Citation in Lieu of Arrest 20 SECTION B

Examining Law Enforcement’s Use of Citation Across the Citation United States in Lieu ofArrest

In collaboration with INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE Serving the Leaders of Today, Developing the Leaders of Tomorrow® Citation in Lieu ofArrest Examining Law Enforcement’s Use of Citation Across the United States

A REPORT BY THE INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE | APRIL 2016 Table of Contents

2 ABOUT THE IACP

3 EXECUTIVE SUMMARY

5 SCOPE OF PROJECT

6 INTRODUCTION

9 FINDINGS

16 ANALYSIS 17 SECTION A. Potential Benefits of Using Citation in Lieu of Arrest 20 SECTION B. Concerns and Challenges Associated with the Use of Citation in Lieu of Arrest

26 CONCLUSION

27 REFERENCES

A REPORT BY THE INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE | APRIL 2016 ABOUT THE INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE The International Association of Chiefs of Police (IACP) is a nonprofit membership organization that supports law enforcement leaders around the world. With more than 26,000 members in over 120 countries, the IACP serves chief executives and law enforcement professionals of all ranks at the state, local, tribal, municipal, and federal level, as well as non-sworn leaders across the criminal justice system. As the largest and longest-standing law enforcement leadership association, IACP continues to launch historically acclaimed programs, conduct ground breaking research, and speak out on law enforcement issues. Today, the IACP continues to be recognized as a leader in law enforcement program development through the efforts of its divisions, sections, committees, and professional staff. The IACP supports law enforcement through advocacy, training, research, and professional services, and enhances communication and collaboration through various specialized forums including the IACP Annual Conference and Exposition. By engaging in strategic partnerships across the public safety spectrum, the IACP provides members with the tools and resources they need to educate the public on the role of law enforcement and help build sustainable community relationships.

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2 CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE Executive Summary ith a renewed national focus on reform law enforcement officials have a positive view of of the front end of the criminal justice citation. Very few respondents (fewer than 2%) Wsystem and community-police relations, indicated a negative view of the practice. stakeholders and high-profile collaborations such Citation Offers Potential Time Savings and as the Presidential Task Force on 21st Century Increased Law Enforcement Efficiency. Citations Policing have recommended that law enforcement take significantly less time to process than do adopt preferences for “least harm” resolutions, in- arrests (85.8 minutes vs. 24.2 minutes), saving just cluding the use of citation in lieu of arrest for minor over an hour per incident. infractions.1 Officers Are Given Broad Discretion to Determine In the midst of such discussions, the IACP, with Whether to Cite or Arrest in Individual Cases. The the support of the Laura and John Arnold Foun- legal authority to cite for a particular offense comes dation, undertook a three-pronged assessment to from a variety of sources, including state statutes, determine a baseline level of knowledge about the local ordinances and regulations, and departmental use and impact of citation in practice. The IACP’s policy. While certain offenses may be eligible for cita- examination included (1) an expansive review of 40 tion, nearly 81% of agencies give officers final discre- years of academic literature on the topic of citation tion to determine whether an individual involved in a use; (2) a nationwide survey of law enforcement particular incident is suitable for citation vs. arrest. agencies on their practices and perspectives on cita- In Exercising Their Discretion, Officers Would tion; and (3) a series of focus groups with a diverse Benefit from Comprehensive Data Availability in group of law enforcement professionals to engage the Field. While the majority of officers reported in a conversation about the potential benefits and having access to data on arrest, warrant, conviction, challenges associated with citation in lieu of arrest. and failure to appear, there are still gaps in the infor- This combination of literature review, survey, and mation available to officers when deciding whether focus group research allows IACP to present one of to cite or arrest. Law enforcement officers would the most definitive statements on past and present benefit from more complete information across the citation use by law enforcement in the United board, including the ability to access fingerprint States and has resulted in several key findings: information and use risk assessment scores. Although Many Benefits of Citation Have Been Citation in Lieu of Arrest Has Been Widely Posited, There is Little Existing Research to Eval- Embraced as a Law Enforcement Tool. The use of uate Those Claims. Academics and policymakers citation in lieu of arrest is a widespread and long- have suggested many potential benefits for us- standing tool in American law enforcement, with ing citation in lieu of arrest in appropriate cases, nearly 87% of agencies engaged in the practice; including increased officer efficiency, enhanced over 80% of those for ten years or more. Law en- community-police relations, increased officer and forcement agencies are using citation for nearly a public safety, reduced criminal justice system third of all incidents, most often for disorderly con- costs, reductions in jail overcrowding, and dimin- duct, theft, trespassing, driving under suspension, ished burdens on low-level offenders, who avoid ar- and possession of marijuana. Nearly two-thirds of rest records and potential pretrial detention. More

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 3 rigorous study is needed to establish how citation among citation practices. The IACP’s review of liter- can be used to achieve these advantages, so that ature on the subject, as well as its focus group dis- evidence-based practices can be standardized into cussions with law enforcement members, highlights model citation protocols. the many unknowns surrounding its use and impact. Further Research is Needed to Assess the Valid- Before recommending changes to or increase in the ity of Concerns Surrounding the Increased Use of use of citation, it is therefore important to continue Citation and How Best to Alleviate Any Challenges. to study its effect on public safety, recidivism, and Academics and law enforcement professionals have failure to appear rates, to analyze time and cost ben- raised concerns about the increased use of citation, efits associated with the practice, and to ensure that and many unanswered questions remain about its procedures maximize officer safety. impact on law enforcement efficiency, public safety, The IACP therefore recommends determining and individual case outcomes. Does citation in- answers to the following research questions in crease failure to appear rates and, if so, how can this order to develop a national best practices model for be remedied? How can the potential for officer bias citation policy: in making discretionary decisions about whether to ■■ Does citation result in higher failure to appear cite or arrest be alleviated? What information do of- rates in comparison to arrest? ficers need in the field to best exercise their discre- ■■ How does the use of citation affect ultimate case tion? How can law enforcement best communicate outcomes? its policies to a public that may consider citation to ■■ How does citation affect public safety? be too lenient of a response to crime? How does ■■ How does citation affect system costs and jail citation vs. arrest affect pretrial public safety? Ad- populations? ditional research is needed to understand the true ■■ What information do officers in the field need in impact of citation policies in order to develop best order to best make decisions about when to use practices that balance the interests of public safety, citation in eligible situations? law enforcement, and those cited. ■■ How does citation affect the collection of com- Although Most Agencies are Collecting Citation plete criminal histories? Data, Few are Tracking, Monitoring, or Analyzing ■■ Is there a potential for officer bias in making this Information. Eighty-six percent of responding discretionary decisions about whether to cite or agencies maintain electronic information about arrest? citation issuance, and nearly 70% maintain paper ■■ Does the existence of citation as a less intrusive records. Yet fewer than 20% of respondents mon- option to arrest cause net-widening, leading to its itor, track, study, or evaluate the use of citation in increased use in cases where no action would typi- lieu of arrest. In order to determine the effective- cally have been taken? ness and outcomes of citation use, agencies would ■■ What challenges do agencies face in developing benefit from more complete data collection and and implementing citation policies? robust evaluation of that data. In addition, stan- ■■ How does departmental culture and officer per- dardized procedures for citation data collection ception of citation impact its use? would support future research in the field, allowing ■■ How do victims and the public perceive citation researchers to compare and analyze information as a response to crime? across jurisdictions and systems. ■■ Should agencies consider citation issuance as part of officer performance evaluations and how? Despite a movement toward the increased use ■■ How can citation data collection be improved and of citation, at present, there is no standardization standardized to aid research and analysis?

