’re often
involved in some other way in the community whether it be the football club or even
just doing the shopping so see people all the time.
So when I bought him in here he recognised me and goes - alright this guy is alright -
and he treated me a bit nicer and he was probably a bit more cooperative in
investigation and possibly led to admission and what not … Might not be so negative
towards me and that in turn - you deal with the parents and dealing with the parents, if
they see you’re being good with their kids or what not that builds a good rapport
again. We don’t hate police in general you know they’re not all bad give them a go.
Although the community was commonly described as a significant resource and an
indispensable network of information gathering and dissemination, officers emphasised that
community respect needed to be established if the police-community relationship was to be
effective. This was often done by affirming oneself as a trustworthy individual:
You can’t be pie in the sky and especially sort of a local copper. You’re judged on
your performance and you only get one shot at it, it’s about trust, reliability, and
they’ll bring it up at and so - and a lot of the trust that’s where the problem is with
policing, and if you can get it right and help them out then become the go to …
Officers working in rural PSAs reported that trust was predominantly founded on principles
of transparency and integrity:

It would have taken a good half hour explaining, reassuring, monitoring and just sort
of keep detailing the process of what we’re going to go through and the benefits at the
end.
The need to keep promises and provide feedback was also described as quintessential:
You can say, you know, I’ve been here before, you’ve talked to me before, we’ve
gotten on well you know … I’ve told you exactly what would happen, I didn’t lie to
you.
You just work through it later on when they’ve calmed down say - we’ve had to act
this way because you acted up like that.
Given the close social ties between the police and the community, rurally-based police
officers often reported implementing policing styles that were deemed more responsive to
community needs. This in part appeared to be due to the high visibility of police decisions:
… so everybody knows everybody, you can’t just be a ruthless copper that wants to
get an end result, you’ve got to work with them.
The concept of visibility permeated the roles of both the police officer and the local resident,
such that rurally-based officers experienced heightened accountability and responsibility even
in their capacity as a community member:
… sometimes you’ve dealt with the person before and some of us live locally so you
might deal with them when you’re working and the next day you might see them at
the shopping centre and that might have an impact.
The less formal nature of rural life and the small size of many rural stations made
complex bureaucratic procedures less necessary for day-to-day operations. Supervisors

functioning in rural PSAs generally promoted a reliance on police-community relations and
endorsed trust and integrity as foundational values. Supervisors reported that if a strong bond
with the community was established, the local residents could act as an informal network that
diffused crime and provided a far-reaching source of information when a crime did occur.
They reported that the rural police were “one with the community” and that policing without
the involvement and support of the locals would likely lead to unsuccessful outcomes. Such a
supervisory style may be said to be akin to Wilson’s (1968) service style, with a clear
preference for informal resolution methods as a means of upholding community-oriented
policing principles.
Studies of rural policing are rare (Falcone et al., 2002; Garkovich, 1991; Mawby,
2004) and of those conducted many have focussed on identifying generic crimes committed
in rural contexts (e.g., Payne, Berg, & Sun, 2005; Smith, 2004; Yarwood, 2001; Yarwood &
Gardner, 2000), with little known about the styles of policing adopted by rural police officers.
In the current research, officers operating in rural PSAs contended with a unique set of
complexities including few resources, low budgets, and limited equipment. The issues that
arose as a result of geographical remoteness appeared to create a unique rural policing style,
one that relied heavily on the ability to form effective police-community relations. This
finding prompted the query of whether rurally-based policing was the equivalent of
community-oriented policing.
6.3.1.1 Is rural policing the equivalent of community-oriented policing?
There appears to be an implicit assumption in the literature that rural policing equates
most closely with the ideal: the police live within their working environment and form a part
of the local community, making cooperation between the policing enterprise and the citizenry
a likely feat (e.g., Thurman & McGarrell, 1997). This has been argued to be particularly true
in Australia, where rural PSAs cover vast land mass (Jobes, 2002). The literature considering
community policing in rural areas has produced conflicting results, suggesting either that
rural areas are highly amenable to community-oriented policing (COP; Falcone et al., 2002)
or that they endorse the traditional, professionalism-based style of policing (Crank, 1990;
Zhao, Lovrich, & Robinson, 2001).
Specifically, COP is defined as both a philosophical and an organisational strategy
(Trojanowicz & Bucqueroux, 1994) subsisting of four archetypal dimensions: (i) the
philosophical: the ideas, beliefs, attitudes, and values that epitomise the proposition, (ii) the
strategic: the operational concepts that translate its philosophical credence into policies,
priorities, and resources, (iii) the tactical: the concrete programs, tactics, and behaviours
implemented, and (iv) the organisational: the changes in police organisational structure,
management, and information systems needed to facilitate COP initiatives. Thus, COP is not
simply a matter of improving relationships between the police and the community – it is a
problem-solving approach that draws upon the community’s expertise in identifying and
understanding social issues that contribute to crime, disorder, and fear (Trojanowicz &
Bucqueroux, 1994). Although some rural practices could be perceived as functioning under
the auspices of COP (e.g., the focus on police-community relationships), rurally-based
officers interviewed for the current research did not appear to be ascribing wholly to COP
initiatives.
In terms of the philosophical underpinnings, the rural police stations demonstrated
general adherence to the various principles and goals of COP. Specifically, supervisors
endorsed principles of community-building, trust, and cooperation and endeavoured to
increase community satisfaction with the police. However, upon further inspection these
principles and goals were permeated by police-driven incentives rather than embodying
democratic, citizen participation initiatives. The consultation that the rural officers were
participating in was, in fact, more selective and ad hoc. Relationships with community
members were strategic, such that they enabled for access to information and protection from
criticism:
… probably 90% of people that you’re dealing with are locals, and so yeah you get
rapport with them - sometimes they are the people that you rely on to help you with
things, might be witnessed something or heard something or been a victim. So if you
build rapport over time it can be better for you later on for investigation stuff and that.
… if you’ve treated them like an ass, then you’ll have a huge job trying to converse
with them this time.
Additionally, rurally-based officers reported that no official COP programs were introduced
to change or improve upon the delivery of police services. Given this, it would be misleading
to conclude that in Victoria, rural-based policing is the equivalent of COP. Although the
philosophical underpinnings are shared, a number of other characteristics of COP are absent.
Essentially, then, the rurally-based officers’ well-developed skills in relationship building
appeared to be the result of the conditions in which they operated. That is, strong police-
community relations served as a mechanism through which officers could implement policing
objectives.
6.3.2 Urban PSAs.
Resource availability was of much less concern to officers operating in urban PSAs
who predominantly described policing efforts as comprising of a large number of police
personnel. Back up was reported to be typically minutes away and specialist and external
services could readily be called upon to facilitate complex resolution strategies. With such
resources at their disposal, urban-based officers described having to make few efforts in
establishing strong relationships with the community:

Doing that in town that same person starts arcking up [getting angry] and he’s 6’4 and
starts arcking up and starts pushing towards to me. I will straight away go to spray out
and I’m going to back off I’m going to move down, I’m going to come up on the air I
won’t let him get away with this when I’ve got stuff to deal with.
Yeah it’s … not rural so the only people we get to know are our regulars and they’re
fairly unpredictable with drug use and stuff. I mean you get probably 5-6 that you
know well, you get to know. So it’s not like you know everyone.
In line with this, urban officers commonly reported that they felt they were not respected by
community members:
… from my point of view it’s a lot more busy in the city, in the city everyone is go,
go, go, go, got to do this and that. So more time based and they don’t want to talk to
you and you obviously, if they commit an offence you try and talk to them. They
have, some of them have no respect at all they just - I’ve got to go!
Officers who had experience working across both rural and urban PSAs reported that when
they were working in urban (as opposed to rural) settings they were less likely to rely on
communication as a fundamental intervention strategy:
I think we jump too far into it rather than going and - because they just cordon off the
house, stand at the front, wait for other units to arrive. I don’t see, and this is just me,
I think sometimes we need to have a go and stand just around the corner of the house,
knock on the window and go – [name deleted] it’s the police, can you come out and
talk to us? And if he says no get fucked, well then we’ll come back and do it their
way.
Consequently, when working in urban PSAs these officers reported utilising backup,
equipment, and physical restraint more frequently:
If you’ve got somebody causing issues like that and there’s backup available,
otherwise you would try and talk him down.
… spray him before you do anything else don’t go hands on just spray straight away
and let him settle.
I was the only one that had my option out - that capsicum spray. I was the only one
that had it out, it was something instinctive. I foamed her, she dropped to the ground.
Overall, rural and urban policing contexts appeared to be derivatives of cultural
differences spanning social, economic, and geographical dimensions. It is likely that the large
differences in infrastructure across rural and urban police stations accounted for some of this
variation. The urban police stations visited during the current research consisted of several
building levels and expansive office space. Most rural stations, by comparison, were
modestly sized. It is possible that such structural differences may have contributed to urban-
based officers being more sensitive to dynamics of the internal police organisation and
rurally-based officers being more familiar and responsive to the needs of the local
community, a finding echoed by previous literature (Crank & Wells, 1991; Schafer, 2009;
Schafer et al., 2009).
It is also possible that these differences in police culture are the product of
supervisory-styles. Rurally-based supervisors appeared to strongly promote police-
community relations; those operating in urban PSAs rarely identified police-community
relations as fundamental to policing performance. Previous research (see Chapter Two) has
suggested that supervisors have little effect on subordinate behaviour and are generally
reluctant to engage in monitoring or close supervision (Allen, 1982; Allen & Maxfield, 1983;
Brown, 1988; Mastrofski et al., 1994). In contrast, the current research contends that
supervisors are generally engaged in subordinate performance and development. Although
involved, some supervisors are not necessarily effective in delivering strong leadership rather
rely on the police hierarchy to coordinate action and allocate resources.
Officers reported a desire to know that they are cared for and valued. They attested to
needing a space within which they could engage in reflection and evaluation of their
performance, either overall or in a specific domain. Officers indicated that supervisors who
offered them this opportunity created a space wherein learning was structured and regular. In
contrast, the lack of such opportunities appeared to contribute to a sense of isolation and may
have impeded upon knowledge and skill development. Multiple opportunities for the
subordinate to be given quality feedback by the supervisor are needed. In order for this to
materialise, the supervisor must invest time in direct contact with officers and invite
dialogical reflection (Brewer et al., 1994).
In discussing police leadership, officers identified the importance of opportunities to
“debrief” with their supervisor and/or their peers following an encounter they perceived as
ambiguous. The next questions that arose were thus (i) what constitutes situational ambiguity,
and (ii) what role do police supervisors play in such situations. The following chapter
presents the situational determinants of police officer decision-making and constructs the
environmental context within which police leadership plays out.

CHAPTER SEVEN: SITUATIONAL AMBIGUITY
Police-related incidents are high risk, high stake and uncertain events that require the ability
to accurately conceptualise and respond to threat. Uncertainty in police work can be
understood as a property of any situation which, due to its ambiguity or the difficulty in
anticipating an outcome, constitutes a hindrance to the expediential and safe conclusion or
resolution of an incident. Such uncertainty was, at least in part, identified by the interviewed
officers as the product of environmental characteristics. The role of other actors, elements of
the police partnership, and various suspect characteristics interacted to create a state of
ambivalence.
As the officers interacted with, and attempted to control the public, the suspect and
the environment, several hazards arose. Estimating and resolving risk was described as the
pinnacle of complex cognitive processing: determining an action was regulated by how
officers perceived, interpreted, and evaluated various situational elements. Hence, in order to
understand police officer decision-making in the face of uncertainty, it was critical to
delineate and describe the internal (i.e., the decision-maker’s cognitive processes) and
external (i.e., the situation) factors that constituted the concept from the perspective of the
interviewed officers.
This chapter maps out the contours of the situation, identifying the presence of third
parties, the nature of the police partnership, and various suspect characteristics as elements
that introduced ambiguity into police-suspect encounters. The chapter that follows focuses on
the internal factors that created variation in how different officers arrived at different decision
outcomes amidst similarly ambiguous circumstances.

7.1 Third Parties
Given that police decisions generally occurred in the presence of an evaluative
audience, performing less adequately than expected under the gaze of others was a fear
expressed even by the most experienced police officers. The extent to which the presence of
third parties impacted upon the assessment of the situation and the decision choice
implemented was explored. Focus was given to ambulance personnel and public bystanders
as these parties were identified as most commonly impacting upon officer decisions.
7.1.1 Ambulance personnel.
Ambulance members were described as “highly vulnerable” and in need of
“protection”. Officers indicated a tendency for this vigilance to manifest in hovering over or
remaining in close proximity to the attending ambulance member:
… my real concern was for the ambulance officers there … I knew all this just by
going back and forth and listening and talking to one of them.
Officers acknowledged that ambulance personnel operated under the same strenuous
conditions as they themselves:
… we had so many people in the area that I could not move, and the ambos
[ambulance officers] were still working on the victim at this stage … everything’s
happening right here you can’t move bodies and ambos.
Consequently, officers reported a sense of obligation and duty to protect ambulance
members:
… you’ve got to watch the backs of the ambos while these drunken idiots are around
them while they’re trying to look after these seriously injured people.
As indicated in Figure 8, in the absence of ambulance members, officers perceived their role
as centring upon the need to provide care to any injured party. Policing tasks, such as the
Figure 8. Emergency service collaboration and responsibility.

closing off of the area, identifying the suspect, and conducting the criminal investigation
were adjourned until ambulance members arrived at the scene. Once in attendance,
ambulance personnel were judged to have specialist knowledge and skill in tending to the
physical needs of the victim/s, thus responsibility for the injured party was delegated:
… we can start to conduct the investigation because we know that the people involved
are being taken care of by the other emergency services.
If the suspect was present, or was believed to be in close vicinity to the crime scene, many
officers reported a sense of responsibility for the safety of the ambulance personnel:
… you’ve got an offender for what we believe to be at the time a murder. There’s
also, they’ve got a deceased there that we’ve got to also look over or oversee. There’s
also ambulance personnel there … so it’s a different stress for them so we’re also
aware of them.
Generally, the two services appeared to operate in parallel. Members of each
organisation worked side by side yet each was coordinated internally by their own superiors.
This is consistent with existing literature which, although scarce, suggests that each
emergency service provider is focused on its own task agenda (Berlin & Carlstrom, 2011;
Boin, 2005). A mismatch of resources, skills, culture, processes, expectations, professional
identity, and competing demands across the organisational structures may serve as an
axiomatic obstacle to collaboration. Consequently, information was rarely shared and there
was limited discussion of how resources should be coordinated. Further examination of the
nature in which the three emergency services (i.e., police, ambulance, and fire brigade)
operate is needed to identify whether emergency management can be made more conducive
to inter-organisational communication and collaboration.

7.1.2 Public bystanders.
The presence of bystanders - unknown civilians, family members, friends, and
companions – was commonly described as adding another layer of situational ambiguity.
Officers reported firstly assessing whether or not the bystander was at risk of physical harm.
If so, officers then described identifying the source of the risk and implementing strategies
that would manage the threat effectively:
I’m really uncomfortable with not having checked this house … I was particularly
concerned because we did have so many witnesses there and people in the street. You
got to understand, there’s probably 50 or 60 people at least standing around.
If bystanders were perceived to be at a safe enough distance to preclude them from physical
harm their presence was described as having a minimal impact upon the decision-making
process:
… you’ve got to look at where they are [public bystanders] in relation to what you
want to do … they were a fair way away.
In some cases, public bystanders – most commonly a family member - provided solicited or
unsolicited information or support to the police. For example, one officer discussed an
incident wherein the mother of the suspect was presenting as “agro [aggressive]” and “fired
up”. The presence of the suspect’s father was said to facilitate the diffusion of the highly
emotive scenario as he “calmed his wife down”, which allowed the officer to exit a
potentially hostile environment:
… we’re in a hallway so it wasn’t ideal … I just wanted to get out into space … the
husband was like stop, stop to her.

Public bystanders did not always provide assistance, indeed their behaviour was most
commonly described as an inconvenience:
… there were also neighbours there that were trying to help the firies [fire fighters] …
how much are they helping … they obviously don’t have the right gear so I need to
keep them safe as well.
Officers that described being uncertain as to the identity of the suspect, treated public
bystanders as potential perpetrators or accomplices:
… general public witnesses and I suppose you’re thinking are these the offenders?
Are they involved?
The presence of public bystanders clearly introduced a further component of uncertainty into
an already dynamic and rapidly-unfolding situation. Onlookers were at times said to be of
some benefit to the police, particularly in sourcing information. Generally, however, the
public bystander was perceived as an unwelcomed complexity - a hindrance that needed
attending to prior to the implementation of any decision:
Kind of annoys you a little bit, especially in the residential street everyone - I don’t
know what it is about the presence of police cars, how people rubber neck when
there’s a - everyone wants to come out and have a look. We know there’s a gun, they
don’t. It’s like it doesn’t matter how many times you yell at people - can you please
go back inside - why what’s … there’s a person with a gun just go inside we’ll come
and see you later. People have this thing I want to know now, it’s like we don’t have
time for this game get inside. And the amount of people that bring their kids out, it
kills me. I just go, really?

The effect of the presence of public bystanders on police officer decision-making has
only recently been investigated, with a particular focus on whether it influences the decision
to utilise coercive power (e.g., Garner, Maxwell, & Heraux, 2002; Paoline & Terrill, 2007;
Schuck, 2004; Terrill, 2005; Terill & Mastrofski, 2002; Terrill, Leinfelt, & Kwak, 2008). The
findings are equivocal, suggesting that the presence of public bystanders is most akin to a
two-edged sword: inducing a sense of needing to demonstrate control whilst inhibiting
coercive action to prevent public criticism. The issue of force in the presence of public
bystanders was rarely discussed by officers in the current research. Rather public bystanders
were most commonly experienced as a hindrance – gearing the decision-making process
away from incident resolution to assurance of public safety.
7.2 Police Partnerships
The centrality of trust in partnerships is evidenced across various disciplines (e.g.,
Connell, Ferres, & Travaglione, 2003; Tyler, 2003), where it is predominantly conceptualised
as a complex concept comprising both formal and informal social networks. In the current
research, trust was pervasively described as requiring both partners to submit themselves to
some level of risk - recognising and accepting the possibility that harmful consequences may
arise from the actions of the other:
… if I had been working with a different person on that day I wouldn’t have
necessarily taken that approach, it’s just that I had confidence in her and her abilities
that meant that we were both happy to…
A key determinant of trust appeared to be the partner’s level of experience. Many officers
made the assumption that if the partner they were working with had several years of policing
experience that he or she would instinctively produce competent decisions:

It depends on the person you’re working with as well. I knew that I could rely on him
to do what he had to do and I could do what I had to do. If you had someone that
wasn’t experienced … you’ve got to let them know your thought process and what’s
required.
… if it’s a senior member I can say - give him his caution rights - and know that that
member’s going to go there and say - no you can’t call this person because it could
impact the case.
Experience appeared to form a fundamental consideration in the officers’ determination of
whether their partner could be trusted, and if so, to what extent. That is, officers reported
entrusting an inexperienced partner with very few tasks whilst they indicated a tendency to
eagerly delegate or collaboratively undertake many tasks with an experienced partner. Trust
was further strengthened when a sense of predictability was present – that is, when the officer
reported having previous, positive experiences of working with the same partner. Prior
experience appeared to enable for the establishment of a set of expectations regarding the
capabilities of the partner. Prior instances wherein the partner was perceived as making
satisfactory decisions contributed to the assumption that the partner would also respond to the
current situation competently:
We’ve been working together for a long … I always had his respect, he had my
respect we already done jobs together, alright … I knew he was able to handle
himself. I knew he was a good copper, and he’s good at catching crooks - he’s very
passionate like meself [myself].
Predictability required a high level of familiarity with the partner and appeared to be founded
on a subjective appraisal of the partner’s characteristics, personal qualities, and motives:

