February 2008 Volume 77 Number 2

United States Department of Justice Federal Bureau of Investigation Washington, DC 20535-0001 Robert S. Mueller III Director Features Contributors’ opinions and statements should not be considered an endorsement by the FBI for any policy, program, or service. Homicide By evaluating best practices of successful homicide units, supervisors The attorney general has determined Investigations 1 that the publication of this periodical can determine how to improve their is necessary in the transaction of the By Timothy G. Keel department’s homicide clearance efforts. public business required by law. Use of funds for printing this periodical has been approved by the director of the Office of Management and Budget. Program Evaluations The fi nal installment of this three-part The FBI Law Enforcement Bulletin (Part Three) article concludes the examination of (ISSN-0014-5688) is published 11 the importance of program evaluation monthly by the Federal Bureau of By W. Dean Lee Investigation, 935 Pennsylvania for law enforcement agencies. Avenue, N.W., Washington, D.C. 20535-0001. Periodicals postage paid at Washington, D.C., and additional Executive Coaching SmallerExecutive law coaching enforcement can help agencies law can mailing offices. Postmaster: Send enforcement leaders face challenging address changes to Editor, FBI Law 18 reap benefi ts from crime analysis reports Enforcement Bulletin, FBI Academy, for Law Enforcement andissues maps in today’s similar constantlyto those derived changing by Law Enforcement Communication Unit, By Steve Gladis and largerworld. ones. Hall of Honor Quantico, VA 22135. Suzi Pomerantz

Editor Law enforcement offi cers must know the John E. Ott Diplomatic Immunity legal and diplomatic protocols during Associate Editors By Jonathan L. Rudd 25 encounters with foreign offi cials. Cynthia L. Lewis David W. MacWha Bunny S. Morris Art Director Denise Bennett Smith Departments Assistant Art Director Stephanie L. Lowe Staff Assistants 10 Leadership Spotlight 24 ViCAP Alert Cynthia H. McWhirt Was Hitler a Leader? Unidentifi ed Recovered Gabriel E. Ryan Body Arlene F. Smith 17 Crime Data This publication is produced by 24 Unusual Weapon members of the Law Enforcement Uniform Crime Reports Communication Unit, Training Division. Tool Card Issues are available online at Only Online http://www.fbi.gov. E-mail Address [email protected] Cover Photo © Mark C. Ide Send article submissions to Editor, FBI Law Enforcement Bulletin, FBI Academy, Law Enforcement Communication Unit, Hall of Honor, Quantico, VA 22135.

ISSN 0014-5688 USPS 383-310 Homicide Investigations Identifying Best Practices By TIMOTHY G. KEEL, M.S.

ationally, the number management perspective, their 2) they submit crime data for of homicides reported current practices and procedures the UCR Program.4 Eighty-one N by police departments allow for the highest possible departments received question- to the FBI’s Uniform Crime clearance rate. naires, and 55 completed and Reporting (UCR) Program is To explore these issues, the returned them.5 This article is on the rise.1 Equally disturb- author conducted a study of ho- a result of those responses. ing, the clearance rate for those micide units across the country. crimes continues to decline.2 He developed a questionnaire THE STUDY Law enforcement offi cials are that pertained to a variety of increasingly concerned about operational and management Clearance Versus Conviction the reasons for these statistics issues and focused on how the The standard of success for and what they can do about well-performing units investi- a homicide unit traditionally is them. Although most homicide gate homicides.3 Departments measured by its clearance rate, unit supervisors are confi dent chosen for this study met two which typically refers to the in their detectives’ abilities criteria: 1) they have more than number of actual arrests and the to solve cases, they might be 25 HPY (homicides per year) charging of an offender. Some asking themselves if, from a over a 5-year average, and units, however, use a different