4 CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE Scope of Project

n 2014, the IACP, with support from the Laura and John Arnold Foundation, began to study how police departments approach the use of citation in lieu of arrest, with Ia goal to provide the law enforcement community and other criminal justice stakeholders with a reference point for information about citation practices across America. The project included three components:

Nationwide Survey. The IACP worked with an independent research organization to conduct a national survey of law enforcement agencies in order to determine their level of citation use, assess their perspectives on the practice, and identify data sets for further research in the area.

Literature Review. The IACP also undertook a comprehensive review of academic literature surrounding citation use dating back 40 years. This literature review provided the IACP with information about the historical use of and legal authority for issuing citations, as well as some jurisdiction-specific data about its impact on the criminal justice system. The literature review also identified gaps in the research on how the use of citation, when compared to arrest, affects law enforcement efficiency and effectiveness, criminal justice system costs, individual case outcomes, and public safety.

Focus Group Discussions. In order to assess current law enforcement attitudes about the use of citation, the IACP held a series of focus groups to document perspectives, concerns, and opinions. Approximately 40 law enforcement professionals, representing a diverse cross-section of agencies and officer ranks, participated in four focus group discussions held at the IACP Headquarters in Alexandria, Virginia, and at the IACP Annual Conference in Orlando, Florida, throughout 2014 and 2015. The focus groups considered how departments view the link between citation and pretrial release policies and practices, how they use data to make citation decisions and evaluate citation use outcomes, and how they leverage existing diversion programs to provide support to those cited. Their perspectives and concerns are included throughout this report.

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 5 Introduction

s arrest numbers and policy of every law enforcement prison populations have agency to issue citations in lieu Aincreased, a movement of arrest or continued custody to toward pretrial criminal justice the maximum extent consistent reform has taken root. Stakehold- with the effective enforcement ers in the criminal justice system of the law.”3 The Pretrial Justice have sought ways to increase Institute, in its National Sympo- system efficiency, decrease sium on Pretrial Justice, recom- costs, build trust between law mended the “[u]se of citation enforcement and the public, releases by law enforcement protect the rights of the accused, in lieu of custodial arrests for and maximize public safety.2 non-violent offenses when the individual’s identity is confirmed An Opportune Time to and no reasonable cause exists Examine Citation as an to suggest the individual may Intervention Option. be a risk to the community or to As part of this movement, miss court appointments.”4 there has been increased dis- With community-police re- cussion of using citation in lieu lations in the spotlight and key of full custodial arrest in ap- policy groups recommending the propriate situations. The Final increased use of citation, now is Report of The President’s Task an important moment to study Force on 21st Century Policing the use and impact of citation recommends that “Law enforce- policy, to measure its effective- ment agencies should consider ness in maximizing public safety adopting preferences for seeking and minimizing recidivism, to ‘least harm’ resolutions, such as weigh the costs and benefits of diversion programs or warnings citation usage against those of and citations in lieu of arrest for custodial arrest, and to examine minor infractions.” officer safety issues before rec- Other key players in criminal ommending changes in citation justice have promoted the use of procedures or increase in citation citation in lieu of custodial arrest. use. In short, we need to know The American Bar Association if and when citation in lieu of has stated that “It should be the arrest works best and how best to implement citation policies to a threat to him or herself or the ministrative operational orders. achieve these outcomes. public safety. Citation, in con- The relevant legal authority trast, is a good tool to be used to that makes certain offenses eli- Defining Terms: Citation vs. divert nonviolent misdemeanor gible for citation rarely mandates Arrest. offenders whom an officer de- law enforcement to choose cita- Citation in lieu of arrest is termines are not a public safety tion over arrest. Instead, officers known by a number of terms in risk and who would only increase typically choose citation using jurisdictions around the United States: citation in lieu of arrest, summons in lieu of arrest, vio- lation citation, cite and release, “With community-police relations in the spotlight citation release, field release, and key policy groups recommending the increased field citation, and desk appearance tickets (DAT). The National use of citation, now is an important moment to Conference of State Legislatures (NCSL) provides this definition: study the use and impact of citation policy…” “a citation is a written order, in lieu of a warrantless arrest, that is issued by a law enforcement officer or other authorized offi- cial, requiring a person to appear jail overcrowding. Because of its their own discretion, sometimes in a designated court or govern- more streamlined process, cita- guided by agency culture or poli- mental office at a specified time tion, when appropriate, offers law cies. The ultimate decision to is- and date.”5 For this report, we will enforcement agencies a tool for sue a citation instead of making a use the generic terms “citation” potentially increasing efficiency custodial arrest becomes an issue or “citation in lieu of arrest.” and reducing costs. of “suitability.” Suitability refers In contrast to full custodial ar- Law enforcement authority to subjective criteria that require rest, citation allows the officer to to use citation in lieu of arrest officers to make determinations, release the individual without the comes from state statutes, local such as whether an individual will need for transport to the station, ordinances and regulations, and return to appear in court. formal booking, fingerprinting, departmental policies.6 These Generally, according to the and pretrial release decisions. sources of legal authority set NCSL, “a custodial arrest must Both arrest and citation have forth the offenses for which be made if one or more of these their appropriate and optimal citation may be used, also called factors are present: uses. Arrest, according to the citation “eligibility.” Eligibility ■■ There are reasonable grounds IACP’s focus group participants, refers to those objective criteria to believe the person will not provides an advantage over ci- spelled out in enabling citation appear for court, or the person tation where an individual poses legislation, court rules, and ad- has a history of not appearing.

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 7 ■■ There are reasonable grounds The NCSL also noted common intrusive to individual liberty, to believe a person poses a dan- circumstances under which state subjecting a person to poten- ger to others, himself or herself, laws generally prohibit a citation tial pretrial detention, an arrest to property, the community, or from being issued: (i) When the record, and additional criminal that the person will not cease individual refuses to sign a writ- justice system costs and fees. committing the alleged crime. ten promise to appear or requests Because of this, citation is seen ■■ The criminal record of the to be taken before a judge; and as a potentially useful tool in the arrestee or outstanding warrants. (ii) when the individual is unable country’s ongoing larger conver- ■■ Detention upon arrest is or unwilling to provide valid iden- sation about community-police deemed necessary to carry out tification, identification is unable relations, procedural legitimacy legitimate investigation, or if pros- to be verified, or the person is in the criminal justice system, ecution of the current or other unwilling to provide fingerprints.8 and preservation of the dignity of alleged offenses would be jeopar- The use of citation also offers the justice-involved. dized if not taken into custody. potential benefits for the accused. Although numerous poten- ■■ If the arrestee requires physi- An arrest—“[t]he taking into tial benefits of citation in lieu of cal or mental health care, if the custody of a person by authority arrest have been discussed, there person is not able to care for of law for the purpose of charging has, until now, been little infor- himself or herself or if the person him with a criminal offense, mation about law enforcement’s is intoxicated or under the influ- terminating with the recording of use of and attitudes toward ence of drugs or alcohol.”7 a specific offense”9—is far more citation as a law enforcement tool. This report provides current, national data on those issues (Findings pg. 9), as well as a summary of academic literature on the subject to evaluate benefits and challenges potentially associated with citation use, and gaps in that research (Analysis pg. 16).