I wanted to make sure when I take a team in for something like that I know who they
are and I can trust them - so they show a high level of discipline and they’re basically
not going to pull the trigger.
In their reflections of what contributes to effectiveness in partnerships, officers identified
communication as the second most vital element, after trust. Shared goals, a common
purpose, and communication were identified as critical in maintaining focus:
… we both worked together quite a bit, we both know how we think so we both
talked to each other about what’s happening …
Both trust and communication in partnerships were described as essential to effective
police work, harbouring joint commitment in the pursuit of shared objectives. This is largely
consistent with the existing inter-disciplinary research indicating that trust acts as a precursor
for team effectiveness (Costa, 2003), innovativeness (Ellonen, Blomqvist, & Puumalainen,
2008), communication (Thomas, Zolin, & Hartman, 2009), co-operation (Tschannen-Moran,
2001), and social capital (Putnam, 1995). However, the effect of the hierarchical structure of
the police force on the development of effective partnerships within individual dyads, and the
organisation more broadly, is currently unknown. The hierarchical predisposition has
produced differential status within the police rank and possibly impeded upon the
proliferation of trust. A thorough review of the inter-disciplinary literature (e.g., Dirks &
Ferrin, 2001; Perrone, Zaheer, & McEvily, 2003) is needed to ascertain whether current
principles of organisational trust can be applied to the policing sector.
7.3 Suspect Characteristics
Suspect characteristics are frequently examined by studies exploring police officer
decision-making (e.g., Alpert et al., 2007; Engel & Silver, 2001; Smith et al., 2006; Swatt,
2002), acknowledging that police behaviour is the result of a complex interaction between the
characteristics of the parties involved as well as the situation within which officers find
themselves. Suspect demographics (i.e., race, gender, and age) are common foci. However,
the effect of suspect demeanour, social class, and intoxication during the police-suspect
encounter have become of interest in more contemporary inquiries (e.g., Engel, 2000).
Participants in the current research described a number of suspect characteristics as
contributing to the perception of an incident as ambiguous: including suspect demeanour,
drug intoxication, and mental illness. Officers’ strategic response during these encounters
appeared to be strongly influenced by the actions, comments, and demeanour of the suspect.
7.3.1 Demeanour.
The nature of interactions between police officers and suspects ranged from being
civil to involving the use of coercive powers. Encounters that were characterised by some
form of conflict were described by officers as typically involving suspects that presented with
either an ambivalent or hostile demeanour.
7.3.1.1 The ambivalent suspect.
Suspects presenting as ambivalent about police involvement were described as labile
in their attitude toward the police, with elements of aggressiveness and noncompliance
interspersed with a willingness to engage with the police. Fundamentally, however, officers
commonly assessed suspects presenting with an ambivalent demeanour as not posing an
imminent threat to the welfare of the police or any other party:
… he wasn’t a threat to me … was more verbally abusive towards us, the language
you know.
The establishment of rapport appeared to play a key role in the strategic option ultimately
implemented. Suspects who were willing to engage with the officer to some degree were
most commonly deescalated through the use of communication:
Well that’s why I say you pick your mark, you know, just from their attitude. If it
starts up here well then you want it down here. Alright so you’ve got to bring it down,
so you talk to him that way.
I just let them talk nonsense, you know, so they settle … talk to the guy, listen mate
nothing wrong that we’re here [inaudible word] obviously we’ll go and I’ll just - you
know let them have their rant but as soon as you’re told to calm down and stuff like
that that’s all fine.
If communication proved inadequate, officers described disengaging from the situation by
creating physical distance and calling for back up:
I managed to calm him down, I decided he was quite aggressive towards me it was
better to let the backup talk to him.
7.3.1.2 The hostile suspect.
In contrast to the ambivalent suspect, hostile suspects were described as being
opposed to police involvement: commonly making explicit threats directed toward the police.
Their demeanour was frequently described as “volatile” and “aggressive”, particularly so if
they were in possession of a weapon - or an object that could be utilised as a weapon. Prior
violence (i.e., interpersonal violence, property damage) during a disparate period of the same
encounter weighed heavily in the officer’s assessment of the suspect as hostile:
… before this he was aggressive towards the police and had to be talked down.
… he’d just been to his ex-girlfriend’s place and smashed it up so clearly he was
pretty agitated.
Strategies requiring the use of police equipment and physical tactics were infrequent:
almost exclusively occurring during an interaction with a hostile suspect. Interestingly,
officers commonly noted insufficient distance between the suspect and the officer (e.g., in the
police vehicle) as a proximal antecedent to the use of coercive force. Amidst a volatile
situation, limited distance may act as the ‘final straw’ and signal the need to utilise police
equipment (e.g., capsicum spray) in order to subdue and physically restrain the suspect before
making a formal arrest. It is possible that the physical proximity of the suspect contributed to
the objective and subjective perception of the need to apply force as a means of self-defence.
Officers appeared to make this decision through the application of existing decision rules
(e.g., having previously used equipment and/or physical tactics to resolve an incident with a
suspect presenting with a hostile demeanour), which suggested that the use of alternative
methods (e.g., verbal communication) would be ineffective. Thus, the decision to utilise
equipment and/or physical tactics was often made quickly.
The above findings are consistent with existing literature indicating that suspect
demeanour and non-compliant or resistant behaviour contribute to the strategic response of
the police and increase the likelihood that force and arrest will result (e.g., Brown & Frank,
2005; Novak & Engel, 2005; Novak et al., 2002; Swatt, 2002). The current data suggest that
the degree of the suspect’s hostility contributed to the extent to which officers were willing to
pursue the establishment of rapport and verbal communication as their primary strategic tool.
Incidents that were characterised by intense hostility and impeding violence appeared to
prime officers to focus stringently on a single goal – the safety of themselves, their partner
and community members. This is consistent with Klinger’s (1996) proposition of a threshold
effect, wherein extreme hostility may exert a significant effect on the police response whilst
less severe forms of hostility and aggression may not.
7.3.2 Drug intoxication.
The importance of rapport is distinctly highlighted in the preceding section,
suggesting that situational ambiguity is confounded by a lack of rapport within the police-
suspect dyad. The establishment of rapport was notably more strenuous when suspects were
perceived to be drug-affected – they were typically described by officers as unpredictable and
as harbouring a strong propensity toward violence:
… they [drug-affected suspects] are just so strong…and they use all of their rage.
… especially if they’re [suspects] drug-affected on ICE, they find the strength that
they don’t usually have. They don’t feel pain like they usually do and they can’t be
reasoned with sometimes. Yeah makes it hard.
Suspects under the influence of methamphetamine (i.e., ICE) were commonly described as
being “difficult to talk to”, “completely off their tree”, “paranoid”, “hostile”, “erratic”, and
“violent”. In dealing with these incidents, officers commonly reported deferring to the use of
capsicum spray as their strategic option:
He was obviously affected by ICE and probably - a bit taller than I am, so about 6’4
and a big guy. So he was a fiery situation, my partner had pulled out our OC foam, a
large canister, and said I was going to spray it on.
I used my spray, my partner had sprayed him once and I thought well maybe I’d spray
him again …
Interviewed officers assessed the use of alternative strategic options as likely to be
ineffective at the onset of the encounter, giving little time for a more thorough assessment of
the situation prior to the implementation of a response. It may be that officers were more
frustrated when dealing with drug-affected suspects, as they perceived being unable to
engage the suspect verbally. It is also possible that this process was reflective of established
cognitive decision rules or heuristics (Tversky & Kahneman, 1974) that specified the use of
police equipment in encounters with drug-affected suspects. Such cognitive decision rules
may have developed from previous experience with drug-affected persons wherein the
application of police equipment was deemed to be most successful. The prior experience may
then have guided judgment in the current situation, such that the officers were working under
the presumption that other, less coercive alternatives, would have been ineffective and so
quickly turned to the use of police equipment to gain control over the situation.
The existing police literature has generally identified the presence of drugs and/or
alcohol as a common occurrence among arrestees (e.g., Stetser, 2001; Taylor, Fitzgerald,
Hunt, Reardon, & Brownstein, 2001), indicating that retaliation to police involvement
commonly occurs under the influence of drugs or alcohol (Reisig, McCluskey, Mastrofski &
Terril, 2004) subsequently increasing the odds of police use of force (Paoline & Terrill, 2007;
Terrill, 2005) and having significant implications for policing nationally (Westmore, Van
Vught, Thomson, Griffiths, & Ryan, 2014) and internationally (Wilkins, Reilly, Rose, Roy,
Pledger, & Lee, 2004). Collectively, the research indicates that drug-affected suspects may be
at particular risk of police-suspect coercion or violence.
7.3.3 Mental illness.
Suspect mental illness appeared to have a similar effect to drug intoxication in
generating ambiguity. However, although officers described a sense of “not knowing what to
do”, incidents involving persons suffering from mental illness were not frequently defined as
insoluble:
I sort of find people with mental illness there is some level of communication. If you
can find that missing point and sort of like a see saw, if you can find that balancing
point you can actually go alright with them.
“Fishing” - the process whereby officers explored numerous topics of conversation until an
amicable response was received – was the most commonly applied strategic option in
resolving an incident with a person perceived to be suffering from a mental illness. For
example, one officer discussed attending an incident wherein the suspect appeared to be
suffering from a psychotic episode. The officer made several failed attempts at
communication, with the aim of disarming the suspect. The officer then noticed a guitar in
the living room and initiated a conversation about the instrument. This led to a broader
exchange regarding musical interests and enabled for the development of rapport. The
suspect subsequently complied with police direction to “give up the knife” and “sit in the
police car”.
The current findings suggest that officers are reluctant to implement police equipment
and physical tactics in encounters involving persons experiencing mental illness. This is
consistent with contemporary U.S research (e.g., Novak & Engel, 2005), however differs
from recent studies investigating the effect of suspect mental illness and police intervention
in the Australian context (e.g., Kesic, 2011). Factors such as demeanour, hostility, and
impairment by drugs were identified as more predictive of the decision to use equipment than
the presence of mental illness. It is possible that the relationship between suspect mental
illness and police action might not simply be additive but interactive. The findings of the
current research indicate that one such hypothesised interaction is that between mental illness
and drug intoxication. Officers commonly described suspects under the influence of illicit
substances as particularly threatening and difficult to engage. Several studies have found that
an intoxicated offender is more likely to be arrested (e.g., Stetser, 2001; Taylor et al., 2001),
however few have explored the interaction between intoxication and mental illness. One
might speculate that the combination of intoxication and mental illness may subject persons
suffering from mental illness to greater force during police intervention (Kerr, Morabito, &
Watson, 2010).
The strategic options applied in encounters with persons suffering from mental illness
inevitably varied – most likely as a result of a host of extra-legal factors as well as copious
idiosyncrasies in police discretion (Engel & Silver, 2001). The interviewed officers, however,
indicated a consistent tendency to rely on communication to de-escalate the incident.
Additional research to study the interpretation of force, resistance, and injury by all parties
involved would be beneficial in understanding physical harm during policing encounters.
7.4 Discussion
Exploring the complexity and reality of police officer decision-making at the
operational level inevitably suggests that police action is dependent upon officers’
interpretations of situational cues and the speed and skill of their response. The number of
variables which impact upon police officer decision-making are innumerable. Perception,
action, and reaction – not only of the officer but of their partner, the suspect, other attending
service providers, and any present public bystanders – were identified as impacting upon
interpretation of the incident and the assessment of threat, risk, and the strategic response.
Ambiguous situations were described as time-consuming, providing for few suitable options,
generating liability, and posing hazards for officers, the suspect, and others. Amidst the
situational ambiguity, officers described striving to attain control through various tactics –
balancing their authority with the duty to protect:

… it’s a matter of control and duties of care and being flexible with those once you’re
calm enough and identifying them and yeah making contentions and plans to
minimise you know any risk.
Although making decisions within dynamic circumstances was widely recognised as
the most challenging aspect of policing, officers were presented with few opportunities to
discuss such experiences with their supervisors and peers. The clear absence of a structured
practice in which officers could reflect on and critically analyse ambiguous police-suspect
encounters elevates the risk of introducing systematic decision errors into the decision-
making process. This was perhaps best exemplified through the officers’ discussions of
dealing with incidents involving hostile and/or drug-affected suspects, wherein implicit
decision rules appeared to stipulate the use of police equipment and physical tactics.
Affording officers the opportunity to reflect on and analyse their – and others’ – decisions
would enable for such systematic errors to be made more conscious and for possible changes
in ways of thinking and practicing to emerge. Supervisors act as powerful gatekeepers in this
endeavour, having the authority to guide the values of the police station. By promoting a
work environment of learning from experience, supervisors are likely to instil a culture of
self-awareness, critical thinking, and problem-solving.

CHAPTER EIGHT: THE INDIVIDUAL DECISION-MAKER
For centuries philosophers and theoreticians have attempted to build accurate models to
explain how people make judgments, decisions, and choices (Simon, 1955). It is posited here
that the assessment of situational features and the conception of uncertainty – as discussed in
the previous chapter - are wholly subjective experiences (Duncan, 1972). Decision-making
requires answers to questions such as ‘What kind of a situation is this?’, ‘What is appropriate
for me to do in a situation like this?’ and ‘What consequences may arise from this action?’
Evidently, variation will emerge as a by-product of how much importance is attached to
certain information available in the environment and the experience of each decision-maker.
Thus, in order to understand why police officers use different strategies it is necessary to
consider their idiosyncrasies.
In the naturalistic setting, decision-makers seldom balance costs with benefits - nor do
they unwaveringly strive to maximise profit. The ambiguity of the immediate situation, the
subjectivity of individual preferences, and the complexity of systemic interrelationships
almost invariably outweigh the rational process of diagnosis, evaluation, and selection of the
optimal solution (Orasanu & Connolly, 1993). The vast potential for complex interactions
between individual psychology and situational demands to unfold is undeniable.
Consequently, acknowledging the possibility of a variety in the choice of an appropriate
strategic response is vital. Accepting this contention, the current chapter posits that decision
tendencies depend on the content of officers’ knowledge structures, such that making a
particular decision is heavily reliant upon the experience and characteristics of the individual
decision-maker.
8.1 Training
Many scholars have proposed that Academy training equips police officers with the
necessary skills to effectively manoeuvre the environmental demands of police work
(Marion, 1998; Ness, 1991) by instilling decision-making skills that can be transferred into
real-life police scenarios (Birzer, 2003; Haberfeld, 2002; Marenin, 2004). In essence, police
training is deemed a fundamental method of developing complex cognitive processes.
Officers in the current research described Victoria Police Academy training and Occupational
Safety Tactics Training (OSTT) as adhering to a traditional classroom-based form of
instruction, supplemented by role-playing for situational tactics. Skills appeared to develop
through the exposure to logically presented information within a safe, confined, and
scheduled environment:
… you get all sorts of training like that sort of stuff but it’s hard to do the theory on it
and maybe do one prac which is scripted compared to actually doing it in real life and
then actually experiencing it yourself. Like they say you learn the best by doing
something and that’s definitely true with this so.
… it’s muscle memory … if your body learns to do the same thing inside and out all
the time, you know if I’m training and that’s my natural jab, jab, jab the first thing
that happens when I need it is - what’s going to happen? My body is going to tell my
brain to switch on my consciousness, I’m going to switch off and the first thing I’m
going to do is that, because it’s how your brain reacts. So muscle memory is a, is
probably the best way to describe it. So you’re training is good and if you don’t have
that initial training you might as well go home …

Officers acknowledged that procedural and legal knowledge was fundamental yet pervasively
posited that limited practice of eclectic planning and decision-making detracted from the
reality of police work:
… training teaches you how to do things, not when to do things [italics added] …
It is important to note this for two reasons. First, it is indicative of the predictability of the
training environment and the perception of scenarios as foreseeable. Officers routinely
described responding to this typicality with an attitude of having to merely “tick the boxes”
rather than engaging in active problem-solving. Second, it suggests that officers are more
likely to value learning that is interesting and inspiring, content that is challenging, and a
teaching environment that is engaging and collaborative:
… because in OSTT we trained in an environment that’s dull and null here in the real
world we bring that to life and you really have to bring it to life …We can train in
isolation that’s fine but we need to be able to link it back. That’s where we fall down
as an organisation.
Training instructors that participated in the current study (n = 5) were not specifically asked
to comment on their experiences of training recruits, regardless - without exception – all
reflected on their teaching style. From these discussions it emerged that instructors perceived
their role as fundamentally involving the dissemination of policing knowledge. This was
predominantly executed through the lecturing method, which instructors described as an
“effective” and “powerful” teaching tool. However, trainees provided a contradictory
viewpoint - noting that the lecturing method was passive and far removed from the reality of
policing:
In a perfect world, and this goes back to OSTT training in a perfect world, you’d
make that phone call and another van would magically appear, process the offender,
seize the clothes … everything would be done perfectly. But we had to make the next
best option I suppose.
Instructors noted the importance of role plays and scenarios in the acquisition of critical
thinking skills. The experience of the trainees once again echoed a discrepant viewpoint –
scenarios were described as “unrealistic”, “ideal world stuff” that was not representative of
true policing practice:
… the scenarios that they will give you, whilst they are realistic, will be you’ll have
resources available in this fictional scenario that in a million years would never
happen.
The discrepancy in the experience of the instructors and the trainees may have been the result
of the trainees’ lack of motivation to learn:
… so they don’t want to be there I can’t teach them … I can’t teach them something
they don’t want to learn.
However, it is also possible that the discrepancy is reflective of a lack of effective teaching
skills:
I suppose if the person doesn’t want to teach then obviously it’s not really going to be
positive for the student, you actually might cause a negative effect. And pass it on,
pass it on.
I think, and it’s going to be different for every person that comes out of the Academy
because some of them are going to have great trainers and some of them aren’t.
The officers’ widely reported a preference for adult learning techniques in the
classroom, a standpoint that is echoed by recent policing literature (Birzer, 2003; Clevelnad
& Saville, 2007; Olivia & Compton, 2010). A focus on physical activities and technical legal
knowledge does not appear to adequately instil critical thinking skills, the need for teaching
methods to be intellectually stimulating and to focus on the actual duties and responsibilities
of the profession were pronounced. Encouragingly, a shift away from the traditional police
training paradigm is unfolding within Victoria Police. Recruits are currently being
intermittently placed in stations during their Academy training period, fostering active
learning through the application of taught principles:
Now it’s less time out in the Academy more operation time so they’re learning and
it’s also a reward system, you know, after 12 weeks instead of after 5 months … and
for 1 week then you can sit at the police station, I get to be a police officer for that
week then I get to go back and learn some more then I get to go back and the next
time I go back I get to be a police officer by doing some more stuff and that goes on.
Nevertheless, militarism continues to be greatly enmeshed in the training curricula
limiting the scope for complex skills such as communication, problem-solving, and cultural
diversity to be imparted. Both practitioners and academics agree that the key function of
police training is to prepare officers to effectively perform their duties (Marion, 1998; Ness,
1991) yet organisational pressures can often stifle the continued review and revision of
training so that it may no longer align with changes in technology, community needs, and
organisational demands for cost effectiveness. A focus on the acquisition of skills such as
communication, relationship-building, and conflict management may perhaps be more
paramount in preparing officers for police work than solely focusing on specific responses to
one given situation or demand (Thomas, 2013).

8.2 Experience
Although officers described training as fundamental to the acquisition of specific
skills, they noted that more complex cognitive processes (e.g., decision-making) could only
be learned through experience. Repetitive exposure to the various situational contingencies of
policing has long been posited as crucial to establishing good policing practice (Bayley &
Bittner, 1984). The fundamental contention holds that the reality police officers confront in
the field is too complex to be reduced to simple principles that can be taught in a classroom
setting - “officers commonly portray policing as being essentially a craft in which learning
comes exclusively through experience intuitively processed by individual officers” (Bayley &
Bittner, 1984, p. 35)
Taking into account individual characteristics and knowledge, it became evident that
experienced officers differed from their inexperienced counterparts in relation to the process
in which they were processing information and arriving at decision outcomes. Officers with
fewer than seven years of experience appeared limited in their ability to engage in such
processes rather relied more heavily on directives from senior members or on decisions made
jointly within a partnership. The following sections map out the information processing style
of experienced police officers and their use of intuition.
8.2.1 Information processing.
As indicated in Figure 9, the stage of the incident frequently determined what type of
information processing was adopted by experienced officers. Anticipatory information
processing occurred predominantly prior to physical presence at the scene (e.g., during the
drive to the scene). Once officers arrived, they described immediately beginning to assess the
situation in order to determine the key issues. As the situational components were
progressively better understood, experienced officers were able to make predictions as to the
possible risks that may have transpired in the immediate future.
Figure 9. Stages of incident and types of information processing.
8.2.1.1 Anticipatory information processing.
Incidents attended by the police are inevitably defined by an unknown number of
unknown variables; the limited information provided by emergency communications does
little to remove the uncertainty. Even so, the insufficient information attained prior to arrival
at the scene was utilised by experienced officers to formulate an estimation of the situational
environment:
… before we get to the job there’s a lot of checks done and obviously we’re only as
good as the information that’s communicated and that would determine a great deal in
terms of my decision-making processes.
In anticipatory information processing, experienced officers applied information attained
prior to arrival at the scene to produce possible representations of the situation’s parameters.
The hypothetical scenarios were constructed not only on the basis of available information
but also with regard to the officers’ prior experiences in a similar set of circumstances. Active
adaptation of these hypotheses appeared to unfold in the face of live feedback:
It’s flexible and sometimes you’ll go there and you might get a job where someone
threatens someone with a knife and you get there and that person is good as gold and
sometimes that’s exaggerated by the person making the call but you take, you take
precautions in case that it’s true …
8.2.1.2 Active information processing.
Upon arrival, experienced officers turned to active information processing to direct
their attention to the immediate environment. They described actively assessing the situation
in order to identify the key issues, construct meaning, and determine what information was
missing:
… is there any drug or alcohol involved? Whether they have a weapon or ability to
get to [a] weapon or potentially get to a weapon?
… you can see it in his face when he starts to grit his teeth and the fists come out …
steer his emotions accordingly.
When the key elements of the situation were identified, relatively simple resemblance or
goodness of fit criteria were applied to the process of categorising problems. As a means of
quickly categorising a new encounter, experienced officers described examining whether the
current situation contained traits representative of previously attended incidents. If officers
found that the current situation was in some way representative of a previous experience, they
appeared to assume that the current situation would follow a similar trajectory.
For example, one officer described an incident characterised by two persons at the
scene engaging in physical violence. The officer identified that this situation resembled
several others in terms of the presence of a violent aggressor and a victim. The identification
of the key components of the situation led the officer to react in line with previous strategies
utilised in similar circumstances – “when somebody is being attacked or something you just
do it, you jump in”. The officer reported the objective of the utilised strategy as being “to
secure people or get them away”, previously having used batons and capsicum spray to
achieve this goal. Having identified the current situation as being reflective of a larger group
of instances wherein the common resolution strategies included the use of equipment, the
officer “threatened him [suspect] with the spray”. This was sufficient to separate the two
parties and reinforced the effectiveness of police equipment in situations characterised by the
presence of a violent aggressor and a victim.
8.2.1.3 Future-oriented information processing.
Once a diagnosis of the situation and its precursors were determined and understood,
officers applied their experience to predict possible situational outcomes. Real-time, mental
projections about how a situation may have unfolded in the immediate or very near future
were generated from the available information – referred to here as future-oriented
information processing. Officers described the concept of future-oriented information
processing as a perceptive and continuously changing anticipation of potential situational
events, with a clear focus on risk estimation:
… what if he decided to get out of bed and we’re in a corridor in a more confined
space in amongst broken shards of glass … ability to think about the what ifs too.
Experienced decision-makers demonstrated a distinct ability to hypothesise risk scenarios
whilst functioning under circumstances of severe immediacy and urgency:

I can still slow myself to one second to think and that one second has saved me
millions of times.
… sometimes you need to just slow down and think about what’s actually going on
and not get caught up in the moment and look at the bigger picture.
Extant literature suggests that in naturalistic settings – with time constraints, changing
conditions, and stress-related influences – the decision-maker engages in a continuous
assessment of the situation (Berryman, 2008; Klein, Orasanu, Calderwood, & Zsambok,
1993). Such models emphasise situational dynamics and the decision-maker’s experience as
being key to the ability to construct, update, and revise one’s state of awareness. It is during
situation assessment that the decision-maker is posited to interpret the meaning of the
situation; inferring the reasons why the situation appears as it does, the risks that may be
present, and the actions that may be implemented.
Strategic choices are said to be identified by comparing the situation with previous
experience so that a suitable working model of the current situation can be developed
(Kirschenbaum, 1992). This process is comparable to the findings of the current research –
where decision-making occurred within a dynamic system and police officers typically
needed to engage in an ongoing assessment in order to make and implement effective
decisions.
An interesting point of difference in the current research pertained to the officers’
clear preoccupation with risk and threat in predicting possible outcomes. The existing
literature argues that the feasibility of a decision choice is the key concern of mental
simulation – for the officers in the current research the key concern was the management of
risk. Evidently, experienced officers invariably engaged in a risk assessment – considering
the suspect’s behaviour, demeanour, physical appearance, and the situational environment -
before implementing a decision choice that aimed to mitigate future risk and ensure the
protection and safety of others and the self
8.2.1.4 Sequential information processing.
Some officers described engaging in information processing characterised by a
process of elimination that occurred in response to an option choice proving inadequate. For
example, one officer discussed being confined in a small space with an approaching wildfire
nearing the location. The officer first attempted to start the tank generator, when this was
unsuccessful he decided to use the manual pump which was later also assessed as being
faulty. Subsequently, the officer set out to search for buckets. Recognising that this would be
insufficient to control the blaze, he made further attempts to form a firebreak by using a
chainsaw. Ultimately, all options were rejected due to equipment failure. Decision-making in
this case was of a serial progression and characterised by opportunistic choices – the officer
engaged in a process wherein failed option choices served as the foundation for subsequent
option choices. Subsequent options were identified through a quick, situational appraisal
rather than a pre-contemplative and planned approach.
Incidents wherein sequential information processing was applied were typically
characterised by a life-threatening event that induced a high level of distress. Officers
reported identifying death as likely, as such ongoing cognitive activity that tuned perception,
attention, and judgment toward threat-related outcomes was abandoned. Decision-making
then began to reflect the chaotic nature of the incident itself:
Our radio here in the car isn’t working, no communication except for mobile phones.
So I chase this other guy. Back to the car, and I’ve stood with me gun in my hand.
Gun in me [my] hand for the whole time and I wasn’t even aware of it.
Following such a distressing event, officers described being in a state of “numbness” that
lasted days or even weeks. During this post-fact period, officers described repeated analysis
of the situation accompanied by a myriad of “what ifs”:
… if I had more time I could have equipped myself with other options.
… if I had more time then I could’ve you know drawn my OSTT equipment.
Overall, situation assessment and mental risk simulation appeared to be central
cognitive mechanisms that facilitated the translation of experience into assessment and action
- a process consistently identified in the naturalistic decision-making literature (see Klein,
1999). Researchers contend that experienced decision-makers form decisions through a
combined use of mental simulation and intuitive processing, arriving at decisions without
analytically comparing the advantages and disadvantages of various options (Simon, 1955).
Consistent with the existing propositions, experienced officers in this research reported the
use of intuitive processing in discerning the key features of an incident and generating
possible risk scenarios.
8.2 Intuition: A central skill.
Intuition was a difficult aspect for experienced officers to explicitly define, it was
often referred to as a “gut-feeling”, “a sense” and “just knowing”. Descriptions differed
across accounts yet the form of an intuitive feeling was recognisable to many of the officers.
That is, experienced officers could identify what intuition felt like within themselves:
… and there was an oh fuck moment, believe you me. Let’s just jump on him it was
like oh fuck, oh shit, jump!
The majority of experienced officers described their intuition as arising mainly from
knowledge and experience (both work-based and personal). These aspects emphasised the
cognitive elements of intuition and its tendency to involve quick appraisals emanating from
domain-specific knowledge:
I always feel it in my stomach, something just tells me - I don’t know whether I feel
sick sometimes or just go nah it’s not right it’s like butterflies. It sounds stupid but it
just feels like - you get like these silly senses that tell you nah do this or back off.
Sometimes it can be reading people, some people don’t know how to do it others do
it. I think I can generally read people pretty well, not that you see these people in a car
but you can look at them, their manner of driving and go yeah nah this one will go.
Officers described different experiences of how aware or conscious they were in terms of
their intuition. For some, intuitive perception appeared to be an involuntarily arising feeling
that enabled for information to be received and understood automatically. In this way,
information was processed so rapidly that it was difficult for experienced officers to pinpoint
exactly what it was that led to their decision:
… it’s over that quick, where is the time to think about this?
… you have to learn to switch off, do your job and think later.
Others reported being aware of their intuitive instinct and utilising this information to guide
their assessment of the situation:
Probably just a gut feeling, just that she said she seemed, she seemed quite loud from
time to time she was defensive sort of from, from the first time we’d come, she was
sort of helpful to us but at the same time - my son didn’t do it.
Intuitive processing appeared to be associated with emotional arousal, such that emotional
factors played a dominant role in triggering an intuitive, automatic type of decision

processing. Anxiety, for example, was frequently described as being closely related to an
intuitive assessment of threat:
… we already decided that we’d have to be ready to use our firearms if we need to
because there was the threat of firearm there.
Experienced officers were ultimately able to take “that big deep breath” and meaningfully
integrate emotional contextual information into the decision process:
I suppose the more you’re exposed to those dynamic situations the more you’re able
to control your adrenaline and control your response.
The ability to “see the bigger picture” (i.e., engage in future-oriented information processing)
enabled for the conception of emotional arousal as only one source of information, reducing
the likelihood that experienced officers would react on an impulse:
… you might think that this is our job, two blokes fighting … and all of a sudden their
mates come in and you’re on the ground … we might get injured so let’s just back up
a little and see if we can get a few more people in …
… when you, you’ve got tunnel vision … just step back that one little bit, have a look
around you, what’s there, then go for it and decide what you want to do then.
The only exception to this was decision-making that occurred under extremely distressing
circumstances, for which even the experienced officers had little knowledge. Under these
circumstances the officers’ experience did not appear to have sufficient weight in moderating
emotional reactions:
… your heart’s beating out of your chest, shit we’re going to get stabbed. Yeah. Yeah
OK.
When the job came through we both looked at each other and went what do we do?
Because I had never been called to a siege before.
The current research indicates that extensive practice knowledge strengthened police
officer decision-making skills, allowing for learned skills to be applied across various
situations and dynamics. Like other decision-makers, officers indicated a reliance on intuition
and described it as a rapid process that was experienced across various levels of
consciousness (Segalowtiz, 2007). Although they found it difficult to explicitly stipulate a
definition of intuition (Kosowski & Roberts, 2003), officers generally perceived it as a
cognitive process that relied heavily on existing knowledge and experience (Moors & De
Houwer, 2006). Few officers commented on the possibility that intuitive processing may not
necessarily produce the best possible outcome, predominantly emphasising that experience
allows for irrelevant patterns or pieces of information to be ignored and focus to be shifted to
critical situational components.
A stream of research in cognitive psychology suggests that intuitive decision-making
can be fraught with cognitive biases (Kahneman, Slovic, & Tversky, 1982; Kahneman &
Tversky, 2000; Tversky & Kahnmeman, 1974). Paradoxically, however, intuition is also
recognised as being central to the decision-making process (e.g., Dane & Pratt, 2007;
Epstein, 2010; Sinclair, 2011). Indeed, some research contends that intuition represents a
singular route toward making effective decisions under time-constraints (Hogarth, 2001;
Sadler-Smith & Shefy, 2004).
These advances notwithstanding, empirical research on intuition remains limited –
particularly so in the policing sector. While it is argued that, under certain circumstances,
there is merit to employing intuitive information processing (e.g., Kahneman & Klein, 2009),
there is a persistent lack of understanding and consensus about what these circumstances may
be. Although there is some compelling research on how intuition works (e.g., Zsambok &
Klein, 1997), the conditions under which it works best within the policing context and how to
improve its practice are yet to be explored.
8.3 Individual Characteristics
Over half a century of research in psychology, economics, and related fields has
indicated that decision-making in the real world deviates systematically from normative
standards of rational choice (Kahneman & Tversky, 1979). Individual differences reveal an
even more nuanced picture, with various personality factors posited to affect the extent and
nature of peoples’ cognitive processes (Scott & Bruce, 1995; Stanovich & West, 1999). In
this research, officers identified empathy, placidity, and lived experience as key factors that
cultivated differences in cognition and decision-making across individual decision-makers.
8.3.1 Empathy.
In describing the type of person who would be most successful in the policing
occupation, officers identified empathy as a key personal attribute underlying effective
decision-making:
I’ve had PTSD and before I had that I had a different mindset, I didn’t understand
really understand mental illness in the sense that I couldn’t get my head around how
these people, how the whole mental illness works and having experienced it myself I
realise it’s something they can’t control and it is an illness. That’s benefited me a lot
and I’m not afraid to tell people, and you know I’ve been through similar things I’ve
had PTSD you know, like this guy understands me.
… some members will say so and so reckons that someone is following him, hiding
under the house and you know I always stop them and say to them we know that’s
probably not the case, but this is probably a mental illness issue but he believes it to
be true … Obviously rather than just laughing at it and thinking it’s funny I think that
this poor person thinks that that’s true and they’re petrified by what’s - let’s treat it
properly.
Empathy was defined as the conceptual acknowledgment that police action has the potential
to have long-standing effects on the parties involved:
… the spoken word or your action is going to impact on them [the suspect] for the rest
of their lives.
The ability to transcend one’s own perspective and assume the position of the other was also
identified as an elementary feature of practicing an empathic stance:
… that’s the trick, it’s having the verbals to use and it’s trying to put yourself in their
position.
Empathy, thus, was understood by the interviewed officers as not merely the absence of
violence or coercion but rather as the ability to experience the perspective of the other and to
transform this knowledge effectively into behaviour. Taking a “step back” and “seeing” the
situation from the view of the suspect enabled officers to more readily formulate the
circumstances that gave rise to the incident.
The expression of empathy was at times, however, described as a conditional
endeavour. That is, some officers reported expressing empathy only when the suspect
reciprocated with compliance:
… if you give me the shits you’ll get virtually nothing from me.
A small number of officers demonstrated a generalised hesitance to practicing an empathic
stance, preferring to establish a divide between themselves and the suspect:

I’m working as if I’m in the cage. Other people work as if they’re out of the cage and
if you think about the two you’ll be going about your business a lot differently.
This divide appeared to emerge out of a sense of distrust and fear:
… you’re going to meet the most violent people in the world, you may have to shoot a
bloke in order for you to go home.
Key to police-suspect encounters, empathy was also considered to be a core feature of
effective leadership. Senior members who discussed feeling responsible for the welfare of
subordinate officers frequently described “offering an ear”, providing counselling and
assistance as behavioural indications of their concern for the welfare of their peers and
subordinates:
… you’ve got to be able to … talk to people and communicate with them properly
and make sure that their welfare is alright.
8.3.2 Placidity.
In discussing the police personality, officers also identified placidity and patience as
advantageous traits:
… people will talk to me and have no problems coming over and having a chat … my
personality comes across to people that way.
Officers identified a placid or “laid back” nature as being more conducive to the policing
profession, allowing the police officer to cope with and operate effectively under pressure:
I’ve been someone that’s pretty calm under pressure then more so calculating and did
my job well and got that feedback later on from the hierarchy that everyone for
something like that it went well so.

OK couple of breaths and get in there. And that’s the way I do it, I just calm myself
down by taking a deep breath looking at the breathing and using the breathing to give
myself time to think.
By comparison, the inability to remain grounded was perceived to result in a failure to
adequately develop or maintain rapport:
… other people, unfortunately, are very uptight and emotional and someone else
screams and they scream back at them 100 miles an hour.
During the last two decades, a number of personality dimensions including
authoritarianism (e.g., Wortley & Homel, 1995), dogmatism (e.g., Henkel, Sheehan, &
Reichel, 1997), and ethnocentrism (e.g., Wortley & Homel, 1995) have been investigated in
the policing literature. The direction that this research has taken proposes that policing
attracts individuals who seek out authority, particularly over persons who violate
conventional norms. In the current research the inverse pattern was observed, such that
officers identified positive personality traits as being fundamental to effective policing.
Part of the difficulty of delineating particular personality traits for the purpose of
estimating job performance is the lack of consensus surrounding what constitutes desirable
police officer characteristics (Black, 2000; Barrick & Mount, 1991). Although the use of
psychological personality tests to screen out extremely unsuitable applicants is generally
agreed upon (Detrick, Chibnall, & Rosso, 2001; Hiatt & Hargrave, 1988; Sellbom, Fischler,
& Ben-Porath, 2007), the value of personality traits in predicting successful job performance
is far less substantiated (Sanders, 2008). The emerging evidence suggests that the police
personality may have little implication for operational policing practice (Wortley, 2003) and
that agency socialisation and leadership may be more critical in promoting development
(Sanders, 2008).
8.3.3 Lived experience.
Described by one officer as “the life that you’ve had before or the life you’ve had
right up to that point, whether it’s in the job or out of the job”, life experience was commonly
posited to form the foundation on which judgment was developed. Characteristics such as
cultural awareness, maturity, communication skills, responsibility, and the ability to function
under pressure were identified as being particularly derivative of “time on this planet” rather
than skills accumulated through police hours:
You can’t train that you got to learn that and you learn that also as a parent. So as a
parent, I mean I’ve got three children I have to use my verbal skills there also you use
your verbal skills with your partner. And this is where - so I’ve been married, I’m
coming up to 24 years of marriage, it comes down to again verbal skills being able to
talk things out and not just giving up or quitting.
The benefits of prior work experience were often emphasised in regards to equipping police
recruits with transferable skills. Dealing with difficult customers was essentially classified as
being akin to dealing with difficult suspects:
But I always get people coming in going I want to join the police force what can you
tell me about it? I say what are you doing now? I just finished school. Go get a job.
Doesn’t matter what you do, go work in a shop, go and get some public exposure, so
you can talk to people.
Officers who did not have substantial life experience (i.e., young recruits) were described as
“sheltered” and likely to react to dynamic situations with fear and perplexity:
I thought everybody in the universe approached life the same as me, we’re just always
trying to do the right thing and not harming anybody and all that sort of stuff and it
wasn’t until I joined and started dealing with people that I realised some people -
every word that comes out of their mouth is a lie and they don’t want the best, and all
that sort of thing. It took me a while to get that because that wasn’t my life approach.
… he was only a few months in the job too, he blanked out a little bit to the point
where I just took the radio off him and did it myself.
The importance of lived experience stressed by the officers in the current thesis is
consistent with the intuitive approach assumed by police practitioners - who contend that
older applicants possess more maturity and thus make better police officers. However, there
is seemingly an absence of any published literature to support these anecdotal claims.
Currently, Victoria Police does not stipulate experience as a mandatory requirement – the
only requirement having any real relevance being that of the minimum age. Overall, however,
pre-selection requirements regarding age and work experience appear to be arbitrarily
specified (Decker & Huckabee, 2002) with little empirical evidence to indicate whether lived
experience results in better police performance.
8.4 Discussion
The coercive arm of government is an accessible, interactive, and dynamic
organisation that often presents itself as the first line responder. Police officers must often
face situations that require quick, on-the-spot decision-making. Although one might assume
that police decisions are based on the rational and effective use of evidence taught through
police training, the current findings and the existing literature base suggest that decision-
makers are limited in their capacity to produce uniform and optimal decision outcomes (Klein
et al., 1993).
Victoria Police sets forth a formal collection of shared rules and procedures that are
imposed onto recruits during Academy training and reinforced during OSTT. This entails the
overlearning of psychomotor skills as well as the prototypical strategies to be implemented to
resolve particular types of situations (e.g., cordon and contain a situation that may escalate).
Yet knowledge of when and why certain actions or strategies are performed appears to derive
more so from policing experience. Experience enables the officer to develop examples, that
is, a general idea of how a situation with a particular set of circumstances unfolds and what
actions are likely to be successful. In this way, the individual officer serves as an element in
the meaning-making process and develops an intuitive, tacit knowledge that enables him or
her to function within increasingly complex situations (e.g., Bonabeau, 2003; Cesna &
Mosier, 2005). The ability to drawn upon existing knowledge can act as an invaluable
resource during time pressured and ill-defined circumstances. However, as has been
highlighted in both the current and previous chapters, pre-existing notions of how a particular
scenario may unfold can introduce systematic bias into the decision-making process. This is
especially so when previous negative experiences are utilised as a means of understanding the
current situation.
The review of the effect of training in Chapter Two indicated that the contingent
nature of training’s effects depend not only on the logistics and content of the curricula, but
also on the organisational environment in which the police officer operates. Police officers
working within stations that foster and encourage training principles - manifested through
ongoing, supportive supervisory practices - are able to sustain and adhere to training
doctrines (Mastrofski & Ritti, 1996). To create an environment conducive to training
practices, police supervisors must promote open communication and inter-rank collaboration
at the police station level. By engaging officers in discussion of how training applies to real-
life scenarios, identifying how training may have been utilised in the resolution of attended
incidents, and adding to the knowledge instilled by Academy training and/or OSTT
supervisors can create a more concrete understanding of how training principles can be
applied to police work.
Similarly, police supervisors play a vital role in facilitating skill development that
occurs through experience. By reflecting on decision-making during a particular incident
officers can begin to identify the factors that contribute to their situation assessment -
identifying the sources of their decision (e.g., previous experience in a similar set of
circumstances) and exploring the costs and risks of these. Individual traits can also be
considered in terms of whether they may be impeding upon or promoting the effective
resolution of police-suspect encounters.
The current and preceding chapters have delineated several organisational, situational,
and individual factors that set the decision context. In the following chapter the three lines of
inquiry are corroborated into one overarching theory of police officer decision-making, a
grounded theory that describes the mechanisms by which policing may deal with the inherent
uncertainty of its work.

CHAPTER NINE: A GROUNDED THEORY OF POLICE OFFICER DECISION-

MAKING
In this chapter the level of theoretical abstraction is lifted beyond the experience of the
interviewed officers and a grounded theory of police officer decision-making – the Social
Leadership Model - is presented that may be worked with and developed in future research
endeavours. This research set out to explore the process of police officer decision-making
with the guiding questions of: (i) how does the decision-making process unfold amidst
dynamic and fast-paced circumstances? and (ii) what information or strategies do police
officers use to arrive at a decision outcome? Through an analysis of 44 interviews depicting
ambiguous, stressful, and potentially violent incidents, an account of how the policing
culture, situational ambiguity, and individual characteristics may contribute to decision-
making within dynamic police encounters is provided. A simple illustration of these three
composite factors is provided in Figure 10. A detailed discussion of the conceptual
framework follows.
It should be noted that the data obtained from the interviews as shown in the
quotations used throughout the thesis were consistent with other sections of the interviews
and were only meant to act as a representative sample. The complete interview transcripts
and the cross-section of the interviews provided more cogent data that led to the propositions
developed. The findings suggest that uncertainty is a key feature of the policing context. The
para-military hierarchy imposed upon the police force appears to play a stabilising role -
attempting to impart some form of predictability and certainty onto what is an uncertain
workplace. Moreover, the officers indicated that a focus on leadership may positively impact
the police culture through the development and performance of individual officers. This is
consistent with not only the existing police literature but emerging evidence in other related
fields (e.g., Mann, Gordon, & MacLeod, 2009).

Figure 10. Three composite factors of uncertainty in the policing context.