February 2008 / 1 with a higher-than-average clearance rate7 revealed that the average time detectives had The creation and in their department was 17.18 “ use of cold case years. Further, the average time squads (CCS) have spent in uniform patrol was 6.71 become more years; an investigative unit, 9.66 prevalent…. years; and the homicide unit, 6 years. The average age of the detectives was 42.25 years, and their average years of education totaled 14.81. Mr. Keel, a retired homicide commander, currently serves as a major case” specialist for the FBI’s National Center for the Analysis of Violent Crime. Case Handling All homicide units, regard- measurement of success by re- and union rules. A majority of less of size, typically work more ferring to their conviction rate. departments identifi ed both the than just homicides. Almost ev- The clearance rate is an eas- formal oral interview and the ery unit in this study handled all ily obtainable statistic and more requests of the homicide super- police-involved shootings and directly affected by the homi- visor as the preferred methods any death that occurred while cide unit. Conversely, many in- of selection; a written test was someone was in police custody, direct, nonhomicide unit-related used the least. While over 80 irrespective of the cause of factors affect the conviction percent of the departments did death. Indicative of collateral rate, if the actual percentage not consider an appointment to duties, less than one-half of can even be ascertained. These the homicide unit as a promo- the departments that responded factors include jury selection, tion, over 70 percent thought (41.8 percent) also worked non- witness testimony, ability of of it as an elevated position. In fatal shootings, and 40 percent the prosecutor to present a case examining a particular candi- handled serious assault cases. to a jury, and the quantity and date for a homicide assignment, The remaining departments quality of evidence. While a 64 percent of the departments reported that these calls were homicide investigator ultimately expected that person to have handled by district or station seeks a rightful conviction, for prior investigative experience detectives (41.8 percent), some the purpose of comparing law in some other unit, and 55 type of central detective squad enforcement departments in this percent preferred that the can- (30.9 percent), or uniform patrol study, the clearance rate gauged didate have prior investigative offi cers (32 percent).8 performance.6 experience. Current homicide detectives Personnel Rotation Selection of Detectives listed such traits as interview The issue of rotating de- The study found that the and interrogation skills, dedi- tectives out of the homicide process for selecting a homicide cation, experience, patience, unit after a set period of time, detective varies from one agen- common sense, tenacity, persis- regardless of their effectiveness cy to another and often is deter- tence, and organizational skills as an investigator, is a relatively mined by departmental policies as assets. Examining agencies new phenomenon plaguing

2 / FBI Law Enforcement Bulletin many supervisors. While the Indoor Versus Outdoor profi ling), and they had a 5.7 concept of a rotation policy may This study examined the percent higher average clear- have benefi ts from a manage- percentage of homicides that ance rate. Only 16.4 percent of ment perspective, this study occurred inside a location, as the departments reported using suggested that chiefs consider- opposed to outside. Overall, statement analysis; however, ing implementing such a policy departments reported that 36.6 these departments had a 5.2 for homicide detectives should percent of their homicides oc- percent higher clearance rate. proceed cautiously. For ex- curred inside a location, and ample, only 3 of the 55 depart- 63.2 percent happened outside. Compstat ments had a rotation policy of The study also analyzed agen- Many departments today any type within their detective cies with a majority of homi- participate in some form of division. No department with an cides inside and then compared compstat process, such as col- average of over 80 HPY report- their clearance rate with those lecting, analyzing, and mapping ed having a rotation policy for with a majority that occurred crime data and other essential homicide detectives. Even agen- outside. Those with a majority police performance indicators, cies that currently have a rota- that occurred inside had a 10.2 and holding police managers ac- tion policy extend the period of percent higher clearance rate. countable for their performance time that a detective can remain as measured by these data.9 in the unit. This study examined whether a department used a compstat Caseloads process and then compared the One of the primary ques- clearance rates of those de- tions in this study concerned One of the primary “questions in this partments that did with those caseload. Almost every homi- that did not. Those that did cide supervisor would like to study concerned (67 percent) had a 3.3 percent have more detectives to ef- caseload. higher clearance rate. Further, fectively investigate each case. the study found that almost two- Fighting for limited resources thirds of the departments that and demonstrating the need for used this process sent a repre- additional detectives are dif- sentative to the compstat meet- fi cult without some accepted Investigative Tools ings. Almost all (92 percent) standard of what should com- Detectives often use spe-” sent the homicide commander; prise a detective’s annual case- cialized tools to assist them in 42 percent also sent a homicide load. This study indicated that investigations. Almost 93 per- supervisor. Only 17 percent had a homicide detective handles cent of the departments reported the actual primary investigator an average of fi ve cases annu- that the polygraph was avail- attend. ally as a primary investigator. able, while 34.5 percent used a Statistically, departments with computer voice-stress analyzer. Computerized Case detectives who handled fewer Almost 90 percent used blood- Management System than fi ve per year as a primary stain-pattern analysis, and those In today’s computer-savvy investigator had a 5.4 percent departments had a 4.8 percent world, many people assume that higher clearance rate than those higher clearance rate. One-half every modern homicide unit has with detectives who had higher of the respondents used criminal a computerized case manage- case loads. investigative analysis (criminal ment system (CCMS). While