8 CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE Findings:

Current Nationwide Data on the Use of Citation in Lieu of Arrest in U.S. Policing

he IACP engaged an inde- officers discretion to use citation pendent research organiza- for eligible offenses. (Table 5) Ttion to undertake a nation- ■■ Citations take significantly wide survey of law enforcement less time to process than do agencies to obtain statistically arrests (85.8 vs. 24.2 minutes). reliable data on citation usage. (Table 7) A nationally representative ■■ Nearly two-thirds of agencies sample of 1,300 law enforcement had a positive view of citation agencies was used, accounting (64.4%), with 33.8% reporting for key variables such as region a neutral view. (Table 8) (Mountain Pacific, North Atlan- ■■ Citation is most often used for tic, North Central, and South) disorderly conduct, theft, tres- and size of population served passing, driving under suspen- (small, medium, and major).10 sion, and possession of marijuana. Respondents were asked (Table 9) about when and how they use ■■ Eighty percent of agencies citation, their agency policies do not monitor, track, study, or regarding citation use, how they evaluate their use of citation. track citation data, and their (Table 12) perceptions and opinions of Agency Use of Citation in the practice. Lieu of Arrest. In order to obtain Key findings from the survey current national data, survey include: respondents were asked whether ■■ Citation is widely used by law their agency has used citation in enforcement agencies and has lieu of arrest and, if so, for how been for at least the past ten long. TABLE 1 shows the number years. (Table 1) and percentage of agencies that ■■ In the past year, agencies re- report ever having used citation, ported using citation for nearly as well as the length of time a third of all incidents. (Table 2) those agencies have done so. The ■■ Nearly 81% of agencies give results show that citation in lieu

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 9 TABLE 1 | The Use of Citation in Lieu of Arrest (N=1300)

of arrest is a common practice, X ? with almost 87% of respondents indicating that they have used citation. The results further show Agency has used Agency has Agency would not used consider using that citation is a longstanding (N=171) practice among agencies, with al- % % % most 81% reporting having used 86.8 13.2 25.1 this tool for ten years or longer. 1,129 respondents 171 respondents 43 respondents In an effort to determine how widespread citation use is in comparison to arrest, respondents were asked “Over the last year, for what percentage of If Used, for how long (N=902; 227 missing) incidents did your agency issue < 1 year: 0.4%...... 4 respondents citations in lieu of arrest?” Re- sults show that citation is used 1–5 years: 7.9%...... 71 respondents for nearly one-third of total inci- 5–10 years: 11.0%...... 99 respondents dents. TABLE 2 reports the percentage of incidents for which an > 10 years: 80.7%...... 728 respondents agency had issued citation in lieu of arrest over the past year. The mean result was approximately 40% of total incidents, with a median result of 31%. That is, TABLE 2 | Over the Last Year for What Percentage of Incidents Did Your Agency Issue Citations in Lieu of Arrest? half of the respondents said that their agency used citations for 31% or fewer of their incidents, and half said they used it for more than 31% of their incidents. Legal Authority, Eligibility, and Suitability of Cases for Citation vs. Arrest. A variety of sources on state, local, and % departmental levels may provide Median 31.0 agencies with the authority to cite vs. arrest. TABLE 3 shows % Mean 39.7 the most common sources of authority granting law

10 CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE TABLE 3 | Authority for Using Citation in Lieu of Arrest (N=1,016; 113 missing)11

Local Statute or State Statute Agency Policy Ordinance 826 respondents 618 respondents 454 respondents enforcement agencies the right to use citation, including state statutes (81%), agency policies (61%), and local statutes and ordinances (45%).11 The survey also sought information about the types of offenses for which officers may is- 44.7% sue citations. TABLE 4 addresses this issue of citation eligibility. Almost all respondents report that officers are able to use cita- 60.8% tion in lieu of arrest for ordinance violations (96%), while 90% report having authority to cite for misdemeanors. Only 18% of 81.3% respondents reported that they are permitted to use citation for non-violent felonies, and even fewer (4%) indicated that they | have authority to issue citations TABLE 4 When Officers Can Use Citation in Lieu of Arrest 12 even for violent felonies. Though (N=902; 227 missing) some felony offenses might be Number Percent eligible for citation, this authority Ordinance violations 868 96.2% does not extend to all types of Misdemeanors 814 90.2% non-violent or violent felonies, Non-violent felonies 163 18.0% nor is it often used. Agencies in- Violent felonies 36 4.0% dicated that they rarely exercise Not eligible for citation (N=899; 293 missing) their authority to issue a citation Outstanding warrants 644 71.6% in lieu of arrest in felony cases. Table 4 also provides infor- Danger to self or others 616 68.5% mation about when officersmay Failure to Appear history 547 60.8% not issue citations, even if the Likelihood of recurrence 418 46.5% offense is otherwise eligible. Criminal history 366 40.7% This is known as determining Citation history 321 35.7% “suitability” for citation. Survey Social/personal characteristics 271 30.1% respondents reported that having outstanding warrants (72%), Residency outside of jurisdiction 240 26.7%

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 11 TABLE 5 | Agency Approach When Charges Are Eligible for Citation (N=855; 274 missing)

being a danger to self and others (69%), and failure to appear ? ? history (61%) are the most commonly reported disqualifiers. Social or personal characteristics Officer must use Officer may use Officer may use and having residency outside citation when when eligible when eligible eligible with permission of the local jurisdiction were reported as reasons least often 11.3% 80.5% 8.2% used to establish unsuitability. 97 respondents 688 respondents 70 respondents Citation decisions are often a matter of officer discretion. TABLE 5 shows the nature of agency policies and how they de- limit officer discretion to choose TABLE 6 | Information Available to Individual Officers to between citation and arrest for Decide to Use Citation (N=848; 281 missing)13 eligible offenses. Nearly 81% of Number Percent respondents said their officers Arrest history 716 84.4% have full discretion to use cita- Warrant history 586 69.1% tion on an eligible charge. Table 5 Conviction history 509 60.0% further illustrates that the use of citation in lieu of arrest is rarely Failure to appear history 481 56.7% mandatory (about 11% of all Pending case history 298 35.1% agencies), nor do officers typi- Photos 294 34.7% cally require specific permission Citation history 247 29.1% (about 8%) before choosing to cite in lieu of arrest. Officer decisions to cite or arrest are ideally made after assessing relevant information. TABLE 6 addresses the types of information available to officers exercising this discretion. The categories of information most often available to officers in the field include arrest history (84% of all reporting agencies), warrant history (69%), conviction history (60%), failure to appear

12 CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE TABLE 7 | Comparison of Average Times Custodial Arrest vs. Citation

HOURS MINUTES history (57%), and citation 13 history (29%). Average time for officer Processing Times for Citation to process custodial arrest 1.43 85.8 vs. Arrest. Relevant academic literature suggests that processing citations may provide a significant time savings over the processing of full custodial arrests. The results reported in TABLE 7 illustrate this. Survey re- Average time for officer to process citation .4 24.2 spondents reported that it takes more than three times as long to process a custodial arrest (85.8 minutes) as it does to process a citation (24.2 minutes), a time savings of just over one hour per | incident. TABLE 8 How Agencies View the Value of Citation in Lieu of Arrest Opinions on the Use of Cita- tion in Lieu of Arrest. The survey Perspective on citations (N=931; 198 missing) also asked respondents about their views on the value of citation in lieu of arrest, as well as their perspective on the impact of citation on local jail popula- Positive Negative Neutral tions. According to the findings % % % reported in TABLE 8, about 64% 64.4 1.7 33.8 of respondents reported a favor- 600 respondents 16 respondents 315 respondents able view of the use of citation, while only 2% had an unfavor- Perspective of impact on local jail population (N=738; 391 missing) able view. Thirty-four percent of respondents held a neutral view Has an impact Does not have of the practice. Respondents an impact were divided on whether citation % % has an impact on the local jail 46.6 53.4 344 respondents 394 respondents population, with 47% believing citation does have such an impact, while 53% believing that it does not.