9.1 Reducing Uncertainty
Uncertainty is an inescapable and omnipresent fact of the human condition. Social
scientists and organisational theorists have long accepted that the world can be a chaotic,
contradictory, and incomprehensible place:
Uncertainty is a fact with which all forms of life must be prepared to contend. At all
levels of biological complexity there is uncertainty about the significance of signs or
stimuli and about the possible consequences of actions. At all levels, action must be
taken before uncertainty is unresolved … and a general ability to respond
appropriately when the unexpected happens (Kahneman et al., 1982, p. 508).
Officers reported functioning alongside extraordinary ambiguity regarding the nature and
significance of potential threats and what strategies, tactics, and resources were needed to
resolve them (e.g., Crank, 1998; Manning, 1997). As discussed in Chapter Seven, officers
identified several sources of situational ambiguity. Firstly, incidents were considered as
increasing in complexity if third parties (i.e., ambulance personnel and public bystanders)
were present at the scene. Officers commonly equated the presence of third parties as creating
demands on resources, introducing a greater sense of responsibility, and at times delaying
incident resolution. Second, certain police partnerships added to situational ambiguity,
particularly so if trust and confidence could not readily be established between the attending
officers. A lack of trust in the other limited the strategic options officers were willing to
implement, mostly due to uncertainty as to whether the partner would respond appropriately
or provide adequate support. Finally, various suspect characteristics had a substantial effect
on the extent to which officers described a sense of “not knowing what to do”. Specifically,
suspects presenting with a hostile demeanour, those that were under the influence of drugs
and/or suffering from an episode of mental illness during the period of the encounter were
perceived as more difficult to engage. Consequently, officers described typically utilising
coercive tactics (e.g., use of equipment) in an attempt to deescalate the situation and attain
control.
Evidently, the police occupational environment is an ambiguous and uncertain one.
Officers must at all times remain alert to the possibility that a hostile or threatening encounter
may transpire. In coping with this undertone of threat uncertainty, the police organisational
culture appears to have established several mechanisms that aim to control or moderate the
negative or adverse effects of the external environment. The imposition of a strict hierarchy,
which was said to rely on formal positions of seniority and a myriad of policies and
protocols, acted as a symbolic depiction of order and stabilisation. In addition, officers
themselves reported having to develop strategic mechanisms that allowed them to impart
some control over their environment. These organisational- and individual-level processes are
discussed in further detail in the sections that follow.
9.1.1 Reducing uncertainty through organisational processes.
The police as an organisation occupies a precarious position; endowed with the power
of coercive force and consequently confined by high standards of conduct and accountability.
This is perhaps most compellingly highlighted by the fact that the police entity is demarcated
by an almost indefinite number of externally and internally imposed boundaries. Legal
boundaries determine acceptable conduct and set limits upon the organisation’s capacity and
discretion – defining the actions and conditions for which the police are responsible. The
judiciary reviews and holds the police to account, often redefining the rules of conduct set by
the legislature when challenges are brought. Jurisdictional boundaries specify the
geographical limits of police responsibility. Organisational boundaries determine
membership. A geopolitical boundary marks the invisible divide between the police and the
community, establishing the police and the non-police. All of these boundaries act to define
the police as a goal-directed system and simultaneously characterise it as an interconnected
activity that occurs among multiple networked actors.
In the face of the external environment, the internally instituted police hierarchy aims
to constrain uncertainty by codifying procedures, actions, rules, and instructions and by
assuming individual agency. It does so by assigning authority to individual officers and by
emphasising individual action whilst recognising that individual capacity, skill, and
behaviour form discretionary responsibility and accountability. Admittedly, different policing
practices were observed across stations. Factors inducing variation in police station culture
included geographical region and supervisor characteristics, creating differences in the extent
to which hierarchical dynamics were applied to operational duties and social relations. This is
consistent with other studies investigating the effect of police culture on police officer
decision-making, which have persistently indicated a high level of variation across police
stations (e.g., Chappell et al., 2006; Liederbach & Travis, 2008; Zhao et al., 2010). The
current findings suggest that the police culture can best be conceived of as an active and
fluctuating enterprise that is born into, develops out of and adapts to its immediate
environment. Given this, it ought to be considered in tandem with the characteristics of the
supervisors leading it, the officers experiencing it as well as the local community context
within which it materialises.
Regardless of any variation, officers fundamentally experienced their organisational
environment as highly structured and embodying practices that indicated high uncertainty
avoidance (Hofstede, 1980). That is, the goals, visions, strategies, and objectives of the police
were understood by officers as defining its purpose primarily in terms of the mitigation and
management of risk. Consequently, resources were directed toward the prevention of
undesired end states and endeavours that aimed to increase the standardised methods of
coping with threat uncertainty (e.g., standard operational procedures). This is consistent with
the findings of existing organisational research, which contends that most organisations seek
out tools such as strategic planning, cost-benefit analysis, and other analytical techniques to
categorise, quantify and reify the future (e.g., Clampitt & DeKoch, 1999; Sitkin, Cardinal, &
Bijlsma-Frankema, 2010).
9.1.2 Reducing uncertainty through individual processes.
Experienced officers commonly noted that uncertainty could be reduced by one of
two means; (i) if the decision-maker possessed enough knowledge of the problem or (ii) if the
decision-maker was sufficiently experienced. In regards to the former, experienced officers
highlighted the importance of collecting information prior to arrival at the scene (i.e.,
anticipatory information processing) and throughout the encounter (i.e., active information
processing) prior to making a decision. However, when there was no additional information
available or time constraints inhibited the collection and processing of further information,
officers attested to the importance of extrapolating knowledge from prior experience. Officers
typically described this process as using their gut or intuition to go beyond what is firmly
known and to imagine and prepare for possible future developments (i.e., future-oriented
information processing). This is in line with the tenants of the Naturalistic Decision-Making
(NDM) literature (e.g., Klein, 1999) and the propositions of the heuristics and biases
paradigm (Kahneman et al., 1982; Smithson, 1989).
The NDM model has comprehensively investigated the effect of expertise on
decision-making and coping under uncertainty – the most general conclusion being that
people use different decision-making strategies depending upon their experience and the
immediate decision context (e.g., Lehto, 1977; Lipshitz & Strauss, 1997; Salas, Prince,
Baker, & Shrestha, 1995). Similarly, the heuristics and biases paradigm has found that human
decision-makers cope with uncertainty by simplifying the complexity of the external

environment through the application of heuristics – rules of thumb that allow for quick
decision outcomes (Kahneman et al., 1982). Officers in the current research described
utilising both strategies when operating within volatile, uncertain, complex, and ambiguous
situations.
9.2 Thriving on Uncertainty
In the 1980s and 1990s several police academics posited the importance of police
leadership and supervision in effecting the behaviour of police officers (e.g., Brewer et al.,
1994; Van Maanen, 1983). Power over others was said to be exercised by police supervisors
as a means of achieving certain goals; coordinating resources, resolving dynamic situations,
and establishing control over other’s behaviour. Yet further examinations of this hypothesis
suggested that the effect of supervisors varied considerably across studies and was generally
found to be small in magnitude (e.g., Brown, 1988; Engel, 2000). These early investigations
did not account for the fact that police leadership is a highly relational, collective, and
purposeful endeavour – police leaders do not necessarily yield control and their position
cannot be regarded as entirely inseparable from the needs, motivations, and goals of
subordinate ranks. Rather leadership can perhaps best be defined by the interactions and
relations that exist between officers of differing rank and skill level who share a common
purpose and objective. In this way the police organisation can be perceived as an elaborate
relational network of persons, moving forward together through a complex interplay between
cultural factors, individual characteristics, and the socio-graphical environment in which they
function.
Rather than understanding police leadership as the centralisation of power, this thesis
argues that the purpose of police leadership is to foster interactions and relationships among
agents - exposing officers to a multiplicity of ways in which information can be perceived
and dealt with. Police supervisors act to distribute knowledge across rank segments and
promote collaborative action aimed at attaining a common objective. Such forms of
knowledge may be communicated by means of shared experiences and collective social and
organisational frames – elements that can be encouraged through adequate supervision
arrangements (e.g., designated times to reflect on difficult experiences/dilemmas, access to
regular supervisory/group peer support).
The effectiveness of the para-military hierarchy and its assignment of centralised
power to senior officers has come under extensive scrutiny and a call for the policing sector
to adopt more modern approaches has accumulated widespread support (Engel, 2001).
Responding to uncertainty by trying to control officer discretion and action can no longer be
deemed effective. A viable alternative may be the implementation of leadership that is
purposeful, collaborative, and value-based and that aims to build positive relations within the
organisation and between the organisation and all relevant stakeholders. The model posited in
the current chapter - termed the Social Leadership Model – aims to provide such a
framework.
The Social Leadership Model emphasises the importance of relational dynamics and
comprises two fundamental components; (i) effective relationships - at the core of which lie
the values of establishing common purpose, engaging in communication, and working in
collaboration – and, (ii) reflective practice– encouraging the systematic analysis of situations.
Each of these factors is addressed in greater detail in the following sections.
9.2.1 Social leadership: Promoting effective relationships.
The Social Leadership Model posited in this chapter contends that although individual
police officers present with idiosyncratic cognitions and behaviours (resulting from variation
in experience and personal characteristics), they nevertheless function in, and as part of
mutual relationships with others and the surrounding environment. It is not the individual
characteristics of police officers that creates the working environment rather it is the
interaction between these individual characteristics, the situation, and the local police
environment that produce the dynamics of police work. Police supervisors need to be
concerned with identifying relationships between network elements and understanding
relational mechanisms; think about how they communicate with subordinates; and be
cognisant of the macro- and micro-processes involved in socially constructing and organising
collective activities.
Figure 11 illustrates the three key relationship characteristics that police supervisors
must promote in order for police officers to effectively manoeuvre the complexity of their
working environment. From this perspective, police relationships are conceptualised as a
cyclical process, relying heavily on the construction and maintenance of effective
communication, a common purpose, and a collaborative approach.
Figure 11. Components of effective relationships in policing environment
Collaboration Communication
RELATIONSHIPS
Common
purpose
9.2.1.1 Communication.
From the perspective of the Social Leadership Model, communication-based activity
is the first and foremost task of the police supervisor. Communication - the ability of the
supervisor to send, receive, and regulate verbal messages and understand social situations,
social norms and social cues (Hackman & Johnson, 2013) - enables for the supervisor’s
values to be presented and transmitted, for knowledge to be shared, and for a common
purpose to develop. A fundamental role of the police supervisor is to be a catalyst for
conversation, imparting clear and attainable objectives onto officers. Performance
effectiveness can be facilitated by communication that occurs on a day-to-day basis, where
officers are free to cooperate without having to abide by strict rules of hierarchy. Dialogue
that transcends organisational rank segments creates trust and cohesion, opens individuals to
differing realities and worldviews, and promotes the ethical and moral values emphasised by
the local community. In this way, officers become more aware of their and others roles and
responsibilities and can act in accordance with these during ambiguous police-suspect
encounters.
9.2.1.2 Common purpose.
Common or shared purpose, the second dimension of police relationships, exists when
group members have similar understandings of their team’s primary objectives and take steps
to ensure a focus on collective goals (Hackman & Johnson, 2013). The police teams
described by the interviewed officers varied in composition but consistently comprised of
many layers of rank, from the Constable to the Senior Sergeant. The culture of this stringent
hierarchy was said to impose a high level of centralisation, such that seniors often utilised
their authority to control and manage the use of officer discretion. Open and clear
communication of the team’s shared objective would enable for authority to be more equally
distributed down the rank structure and allow for more flexible and localised responses to
community needs.
Organisational statements of missions, vision and values have long been a staple of
the strategic planning process (see Victoria Police Blue Paper, 2014b). Yet active leadership
is needed at the local and individual level to impart, interpret, and apply these objectives into
day-to-day operational duties. The common purpose should go beyond numbers and
logistical information and instead provide agreed-upon goals, clear directives for the future,
and a daily yardstick with which officers can reflect on their organisation’s mission, vision,
and values in their regular work activities. In reaching a common purpose police supervisors
need to work together with personnel to clearly define the issues facing the station, ensure
that there is adequate time for discussion, and encourage individual officers to provide their
position on the issue/s. A shared purpose allows individual officers to recognise the value of
their designated roles and to adopt collective direction. Interaction, cooperation, and
commitment to the organisation replace the need for a single leader to issue directives as
officers come to function on the basis of a shared understanding (Komives, Lucas, &
McMahon, 2007).
9.2.1.3 Collaboration.
The Social Leadership Model is grounded in relationships: in these relationships the
ability to work collaboratively is essential. Collaboration is defined as the development of a
common purpose and the sharing of responsibility and accountability in this pursuit.
Collaboration requires the establishment of mutually beneficial goals and engaged group
members, with supervisors directing the group toward operationalisation of objectives. An
effective police supervisor must be willing to redistribute the power assigned by the hierarchy
whilst at the same time assuming responsibility for and ownership of the group process and
its outcomes.
There exist undeniable practical limits to collaboration, particularly when quick

decisions are needed. Although an authoritarian style is likely to produce fast and consistent
decisions, it requires for the elimination of officer discretion and for the senior to have
sufficient insight into unfolding incidents. With a focus on relationships and social capital,
supervisors can foster and facilitate an organisational change towards a collaborative cultural
identity, wherein officers collaborate with each other, other emergency and public services as
well as the community in resolving incidents.
The relational component of the Social Leadership Model is consistent with other
relational theories in that it is situated within the social constructionist paradigm, which
contends that people exist in mutual relationships with others and their surroundings – we
both shape, and are shaped by the social experiences of our everyday interactions (Gergen,
1999). The relational component suggests that leadership is actually a non-hierarchical
process that is distributed through the organisational practice of communication, common
purpose, and collaboration. Consequently, leadership is something that collaborating actors
do within relational interactions (Pearce & Conger, 2003) that facilitates understanding of the
complex occupational environment, guides the process of problem-solving, and shapes
strategic direction and practical action.
9.2.2 Social leadership: Promoting reflective practice.
… it’s a learning curve, we’re not going to come around and have their head for it
because they’ve made a mistake. They’ll make it again and I’m going to jump on
them but sometimes the best way to learn is to make the mistake but you’ve just got to
be able to then identify it early so that we can go through it and read the [inaudible
word] and minimise their risks, for the department, the community or the case. So it’s
a matter of just speaking to them, that’s why we do the debrief - then they’ve actually
seen it. Yup it took me a long time to do this because I was thinking this is the right
way to go. Look a lot of the times too they might have good ideas come back and you
know like everybody’s different.
Although policing has traditionally been conceptualised as a vocation requiring the practical
application of professional knowledge and practice, the data arising from the interviews
suggests that officers are acutely aware of the fluid nature of the context within which they
operate and the commonality with which they face issues that cannot be easily
compartmentalised. Despite this it is surprising to note that there is scarcely any literature –
with the exception of Copley (2011) - discussing reflection and reflective learning within the
police force.
Chong (2009) defined reflection as a cognitive process that brings together several
stages of deliberate explorations focused on officer skill and outcomes. Reflection involves
reviewing one’s own values and assumptions: considering broader social, political, and
professional issues that may be relevant to a specific incident (Bulman & Schutz, 2013; Kolb,
1984) with the aim of improving strategic action. A review of the various models of
reflective practice is beyond the scope of the current thesis (for a review see Moon, 1999).
For the purpose of the current chapter it will suffice to specify that the capacity for reflection
– as events are unfolding and post-event – is an essential component of skilful policing
practice.
Reflection and reflective practice are frequently noted across various domains of
literature as increasingly essential attributes of competent professionals (e.g., Beecher,
Lindemann, Morzinski, & Simpson, 1997; Sobral, 2000) and often contrasted to routine
action guided by tradition, habit or authority. In terms of the policing context, as an officer’s
professional identity is developed, there are aspects of learning that call for the understanding
of personal beliefs, attitudes, and values in relation to those endorsed by the police culture
(Epstein, 1999). The observations, behaviours, and skills that officers encounter during their
operational practice and throughout their professional lives must be welcomed by the police
supervisor and acknowledged as having value and applicability. It is within this acceptance of
learning and development that the true nature of social leadership dwells. For example, by
saying ‘Tell me what you have done’ and ‘Show me what you have learned’ the police
supervisor sets the expectation of reflective practice, creating a space wherein officers can
discuss dilemmas in their work and have access to adequate social support.
Reflection can occur in action (during the performance of the task) and/or post-action
(reflecting after the performance of the task). In the current thesis, experienced police officers
demonstrated a strong ability to reflect in action (see Schon, 1983) or “think on your feet”
(i.e., active and future-oriented information processing), assessing the situation and the
possible risks in a rapid trajectory. Less experienced officers reported benefiting more from
post-hoc reflection (see Schon, 1983). Regardless of the experience of the officers, unless
encouraged to share their thoughts, the process of reflection may remain largely internal. The
risks associated with introspective reflection pertain to the development or maintenance of
certain perspectives, which may inevitably impact upon what information is processed, how
the information is interpreted, and what action is taken. Essentially, if reflective practice
remains solely introspective it may stifle professional development as decision-makers are
not necessarily adept at identifying the limitations of their own knowledge (Dunning,
Johnson, Ehrlinger, & Kruger, 2003). This may be especially so in a field where physical and
emotional demands are at times overwhelming and wherein one’s ethics and morals are
frequently tested.
Boud, Cressey and Docherty (2006) attested to the use of reflective practice,
particularly in situations where ambiguity cannot be controlled, as an effective method
through which the decision-maker can focus on and understand the problematic situation
without making a premature rush to judgment. In this way, reflection can be conceptualised
as an open process that deals with “matters that by definition do not have a ready solution or
are not clearly formulated” (Boud et al., 2006, p. 22). Officers will, of course, nevertheless
continue to be affected by the situational factors identified in Chapter Seven (and a host of
other factors delineated in the policing literature), and they will undoubtedly continue to act
on the basis of intuition or “gut-feelings”. However, by asking questions such as ‘What
is/was the situation?’, ‘How does/did the situation differ from other situations experienced in
the past?’, ‘How do/did I feel being in the situation?’, ‘What thoughts do/did I have about the
situation?’, ‘What do/did I do?’, ‘What do/did I think about what I did?’, ‘Why should/did I
implement that decision choice?’ and ‘What may I do differently in the future?’ the focus is
shifted to examining the external and internal factors that may influence the decision-making
process.
Research indicates that creating time and regular opportunities for dialogical
reflection and ensuring access to a mentor for continuing professional development are
essential to promoting reflective practice (e.g., Raban et al., 2007). To facilitate reflection,
police supervisors require depth of knowledge and skill in creating a climate of trust. Police
supervisors must possess adequate policing knowledge so that they may aid fellow officers in
identifying, mobilising, and developing their own strengths in policing practice. However,
police supervisors must also have strong reflective skills if they are to serve as role models.
The ability to communicate effectively and develop strong interpersonal relationships is
fundamental to helping officers recognise patterns in their practice.
Hoyrup and Elkjaer (2006) provided a useful framework for considering reflection
within work contexts that includes four perspectives; individualised, critical, socialised, and
organisational:
- Individualised perspective – “Reflection is prompted by a complex situation involving
problems, uncertainty and ambiguity” (Hoyrup & Elkjaer, 2006, p. 32) and is
experienced primarily at an introspective level.
- Critical perspective – Critical reflection involves the questioning of existing
assumptions and may include consideration of how social, cultural, and political
factors can impact upon the individual and their cognitive processes.
- Socialised perspective – “The process of reflection is collective, we reflect together
with trusted others in the midst of practice” (Hoyrup & Elkjaer, 2006, p. 36). Social
reflection may take the form of peer groups that meet on a regular basis to collectively
learn from mistakes, share knowledge, and challenge each other through the provision
of feedback.
- Organisational perspective – The necessary organisational processes that create and
sustain opportunities for organisational learning and change. These may include the
development of communities of practice or structures that promote reflection and
critical thinking (Lave & Wenger, 1991).
Several learning programmes have been created in accordance with Hoyrup and Elkjaer’s
principles and applied to the military and fire services in the U.S. (e.g., Sutton & Cook,
2003). One such program is Staff Ride (Sutton & Cook, 2003), which utilises real-life
experiences to encourage shifts in perspective-taking in the exploration of various
conceptions of a single situation. The program has been applied in Australia, first by the
Tasmanian Parks and Wildfire Services in 2010 and later by the Country Fire Association in
2012 (Stack, 2014). The Social Leadership Model is consistent with such reflective learning
programs as it firmly locates individual experiences within a broader social environment. The
theory integrates the ever-present shadow of uncertainty with the officers expressed need to
reflect on their practice alone as well as with their colleagues and seniors. The Social
Leadership Model identifies police leaders as the advocates of Hoyrup and Elkjaer’s (2006)
organisational perspective and as pivotal agents that must drive the implementation of
structured and ongoing reflection practices that need to be appropriately designed for the
policing context.
9.3 Implications
This thesis provides a framework of leadership that challenges the effectiveness of the
traditional, authoritarian, and bureaucratic police supervisor and adds to the growing push for
senior members to adopt modern approaches. It is argued that improving police relationships
requires a shift in perspective – recognising policing as a dynamic, nonlinear process that
ebbs and flows. To this end, it is critical to acknowledge that decision-making is not simply
the result of the cognitive properties or processes of individual decision-makers or single
situational factors rather it is the accumulated influence of these factors that inevitably occur
within cultural and social dynamics.
The Social Leadership Model affords a more nuanced understanding of policing
practice and is particularly useful in collective sense making in that it is designed to allow for
shared understanding through group-level collaboration and free flowing communication.
The model provides a way in which reflective practice can be introduced into the policing
context including different ways of talking about problems and experiences and minimising
the pitfalls that may arise from blindly subscribing to a particular understanding of situations.
The model is compatible with reflective learning programs that have already been created and
implemented across various emergency service providers.
The Social Leadership Model identifies police supervisors as pivotal aspects of the
implementation of reflective practice programs. Good administrators sometimes fail to fully
grasp the importance of social structure and its role in organisational operations. Police
supervisors need to be able to accurately perceive the social network relations that connect
members and to actively participate in and manage these if they are to promote a learning
environment. Social capital exists at all levels of the police organisation - just as the Sergeant
is expected to display sound judgment, initiative, and clear communication in the command
of his or her subordinates, so too is the Constable, working alone, expected to display
leadership in every situation he or she faces. Thus, one cannot focus merely on the individual
whilst overlooking the embeddedness of that individual in the social ties of the police agency.
Reflective practice, with its intention to understand action, allows for an examination
of the concealed processes of professional life. As Mezirow (1990) noted, reflective practice
is “becoming critically aware of how and why our presuppositions have come to constrain the
way we perceive, understand and feel about our world” (p. 14). Reflection may be most
useful when viewed as a learning strategy. Used in this way it may assist learning; connecting
and integrating new learning to existing knowledge and skills. This may be particularly
beneficial in ambiguous encounters where decision rules developed through previous
experience may be incorrectly applied.
As with any other skills, reflective practice and its role in learning may not be
explicitly apparent to officers. A structured program will need to be developed by future
research that can then be implemented in vivo to guide practice, particularly so in the early
stages. An important task for the police supervisor during this process will be that of acting as
a powerful role model. By exposing their own reasoning processes and sharing their own
experience and knowledge, as well as inviting contribution from other officers, the police
supervisor can endorse reflection as both a collaborative, and an individual process.
Furthermore, as organisational advocates, police supervisors will need to contend with
engrained aspects of the police culture that may not necessarily endorse or value reflective
practice as a learning strategy.
An incentive to nevertheless develop and apply reflective practice programs is the fact
that policing will continue to experience pressure on resources, particularly as demands on
emergency services increase. Such trends are likely to place greater stressors and cognitive
demands on police officers and strategies to regulate thinking to avoid decision biases will
become increasingly important. Reflective practice presents as a useful tool in examining
potential sources of bias and identifying alternative perspectives so that officers are able to
get the best outcomes possible under dynamic and challenging conditions. The ability to
critique personal decisions and identify biases is undoubtedly a difficult and abstract one.
However, there is strong evidence to suggest that such higher-level thinking skills can be
taught to decision-makers of all levels of experience; granted that the opportunity is afforded
and adequate instruction is given (Frye & Wearing, 2014). Reviewing past incidents provides
a substantial resource for organisational learning that can be further amalgamated through
effective police leadership and well-designed reflective practice programs.
Several researchers have identified some form of improvement in learning through
reflection (e.g., Glaze, 2001; Pinsky, Monson, & Irby, 1998; Sobral, 2000), and these
relationships need to be further clarified in the policing context. Understandably, the
quantification of reflective practice is challenging. Yet as understanding of reflection
develops in other fields, there will be a need for studies with rigorous designs that will allow
for the evaluation of different learning strategies in the policing sector. Future research is
needed to present practical suggestion to enhance the police force’s capacity to implement
reflective learning. Further studies may choose to begin by investigating the perceptions of
officers regarding reflective practice and the extent to which - and in what form - it may
already be occurring.
The evidence reported in the last four chapters of this thesis warrant a series of
implications for policy and practice. The evidence presented suggests that police leadership
has the potential to have a direct positive impact on officer performance and effectiveness.
The implications for policy makers, therefore, are as follows:
1. Policy should be introduced to support internal collaboration and organisational
change. This recommendation indicates the need for shared responsibility in the
process of organisational change and speaks to the importance of policy in supporting
ground-level developments. Police supervisors are unlikely to implement or maintain
a structured reflective practice within their station unless it is a demand identified by
policing mandates.
2. Models of effective police leadership need to be investigated to identify exemplars of
good practice. Once these are established, a well-planned implementation process
needs to follow wherein the identified training programs and policing practice can be
applied. The impact of introducing such a model of police leadership will need to be
evaluated with a view to judging the effect upon supervisor performance,
effectiveness, and morale.
The implications for practice are multi-fold and include:
1. Performance improvement requires the participation of all leaders - including local
supervisors and more highly ranked police personnel. The Social Leadership Model
suggests that distributed leadership is needed for creating dialogue that may influence
how officers operate and make decisions in dynamic situations. Open communication
will act to strengthen relationships and enable for more reflective and genuine
reflection on errors in judgment, which will allow for police leaders to explore and
challenge biases so that future practice may improve.
2. Collaboration is essential, however, if this is to occur, police leaders and officers must
be given the time and support to effectively engage in reflective practice.