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 13 TABLE 9 | Offenses for Which Citation in Lieu of Arrest was Issued Most Commonly by Agencies (N=792; 337 missing) 14

Number Percent 1. Theft 468 59.0% Citation Usage By Offense 2. Disorderly Conduct 304 38.4% Type. The survey sought infor- 3. Trespassing 128 16.2% mation on the types of offenses 4. Driving under Suspension 127 16.0% for which citation is most often used. TABLE 9 illustrates citation 5. Possession of Drugs: Marijuana 127 16.0% usage by type of offense. Citation is most commonly used for theft, with 59% of respondents reporting this use, followed by disor- TABLE 10 | How are Individual Citations Tracked and derly conduct (38%), trespassing Documented? (N=842; 287 missing)15 (16%), driving under suspension (16%), and possession of mari- Number Percent juana (16%).14 Information from citations is saved 725 86.1% electronically Citation Data Collection and Tracking. Respondents were Paper copies of each citation are saved 585 69.5% asked about their methods for Citations are not tracked or documented 14 1.7% documenting and tracking citation information. TABLE 10 shows the methods by which agencies document citation activity. TABLE 11 | Where is Information About Citations Stored? Nearly all agencies keep some (N=814; 315 missing)16 record of citations issued, with fewer than 2% of respondents Number Percent indicating that citations are not In a system maintained by a law 748 91.9% enforcement agency tracked or documented. Of those In a system maintained by the court or 587 72.1% agencies that do track, a majority government agencies where individuals are does so electronically (86%) and directed to appear almost three-quarters document In a state criminal history information 291 35.7% citation records on paper (70%). repository Respondents were also In a local criminal history information 126 14.5% asked about how their agencies repository maintain records of citations issued. TABLE 11 reports on where agencies store citation information. Almost all survey respondents (91.9%) report that citation information is stored in a system maintained by the law

14 CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE TABLE 12 | Does Your Agency Monitor, Track, Study, or Evaluate the Use of Citations Issued in Lieu of Arrest? (N=833; 296 missing) enforcement agency. Citation information is also reportedly stored in systems maintained by the court or government agency Yes No where individuals are directed to % % appear (72.1%), in a state crimi- 19.8 80.2 nal history information repository 165 respondents 668 respondents (35.7%), and in a local criminal history information repository (14.5%). The survey next sought information on how this collected …If Yes , What Do You Monitor or Track? (N=156; 9 missing)17 data on citation is used. Respon- Rates of citation by issuing officer...... 67.9% dents were asked “Does your 106 respondents agency monitor, track, study, Rates of citation by patrol area...... 35.3% or evaluate the use of cita- 55 respondents tions issued in lieu of arrest?” The results listed in TABLE 12 Demographic information...... 33.3% 52 respondents indicate that fewer than 20% of responding agencies do so. Disposition rates for cases where citation was issued in lieu of arrest...... 32.7% Of those respondents who do 51 respondents monitor, track, study, or evaluate citation use, the most common Rates of citation for eligible crimes...... 25.6% 40 respondents purpose (67.9%) is to track rates of citation by issuing officers. Rates of compliance with agency policy Other uses include collecting on the appropriate use of citation in lieu of arrest...... 20.5% 32 respondents information on rates of citation by patrol area (35.3%), demo- Failure to appear rates...... 19.9% graphic information on those 31 respondents cited (33.3%), and disposition Re-arrest or re-cite rates after issuance rates for citation cases (32.7%).17 of a citation...... 5.1% 8 respondents Post-conviction re-arrest rates...... 3.2% 5 respondents

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 15 Analysis:

Literature Review Highlights the Need for Further Research on Potential Benefits and Challenges of Implementing Citation Policies

he use of citation in lieu of ing, policy, and culture across law arrest has been encour- enforcement agencies; Taged by major actors in ■■ Inconsistencies in the applica- the criminal justice field, citing tion of officer discretion to use potential benefits from cost and citation either within an agency or time savings for law enforcement, across adjacent jurisdictions; and to reduction in jail populations, to ■■ Community and victim views less burdensome outcomes for that citation is too lenient of a appropriate low-level offenders. response to crime. The participants in the IACP’s fo- In order to evaluate both the cus groups on citation use echoed posited benefits of and the ex- these views, opining that citation pressed concerns about citation, could be a valuable tool that and to assess current knowledge allows officers to resolve relatively about its use and impact, the minor crimes quickly without the IACP undertook a comprehen- need for the additional adminis- sive literature review to see what trative work required when trans- answers that body of existing porting a custodial arrestee to jail. academic knowledge might hold. Many participants also saw the The IACP hoped that this review, prevention of jail overcrowding as which spanned over 40 years of a benefit, especially since many research on the subject, would systems have seen operating bud- provide a broad understanding of gets reduced in recent years. the legal and practical landscape The focus group participants surrounding citation use. also raised concerns about What the IACP found, how- challenges that might be associ- ever, is that there are significant ated with increased citation use. gaps both in available data on These factors include: citation use by law enforcement ■■ The effectiveness of citation; and in research into the benefits ■■ Lack of standardization in train- and challenges associated with its implementation in practice. In analyze citation use in particular by researchers and/or focus short, the literature review makes jurisdictions. In New Orleans, group participants, and synthe- clear that there is still much to for example, a 2011 study found sizes any available research on be learned about how best to that citation was used in 68.2% each topic from the literature implement citation policies and of cases (not including domestic review. Section B then provides procedures. violence or intoxication), up from an overview of the concerns com- The body of literature does 41% in 2009.20 monly raised to the increased use provide: The following sections provide of citation, with an analysis of any ■■ Prescriptive guidance and anal- an overview of these issues. existing literature on the validity ysis on the need to implement Section A outlines the potential of these concerns or how they citation policy; benefits of citation use suggested might be remedied or minimized. ■■ Short-term impact analysis on the use of citation in lieu of section A arrest by specific jurisdictions or agencies; Potential Benefits of Using Citation ■■ National data comparison that in Lieu of Arrest dates back four decades or more; and he most discussed benefits citation for suitable offenses is ■■ Historical context and the current of citation in lieu of arrest that the practice frees officers up legal framework for citation use. Tcan be categorized as to return to patrol more quickly, Perhaps most importantly, the follows: (1) benefits to the crim- rather than requiring them to literature review illustrates what inal justice system; (2) benefits leave the field for transport and we do not know, and these gaps to law enforcement agencies booking of arrestees. This time can provide a roadmap for future and officers; and (3) benefits to savings appears to be borne out research. For example, the liter- those cited. Below is a synthesis by existing research. A decades- ature review revealed that until of information related to each of old study in Evanston, Illinois, the current IACP survey data set these claims, indicating whether found that citation processing out in the Findings Section of this they are supported by existing required 15 minutes of officer report, there had been no nation- literature and whether any gaps time versus two hours of time wide data on citation use col- exist in our knowledge that would for arrest.21 A more recent lected for over 40 years. A 1975 benefit from further research. 2005 study in Gwinnett County, national survey found that 75% Georgia, found that citation pro- of responding police departments Citation Use Could Increase cessing took officers an average used citation in lieu of arrest Law Enforcement Efficiency of 35 minutes, versus up to 127 for some non-traffic offenses,18 and Enhance Community- minutes for arrest.22 while a 1981 study found that Police Relations. These findings are consis- 800 cities weren’t using citation Increased officer efficiency. tent with the IACP’s current at all.19 Recent studies exist that One oft-stated benefit of using survey results, which indicate

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 17 “Research suggests that diversion tends to reduce re-offense, that nationally, officers spend on safety with respect to citation average 24.2 minutes processing particularly in the vs. arrest. a citation versus 85.8 minutes processing an arrest—an aver- case of young and Increased Citation Use age time savings of just over one Could Reduce Costs and hour per incident.23 first-time offenders.” Overcrowding in the Not all research found such Criminal Justice System. a time savings. A 1970-71 study Reduced System Costs. Some of the New Haven, Connecticut, literature suggests that the use of Police Department found that citation in lieu of arrest can pro- while up to two hours of field pa- disorder.”26 These concerns link vide cost savings to the criminal trol time could be saved per case, with the messages of The Pres- justice system as a whole, given this significant savings occurred idential Task Force on 21st Cen- that fewer people will undergo in only 10% of cases.24 The New tury Policing, which encourages booking, necessitate judicial Haven study provides a caution the use of less intrusive means of decisions about pretrial release, to adoption of citation policies intervention when appropriate. spend time in pretrial detention, and procedures. Merely encour- There is, however, no research or require screening for pretrial aging the use of citation will not on how the use of citation vs. services. necessarily increase efficiency arrest is perceived by community Several studies demonstrate unless procedures and officer members and whether, in fact, cost savings from using citation training are put in place that con- the lesser intervention would instead of arrest. According sider how best to use citation to enhance the perception of police to one early report, during the save time and resources. legitimacy. second full year of the Manhat- Enhanced Community-Police Increased Officer and Public tan Summons Project (1969), Relations. According to some Safety. Focus group participants the department released 22,685 literature, employment of citation indicated that the “hands-on” persons, saving $1,587,950, or procedures can reduce commu- requirements of custodial arrest “the equivalent of saving the cost nity disruption and ill will gener- may increase the risk to the of more than 28,000 eight hour ated by the hardship that ensues officer’s safety. As such, focus tours of duty.”27 In a 1995 study from arrests for minor offenses, group members discussed the on failure to appear (FTA) rates which may also be perceived as possibility of using citation in ap in Charlotte, North Carolina, one unfair.25 One researcher suggests propriate cases as a de-escalation researcher estimated a costs that “the unnecessary removal tool, possibly leading to fewer savings of $100.96 per citation of individuals from their commu- use of force incidents, and (from $120.96 for an arrest nities has serious effects on the reducing complaints against to $20 to issue a citation).28 stability of families and neighbor- police, community disruption, In 2011, an advocacy group, hoods, and may actually con- and ill will. No literature or re- Florida TaxWatch, encouraged tribute to problems of crime and search exists examining officer implementation of civil citation

18 CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE programs throughout the state sentences to incarceration,32 it is comes, failure-to-appear rates, based on an expected cost sav- possible that citation, by keeping and recidivism.34 ings of between $44 million and defendants out of jail pending ■■ Those cited do not incur arrest $139 million annually for Florida their trials, could also impact records, which can hinder their taxpayers.29 post-conviction levels of jail use. ability to obtain work, housing, Further cost/benefit analyses Both of these possibilities merit and loans. would be useful to evaluate the further research. ■■ The use of citation in lieu of impact of citation practices on arrest can keep people out of the the criminal justice system as Increased Citation Use criminal justice system. Research a whole. Could Lessen Burdens on suggests that diversion tends to Reductions in Jail Over- Non-Violent, Low-Level reduce re-offense, particularly in crowding. Some researchers Offenders. the case of young and first-time posit that the increased use of Arrest is a vital and legitimate offenders.35 citation could potentially reduce tool in an officer’s arsenal of ■■ Those cited are free to prepare jail overcrowding, based on the options for dealing with crime for their day in court because assumption that pretrial deten- and disorder. Often, arrest is they are not incarcerated prior to tion of non-violent, misdemeanor the most appropriate choice trial.36 Some studies have shown offenders drives incarceration an officer can make to resolve a correlation between pretrial numbers. If people aren’t routed a situation. Citation, however, detention and conviction rates, through the arrest-booking- because it is much less intrusive suggesting that those who are pretrial detention process, the on individual liberty, could be an not free to prepare for trial may thinking goes, they would take equally valuable tool for low-level be at a disadvantage in court.37 up fewer jail beds. offenses, which would be a much ■■ Use of citation in lieu of arrest Existing research supports less burdensome result not only avoids pretrial release and de- this conclusion.30 For example, on the system as a whole but tention decisions based solely researchers studied the impact also for those cited. on financial ability to post pre- of one jurisdiction’s summons in The existing literature sug- scribed bail amounts, which can lieu of arrest policy, comparing gests this reduced burden could be considered unfair or even the length of jail stays before and benefit those cited in a number discriminatory.38 after its implementation. They of ways: found that cases were more likely ■■ Citation is less invasive of in- to be booked and released on the dividual liberty and avoids many same day after the summons pol- of the hardships associated with icy went into effect, reducing bed arrest and detention, including stays from 49,796 in the pre- financial burdens, damage to rep- policy period to 40,168 after.31 utation, and inability to work.33 Because even short-term pre- Even short-term detention has trial detention is associated with negative effects on case out-

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 19 section B expected cost or time saving benefits might be defeated, Concerns and Challenges since failures to appear cause additional work for courts, which Associated With the Use of must issue new warrants, and for Citation in Lieu of Arrest law enforcement agencies, which are tasked with locating and ar- hile further research might be remedied or alleviated resting those cited. More studies may establish nu- in practice. are needed to determine if these Wmerous benefits to higher FTA rates for citation support the increased use of cita- Does Citation Result in cases hold across the board. tion in lieu of arrest, challenges Higher Failure to Appear There are, however, potential associated with the practice also Rates in Comparison to remedies that could be imple- exist. Both the literature review Arrest? mented to decrease FTA rates. and the discussions with the There is a concern both in the Though most studies don’t IACP’s focus group participants literature reviewed and in speak- separate FTA rates for those identified potential drawbacks ing with law enforcement officers cited from those arrested, court associated with the practice. that the increased use of citation reminder systems—either post- Thus, though there has been will lead to higher FTA rates. cards or live call reminders—have policy discussion about the With custodial arrest, the defen- been shown to decrease FTA increased use of citation, there dant is booked and either held rates overall.40 Other researchers remain issues and concerns in pretrial detention or subject have noted success in reducing about what a model citation pol- to pretrial monitoring pending FTA rates when the time between icy would look like, how it could court appearance. In contrast, the offense and the initial court be effectively implemented while those who are cited make only appearance is shortened.41 maintaining officer and public a signed promise to appear and safety, and what the outcomes of are released without additional Do Officers in the Field such a policy would be. assessment or conditions. Have Access to the What follows are some of the The FTA rate concern appears Necessary Information to concerns that arose from both in the only existing study on the Inform Citation vs. Arrest the literature review and the matter. In a 1996 study in Char- Decisions? broad-ranging conversations the lotte, North Carolina, researchers When officers in the field are IACP held during its four focus found that 23.2% of those issued faced with the decision to cite or group sessions on citation with citations failed to appear at their arrest, they need accurate, easily members of law enforcement first scheduled court appear- accessible data in order to ensure from across the country—as well ance versus 3.9% who had been their own and the public’s safety. as ideas for further exploration as arrested.39 If, indeed, FTA rates Initially, officers need to deter- to how some of these concerns are higher in citation cases, any mine eligibility for citation under