3. An increased focus on how best to meet various leadership needs associated with
different regions (i.e., geographical location) is needed. As has been demonstrated,
rural and urban environments attract disparate policing practices and must cope with
different strains on resources and community relationships. It is suggested that police
policy makers consider that one size does not fit all when considering function and
accountability across rural and urban contexts.
4. The police organisation should do more to support the preparation and professional
development of police leaders. Although the pressure on police leaders is ever
expanding, the level of support extended to them appears to have remained
comparatively constant. There is evidence to suggest that strong police leadership can
be developed through a combination of education, experience, and mentorship
(Schafer, 2009, 2010). This is a matter that calls for additional funding to be invested
in order to identify the specific skills that need to be targeted and the most effective
means by which these can be instilled.
The Social Leadership Model calls for leadership preparation programs that incorporate the
following:
1. Knowledgeable trainers that use active learning instructional strategies to engage
adult learners,
2. Supportive program structures that promote positive relationships and enhance
professional socialisation,
3. Authentic field experiences that enable police leaders to practice implementing
reflective practice ‘on the ground’ so as to allow experiential learning and skill
development.
The implications for future research reside in the need for the collection of empirical
evidence that:
1. Examines how useful and meaningful the Social Leadership Model is to a wide
variety of police contexts and circumstances,
2. Elucidates different models, approaches and forms of police leadership in practice,
3. Identifies how police leadership can best be developed and facilitated ‘on the ground’,
4. Investigates the relationship between police leadership and officer performance,
5. Provides case study exemplars of best practice and guidelines for police makers about
creating the conditions in which police leadership can flourish.
9.4 Limitations
Several precautions should be considered before applying this study’s grounded
theory. First, epistemological and research methodologies utilised in the current research
were not designed to produce generalisable data and conclusions. Rather the current research
aspired to produce an in-depth analysis of decision-making in a particular setting (i.e.,
Victoria Police stations) as experienced by particular individuals (i.e., the interviewed
officers). Second, it is important to note that the researcher filtered and interpreted the data
through her own idiosyncratic perceptions. It is possible that another researcher may have
produced a disparate conceptualisation of the interview data, as there is undoubtedly a
multitude of possible prisms through which the concepts could have been explored. To
ensure the trustworthiness of the emerging theory, the research adhered to Lincoln and
Guba’s (1985) evaluative framework – establishing credibility, transferability, dependability
and confirmability (see Chapter Five) in providing an appropriate and useful analysis.
9.5 Conclusion
This inquiry has been undertaken with the aim to develop understanding and theory
regarding police officer decision-making. The importance of studying real-life decision-
making is well recognised as a vital endeavour in many disciplines yet has received
inadequate research attention within the policing context. The police literature has not
progressed sufficiently in developing a more pronounced interest in explicating real-life
decision-making despite the increased criticism of the police force by the community,
ruptured police-community relations, and ever-expanding standards of accountability and
governance. The current research aimed to address this gap through building grounded theory
based on the experiences of police officers - an approach to research for which the CGT
method was specifically designed (Charmaz, 2006).
The theoretical position of the CGT method provided an appropriate fit for examining
personal stories to gain knowledge about a complex phenomenon. The iterative process
espoused by grounded theory (Glaser & Strauss, 1967) enabled for authentic and credible
theory to be developed through rigorous and systematic methods, such as line-by-line coding,
constant comparison, categorising of codes into themes and patterns, and integration of these
codes and patterns into an overarching theoretical framework. Location of the themes in
relation to the available literature enabled for further development and refinement of the
theoretical propositions (Charmaz, 2006).
The findings demonstrated that police officers functioned within a vacuum of
uncertainty that stemmed from the dynamic and unpredictable nature of their working
environment. The situations within which officers operated were often replete with
ambiguities, stemming from both external and internal processes. The external difficulties
most often mentioned included the presence of third parties, inability to trust one’s partner,
and suspects presenting with complex needs. Experience served as the most prominent
individual factor, indicating that experienced officers manoeuvred through ambiguous
situations by creating cognitive strategies and behavioural templates that enabled for rapid
decision-making. The organisational context was said to impart a sense of stability onto the
day-to-day duties of officers by imposing structure through a centralised command system.
The organisational hierarchy was, however, most commonly experienced as a constraining
factor that did not enable the freedom for officers to learn from their experiences and to
develop in tandem with their colleagues.
The central or core theoretical category of the grounded theory of police officer
decision-making was leadership, specifically the police supervisor’s ability to guide the
formation of meaningful relationships and to promote reflective practice. Strong police
relationships require clear communication, the establishment of a common purpose, and a
collaborative stance. Once established, such relationships allow for the creation of a safe
space in which officers can be encouraged to critically analyse their attitudes, beliefs, values,
and decisions.
The transformation of the police culture into one based on trust and reflective practice
is part of a trajectory of many years. The challenges that lie ahead are plenty – yet policing
has been confronted with myriad barriers in the past. The sector has had to continually
redefine itself and its tactics; innovative ways to respond to evolving crime and disorder have
been generated and implemented. New ways to provide efficient service in the face of
shifting external environments, evolving legal standards, and changing social expectations
have been applied. Now, another reorientation of culture and internal operations is required in
order to prepare policing for future trends of a working environment that is highly dynamic,
interdependent and for which improvisation, critical thinking, and problem-solving are
necessary pre-requisite skills. As one officer concisely stipulated:

Victoria Police or any police work is like no other job in the world police, you know
ambos are similar, firies are similar but they’re not the same because they’re dealing
with things over here - our job is like no other because we are dealing with people at
their worst all the time. That’s why you see a lot of jaded police officers …
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APPENDICES
Appendix 1. Quality appraisal questions.
Appraisal Questions Quality Indicators Rating
Is the research valuable? Findings have presented new High(3) – Clearly stated relevance/importance of research supported
insights. by a literature review and discussion of limitations.
Medium(2) – Relevance/importance is somewhat clear, limited
review of literature and discussion of limitations.
Low(1) – Relevance/importance not clear, no literature review.
NA(0)
How well does the Aims and objectives are clearly High(3) – Explicit and detailed aims/objectives to which findings
research address its reported. are clearly linked.
original aims/objectives? Medium(2) – Aims/objectives reported to a satisfactory level with
limited ability to link findings.
Low(1) – Unclear aims/objectives with no linkage made with
findings. NA(0)
Is there scope for Discussion of how findings may High(3) – Explicitly discusses how findings relate to wider theory.
drawing wider relate to wider theory. Medium(2) – Limited application to wider theory.
inferences? Low(1) – No acknowledgment of how findings relate to wider
theory. NA(0)
How justifiable is the Limitations discussed. High(3) – Research design is explicitly justified and clearly meets
research design? aims of study.
Medium(2) – Research design is somewhat justified and can be
linked to some aims of the study.
Low(1) – Research design is not justified or linked with aims of
study. NA(0)
Is the sample selection Description of sample type High(3) – Sample is randomly selected.
appropriate and credible? provided. Medium(2) – Sample is systematically selected.
Low(1) – Sample selection is opportunistic.
NA(0)
Is the research topic Does the research focus on High(3) – Research focuses explicitly on the specified topic.
relevant? appropriate material? Medium(2) – Research focuses somewhat on the specified topic.
Low(1) – Research does not focus on the specified topic.
NA(0)
To what extent do the How reliable are the data High(3) – Data collection method utilised standardised scales.
data collection tools collection tools? Medium(2) – Data collection method utilised interview questions or
allow for researchers to surveys.
be free from bias? Low(1) – Now new data collected.
NA(0)
How clearly has detail, Is the choice data analysis High(3) – Extensive inferential analysis.
depth and complexity of method appropriate? Medium(2) – Some analysis undertaken, goes beyond description.
the data been reported? Low(1) – Purely descriptive analysis.
NA(0)
Accumulative Score
High: 19-27; Medium: 9-18; Low: 0-8
Appendix 2. Differences across Glaserian and Straussian schools of thought.
Glaser Strauss
Begin with an empty mind or tabula rasa, no literature review Gaining insight into data through a literature review is
is to be conducted. Work from a position of naiveté and learn acceptable, this allows for the formation of a lens through
from the experts. which the researcher approaches the data.
The researcher studies an area of interest; a specific research State a research question.
question is not necessary. Trust that the participants will
reveal their primary concern.
Grounded theory is about concepts, not people. Transcription Interviews can be transcribed and this is recommended for
of interviews is not necessary. Private information is to be novice researchers. Private information is to be kept
kept confidential. confidential.
No interview guide is needed; theory emerges through the use Semi-structured interviews are recommended; theory emerges
of neutral questions. through the use of structured questioning.
Field notes can be used, as well as photos, news articles, Observations of the participants can form part of the data but
historical documents, and other information that clarifies the are subject to interpretation and should be clarified with the
concept. participants.
Theoretical sensitivity is sourced from immersion in the data; Theoretical sensitivity is sourced from the methods and tools
the researcher sorts and re-sorts memos until major concepts utilised; computer programmers can also be used to aid this
become clear. process.
The study will result in a substantive theory that explains The study will identify themes and concepts. Theories can
what is going on in the area of interest. Numerous theories also be developed from the data but this is not the necessary
can be identified from one study. outcome.
Theory grounded in the data; credibility of theory derived Theory interpreted by the observer (i.e., researcher);
from its grounding in theory. Detailed and dense process fully credibility of theory derived from the rigor of the method.
described. Parsimony, scope and modifiability emphasised.
A basic social process ought to be identified. A basic social process need not be identified.
The researcher is a passive agent, exercising disciplined The researcher is an active agent, making decisions
restraint. throughout.
Coding is data dependent, a constant comparison of incident Coding is rigorous and defined by technique; the nature of
to incident with neutral questions, categories and properties making comparisons varies with the analytical coding
evolving. Comparisons become more abstract, categories are technique chosen. Codes are derived from micro-analysis
refitted and frameworks emerge. grounded in word-by-word examinations. Reduction and
clustering of categories eventuates.
There are two coding phases or types, simple (fracture the Three types of coding, open (identifying, naming,
data then conceptually group it) and substantive (open or categorising and describing phenomena), axial (the process of
selective, to produce categories and properties). relating codes to each other) and selective (choosing a core
category and relating other categories to that).
CHAPTER 11
Police use of force

An examination of Australian policing
Dragana Kesic and Stuart D.M. Thomas
INTRODUCTION
In the role of serving and protecting the public, and enforcing the law,
police are given broad legal powers. Perhaps the most contentious of
these are their right to use physical force to effect cooperation from the
public and their right to use lethal force to protect their or another’s
life. This chapter will provide a brief summary of the police use of force
research, with specific focus on the state of the research and practice in
Australia. Particular focus will be on the issues of use of force on people
experiencing mental health issues1 and the widespread dissemination
of the Conducted Energy Devices, commonly known as Tasers.
FATAL POLICE USE OF FORCE INTERNATIONALLY

Examinations of the appropriateness and the dynamics of police use
of force on citizens have been ongoing for more than 60 years; despite
this, there has been little consistency in conceptualising and measur-
ing use of force (Khalm IV, Frank, & Liederbach, 2014). Research on
police use of force has largely been conducted in the United States of
America (USA) and originally tended to concentrate more on fatal force
Copyright © 2020. Taylor & Francis Group. All rights reserved.
encounters than non-fatal force encounters, thus resulting in limited

understanding about the latter (Hickman, Piquero, & Garner, 2008).
However, other researchers have suggested that due to the rarity of fatal
force events and issues such as limited access to data that allows empiri-
cal analysis of deadly encounters, our understanding of fatal police
encounters also remains limited (McElvain & Kposowa, 2008).
Police use of fatal force is, fortunately, a very rare occurrence. Neverthe-
less, many countries including the USA, do not report reliable national
statistics on how frequently it occurs. The majority of the published
studies of fatal use of force were conducted in the USA in the 1970s and
1980s (McElvain & Kposowa, 2008). While these early studies tended
to examine the influence of sociological theories of crime and control,
more recent research has moved to understanding fatal use of force as a
Birch, P, Kennedy, M, & Kruger, E (eds) 2020, Australian Policing : Critical Issues in 21st Century Police Practice, Taylor & Francis Group, Milton.
Available from: ProQuest Ebook Central. [3 April 2022].
184 DRAGANA KESIC AND STUART D.M. THOMAS
complex phenomenon that is affected by an interplay between external

environment (e.g. laws, community demographics), internal environ-
ment (e.g. police training and policy), and situational factors (individ-
ual officers’, citizens’ and situational characteristics). However, some of
the extant research has produced mixed findings; for instance, despite
numerous years and many studies, Hollis and Jennings’ (2018) narra-
tive meta-analysis found that the relationship between police use of
force and race “remains unclear”. On the other hand, research has very
consistently found that males are more likely to be the fatalities (Gill &
Pasquale-Styles, 2009; Mumola, 2007) and that it is male police officers
who are involved in these shootings (e.g. McElvain & Kposowa, 2008).
Most importantly, the extant research shows that the vast majority of
decedents had been armed with a weapon at the time of the incident and
exhibited a high degree of aggressive and threatening behaviour towards
police, which likely impacted on risk perceptions (Gill & Pasquale-
Styles, 2009; Mumola, 2007).
NON-FATAL POLICE USE OF FORCE

INTERNATIONALLY
Extant research findings indicate that non-lethal force is a very rare
occurrence in general interactions between the police and the public. US
studies estimate police use of force to occur anywhere from 0.03% of all
police service calls (IACP, 2001) to 58.4% of police–suspect encounters
(Terrill & Mastrofski, 2002); this very large discrepancy is mainly attrib-
utable to the very disparate methodologies used, including different use
of force measurements (e.g. dichotomous force, continuum force, force
factor, etc.) and the use of a wide range of “data” (e.g. arrest reports,
official use of force reports, citizen complaints, suspect surveys).
Including situational characteristics in examination of use of force
has significantly increased understanding of this phenomenon and
arguably led to more robust and consistent findings. Indeed, Bolger’s
recent meta-analysis indicates that the strongest predictors of police use
of force are suspects’ resistance and demeanour (Bolger, 2015).
Klahm IV and Tillyer (2010) criticised the available studies on police

use of non-lethal force for their failure to properly operationalise the
definition of force and for a lack of sophisticated statistical analyses.
More recently, the authors conducted a meta-analysis, highlighting the
many inconsistent and conflicting findings and renewing decade-old
criticisms, which perhaps suggest that little has been done to improve
this research (Khalm IV et al., 2014).
MENTAL HEALTH ISSUES AND POLICE USE

OF FORCE
Dealings with persons with mental health issues is perceived as a dis-
tinct challenge for the police. Their contact can occur in a wide variety of
CHAPTER 11: POLICE USE OF FORCE 185
contexts, including being witnesses of crimes, victims of crime, alleged

offenders, or persons in need of assistance. Following the deinstitution-
alization of mental health, there has been continued and widespread
criticism internationally and in Australia that services are incapable of
providing adequate community-based mental health services to peo-
ple with mental health issues (e.g. Senate Select Committee on Mental
Health, 2006). It has been claimed that as a result of the shortage of
appropriate community care, the police, as the only 24-hour emergency
service, have had to increasingly take on the responsibility of providing
regular assistance to persons experiencing mental health issues (Carroll,
2005). Indeed, research findings indicate that these encounters are com-
monplace in many countries around the world, including in Australia
(Fry, O’Riordan, & Geanellos, 2002). Given this, it is not surprising that
the police are their primary referral sources to emergency departments,
both internationally (Klein, 2010) and in Australia (Knott, Pleban, Tay-
lor, & Castle, 2007).
Broadly speaking, this research has measured the presence of mental
health issues through: (1) simply specifying that the person was diag-
nosed with mental illness/disorder; (2) examining whether the person
had a history of mental health treatment; (3) seeking police officer’s
perceptions of whether the person is exhibiting signs of mental health
issues through such constructs as their appearing “emotionally dis-
turbed”, “mentally unsound”, or other; or (4) examining whether the
person was a mental health patient under a Mental Health Act or was
transported by the police under a Mental Health Act.
The international studies have reported a high incidence of people
with mental health issues in fatal force incidents. Mental health issues
have most commonly been examined in a subset of police fatalities his-
torically commonly referred to as “suicide-by-police” events. Although
there are a number of operationalised definitions of this phenomenon,
in short, it refers to situations where individuals who are intent on
death by suicide to do so by provoking the police to shoot them. The
differences between the various definitions of suicide by police seem to
centre on how specifically, and conversely, how broadly, the phenom-
enon is defined. Consequently, estimates of how frequently this phe-

nomenon is potentially encountered in all incidents of police shootings
differ accordingly, with extant research estimates of between 10% and
50% being reported (e.g. Best, Quigley, & Bailey, 2004; Mohandie,
Meloy, & Collins, 2009). McKenzie (2006) criticized the extant research
for the lack of scientific rigor and consistency. He proposed that there is
a difference between those individuals who may have been indifferent
as to whether they live or die and those who intended to die by suicide
and suggested that in the absence of clear and reliable evidence that
the person wanted to die, a “behavioural chain of events” ought to be
examined.
Due in part to diverse methodologies used by researchers noted
earlier, the existing evidence base regarding non-fatal force remains
equivocal. Some studies have found that police are no more likely to
use force on people whom they perceive to be experiencing mental ill-
ness in samples of arrestees (Johnson, 2011; Kaminski, DiGiovanni, &
Downs, 2004) and in police–suspect encounters (Terrill & Mastrofski,
2002). Johnson (2011) found that police reported using more severe
levels of force on suspects who appeared “mentally unstable”; however,
this relationship was not statistically significant after taking into account
other pertinent factors, including suspect violent behavior and posses-
sion of weapons. Conversely, Lawton (2007) found that police were
more likely to use force on those who appeared “mentally unsound”
even after taking into account other risk factors, including their demea-
nor and substance intoxication.
POLICE USE OF FORCE IN AUSTRALIA

Each state and territory in Australia has their own legislation governing
police use of force that appears in line with the Commonwealth Act
(Crimes Act 1914 (Cth) s3ZC). Additionally, all Australian police forces
adhere to the set national guidelines on the use of force. The Australian
and New Zealand Policing Advisory Agency (ANZPAA) provides these
national guidelines. ANZPAA defines the use of force as “any situation
where, in the execution of their duty, police use physical force or other
techniques, including a weapon, instrument or implement to respond
to an actual or perceived threat” and provides a set of guiding principles
for the states in implementation of policies and procedures related to
this area (ANZPAA, 2014, p. 1). ANZPAA further specifies appropriate
police use of force as being “reasonable, necessary, proportionate and
appropriate to the circumstances” where “no more force than is reason-
ably necessary for the safe and effective performance of their duties”
should be used (2014, p. 1).
The guideline proposes that Australian jurisdictions should adopt
situational or tactical options models of force to guide officers in deciding
which level of force is appropriate in a given situation. These models –
and each state has their own adaptation – are depicted as a circular
configuration, with certain guiding principles at their centre and differ-

ent tactical options surrounding the circle. For instance, the most recent
Victoria Police model has centred the principles of “safety first” and
“assess and reassess”, followed by “communication skills”, from which
all other police options extend, including police presence and the use
of different weapon-less and weapons tactics. Based on an officer’s risk
assessment, they may escalate or deescalate their response to the situa-
tion by choosing from the various tactics whilst ensuring that they con-
tinually assess the situation, communicate with the citizen, and ensure
the safety of all (Tuckey, 2004).
The ANZPAA guidelines specify that police organisations need to
collect data on use of force encounters (2014). Until very recently, Vic-
toria Police’s Use of Force Register, established in 1995, was the only
comprehensive recording method of use of physical force by officers in

response to threat or use of physical force by the public (Victoria Police,
2004). When force incidents occur, involved officers fill out a “Use of
Force Form” entering details about incident type and location, envi-
ronmental factors, personal characteristics of citizens, force type used
by police and citizens, outcomes, and injuries. It has previously been
estimated that underreporting on the Use of Force Register is anywhere
between 20% and 70% (Strong, 2009).
In other states, the situation with regard to when and what force is
recorded varies somewhat, however due to the lack of published infor-
mation and no current national recording/reporting mandate, there is a
significant gap in our knowledge about what actually occurs nationally.
Similar to Victoria Police, Australian Capital Territory police must also
complete and submit a detailed “Use of Force Report” in all instances
where they have used or threatened to use force, excluding verbal
threats/commands (ACT Annual Report, 2016/17). In Queensland, use
of force reporting captures a more limited range of force options: offic-
ers are only required to report when they deploy or present a Firearm,
Taser, and Oleoresin Capsicum (OC) Spray; are involved in a pursuit;
or cause an injury requiring first aid or medical treatment. As such, only
the more severe levels of force are captured in a limited detail on Signifi-
cant Event Messaging System database (SEMS) (Hine, Porter, Westera, &
Alpert, 2018a). In New South Wales, wherever police use force they
are then urged to complete mandatory use of force fields in the COPS
database (Computerised Operational Policing System) (NSW Police,
2019). In Western Australia, following significant reform to their use
of force policies and procedures in 2009, use of force data is collected
and reported every time police use an instrument as a force option, or
use handcuffs or empty hand tactics and cause an injury (Western Aus-
tralia Police, 2010). Their system reporting appears very detailed and
requires not only multiple information from drop down menus similar
to what occurs in Victoria but also provision of comprehensive narra-
tive explanations of the incident. It remains unclear what the level of
compliance with the completion of these forms actually is and whether
similar issues to those noted in Victoria arise elsewhere (Strong, 2009).
FATAL POLICE USE OF FORCE INCIDENTS