20 CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE “Researchers have noted success in reducing FTA rates governing laws and department mation. With no data available to policies, and then, using their when the time future officers faced with a repeat discretion, they must assess situation, it could lead to multiple whether this particular incident between the offense incidents of citing and releasing is suitable for citation. Focus the same person for the same group participants noted in par- and the initial offense.45 According to a 2013 ticular the necessity of providing court appearance is paper by Mark Perbix at SEARCH, officers with fingerprint data, “one of the biggest unintended FTA history, and risk assessment shortened.” consequences of cite and release scores in the field. policies is the adverse impact on Although the majority of agen- recording complete arrest infor- cies surveyed indicated that their mation in state criminal history officers have access to some of repositories.” Perbix goes on to this information, more can be assessments might limit officer say that “although the prosecu- done to ensure that the available discretion, while others sug- tion of the offender continues in data is as complete as possible.42 gested assessments might help most cases, the outcome cannot In a 2011 study in Los Angeles, to reduce bias. The issue is ripe be accurately recorded in the for example, the Vera Institute of for further study. criminal history because (a) no Justice recommended increasing original arrest record exists in the law enforcement’s capacity for How Does Citation Affect criminal history, and (b) the court field identification and expanding the Collection of Complete has no biometric identifier asso- the County’s Blue Check program Criminal Histories? ciated with the offender.” to make identification technology One potential benefit of While this concern could be available in all patrol cars so that citation for those cited is that alleviated by more complete data law enforcement officers can cite because there is no arrest, there collection and tracking of cita- and release more individuals in is no attendant arrest record. tions, these competing interests the field.43 Because actual booking does should be balanced: Law enforce- Another potentially powerful not occur in the citation process, ment’s desire to collect and track tool for officers is the develop- in many cases, fingerprints and complete information on those ment of risk assessment instru- other identifying information cited and the individual’s interest ments that would assist officers are not captured, and no crimi- in avoiding a burdensome record in weighing the available data to nal history record entry for the for low-level cited offenses. make the best informed deci- offense occurs.44 To law enforce- sions about citation vs. arrest ment and other actors in the Does Citation Pose Issues based on objective factors. Focus criminal justice system, this lack About the Exercise of group participants discussed of information is perceived as Officer Discretion? the pros and cons of such tools, interfering with the collection of One concern about the use with some concerned that risk complete criminal history infor- of citation in lieu of arrest is

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 21 whether officers will use their forcement officers—exercise Potential bias in the issuance discretion fairly in its implemen- their discretion in making de- of citations could be prevented tation. Two issues arise: The po- cisions, there is a potential for by creating department guide- tential for bias and the possibility both explicit and implicit bias to lines to ensure officer discre- of net-widening. impact the fairness and, under tion is exercised fairly, and by Bias. In its report on 21st the Equal Protection clause, ensuring that officers are made Century Policing, the Presidential the constitutionality of those aware in training of the pitfalls of Task Force defined bias as fol- decisions.47 In this instance, an explicit and implicit bias. Focus lows: “An explicit bias is a con- officer’s implicit or explicit bias group participants echoed this need for training: Discretion should be taught as a positive way to help build trust within the “Focus group participants echoed [the] need for community and to build morale training: Discretion should be taught as a positive based on the positive impact made by its fair exercise. way to help build trust within the community and Bias can also be prevented by providing officers with neutral to build morale based on the positive impact made methods to assist in making citation decisions. The development by its fair exercise.” of risk assessment tools would assist officers in making citation determinations based on objective factors. Net-Widening. Some re- scious bias about certain popu- based on race, ethnicity, gender, searchers have predicted that lations based upon race, gender, or socioeconomic factors may encouraging citation as an socioeconomic status, sexual impact the decision to cite alternative to arrest might lead orientation, or other attributes. versus arrest. to its increased use in cases Common sense shows that ex- Because there is little demo- where officers would otherwise plicit bias is incredibly damaging graphic data tracking citation typically not act. This theory, to community-police relations, use, the question remains: Is called “net-widening,” occurs and there is a growing body of re- citation used fairly? More re- when, “[a]s control becomes less search evidence that shows that search is needed to collect and punitive, it is extended to greater implicit bias—the biases people analyze data on whether more numbers of individuals.”48 These are not even aware they have—is intrusive interventions like cus- researchers have expressed harmful as well.”46 todial arrest disparately impact concern that once officers have a Whenever any agents of the individuals based on protected middle ground of action between government—not just law en- classifications. arrest and doing nothing, they

22 CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE will take it, particularly if cita- ■■ Prioritization of objectives support for citation in lieu of tion numbers are tracked as an ■■ Formulation of policy arrest could act as a hurdle to indicator of officer productivity. ■■ Design of citation form its more widespread use. Some Ultimately, net-widening would ■■ Refinement of procedures officers in these studies believed defeat one purpose of using ■■ Detailed data collection and citation to be a “bankrupt policy,”52 citation more often, which is to continual program evaluation.50 while others were frustrated by reduce the impact of contact Other researchers suggest ad- what they perceived to be a “re- with the criminal justice system. ditional essential components of volving door”53 of putting those It’s not clear whether net-wid- a model citation policy, including: cited immediately back onto ening is occurring,49 because the ■■ Officer training the street, possibly to commit use of citation in comparison to ■■ Interagency collaboration to further crimes. Others held a other interventions hasn’t been ensure that other stakeholders negative view of citation because tracked and analyzed. Research in the criminal justice system— “it seems to be a step toward in this area would be useful. If courts, corrections, victims’ ad- decriminalizing the offenses.”54 net-widening is found to occur, vocates, pretrial services, public Survey findings from this ini- it could be minimized through welfare agencies, prosecutors, tiative indicate that a majority of officer training and clear depart- public defenders, etc.—have in- agencies now positively view ci- mental guidelines on citation use. put, since citation policies impact tation. Only 1.7% of respondents actors throughout the process.51 indicated a negative view of the What Challenges Do Much more research is needed practice.55 While law enforce- Agencies Face in Developing to develop policies and proce- ment officials in the focus groups and Implementing Citation dures that maximize the ben- did discuss concerns surrounding Policies? efits of citation in lieu of arrest citation use, these conversations Some literature contends that while minimizing or remedying took place with a view to seeking faulty program planning and challenges associated with the solutions and best practices. implementation challenges can practice. Best practices need to In one older study, officers contribute to underutilization of address officer discretion, officer also expressed concern about citation in some jurisdictions. training, documenting and track- their safety while issuing cita- Such challenges can be rem- ing citation data, ensuring court tions.56 Members of the IACP’s edied by thoughtful planning appearance, public safety, and recent focus groups echoed and the development of model public outreach and education. these concerns—that when policies that agencies can adopt writing a citation in a high crime and adapt to reflect their unique How Does Departmental area, a solo officer might be put needs. One researcher offers Culture and Officer in danger and opt to call for back steps for proper planning and Perception of Citation up and make an arrest instead of implementation, including: Impact Its Use? issuing a citation. There are no ■■ Needs assessment The literature review provided studies comparing the safety of ■■ Statutory review examples where lack of internal officers during citation vs. arrest