Dalton (1998) reported that between 1990 and 1997, of the 41 people
who were fatally shot by the police in Australia, the vast majority were
male, aged 33 on average, who were either threatening or attempting
to assault or kill police during the incident. Between 1990 and 2004,
there were 76 police shooting deaths across Australia, with the major-
ity of these occurring in Victoria (n = 29), followed by the New South
Wales (n = 18) (Brouwer, 2005). More recently, the Australian Insti-
tute of Criminology’s National Deaths in Custody Program (NDICP)
reported that there were 105 fatal police shootings between 1989 and
2011; and, of note, 1999–2000 saw 11 police fatal shootings nationwide

(AIC, 2013).
Perhaps as a result of Victoria consistently having the highest
number of police fatal shootings, the force has undergone sig-
nificant changes in its policy and practice from the mid-1990s.
Project Beacon, established in 1996, resulted in a number of sig-
nificant changes to policy and practice, including the introduction
of the Safety First Philosophy as a key element of all planned and
unplanned police engagements, implementation of the situational
tactical options model, and mandatory annual training (Brouwer,
2005). Consequent to these changes, there was a significant drop
in the number of fatal shootings in Victoria; however, subsequently
an increase in mental health issues among police fatalities emerged
as a significant point of concern (Brouwer, 2005). Of note, there
is a significant lack of research into fatal police force in Australia,
notwithstanding official investigations, such as legally required
coronial investigations. One notable study, conducted in Victoria
by Kesic and colleagues, offered some insights into the situational
characteristics of the 48 police fatalities that occurred between 1980
and 2007, namely, that the majority of these events occurred very
rapidly and that most of the decedents were behaving aggressively,
were resisting police, and were armed with a weapon (Kesic et al.,
2012a).
NON-FATAL POLICE USE OF FORCE INCIDENTS

Examinations of non-fatal police use of force in Australia have been
on the increase over the past decade, specifically; prior to then, there
was a distinct lack of wider research and knowledge about what occurs
locally. One of the first published analyses of non-fatal use of force inci-
dents was conducted in Queensland and revealed that police used some
form of physical force in 20% of arrests (Edwards, 2000).
An Office of Police Integrity review (Strong, 2009), using data from
the Victorian Use of Force Register, reported that in 2008 Victoria
Police resorted to using force every 2.5 hours, and that a critical inci-
dent occurred every 49 hours. Consistent with the extant research from
the USA, Strong found that police use of force occurred rarely, with
reported rates of use of force remaining steady at 0.14% of all reported
police-public contacts between 2004 and 2008.
Using the same police database, Kesic and colleagues (Kesic,
Thomas, & Ogloff, 2012b) examined a random sample of 4,627 cases
recorded between 1995 and 2008. Although they focused mainly on
the role of mental health issues in these events, overall they found that
most common behavioural presentations were violent behaviour, abu-
sive language, being alcohol affected, and being irrational/unstable.
The strongest predictor of police threat or use of weapons was citizen’s
behaviour, in particular, their threat or use of weapons, followed by
violent behaviour and use of verbal aggression. These findings are in

line with other international research (Bolger, 2015).
There are a number of more recent studies conducted in Queens-
land. Some have examined police officers’ attitudes to use of force, their
intentions to use force and procedural justice measures (e.g. Bond, Mur-
phy, & Porter, 2015; Fildes, Murphy, & Porter, 2017; Porter & Alpert,
2017). Others have used different methodologies to examine (1) police
decision-making around use of force, and (2) official data on the char-
acteristics of use of force events, providing some important insight into
practices on a more national level.
Hine and colleagues (Hine, Porter, Westera, Alpert, & Allen, 2018b)
used a Naturalistic Decision Making (NDM) paradigm to look at
the police use of force decision-making in a sample of 91 recruits in
Queensland. They found that although the most common was intui-
tive decision-making style, there was evidence that recruits also used
analytical decision-making style. Davies (2017) examined 372 NSW
police recruits in the final stages of their recruit training with respect
to their decision-making during force simulation scenarios. The study
found that: (1) threat to themselves and others, presence of weapons,
and situational characteristics were most common factors that affected
police decision-making, and (2) the factors that influenced use of force
decisions in the field were: criticality of the incident, timing/pace of the
incident, safety of all, teamwork, and ability to refer to the knowledge
gained throughout the academy training.
More recently, McCarthy and colleagues (McCarthy, Porter,
Townsley, & Alpert, 2019a) examined 8,357 use of force reports by QPS
between 2013 and 2016. Similar to Kesic et al.’s 2012 findings in Victo-
ria, most common citizen characteristics were being violent, using abu-
sive language, and alcohol intoxication. They found that most common
incident type involved younger male citizens, and that they occurred in
areas with higher Indigenous populations, higher residential instability,
and areas with higher proportions of residents who were in the low-
est quartile for income. A follow-up examination of 18,322 serious use
of force events across three years in Queensland found that areas with
high crime rates, high density of alcohol-serving venues, higher levels

of residential instability, high levels of residents on long-term unem-
ployment benefits, and lower levels of migrants were associated with
more frequent police use of force (McCarthy, Porter, Townsley, & Alpert,
2019b). Of note, however, their results also suggested that more severe
levels of force are predicted by individual and situational factors rather
than environmental considerations.
In a further examination of 202 cases from official QPS data on
use of force, Hine and colleagues (2018a) found that in the majority
of events, officers used similar levels of force to the levels of suspect
resistance. However, when suspects showed high-risk behaviours such
as physical violence or possession of weapons, officers were less likely
to use higher relative force in response. The authors suggested this may
mean that police: (1) underestimate the levels of force presented, risk-
ing self-injury, or (2) enter high-risk situations more prepared and are
reluctant to use more force so as not to further escalate the incident. In
a follow-up study using the same data, Hine and colleagues (2018c)
examined officer injuries, reporting that in almost half of the events,
officers sustained an injury. The strongest predictors of officer inju-
ries were encounters with physically aggressive suspects and instances
where the police reported using less force relative to the suspect’s level
of resistance.
In terms of other official data, the most prominent around Australia
have been Ombudsmen investigations into police use of Tasers, with
no published research studies on these. Tasers are now widely used by
police forces around Australia: Some claim that their widespread use
comes without solid evidence that Tasers decrease police injuries and
reduce fatal use of force and in spite of significant concerns raised about
their distinct potential for adverse health consequences. These concerns
relate to their ability to cause serious injury and even death in some
cases (Baker & Bacharach, 2017) and their potential overuse with peo-
ple who appear or are known to be experiencing mental health issues
(Dymond, 2018; Hallett et al., 2020; O’Brien & Thom, 2014). Tasers
are considered to be used by police any time they are presented/drawn,
aimed, or discharged, and police forces around Australia have specific
and similar provisions detailing when they can be used. For instance,
NSW Police Taser Manual (New South Wales Police Force, 2016) speci-
fies that Tasers be used only to protect: (1) human life, (2) self/other
where violent confrontation is occurring or is imminent, (3) another
officer in danger of being overpowered or self/others from risk of actual
bodily harm, and (4) from animals. In their policies around the use of
Tasers, police forces generally specify situations when Taser use should
be avoided, such as on children, pregnant women, and people known
to have a mental health issue (e.g. Barbour, 2012; Shoyer, 2017).
One of the earliest Australian examinations of Tasers was the Queens-
land Police Force’s review (2009). Among other things, the review found
that Tasers were most likely to be used on Caucasian males between
the ages of 20 and 29, where the majority were under the effects of
substances but did not possess weapons. In Western Australia, a post-
implementation review of Tasers between 2007 and 2009 revealed vari-
able trends, including an overall increase in Taser use (CCC, 2010; WA
Police, 2010). Consequently, the Corruption and Crime Commission
(2010) cautioned about a possibility of Tasers “mission creep”, and a
particular concern about their (over)use with some vulnerable popula-
tions (CCC, 2010).
The NSW Ombudsman’s report into the use of Tasers (Barbour,
2012) reviewed 556 incidents, finding that most of the citizens involved
did not have weapons (74%) when the police used their Taser, findings
similar to those in Queensland. There were only a small number of inci-
dents where the Taser was used instead of a firearm, thereby discounting
the often-cited argument that their introduction would prevent the use
of firearms. Similarly, the NSW Ombudsman opined that although
there was a reduction in police injuries, this trend began prior to the
introduction of Tasers and therefore that this reduction could not be
attributed to the introduction of Tasers to operational members.
Following reports of inappropriate use of Tasers in the Northern
Territory, its Ombudsman criticised police policy for lacking in clarity
and detailed information, and officers for not being informed about
the dangers of Taser use (Shoyer, 2017). Significantly, there have been
no publicly available outcomes reported in relation to any subsequent
investigations of Taser use in Australia. Interestingly, a recent media
investigation, using NSW police use of force data obtained covering the
period between 2014 and 2018, reported very limited Taser use-related
information (Gladstone, 24/9/2019).
AUSTRALIAN POLICE USE OF FORCE ON PEOPLE

EXPERIENCING MENTAL HEALTH ISSUES
Different states around Australia have provisions about police interac-
tions with people who appear to be experiencing a mental illness. For
instance, in NSW it is section 22 of the Mental Health Act 2007 (NSW)
and in Victoria it is section 351 of the Mental Health Act 2014 (VIC).
Similar to the rest of the Western countries, these provisions give police
the power to use the necessary force in order to apprehend a person who
appears mentally ill and is at risk of self-harm or harm to others, for the
purpose of conveying them to appropriate psychiatric assessment.
Despite the limited research, the available findings suggest that the
presence of a citizen’s mental health issues is an important considera-
tion in fatal force incidents. Of the 105 police fatal shootings between
1989 and 2011, 42% were recorded as decedents who had a mental
illness diagnosis, schizophrenia being most common (AIC, 2013). His-
torically, Victoria Police had the highest proportion of fatal shootings
nationwide, and also saw a concerning trend – fatally shooting people
with a known history of mental illness, which resulted in an Office of
Police Integrity (now the Independent Broad-based Anti-Corruption

Commission) investigation into those shootings (Brouwer, 2005).
In one of the rare published research studies on this issue in Victoria,
Kesic and colleagues (2010) found very similar rates of diagnosed men-
tal illness in a sample of 48 police fatalities between 1980 and 2007
as those reported by the AIC at the national level. Concerningly, the
study by Kesic and colleagues (2012a) also showed that, in a third of
these incidents, there was evidence for suicide-by-police, where diag-
nosed mental illness, a history of suicide attempts, and alcohol intoxi-
cation were significantly more likely to occur in a subset who met
the suicide-by-police criteria. In a follow-up study, Kesic and Thomas
(2017) utilised a random 20% of all police-attended incidents in one
year, finding that Victoria Police members reported attending incidents
that meet attempted suicide-by-police criteria up to three times weekly,

and resolve them successfully. Significantly, officers perceived that com-
munication and negotiation were the most effective operational tactics
used.
Brouwer’s investigation highlighted two factors as contributing
to the increased number of police shootings of persons with mental
health issues: (1) police lack of training in effective management of
incidents that involve persons experiencing mental illness and distress,
and (2) a lack of effective partnerships and protocols between Victoria
Police and other government agencies responsible for the care of people
experiencing mental illness. Consequently, Brouwer found that train-
ing, procedures, and policies governing critical incidents and incidents
involving people experiencing mental illness were not adequate and
made 55 recommendations to Victoria Police to improve these. A sub-
sequent Office of Police Integrity Review urged Victoria Police to com-
mit to implementing those recommendations (Strong, 2009). In 2010,
all operational officers received a full-day training in managing inci-
dents involving people experiencing mental health issues (Kesic et al.,
2012b). This training was a mix of scenario-based exercises and didac-
tic learning. It is unclear what has occurred since 2010 with respect to
the provision of ongoing training on how to engage with people who
experience mental distress, specifically related to using effective com-
munication and negotiation strategies, as historically and anecdotally
these skills had been overlooked in their training in favour of weapons
skills training (e.g. Brouwer, 2005). Indeed, Stoughton (2015) argued
that the “warrior mindset” that characterises most police organisations
undervalues police use of verbal/non-force tactical options, resulting
in greater emphasis on an authoritarian style of interactions and force-
tactics (see Thomas, Chapter 15).
There are very limited studies examining the incidents of mental
distress in non-fatal use of force incidents in Australia. The most nota-
ble study to date was Kesic and colleagues’ examination of a random
sample of 4,267 incidents (Kesic, Thomas, & Ogloff, 2013a). A minor-
ity (7.2%) of these cases involved people whom Victoria Police offic-
ers perceived to have a mental illness at the time; however, they were
more likely to use/threaten to use weapons on police and have weap-
ons used/threatened to be used against them than those who were not
perceived to appear to have a mental illness (Kesic et al., 2013a). Very
similar rates were found in a recent study by McCarthy and colleagues
in Queensland (2019a). Conversely, more than a third of these 4,627
cases in Victoria had a history of formally diagnosed mental illness,
with rates of severe mental illness being significantly overrepresented in
this sample as compared to their prevalence in the Victorian population
(Kesic et al., 2013b).
Mental distress has most commonly been examined in investigations
of police use of Tasers in Australia. For instance, the NSW Ombudsman
found that almost a third of people involved in Taser-related incidents
were thought to be experiencing a mental illness at the time (Barbour,

2012), a finding similarly echoed in a media analysis of police Taser use
between 2014 and 2018 in NSW (Gladstone, 24/9/2019). Even prior
to such a widespread roll-out of Tasers across Australia, the Crime and
Corruption Commission warned of inappropriate use of Tasers in inci-
dents where mental distress was a factor, at times even in the absence
of attempts to first use other tactical options (CCC, 2010). Significantly,
and in line with Australian investigations, the most recent international
meta review of 33 studies found that the overall prevalence of Taser
use on people in mental health distress was 28% (Hallett et al., 2020).
It was reported that Tasers were used by police in a range of settings,
including in residential settings, and that police often had prior knowl-
edge about the person’s mental health condition. The authors main-
tained that these results were very concerning, cautioning that “there is
an increasing need to monitor the use of Tasers on people experiencing
mental distress” (p. 12) especially when considering the proliferation
of Tasers around the world.
CONCLUSION
Overall, there are a number of critical issues with respect to police use of
force in Australia; many have been noted throughout this chapter, and a
few will be highlighted here. At present, there is no uniform mandatory
national reporting on police use of force. A level of standardised use of
force recording across the different states that is regularly collated and
published would not only provide a consistent unit of analysis to work
from to improve policy and practice but would also serve to improve
public perceptions of police legitimacy by means of the increased trans-
parency. Further, and pertaining to the issues of over-representation of
use of force, including Tasers, on people experiencing mental health
issues, there is a crucial need for police forces around the country to
provide regular publicly available data on this issue. The lack of focused
examinations, both academic and official, in this area over the last dec-
ade is very concerning, yet extant evidence tells us that this issue requires
specific and ongoing attention (e.g. Hallett et al., 2020). Furthermore,

there are significant recent policing changes (e.g. introduction of the
Hostile Vehicle policy, and roll-out of semi-automatic long-arms to
police in regional Victoria for managing high-risk incidents) that need
to be carefully monitored against their impact on vulnerable popula-
tions. Lastly, a lack of published research examinations of police use of
force in Australia in general, and particularly to do with the issues per-
taining to police contact with people experiencing mental health issues,
needs immediate attention. It is crucial that research, which accelerated
in the last decade, continues to be built on and prioritised by polic-
ing organisations in partnership with academic institutions. Crucially,
future research ought to heed the findings of recent meta-analyses and
ongoing critiques of extant international research to ensure meaningful
progression in the field. Therefore, as advocated by Klahm IV and col-

leagues (2014), instead of continuing to examine individual factors
that may influence police use of force through inconsistent and weak
methodologies, future research should focus on multilevel modelling
of organisational, environmental, and situational factors so as to be
able to provide a reliable and valid picture of the complexity of the
actual relationships and to meaningfully contribute to improvements
in policing policy and practice.
NOTE
1 Current preferred less stigmatising terminology: The broader term mental health
issues, which may include a formal diagnosis of a mental illness, will be used
throughout. Where required, formally diagnosed mental disorder is termed mental
illness.
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Introduction
Police Misconduct and
Integrity, International
and Australian
1
Perspectives
The first part of this chapter provides a global perspective on the problem of
police misconduct, including analyses of the causes of misconduct and strate-
gies designed to optimize integrity. Knowledge about both the causes and the
remedies for unethical policing has grown out of painful processes of inquiry
and review often triggered by major public scandals. The chapter provides a
brief history of the police corruption problem, including attention to recent
high profile cases in the United Kingdom, United States, and Canada. While
there is good baseline knowledge about effective anticorruption strategies,
there is a need for more advanced knowledge. The persistence of misconduct
cases, even in police departments with quite sophisticated integrity systems,
evidences the need for development in this area. With that goal in mind, the
second part of the chapter provides a rationale for a close examination of the
contemporary Australian experience with police integrity systems, given the
size of the historical misconduct problem in Australian policing and the range
of anticorruption initiatives that have been introduced in the past few decades.
Historical Background
Modern policing as we know it developed in the 19th century following the

establishment of the London Metropolitan Police in 1829. British Home
Secretary Robert Peel sought to place police on a professional footing, with

uniforms, salaries, selection criteria, a formal organization of tasks, a hierar-
chy of command and supervision, and detachment from politics. The “New
Police” were preceded by forms of law enforcement and crime prevention
that variously involved village watchmen, parish constables with customary
duties, militia, and private prosecution or “thief taker” societies (Johnston,
1991). These ad hoc forms of policing were generally ineffective, often capri-
cious and violent, and frequently corrupt. The fact that policing duties were
unpaid or poorly paid was one factor in a financial trade in justice that
favoured those able and willing to pay for preferential treatment (Critchley,
1967; Kappeler, Sluder, & Alpert, 1998).
Porter, L, & Prenzler, T 2012, Police Integrity Management in Australia : Global Lessons for Combating Police Misconduct, Taylor &
Francis Group, Baton Rouge. Available from: ProQuest Ebook Central. [9 April 2022].
2 Police Integrity Management in Australia
The professional model of policing, which has been adopted from the
London model around the world, was, in theory, designed to make policing
a broad public service, impartial, free of corruption, with a commitment to
crime prevention and minimal use of force (Critchley, 1967, p. 51). However,
the fledgling forces in Britain faced many internal problems, including offi-
cers being found drunk on duty and numerous cases of neglect of duty and
acceptance of bribes. These problems also manifested themselves in many
colonial and postcolonial police forces, including in the United States and
Australia. Here the challenges of supervision, and the many pressures and
temptations on police, were exacerbated by problems of distance, rapid
population growth, and frequent lawlessness and frontier violence. In colo-
nial societies:
Police became enmeshed in crooked local politics; in the racist, sometimes

genocidal, policies of the time; in the brutal suppression of labour strikes; and
in organised protection rackets involving alcohol, gambling, prostitution, and
abortion. The beating and torture of suspects became a routine way of admin-
istering justice for minor crimes and extracting confessions for serious crimes
(Prenzler, 2009b, p. 2).
While the development of more settled middle class societies in the lat-
ter part of the 19th century allowed for improvements in policing, in many
countries, notably the United States, the professional movement was under-
mined in the prohibition period in the 1920s and 1930s with the growth of
alcohol-related organised crime. The protection of illegal liquor and vice out-
lets, and the unjustified use of force, remained common features of many
police departments until well into the 1970s (Kappeler et al., 1998).
The 19th and 20th centuries also saw the growth of more sinister forms
of aberrant policing in the form of “security police” or “secret police” operat-
ing in “police states” (Prados, 1986; Prenzler, 2009b). Initially, secret police
organisations were formed to protect monarchies from revolutionary move-

ments, but the models were adopted by left- and right-wing dictatorships
in the 20th century, first in Europe and Russia, then in South and Central
America, Africa, and Asia and the Middle East. State security police in auto-
cratic regimes act against their own populations through systematic human
rights abuses. Their work is characterised by close surveillance, kidnappings,
torture, mock trials, and executions, and, in some cases, by the deployment
of death squads. They generate a climate of fear and constant uncertainty,
and often coercively recruit citizens into their extensive networks of spies
and informants.
The latter part of the 20th century saw a variety of dramatic exposés of
police misconduct through the instrument of the well-resourced and legally
empowered judicial inquiry (Prenzler, 2009b). The most famous of these was
Introduction 3
the Knapp Commission of Inquiry in New York City from 1970 to 1972.
The Knapp (1972) Report exposed a highly organised system of payments
to police for the protection of illegal parking as well as vice, illicit gambling,
and drug dealing. Police also operated an extortionate system of gratuities
against café and bar owners. They engaged in theft of money and valuables
from crime scenes, and there was widespread abuse of the department’s over-
time and sickness benefit schemes. There was also a major problem with the
fabrication and manipulation of evidence, and bribery of lawyers by police
(Daley, 1978).
The Knapp Commission established a benchmark for inquiring into
police conduct issues. Subsequent enquiries have made good use of the
suite of investigative tools developed by the Commission, including com-
pelling testimony, providing indemnities to witnesses, covert surveillance,
and stings. Many prominent police forces have been subject to inquiries
or reviews that have exposed systemic problems of financial corruption,
legal process corruption, violence, racial and sexual discrimination, and
neglect of duty. The 1991 Christopher Commission, which followed the
beating of African American Rodney King, identified a culture of exces-
sive force and brutality in the Los Angeles Police Department (Christopher,
1991). The later “Rampart Scandal” in 1997–1998 involved serious crimes
by a small number of officers, including armed robbery, theft of drugs,
assaults on detainees, and fabrication of evidence (Board of Inquiry, 2000).
In the United Kingdom, the 1981 Scarman Inquiry, which followed the
Brixton riots, revealed police harassment of racial minorities by London
Metropolitan Police officers (Scarman, 1986). The 1999 MacPherson Inquiry
into the investigation by Metropolitan Police of the murder of a Black teen-
ager again sparked revelations of racism in English forces (MacPherson,
1999). The 1982 McDonald Commission into the Royal Canadian Mounted
Police Security Service exposed a “dirty tricks” campaign against separat-
ist groups, including arson, burglaries, interference with mail, and data
theft (Royal Commission, 1981).
Inquiries and research in many democracies in the later decades of the
20th century revealed similar problems of entrenched and diverse forms of
police misconduct (Prenzler, 2009b). The 1990s represented a major turning
point in the conditions necessary for democratic policing with the collapse of
the Soviet Union and the liberation of the Eastern Bloc countries. However,
reform of the Russian police has been particularly problematic, with ongo-
ing problems of opportunistic graft and extortion, police involvement with
organised crime groups, politicized prosecutions, and widespread denials of
human rights (Beck & Robertson, 2009). Recent research involving inter-
views and surveys of members of the public has led to the conclusion that:
…in Russia, it appears that torture by state law enforcement officials is an

entrenched and systematic problem. Torture is carried out for multiple pur-
poses, including as extra-legal punishment, and in order to fabricate evidence
by eliciting false confessions and false testimony. This then corrupts the whole
legal process. However, it appears that the official policy is to either deny or
deliberately ignore the problem. This means that corrupt police can act with
confidence that they have impunity from investigation, prosecution, and
accountability. (Gilinskiy, 2011, pp. 169–170)
Reform of police in postcommunist Eastern Europe has been particu-

larly challenging where civil war has broken out (in areas such as the former
Yugoslavia) where police have been heavily militarized with little in the way
of accountability to civil society (Vejnovic & Lalic, 2005). The world’s most
populous country—The People’s Republic of China—remains a communist
police state, with no democratic lines of accountability to curb police abuses
(Wong, 2011). Following the 9/11 terror attacks, an international coalition,
led by the United States, sought to impose democracy on Afghanistan and
Iraq. A key challenge in these emerging democracies, with ongoing major
ethnic and religious conflict, has been the creation of apolitical police forces,
free of personal and tribal loyalties, and free of the reflex to coerce confes-
sions and fabricate evidence (Wilson & Grammich, 2011). The recent demo-
cratic revolutions in Tunisia, Egypt, and Libya all now face major challenges
in converting their police forces from malevolent instruments of state power
and terror to virtuous servants of the people.
Recent Cases
In the 21st century, unreconstructed police forces remain a major obstacle

to the advancement of democracy and enjoyment of human rights. What
is of particular concern in established democracies is that while (a) there is

a substantial body of knowledge about the causes and prevention of police
misconduct, (b) policing remains plagued by scandals, largely as a result of
the failure to implement ethical standards and best practice methods of cor-
ruption detection and prevention.
A recent case in point concerns police involvement in the “phone hacking
scandal” in Britain. In 2011, the Commissioner and Assistant Commissioner
of the London Metropolitan Police Service resigned over the police role in the
affair in which tabloid journalists accessed the phone messages of celebrities,
politicians, and crime victims. Police failed to investigate repeated allegations
despite probative evidence, and were also compromised by improper associa-
tions with newspaper executives and reporters, including through hospital-
ity, lunches, gifts, and a partial “revolving door” of staff appointments (van
Introduction 5
Natta Jr, 2011). An investigation is also underway into police selling confi-
dential information to journalists. The scandal overlapped with widespread
rioting in August 2011, allegedly triggered by a police shooting of a Black
man (Muir & Taylor, 2011).
Recent assessments of corruption in British policing by Transparency
International UK (2011a, 2011b) found that anticorruption systems appeared
to be robust, especially given the presence of the Independent Police
Complaints Commission (IPCC) in England and Wales, but that there
was insufficient detail in official data to obtain an accurate picture of the
nature and extent of police involvement in unethical practices. One report
pointed to the lack of accountability of individual officers in high-profile
cases, including the 2005 shooting death of illegal immigrant Jean Charles
de Menezes in the London Underground in a counterterrorism operation,
and the 2009 death of Ian Tomlinson after he was knocked to the ground
by an officer during G20 protests (Transparency International UK, 2011b).
Another of the Transparency International reports emphasised emerging
corruption threats:
The rise of personal IT use through social networking, online dating, and so
on, has opened new opportunities for corruptors to approach members of
the police. It also enables corruptors to access higher levels of personal infor-
mation than was once possible. New subcultures have emerged, particularly
involving bodybuilding and weightlifting, forging new associations between
criminals and members of the police force. All of these factors have contrib-
uted to increased risks of exposure to corruptors for potential police targets
(Transparency International, 2011a, p. 16).
The report also provided some detail on selected serious cases of mal-
practice (2011a, p. 16):
In March 2010, former Detective Chief Superintendent Phil Jones was jailed
for 18 months for misconduct in a public office and conspiracy to commit

fraud by false representation. Jones persuaded former colleague David Lloyd
to pass him information from police computer systems and also employed
freelance investigator Christopher Barnett, 37, to illegally pose as a customer
to gain information from government and private institutions. Lloyd also
had been supplying police information to Robert Morgan, a known criminal
involved in drug dealing, and when Lloyd was arrested he was found to be
concealing more than £200,000 of Morgan’s money in his attic.
In 2010, Metropolitan Police Commander Ali Dizaei was sentenced

to 4 years in prison for misconduct in a public office and perverting the
course of justice. Dizaei was a former president of the Metropolitan Black
Police Association, and had 24 years experience as a serving officer. He had
previously been investigated for a number of allegations. One investigation

examined claims of corruption, fraud, and dishonesty and involved a multi-
million-pound undercover operation. Dizaei had been accused of spending
more than £5,000 on clothes and perfume during a trip to the United States,
but an inquiry by Dorset Chief Constable Martin Baker found no evidence
of wrongdoing.
In November 2010, Police Constable (PC) Stephen Mitchell, of
Northumbria Police, was convicted of two charges of rape and three indecent
assaults and was also found guilty of six counts of misconduct in a public
office. Mitchell was able to become a police officer despite being accused of
a serious sexual offence before applying to join. During his trial, it emerged
that he had been disciplined when it was discovered he had sex with a woman
he had met as part of his duties. Mitchell also had previously been disciplined
for looking up his wife’s new friends on the police computer after the couple
had separated, and was fined three days wages.
Contemporary policing in the United States is also plagued by recur-
ring scandals and allegations of misconduct. The Civil Rights Division of the
Federal Department of Justice is engaged in an ongoing process of investi-
gation and attempted reform of police departments that evidence patterns
of abuse. In September 2011, the Division had 17 investigations underway
(Savage & Alvarez, 2011). A March 2011 report on the New Orleans Police
Department found that:
…for too long, the Department has been largely indifferent to widespread
violations of law and policy by its officers. NOPD does not have in place the
basic systems known to improve public safety, ensure constitutional practices,
and promote public confidence. We found that the deficiencies that lead to
constitutional violations span the operation of the entire Department, from
how officers are recruited, trained, supervised, and held accountable, to the
operation of Paid Details [an overtime scheme]. In the absence of mechanisms
to protect and promote civil rights, officers too frequently use excessive force
and conduct illegal stops, searches, and arrests with impunity. In addition,
the Department’s culture tolerates and encourages under-enforcement and
under-investigation of violence against women. The Department has failed
to take meaningful steps to counteract and eradicate bias based on race, eth-
nicity, and LGBT [lesbian, gay, bisexual, and transgender] status in its polic-
ing practices, and has failed to provide critical policing services to language
minority communities (United States Department of Justice, 2011a, p. v).
The New Orleans Police Department had received international atten-

tion over police shootings of civilians in the aftermath of Hurricane Katrina
in 2005. In 2011, four officers were convicted in relation to the fatal shootings
of two civilians and the wounding of four others on the Danziger Bridge
(Usborne, 2011). The officers’ supervisor was also convicted in relation to the
Introduction 7
cover-up of the event. Also in 2011, a New Orleans police officer was con-
victed for kicking and beating a man to death, while his partner was con-
victed in relation to inaction and covering up the attack (McCarthy, 2011).
The U.S. Department of Justice Civil Rights Division also produced a
damning report on the Puerto Rico Police Department in 2011. It stated:
…Based on our extensive investigation, we find reasonable cause to believe

that PRPD officers engage in a pattern and practice of:
• excessive force in violation of the Fourth Amendment (related to
searches and seizures);
• unreasonable force and other misconduct designed to suppress the
exercise of protected First Amendment rights (related to rights of
assembly and free speech); and
• unlawful searches and seizures in violation of the Fourth Amendment.
In addition to these findings, our investigation uncovered other defi-
ciencies of serious concern. In particular, there is troubling evidence
that the PRPD frequently fails to police sex crimes and incidents of
domestic violence (United States Department of Justice, 2011b, p. 2).
The report also identified a particular problem with police race-based

discrimination against persons of Dominican descent and failure to enforce
the law against officers who commit domestic assault. Furthermore, the
report also strongly implied that police misconduct was part of the problem
of escalating crime, including violent crime, in Puerto Rico.
The Royal Canadian Mounted Police (RCMP) in the 2000s provides
another example of a police force embroiled in controversy over misconduct
allegations. The RCMP has had a long-standing reputation for integrity. It
was “arguably the most revered and iconic of Canadian institutions,” but has
“come under extreme criticism in recent years, leaving its future existence
in question” (Perrott & Kelloway, 2011, p. 120). A shift in policy away from
community-based policing to a more security-oriented role is alleged to have

alienated the Mounties from their public constituency and initiated a more
politicised management culture that allowed ethical standards and responsi-
bility to slide. Perrott and Kelloway (2011) identify four major scandals that
illustrate the nature of these problems and turned public opinion strongly
against the organization. The first was the exposure of “the pension scandal,”
involving embezzlement, persecution of whistleblowers, and the inevitable
cover-up. Second, “the Maher Arar Affair” involved the arrest of Canadian
citizen Maher Arar by U.S. authorities at JFK airport on a flight from Tunisia
to Canada. His arrest was allegedly based on information supplied by the
RCMP implicating him in the Al-Qaeda terrorist organization. After his
arrest, he was flown to Syria, where he was held captive for a year and tortured
under the U.S.’s “extraordinary rendition” program of offshore processing of
terror suspects. He was later exonerated by the Canadian government. Third,

“the Mayerthorpe murders” involved the ambush and murder of four junior
RCMP officers in a drug raid due to lack of proper planning and risk manage-
ment. The fourth scandal involved the death of Robert Dziekanski after he
was repeatedly Tasered by RCMP officers after an airport altercation. Video
of the incident released on YouTube revealed that the officers over-reacted to
disruptive but nonthreatening conduct by the man.
Impacts
Cases of police misconduct undermine the rule of law and often have a serious
negative impact upon public attitudes toward the police. This is often espe-
cially the case with ethnic and racial minorities (Kaariainen, 2007; Weitzer,
2002, 2004). This negativity reduces public cooperation and impedes police
effectiveness. In the New Orleans and Puerto Rico cases (above), the U.S.
Department of Justice reports (2011a, 2011b) noted that systematic violations
of civil rights had alienated communities to the extent that police could not
engage local communities in problem-solving and partnership approaches
to crime prevention. Public mistrust and resistance is also particularly dam-
aging in the present environment of terrorist threats, with increasing con-
cerns about threats to public safety from terrorist attacks, as well as increased
police powers under new counterterrorism legislation that engender added
risks for suspects who may be held without charge and subjected to investi-
gative misconduct. Police themselves acknowledge that effective counterter-
rorism policing is dependent on information from the public, and often this
information is held by ethnic minorities who are easily alienated by police
discrimination or neglect (Murray, 2005).
Police corruption also directly contributes to criminal victimisation,
especially through graft and protection of organised crime (Prenzler, 2009b).
Police involvement in the drug trade contributes to the misery of drug addic-
tion and the violence associated with the drug trade. Police protection rack-
ets also frequently involve illegal gambling, which can lead to severe debt and
poverty—and prostitution—which can involve human trafficking, sex slav-
ery, and even child prostitution. More generally, when police are collecting
payments, sleeping on the job, or drinking on duty, they are neglecting crime
and victims of crime (Knapp, 1972, p. 146). Inaction by police, along with
distrust of police, has been identified as a factor in wealthy persons turning
to private security and the enactment of vigilante justice (Commonwealth
Human Rights Initiative, 2005). Repressive policing, especially race-based
harassment, can trigger riots involving extensive property damage and loss
of life (Perez, Berg, & Myers, 2003).
Introduction 9
Another major consequence of police misconduct is miscarriages of

justice, where police fail to prosecute offenders and innocent people are
wrongfully convicted. Wrongful convictions have resulted in many innocent
persons spending decades in prison or even being executed (Prenzler, 2009a,
Chapter 6). Miscarriages of justice almost invariably begin with police inves-
tigative misconduct, which feeds through the entire criminal justice system,
reducing public trust in the impartiality and reliability of the system.
Unethical policing is also a major drain on the public purse through suc-
cessful litigation by aggrieved citizens. Rodney King won US$3.8 million
from the City of Los Angeles after he was beaten by police officers (BBC News,
2002). In a notorious case in New York City, Abner Louimas settled with the
City Council for US$8.75 million after he was assaulted and anally raped
with a drain plunger handle while in police custody (Matthews, 2007). In the
5 years to the end of 2009, it was estimated that police actions were costing
New York City US$117.6 million per annum in payments to litigants (Dwyer,
2009). More recently, in Minneapolis, police actions cost the city US$3.3 mil-
lion in the first 7 months of 2011 (McKinney & Mitchell, 2011). Judicial inqui-
ries and anticorruption systems also come at great cost to taxpayers.
Large numbers of complaints are another by-product of police mis-
conduct, entailing a cumbersome and expensive administrative burden on
police and oversight agencies. In England and Wales, with approximately
143,000 police, in 2009–2010, there were 33,854 complaints, represent-
ing an 8% increase over the previous year, including 58,399 separate alle-
gations (Home Office, 2010; Independent Police Complaints Commission,
2010). The complaints involved 35,557 police officers and there were also
5,584 appeals against decisions, representing a 21% increase on the previ-
ous year. In New York City in 2010, with approximately 34,500 police (New
York Police Department, 2011), the Civilian Complaint Review Board (2010)
received 17,024 complaints, although in this case the number represented
an 11% fall from the previous year. Police complaints often trend upward
or are fairly stable at high volumes over the long term, while documented
cases of major reductions in complaints are extremely rare (Porter, Prenzler,
& Fleming, 2011). Only a small proportion of complaints against police are
usually substantiated, and the majority often involve lower level “customer
service” issues, but all allegations signify a problematic police–citizen rela-
tionship. Complaints also typically represent only the “tip of the iceberg” of
public dissatisfaction. Surveys indicate that as many as 90% of people who
have felt they wanted to complain about police did not do so because they felt
it would not achieve anything or because they could not be bothered or they
were afraid of repercussions (Maguire & Corbett, 1991, pp. 53–55; Criminal
Justice Commission, 2000).
Police misconduct has numerous other negative and, at times, devastat-
ing effects (Prenzler, 2009b, pp. 17–20). Excessive force results in a spectrum
of physical and psychological injuries, including death, disability, and Post

Traumatic Stress Disorder. Investigations into corrupt conduct can destroy
the careers and families of police, and lead to the suicide of accused officers.
Misconduct also often undermines harmonious working relations between
police, and can involve intense persecution of nonparticipants or informants.
Causes of Police Misconduct
Efforts to counter the tendency toward misconduct in policing need to be

based on an informed understanding of the causes of, or influences affect-
ing, officer conduct, which might present vulnerabilities that agencies can
assess and address. Proponents of the “bad apple” theory of corruption and
misconduct (Punch, 2003) assert individual level factors to be primarily
responsible for poor behaviour, such as personality, attitudes, or personal
circumstances, thus placing blame with the individual subject officer. Bad
apples, therefore, require screening out at the recruitment stage, or adequate
support, education, and training so that they can perform to the required
standard. However, individual members are also affected by their environ-
ment, which consists of the organisation that they are part of (the police) and
the work that they do (general and specific duties), as well as other people
that they come into contact with. Porter (2005) summarised these influ-
ences as “organisational” and “social” influences, and drew on psychologi-
cal literature to explain the potential effects of each on police misconduct.
Organizational influences, or obstacles to good performance, included an
organisational culture that values the ends rather than the means (e.g., crime
clear-up rates rather than professional standards); inadequate policies and
rules; poor or absent leadership; available opportunities, and; a lack of inves-
tigative capacity or consequences for misconduct. Social influences that can
encourage misconduct were described as a social culture that is closed to
external scrutiny, hostile to those who report misconduct, and supportive of

members who engage in misconduct (or turn a blind eye); colleagues, includ-
ing superiors, who do not uphold ethical values; and external influences from
associations with criminals, informants, or others who may encourage inap-
propriate behaviour in members.
Porter (2005) argued that strategies to prevent misconduct should address
both organisational and social influences. Table 1.1 summarises many of the
contributing individual, social, and organisational factors highlighted in
the literature, and potential focuses for prevention. These explanations are
picked up in different ways by inquiries and reviews. As one example, the
U.S. Department of Justice report on misconduct in the Puerto Rico police,
cited above, explained the extensive problems it identified in terms of a “pro-
foundly broken” system for making police accountable. The primary factors
Introduction 11
Table 1.1 Summary of Contributing Factors to Misconduct and Corruption

and Associated Prevention Possibilities
Contributing Factors Prevention
Individual
Personality/attitudes/ Attitudes that support Recruit screening
coping mechanisms misconduct; personal Staff support
problems (e.g., financial,
drug/alcohol dependence/
stress); lack of knowledge/
skills/confidence
Organisational
Organisational culture Emphasis on performance Emphasis on professional
and clear-up rates standards
Policy/rules Lack of consistent policies Clear rules with definitions and
or unworkable rules working examples
Communication of rules and
ethics training from external
personnel on risks and
implications of corruption
Leadership Lack of supervisory Visible leadership, fair and
presence consistent appraisal and feedback;
transformational leadership
Opportunities Undercover work, Vetting, rotation, procedural
informant handling, controls (e.g., levels of access to
special squads (e.g., drugs) data)
Ineffective Knowledge of difficulties in Encourage reporting (help lines)
investigation/ proving and convicting for Openness and fairness of
consequences corrupt acts investigations
External oversight
Speedy and fair discipline process
Social
Social culture Solidarity and silence, Intolerance to harassment—peer

pressure not to report, protection
negative toward
investigators and those
who cooperate
Colleague influence Influence from peers to Use solidarity to encourage
conform, influence of integrity
observing supervisor’s bad Good leadership (set good
example example)
External influence Pressure from family/ Combination of above, particularly
friends or criminals those associated with policy and
opportunities
contributing to misconduct were analysed under the following headings

(2011b, pp. 5–7):
1. Policies fail to guide officers on lawful policing practices.

2. Preservice field training is insufficient.
3. In-service training is virtually nonexistent.
4. No external oversight of officer stands and training.
5. Tactical units have been allowed to develop violent subcultures.
6. Supervision is lacking.
7. Internal investigations take years to complete.
8. Discipline is seriously deficient.
9. Inoperable risk management system.
The Evolution of Police Integrity Management
During the 20th century many democracies were characterized by cycles of

failed police reform (Henry, 1994). Cases of police abuses would be brought
to light by the actions of courageous journalists, police whistleblowers, civil
rights workers, and others, which would force reluctant governments to estab-
lish judicial inquiries. These inquiries struggled against a wall of silence and
intimidation of whistleblowers, but they often indicated there was a problem
of systemic misconduct and recommended a raft of reforms. Some attempts
at reform might eventuate, although with little commitment to making real
changes in police governance and accountability. Police abuses would resur-
face and escalate, fresh scandal would ensue, and the inquiry and reform pro-
cess would repeat itself. However, since the Knapp Commission of Inquiry in
New York City, from 1970 to 1972, which forcefully articulated the problem
of reform cycles, there has been a much stronger commitment discernable in
many jurisdictions to embedding probity in policing (Henry, 1994).
Integrity management in policing has been marked by incremental change.

Systems can be categorised in different ways, but a simple division between
“basic” and “advanced” systems is one way to think productively about the field.
In democracies, basic systems begin with accountability to the public through
elected officials, often through a designated elected individual, such as a police
minister or mayor. Police also need to be “accountable to the law” (Sarre, 1989).
This has a number of meanings, but a key implication is that police should
not be immune from prosecution for criminal offences, such as assault, and
that officers or departments can also be sued civilly for wrongful actions, with
accountability through damages payable as a partial remedy to the successful
plaintiff, and punitive damages to deter future misconduct. Accountability to
the law should also involve the scrutiny of police conduct through the pros-
ecution process, where prosecutors and judges assess the nature of evidence
Introduction 13
acquired by police and exclude material illegally obtained. Basic systems also
include supervision of officers within the police hierarchy, complaints investi-
gation and discipline, training in law and ethics, and applicant screening (e.g.,
through criminal history checks). Larger police departments have sought to
standardise disciplinary procedures and develop department-wide misconduct
prevention systems through the creation of dedicated professional standards
units. Since the 1950s, various forms of civilian oversight have been added to
the basic model, with these agencies usually limited to paper-based reviews of
police handling of complaints and disciplinary decisions (Finn, 2001). There
have also been advances in areas, such as applicant screening, with the addi-
tion of psychological tests designed to screen out applicants with a predisposi-
tion toward violence or deceit.
The history of police misconduct has shown that the basic model, includ-
ing various refinements, has been entirely inadequate to either prevent mis-
conduct or bring corrupt officers to justice. In response to this problem, a
range of advanced strategies have been developed. It is not necessarily the
case that all police departments should have these in place, but a mix is likely
to be necessary subject to the specific history and risk profile of departments.
The use of covert methods is an important addition (Marx, 1992). These can
include telephone intercepts, other listening devices, undercover operatives,
and “stings” or “integrity tests” (simulated corruption opportunities). These
methods have proved to be successful in exposing hidden corruption where
conventional investigative methods have failed. The use of overt recording
devices—including closed-circuit television (CCTV) in police stations/cells
and body-worn video—is an emerging tool to both deter and identify mis-
conduct, and to help dismiss false allegations against police. Video recording
of interviews, especially in-station interviews with suspects, is an extremely
valuable counter against false confessions (Dixon, 2006). The introduction
of drug and alcohol testing has also been valuable in minimising the prob-
lem of police drinking or being under the influence of alcohol while on duty
(Prenzler & Ronken, 2001). Drug testing is also seen as a valuable tool to
reduce drug use by police (Mieczkowski & Lersch, 2002).
Many of these strategies entail a “get tough” approach to detecting and
deterring misconduct, and are based in part on generating fear in officers.
However, a large body of research in social psychology and organisational
psychology shows that behavioural change through internalisation of val-
ues (e.g., “transformational”) is much more effective on a number of levels
than behavioural change through fear of punishment or desire for rewards
(e.g., “transactional”) (see Judge & Piccolo, 2004, for a meta-analysis). Girodo
(2003) also noted the difference between “values-based” and “compliance-
based” approaches to integrity management. In that regard, complaints
profiling and early intervention to address problem behaviour by police has
emerged in the international policing literature as a promising technique for
reducing complaints through behaviour correction (Walker, 2003, 2007).