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 23 incidents. One could argue that that, in appropriate cases, cita- mechanisms for outreach and making a custodial arrest—a tion in lieu of arrest does more education to the public and more involved process with good than harm. victims of crime to better inform increased potential for escala- them of how, when, and why tion—could be equally or more Do Victims and the Public citation policy is used, and to dangerous than issuing a citation. View Citation as Too Lenient ensure that decisions are made There is little information of a Response to Crime? to maximize public safety. available about how officer Some literature noted that of- performance is evaluated with ficers may be reluctant to use ci- How Can Citation Data respect to the use of citation, tation because victims complain Collection Be Improved although about two-thirds of about seeing those cited released and Standardized to Aid agencies reported collecting data rather than arrested and taken Research and Analysis? on rates of citation by issuing to jail.58 The issuance of citations The survey results indicate officer.57 Examples of how this in- may be viewed as police leniency that while most agencies are col- formation could be used in prac- and departments have faced crit- lecting data on citation issuance, tice include evaluating officers icism from citizens regarding cite few are analyzing and tracking its based on their decision-making and release incidents.59 use. This lack of analysis makes it ability, knowledge of the case, In addition, there are no difficult, if not impossible, for de- and ability to properly apply studies examining the outcomes partments to evaluate their own policy; using citation rates as a of citation cases. We don’t use of and outcomes associated performance statistic, similar know the public safety statistics with citation in lieu of arrest. to criminal custodial arrest; or for those who are cited and The lack of data also presents giving citation equal weight to released versus those who are system-wide problems that hin- other forms of charging crimi- arrested and booked, nor have der research and development of nals, such as warrant service or there been any comparisons of evidence-based tools and poli- custodial arrest. their re-offense rates pending cies. The lack of standards as to Any agency adoption of a appearance. Tracking and how information is collected and citation policy will require the disseminating this information maintained renders it challeng- support of its law enforcement can help law enforcement to ing for researchers to analyze officers. One essential compo- make the best decisions to and compare information across nent will be to assure officers ensure public safety. Research jurisdictions and data systems. that citation is being used effec- may also produce evidence as The importance of having and tively, efficiently, and in a fashion to the value of citation to assist analyzing such data is difficult that maximizes public and officer law enforcement in justifying to overstate. Such data could be safety. To reassure law enforce- the practice with the public. used: ment, more data-driven studies A department committed to ■■ To develop risk assessment to back up these assertions will implementing a citation policy tools that officers could use in be needed to develop evidence should include in its procedures the field to make the best de-

24 CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE cisions when exercising their discretion to cite vs. arrest; ■■ To evaluate the effect of cita- “Any agency adoption of a citation policy will tion vs. arrest on FTA rates and to assess how to improve FTA require the support of its law enforcement officers. rates in citation cases; One essential component will be to assure officers ■■ To perform a system-wide cost/benefit analysis on the im- that citation is being used effectively, efficiently, pact of citation vs. arrest; ■■ To determine whether the and in a fashion that maximizes public increased use of citation reduces jail populations; and officer safety.” ■■ To evaluate the impact of citation on case outcomes and recidivism; ■■ To evaluate the effect of citation policies on officer and public ■■ To develop law enforcement ■■ To incorporate citation statis- safety and community-police training on the benefits of citation tics appropriately into officer relations; use in appropriate cases;60 and performance evaluations.

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 25 Conclusion

itation in lieu of arrest potentially offers numerous benefits for law enforcement, the criminal justice Csystem, and those cited. Yet the impact of the practice has not been significantly studied. The IACP’s three-pronged assessment of citation in lieu of arrest—from a review of decades of academic literature on the subject, to the first nationwide survey in 40 years to obtain agency data on citation usage, to its far-ranging focus group discussions with law enforcement professionals—has provided a baseline of information and generated numerous questions that provide a path forward for researchers, illuminating the need for more evidence gath- ering to support effective policies for the criminal justice system, officers, and citizens.

26 References

1 Final Report of the President’s Task Force 11 Responses total more than 100% because 22 Warren Davis, “Should Georgia Change on 21st Century Policing (2015), p. 43, avail- agencies may have multiple sources of Its Misdemeanor Arrest Laws to Authorize able at http://www.cops.usdoj.gov/pdf/ authority for using citation. Issuing More Field Citations?” 22 Ga. St. U. taskforce/taskforce_finalreport.pdf. L. Rev. 313 (2005). 12 Responses total more than 100% because 2 Id. 1. agencies may have citation authority for 23 IACP Citation in Lieu of Arrest Report, multiple categories of offenses. supra Findings, Table 7. 3 American Bar Association Standards Relating to the Administration of 13 Responses total more than 100% because 24 Mark Berger, “Police Field Citations in New Criminal Justice—Pretrial Release, agencies may have multiple sources of Haven” 1972 Wis. L. Rev. 382 (1972). While Standard 10-2.1 (1981), available at http:// information available to them. citation eliminated the time-consuming www.americanbar.org/publications/ process of transporting a prisoner and filing 14 Responses total more than 100% because criminal_justice_section_archive/crimjust_ paperwork at the jail, an officer making a agencies may have selected more than one custodial arrest could instead call for trans- standards_pretrialrelease_blk.html. offense. port and file his or her report by phone in 4 Pretrial Justice Institute, “Citation in Lieu 15 Responses total more than 100% because many cases. This eliminated the time neces- of Custodial Arrest: Recommendation,” agencies may use multiple methods to store sary to follow the arrestee to the courthouse, available at http://www.pretrial.org/ citation information. thus closing the gap between the processing solutions/citation/. times for custodial arrests and citations, 16 Responses total more than 100% because 5 reducing the time saved by using citation. Id. National Conference on State Legislatures, agencies may store citation information in Citation in Lieu of Arrest (2013) (collecting multiple locations. 25 Busher, supra n.9; “An Analysis of the legal authority for citation), available at Citation System in Evanston, Illinois,” supra 17 Responses total more than 100% because http://www.ncsl.org/research/civil-and- n.18, at 79. criminal-justice/citation-in-lieu-of-arrest. agencies may monitor or track multiple data 26 aspx. points. Cecelia M. Klingele, Michael S. Scott &

18 Walter Dickey, “Reimagining Criminal Jus- 6 Floyd, Feeney The Police and Pretrial Id. tice” 2010 Wis. L. Rev. 953 (2010) (quoting Release (1982). 7 Id. (emphasis added). Todd R. Clear, Imprisoning Communities: How 19 Debra, Whitcomb, Bonnie Lewin & Mass Incarceration Makes Disadvantaged 8 Id. Margaret J. Levine, Citation Release Neighborhoods Worse (2009)).