Early intervention systems are aimed at the early detection of potentially
escalating problems (utilising a number of warning indicators) and address-
ing the problem through interventions to correct the behaviour. Typically,
interventions are aimed at officer learning; recognizing that poor perfor-
mance can be due to “honest mistakes” rather than malicious intent.
Early intervention systems also tend to overlap with a trend toward
various forms of nonpunitive resolution of complaints, including through
apologies, explanations, and mediation. These can provide a relatively
inexpensive and efficient way of managing complaints in ways that are also
satisfactory to both complainants and the subject officers (Ede & Barnes,
2002; Prenzler, 2009b, pp. 97–112). However, evaluation studies also show
that aspects of the management of complaints resolution need service
delivery level improvements, and, to date, there has been no consistent
and comprehensive mainstreaming of these procedures. There are also
questions about which categories of complaints are best suited to dispute
resolution, which agency should manage the process, and how resolution
procedures should feed into primary and secondary misconduct preven-
tion techniques.
The advanced model has also included a shift to closer oversight of
police by external agencies with powers to conduct independent investiga-
tions, obtain evidence and testimony, and input disciplinary decisions. This
approach is based on findings of internal cover-ups and lack of appropriate
discipline by police professional standards units. Surveys of complainants
whose matters are dealt with by police through a traditional investigate and
prosecute approach normally show very high dissatisfaction rates, averag-
ing around 70 to 95% (Brown, 1987; Hayes, 1997). A common finding is that
dissatisfaction is linked to the lack of independence in complaints systems.
Complainants feel that investigations are not sufficiently rigorous and that
investigators favour the version of events given by the responding police offi-
cer. Complainants are also often dissatisfied due to poor communication,

not being kept up-to-date with the progress of their matter, and not being
given opportunities to meet with the subject officers and discuss the matter
through a mediator (Prenzler, 2009b, pp. 97–112; Prenzler, Allard, Curry, &
Macintyre, 2010).
Generally, there would appear to be a consensus that external agencies
should have the power to conduct their own investigations as well as review
or supervise police internal investigations. However, oversight agencies have
been created with differing models and powers, which are also evolving
rather than static (although subject to legislation and resources) (Seneviratne,
2004; Walker, 2001). Each agency involved in preventing and responding to
incidents of alleged police misconduct, therefore, has its own methods and its
own measures of performance.
Introduction 15
The Australian Experience
Police Misconduct
Early policing in Australia, following European settlement in 1788, was char-
acterised by the same problems described above in 18th- and 19th-century
Britain and colonial societies, such as the United States. General police duties
were initially inappropriately assigned to militia, creating confusion between
the guarding of convicts and general law enforcement and crime prevention
responsibilities (Bryett, Harrison, & Shaw, 1997). The marines both avoided
their policing duties and exploited their position by committing opportu-
nistic crimes. The New South Wales Corps, established in 1795, was quick to
profit from an illicit trade in spirits, hence, the sobriquet “The Rum Corps.”
Efforts to improve policing included converting reformed convicts into con-
stables, but this tended to generate further conflicts (Prenzler, 2010).
It was virtually impossible to implement the New Police model in the
colonial environment, despite the influx of free settlers in the 19th century.
Police tended to maintain a paramilitary form as they struggled with prob-
lems of bushranging and disorder exacerbated by the gold rushes in the mid-
19th century (O’Malley, 1979). One of the darkest chapters in Australian
policing history involved the actions of the “Native Police” who acted as
flying squads against displaced indigenous tribes who threatened settlers.
The force consisted of native troopers under the command of White offi-
cers. Although officially intended to follow due process to arrest suspects, in
reality the strategy devolved into punitive expeditions that included shoot-
ing suspects and “dispersing” native groups by charging and firing at them
(Richards, 2008).
The expansion of colonial self-government, from the mid-19th century,
involved attempts to put police on a more professional footing. The 1833
Sydney Police Act placed police under the control of magistrates. However,
police continued to be held in low regard by many sections of the community

(Bryett et al., 1997). By federation in 1901, the system of state-based police
departments was firmly entrenched (absent local police departments), with
a small commonwealth force established in 1917. Police worked long hours
for low pay under difficult conditions. Discipline could be harsh, although
police discretion was difficult to supervise in the dispersed policing environ-
ment, and there were recurring allegations of corruption (Finnane, 1999).
Prohibitions or restrictions on gambling, alcohol, and prostitution generated
police protection rackets that continued in various forms well into the latter
half of the 20th century.
Judicial inquiries into police conduct in the 20th century were often
inconclusive, partly due to inadequate powers, but they also generally
failed to dispel presumptions of widespread misconduct. The first inquiry
to systematically expose misconduct was the Fitzgerald Commission in

Queensland. The Fitzgerald (1989) Report lifted the lid on longstanding
police protection of organised crime and the management practices that fos-
tered corruption:
The Queensland Police Force is debilitated by misconduct, inefficiency, incom-

petence, and deficient leadership. The situation is compounded by poor organ-
isation and administration, inadequate resources, and insufficiently developed
techniques and skills for the task of law enforcement in a modern complex
society. Lack of discipline, cynicism, disinterest, frustration, anger, and low
self-esteem are the result. The culture which shares responsibility for and is
supported by this grossly unsatisfactory situation includes contempt for the
criminal justice system, disdain for the law and rejection of its application to
police, disregard for the truth, and abuse of authority (Fitzgerald, 1989, p. 200).
The Fitzgerald Inquiry was followed by the Wood Royal Commission

in New South Wales, from 1994 to 1997. Sydney had been seen as the most
corrupt city in Australia, with police protection rings that included politi-
cians, and police involvement in armed robberies and drug trafficking. The
Wood Commission identified a diminution in these practices, partly due to
the regulation of vice, but revealed numerous groups of police involved in
ongoing organised protection and graft, along with process corruption in
the form of fabrication of evidence, as well as assaults on suspects, extortion-
ate gratuities, opportunistic thefts, and continuing police involvement in the
drug trade (Wood, 1997). In Western Australia, the Kennedy (2004) Inquiry
also revealed “the full range of criminal conduct from stealing to assaults,
perjury, drug dealing and the improper disclosure of confidential informa-
tion” (p. 1).
Australia’s other major police force, Victoria, escaped a top-to-bottom
inquiry, but has been plagued by continuous allegations and exposés of mis-
conduct. One of the most notorious scams ran for two decades, across the
1970s and 1980s, involving kickbacks for preferential notifications by police
to emergency security hardware installers. Disciplinary charges were brought
against 550 officers (Ombudsman of Victoria, 1998). Victoria Police have
also been entangled in controversies over shootings of mentally ill persons,
“payback” shootings of criminals, political surveillance, sexual harassment
and discrimination against women police, harassment of police whistleblow-
ers, systematic abuse of strip searching, theft and on-selling of drugs, and
leaking of information to criminals (Office of Police Integrity, 2007a). More
recently, the Victorian Office of Police Integrity revealed the regular practice
of violence against suspects by the Armed Offenders Squad, and exposed a
high level plot to replace the police commissioner (Office of Police Integrity,
2009a). In 2011, the Chief Commissioner was forced to resign over allegations
Introduction 17
that the Victoria Police released misleading crime data in order to support
the government during an election (Stewart, 2011).
There has also been a wider critique of police practices in Australia, con-
sistent with international trends from the 1960s. Police were criticised for
neglecting victims of hidden crimes, such as domestic violence and sexual
assault (Hatty, 1989). The 1991 report of the Royal Commission into Aboriginal
Deaths in Custody was highly critical of reactive arrest practices carried out
by police when dealing with problems of disorder and crime amongst indig-
enous Australians (Johnston, 1991). There have been repeated criticisms, as
well, of police behaviour in relation to high-speed pursuits, excessive force
against public demonstrators, and the over-use of arrest (Prenzler, 2010).
Police Reform and Civilian Oversight

Reform of policing in Australia has followed a tortuous path (Lewis, 1999).
Considerable resistance to improved accountability was mounted by police
management and police unions, and by politicians who felt it was better to
have police on their side than to alienate them with intrusive anticorruption
measures. For many decades in the post-World War II period, most police
departments had only the simple integrity infrastructure, or less, described
in the section titled The Evolution of Police Integrity Management under
“basic systems.” There were few or no measures to preemptively detect or
prevent misconduct. Very limited, often tokenistic, oversight was intro-
duced from the 1970s, mainly in the form of ombudsmen (Lewis & Prenzler,
1999). However, repeated scandals and commissions of inquiry drove major
structural change. The 1990s saw a shift away from ombudsman-style bod-
ies toward commissions, with significant powers to conduct independent
investigations; compel testimony and seize evidence; and develop programs
of research, education, and prevention. The Independent Commission
Against Corruption was established in New South Wales in 1989, with its
police role taken over by the Police Integrity Commission in 1996 as a con-
sequence of the Wood Commission. In Queensland, the Criminal Justice
Commission was established in 1990 in response to the Fitzgerald Inquiry
recommendations. The Victorian Office of Police Integrity took over from
the Ombudsman in 2004. In the same year, the Western Australian Anti-
Corruption Commission (est. 1996) was replaced with a more powerful
Crime and Corruption Commission as a result of the Kennedy Inquiry. An
Integrity Commission was established in Tasmania in 2010. One notable fea-
ture of developments in a number of Australian jurisdictions is the inclusion
of police within a public sector-wide, anticorruption commission in response
to scandals that included politicians and public servants, indicating a com-
mon risk profile for misconduct.
The commissions of inquiry into police corruption also drove the intro-
duction of other advanced integrity strategies. The Wood Commission made
extensive use of undercover tactics, including stings and hidden cameras,
and was responsible for placing these tactics on the integrity management
agenda. A 1999 survey of the eight main police departments found a patch-
work of advanced strategies: two employed covert surveillance; two used
targeted integrity testing and drug and alcohol testing, with another two
planning their introduction; three had a form of complaint profiling and
early warning; and three had introduced complaints resolution (Prenzler &
Ronken, 2003). Overall, there was only a very limited uptake of proactive or
“smart” strategies. The work of the new external integrity agencies has been
similarly mixed (Prenzler, 2011; Ross, 2007). While most now have access to
inquisitorial and covert powers, these tend to be applied to very few cases.
The large majority of complaints are still dealt with by police, and oversight
agencies lack adjudicative powers. The limited use of independent authority
has generated ongoing dissatisfaction amongst complainants as well as jour-
nalists, civil libertarians, and academics. While there is a broad consensus
view that these reforms have assisted in eliminating the more blatant and
organised forms of police process corruption and financial corruption, there
are concerns with ongoing problems of excessive force and poor client ser-
vice standards. Each year, police in Australia are prosecuted and convicted
over a very wide range of offences (see, for example, Sandy & Baskin, 2011).
These convictions provide testimony to the commitment and vigour of the
contemporary integrity systems, but they also place a question mark over the
preventive value of the systems. High volumes of complaints against police
also remain a feature of the police landscape (Porter et al., 2011).
A National Stocktake Study

The past 40 to 50 years of inquiry and research into police misconduct has
led to the establishment of a strong knowledge base about the nature, causes,
and prevention of misconduct. Nonetheless, the question of “what works
in police corruption prevention and integrity management” remains one
of urgency, with a wide opportunity for further research and for improved
practice. Australia has been the site of numerous “natural experiments”
in police integrity management in response to findings of significant and
diverse forms of misconduct. There would appear to be a great deal to learn
from the Australian experience, both its successes and failures. The last two
decades in particular, since the time of the Fitzgerald Inquiry in Queensland,
have seen considerable innovation in techniques designed to address miscon-
duct risks. Indeed, one of the most salient features of contemporary polic-
ing in Australia is the large infrastructure dedicated to supporting integrity.
However, different jurisdictions have adopted different frameworks and
Introduction 19
strategies, and are at different stages of evolution. While there are numerous
jurisdictionally specific reports on reform, and some evaluations of specific
integrity strategies, there has, to date, been no national study comparing
integrity strategies across the eight main policing jurisdictions, including
both police departments and oversight agencies.
With this situation in mind, the authors set out to conduct a “national
stocktake” of police integrity strategies in operation in Australia. Comparative
studies have the advantage of highlighting overlaps in practices of agen-
cies working to common goals, as well as highlighting gaps in provision or,
indeed, innovative strategies that are currently in operation in one or just
a few locations. The study was designed to contribute to the international
scientific body of knowledge about police integrity management. It was also
designed to enhance knowledge sharing and advance best practice within
Australian policing, while also recognising that a “one size fits all” model
may not be appropriate in many cases, given different jurisdictional gover-
nance, laws, resources, and experiences. In summary, the project aim was to
provide a comprehensive picture of current and emerging police integrity
strategies at a national level in Australia. Specifically, the project aimed to
present information on:
• current jurisdictional and national practices;

• innovative integrity strategies;
• experiences and evaluation (positive and/or negative) of integrity
strategies; and
• opinions as to new and emerging issues in ethical policing that
require attention.
Eighteen agencies were selected for inclusion in the study, reflecting all
the state and territory police forces and their primary oversight and/or anti-
corruption bodies. Crime commissions and security agencies were omitted
due to the nature of their work presenting very different risks to state/terri-
tory policing. Table 1.2 lists the agencies, and departments, that participated
in the research. As noted above, policing in Australia is state- and territory-
based, with no local or regional police departments. The departments range
enormously in size (see Table 1.3). At the time of study, in 2009, the Australian
Federal Police consisted of approximately 3,000 sworn officers, while the New
South Wales Police Force had the largest number of sworn officers (around
15,000), and the Northern Territory, with the smallest population, had the
smallest number of sworn officers (approximately 1,000). Tasmania, being
geographically the smallest state, had a similarly small number of sworn offi-
cers (approximately 1,200).
The research was carried out through two methods: searches of public
documents and interviews with agency representatives. Systematic searches,
Table 1.2 Participating Agencies

Jurisdiction Police Oversight
ACT/ Australian Federal Police Australian Commission for Law
Commonwealth Professional Standards Enforcement Integrity
Commonwealth Ombudsman
NSW New South Wales Police Force Police Integrity Commission
Professional Standards Command NSW Ombudsman
NT Northern Territory Police Ethical Northern Territory Ombudsman
and Professional Standards
Command
QLD Queensland Police Ethical Crime and Misconduct
Standards Command Commission
SA South Australia Police Ethical and Police Complaints Authority
Professional Standards Branch/
Internal Investigations Section
TAS Tasmania Police Internal Tasmania Ombudsman
Investigations Unit/Police
Academy
VIC Victoria Police Ethical Standards Office for Police Integrity
Department
WA Western Australia Police Corruption and Crime
Complaints Administration Commission
Centre
Table 1.3 Sworn Officers by Jurisdiction,

Australia 2008–2009
New South Wales 15,394

Victoria 11,028
Queensland 10,124
South Australia 4,209
Western Australia 5,522
Tasmania 1,212
Northern Territory 1,024
Commonwealth* 2,842
Source: Australian Federal Police, 2009, p. 190; Productivity
Commission 2010, Tables 6A.1-6A.8.
* The Australian Crime Commission (2009, pp. 80 & 168)
had 418 staff, many of whom are seconded from other
policing agencies.
Introduction 21
primarily using online resources, were conducted of reports and policy docu-
ments by (and concerning) the above agencies to identify measures aimed
directly or indirectly at preventing and responding to police misconduct or
enhancing police integrity, and associated performance indicators. Publicly
available reports were collected between 2008 and 2010, inclusive, and agencies
were also asked to provide any further documents or information appropri-
ate for inclusion in the research (e.g., policies, training materials, complaints
statistics, or data). Examples of reports utilised included agencies’ annual
reports, investigation reports, training materials, commissions of inquiry or
reviews of agencies, legislation, and also agency-specific policy documents.
Follow-up interviews were conducted between November 2008 and
December 2009 with key personnel in each agency to develop a detailed map
of current integrity practices and challenges encountered. Interviews were
tape recorded and transcribed. Each agency was asked to nominate a per-
son (or appropriate selection of people) to participate in an interview lasting
between 1 and 3 hours. Interviewees were presented with a list of integrity
strategies as prompts, and were asked about their agencies’ current strategies
and their opinions as to how effective these were. They were also asked to
share their experiences of particularly innovative and successful strategies
as well as emerging ethical concerns or issues. Interviews were, therefore,
semistructured and led by the interviewees to a certain extent, and different
agencies provided a different emphasis on topics, dependent on their func-
tions and experiences. Agencies were provided with a draft summary of the
findings regarding their jurisdiction and provided comments, clarification,
and updates where necessary.
The approach of the research was to offer a detailed picture of police
integrity frameworks and strategies in Australia during the period of study.
Practices and issues in this field are evolving as new issues are highlighted
and new practices explored and shared. The information reported here,
therefore, provides an overview of practices at the time of study that can
serve as both a platform to aid further change and, eventually, an historical

resource for tracking the extent of this change.
Conclusion
This chapter outlined key dimensions of the complex and continuing prob-
lem of police misconduct. Research shows that unethical policing has a cor-
rosive effect on society, undermining the system of democratic authority and
threatening the security of ordinary citizens. It fosters organised crime, gov-
ernment waste, public disaffection, victimisation, resistance to authority, and
noncooperation with police. Ensuring ethical conduct by police remains an
ongoing challenge for advanced democracies and a significant challenge for
emerging democracies. Australia is an advanced liberal democracy that has

not been immune from the problem of police misconduct. Malpractice has
occurred across a wide range of types, with many victims and the develop-
ment over time of a large infrastructure to combat the problem. The remain-
der of this book provides an in-depth examination of Australia’s police
integrity system, with evaluations about the value of different strategies and
numerous lessons for any government or community concerned to ensure
their policing is the best it can be.

Committee To Review Research On Police Policy and Practices Wesley Skogan and Kathleen Frydl, Editors

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Committee To Review Research On Police Policy and Practices Wesley Skogan and Kathleen Frydl, Editors

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Committee to Review Research on Police Policy and Practices

Wesley Skogan and Kathleen Frydl, editors

Committee on Law and Justice

Diverting youth from

↳ not have deferent

asked the National Research Council to convene the Committee to Review

THE NATURE OF POLICING IN AMERICA

decentralized system avoids the risk of nationwide adoption of programs

dence of racial and ethnic disparities in these assessments, as well as in

EXPLAINING POLICE BEHAVIOR

with the influence of extralegal factors in shaping their on-street decisions

knowledge, skill, ability, or intelligence and actual police practice. There is

CRIME CONTROL EFFECTIVENESS

The committee examined research on police effectiveness at reducing

ducted research has found much evidence of the effectiveness of what we

LAWFULNESS AND LEGITIMACY

representatives of government. Many controversies regarding policing fall

Running head: POLICE OFFICER DECISION-MAKING

Police Officer Decision-Making in Stressful, Ambiguous and Potentially Violent

Doctor of Psychology (Clinical; Forensic Specialisation)

Centre for Forensic Behavioural Science, Paul Mullen Centre

Swinburne University of Technology

© Ines Seric 2016

processes that underlie police officer decision-making. Forty-four, one-on-one interviews

presence of multiple interactions between organisational sociology, situational ambiguity and

individual characteristics in the production of a decision outcome. Working within and

a more contemporary police structure is provided.

gatekeeper that helped transform ideas into reality.

learned the mammoth lesson of camaraderie.

are my oldest and most loyal friend.

In accordance with Swinburne University of Technology regulations, the following

declarations are made:

no material previously published or written by another person, except where due

respective workers or authors.

without the owner's permission.

1.2 Epistemological Stance ............................................................................................... 23

1.3 Thesis Overview ......................................................................................................... 24

CHAPTER TWO: THE BLUE LINE ...................................................................................... 27

2.2 Definitions .................................................................................................................. 29

2.3 Method ........................................................................................................................ 30

2.4 Organisational Factors ................................................................................................ 32

2.4.1 Wilson’s redux. ................................................................................................ 33

2.4.2 Pulling rank. ..................................................................................................... 40

2.4.3 Does size matter? ............................................................................................. 46

2.5 Offender Characteristics ............................................................................................. 50

2.5.1 Race and the police. ......................................................................................... 51

2.5.2 Demeanour or crime? ....................................................................................... 60

2.5.3 Is chivalry dead? .............................................................................................. 68

2.5.4 The influence of suspect mental illness. .......................................................... 74

2.6 Officer Characteristics ................................................................................................ 80

2.6.1 Train to decide. ................................................................................................ 81

2.6.2 Experience in making hard decisions. ............................................................. 86

2.7 Discussion ................................................................................................................... 91

CHAPTER THREE: METHODOLOGY - INTRODUCING GROUNDED THEORY ........ 93

3.2 Methodological Tenets of Grounded Theory.............................................................. 97

3.2.1 The research question. ..................................................................................... 99

3.2.2 Data collection. ................................................................................................ 99

3.2.3 Data analysis. ................................................................................................. 100

3.2.4 Memo-writing. ............................................................................................... 104