9 (National Institute of Justice, 1984). Walter Busher, Citation Release: An Alterna- 27 Floyd Feeney, “Citation in Lieu of Arrest: tive to Pretrial Detention, Concepts and Guide- 20 See Justice Policy Institute, Due South: The New California Law,” 25 Vand. L. Rev. lines vii (American Justice Institute, March New Orleans, Louisiana: Reforming 367, 371 (Mar. 1972). 1978), available at https://www.ncjrs.gov/ Arrest and Pretrial Practices (May 2011), 28 J. David Hirschel & Charles W. Dean, pdffiles1/digitization/64883ncjrs.pdf. available at http://www.justicepolicy. “Relative Cost-Effectiveness of Citation and org/uploads/justicepolicy/documents/ 10 A sample of 1,035 law enforcement agen- Arrest,”23 J. Crim. Just. 1, 10 (1995). due_south_-_new_orleans.pdf and cies were selected from 4,406 agencies Criminal Justice Leadership Alliance, “Use 29 The Florida TaxWatch, Center for Smart nationwide after stratifying for region and of Summonses and Custodial Arrests Justice, Research Report: Expansion of Civil population served. A total of 479 agencies for Municipal Offenses” (April 7, 2010), Citation Programs Statewide Would Save Tax- responded to the survey. Weights were cal- available at http://thelensnola.org/wp- payers Tens of Millions of Dollars and Improve culated and assigned based on the selection content/uploads/2010/10/cReport-on- Public Safety (April 2011). probabilities of the sampled agencies within summonses.pdf. each stratum. After adjusting for duplicate 30 Terry Baumer & Kenneth Adams, “Con- completes and completes from agencies 21 Note, “An Analysis of the Citation System trolling a Jail Population by Partially Closing that were not part of the original sample, in Evanston, Illinois: Its Value, Constitution- the Front Door: An Evaluation of a Sum- the final number of weighted respondents ality and Viability,” 65 J. Crim. L. & Criminol- mons in Lieu of Arrest Policy,” 86 The Prison was 1,300. ogy 75, 79 (Mar. 1974). J. 386 (Sept. 2006).

CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE 27 31 Id. at 396. FTA Pilot Project and Resulting Court Date integrated action among a broad and dis- Notification Program,” 48 Court Review 86 parate array of departments, agencies, and 32 Christopher T. Lowenkamp, Marie (2012). officials.” Whitcomb, supra n.16. VanNostrand & Alexander Holsinger, The Hidden Costs of Pretrial Detention 41 Mary T. Phillips, The Past, Present and 52 Id. (Report from the Laura and John Arnold Possible Future of Desk Appearance Tickets in 53 Id. Foundation, Nov. 2013), available at http:// New York City, at 58 (NYC Criminal Justice www.arnoldfoundation.org/wp-content/ Agency, March 2014). 54 Texas District & County Attorneys uploads/2014/02/LJAF_Report_hidden- Association, “Pot Smokers Might Not Get 42 IACP Citation in Lieu of Arrest Report, costs_FNL.pdf. Arrested” (undated), available at http:// supra Findings, Table 6. www.tdcaa.com/node/1063. 33 Alan G. Gless, “Arrest and Citation: 43 Vera Institute of Justice, Los Angeles Definition and Analysis,” 59 Neb. L. Rev. 279 55 IACP Citation in Lieu of Arrest Report, County Jail Overcrowding Reduction Project | (1980). supra Findings, Table 8. Final Report: Revised (Sept. 2011), available 34 Lowenkamp et al., supra n.29. at http://www.vera.org/sites/default/files/ 56 In a review of the Evanston, Illinois, resources/downloads/LA_County_Jail_ Police Department in 1974, 52% of officers 35 Geoffrey Monaghan & Dave Bewley- Overcrowding_--_Executive_Summary.pdf. expressed concern about their safety during Taylor, Practical Implications of Policing process of writing a citation at the scene Alternatives to Arrest and Prosecution for 44 Mark Perbix, Unintended Consequences of an incident while crowds gathered. “An Minor Cannabis Offences (Int’l Drug Policy of Cite and Release Policies (SEARCH, Analysis of the Citation System in Evanston, Consortium 2013), available at https:// June 2013), available at http://www. Illinois,” supra n.18, at 84. dl.dropboxusercontent.com/u/64663568/ wdmtoolkit.org/~/media/Microsites/Files/ library/MDLE-report-4_Practical- Warrants%20and%20Dispositions/Policy/ 57 IACP Citation in Lieu of Arrest Report, implications-of-policing-alternatives-to- Unintended-Consequences-of-Cite-and- supra Findings, Table 12. arrest.pdf. Release-Policies.ashx. 58 Id. The participants in the IACP Focus 36 “An Analysis of the Citation System in 45 Id. Group echoed this perception that the Evanston, Illinois,” supra n. 18 at 79. public may not be satisfied with the use of 46 Presidential Task Force on 21st Century citation instead of arrest. 37 Berger, supra n.21 at 382. Policing, supra n.2, at 10. 59 Daniel Mintz, “Sheriff’s Captain: Reports 38 “An Analysis of the Citation System in 47 Citation might be utilized “in a discrimi- of Cite & Release ‘Blown Out of Proportion,’” Evanston, Illinois,” supra n. 18 at 79; Jeffrey natory or arbitrary fashion: some arrestees McKinleyville Press (June 26, 2013), available M. Allen, “Pretrial Release under California may be cited when they should have been at http://mckinleyvillepress.com/sheriffs- Penal Code Section 853.6: An Examination detained or released with only a warning.” captain-reports-of-cite-release-blown-out- of Citation Release,” 60 Cal. L. Rev. 1339, Whitcomb, supra n.16, at 21. of-proportion. 1342 (1972); IACP, Law Enforcement’s 48 Berger, supra n. 21 at 399. Leadership Role in the Pretrial Release and 60 Indeed, Focus Group participants Detention Process, at 5 (Feb. 2011), available 49 One study of the Omaha, Nebraska Police stressed the need for new officer in-service at http://www.pretrial.org/download/ Department found the theory to have some learning in order to see citation as part of advocacy/IACP%20Leadership%20 merit, at least for the offenses of larceny the agency’s philosophy, culture, and best Role%20in%20Pretrial%202011.pdf. and assault. Julie Horney, “Citation Arrest: discretionary practices Extending the Reach of the Criminal Justice 39 Hirschel & Dean, supra n.25, at 8. These System?” 17 Criminology 419, 426 (1980). numbers increased to 37.1% and 13.8% when researchers account for the number 50 Whitcomb, Citation Release, supra n.16. of court appearances missed. Id. See also See also Feeney, “Citation in Lieu of Arrest,” Literature Review, App. A, at 19 & Table 2. supra n.24 and Busher, supra n.9 (offering additional prescriptive program implemen- 40 Brian H. Bornstein et al., “Reducing tation steps and guides). Courts’ Failure-to-Appear Rate by Written Reminders,” 19 Psychology, Public Policy, 51 The interconnectivity of autonomous and Law 70 (2013); Timothy Schnacke, Mi- criminal justice agencies, the literature chael Jones, & Dorian Wilderman, “Increas- suggests, creates hurdles to implementing ing Court-Appearance Rates and Other Ben- new or expanded citation policy. According efits of Live-Caller Telephone Court-Date to Whitcomb, “effective planning and oper- Reminders: The Jefferson County, Colorado, ation of citation release programs require

28 CITATION IN LIEU OF ARREST | INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE PHOTO CREDITS COVER: ISTOCKPHOTO.COM/IMAGOTRES (MAP); ISTOCKPHOTO.COM/JUSTICE IMAGES (LIGHTS); ISTOCKPHOTO.COM/AVID CREATIVE, INC. (OFFICER) | INTERIOR: ISTOCKPHOTO.COM/JAMES ANDERSON (LAW ENFORCEMENT VEHICLE); ISTOCKPHOTO.COM/INHAUSCREATIVE (OFFICER WRITING TICKET); ISTOCKPHOTO.COM/HAKUNELLIES (BICYCLE OFFICER WRITING TICKET) INTERNATIONAL ASSOCIATION OF CHIEFS OF POLICE Serving the Leaders of Today, Developing the Leaders of Tomorrow ®

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