February 2008 / 3 the advantages are obvious, departments in the 25 to 49 strengthen a case for arrest they also can be fi nancially bur- HPY groupthose with a or prosecution. The balance densome for some departments. CCMS had a 5 percent higher between monitoring overtime In this study, 64 percent of all clearance rate. Further, those authorization for possible abuse responding departments had a departments with 100 or more versus curbing the morale and CCMS for their homicide unit, HPY that had a CCMS but also enthusiasm of a detective eager with 62 percent of those shar- had a relational capacity to fl ag to make an arrest can prove ing this information with other names from one case to another complex. The results of this criminal investigation units. had a rate 5.5 percent higher. study indicated that 76.4 per- Computerized neighborhood- cent of the departments required canvass forms and vehicle-stop Overtime Usage supervisory approval to permit information often enhance Most departments cope with detectives to work overtime. investigations with potential decreased fi nancial resources. A However, the departments that leads. detective working overtime did not have that requirement Departments were further often can represent a delicate had a 9 percent higher clearance grouped among their frequency balance between department- rate. Eighty percent of the of homicides. In examining wide efforts to stay within a departments reported no limit to CCMS, a signifi cant differ- strict budget and what is neces- the amount of overtime a ence existed among those sary to further, follow up on, or detective can work, and they

Keys to a Successful Homicide Unit • No more than fi ve cases per year as a primary for each detective • Minimum of two, two-person units responding initially to the crime scene • Case review by all involved personnel within the fi rst 24 to 72 hours • Computerized case management system with relational capacity • Standardized and computerized car-stop and neighborhood-canvass forms • Compstat-style format • Effective working relationships with medical examiners and prosecutors • No rotation policy for homicide detectives • Accessibility to work overtime when needed • Cold case squads • Investigative tools, such as polygraph, bloodstain pattern analysis, criminal investigative analysis, and statement analysis • Homicide unit and other personnel work as a team

4 / FBI Law Enforcement Bulletin had a 9.2 percent higher clear- except several departments for a clearance in the year the ance rate than those with limits. with high clearance rates had clearance (arrest) is made, re- A majority of departments (87.3 few unsolved cases; therefore, gardless of what year the actual percent) reported no stringent the establishment of a full-time homicide occurred. Therefore, rules that made working over- CCS was unnecessary.) The ad- receiving credit for a clearance time diffi cult, and they had a 6 vances in forensic science have without having incurred a homi- percent higher clearance rate revolutionized the case clear- cide in that year (the homicide than those with such policies. ance opportunities for a homi- already was counted in the year These high percentages possibly cide investigator and even more it occurred) statistically in- indicate that most departments so for a cold case investigator. creases the department’s overall with high clearance rates do not Because of scientifi c advances, clearance rate. In this study, have blanketed rules to discour- evidence that may have been several departments went from age overtime use. This fi nding forensically worthless 10 years a below-average UCR clearance implies that most detectives are ago now may lead to the iden- rate to an above-average one cognizant of the circumstances tifi cation of an elusive suspect. based solely on the performance of a particular case and also of and clearances made by their have the fl exibility to make CCS. decisions concerning overtime approval based on their own Prosecutors’ Role judgment. The role of The role of the prosecutor “the prosecutor varies signifi cantly from one Cold Case Squads varies signifi cantly locale to another. While pros- While all detectives want from one locale ecutors and homicide detec- to solve every case, the real- to another. tives work together on a case ity is, despite their best efforts, and share the ultimate goal of some remain unresolved. These a successful prosecution, they cases haunt the victim’s family, have different perspectives on the community, and the case how to accomplish this based detective. A fresh look at a cold Investigators should uncover on the nature of their duties and case and a more recent analysis and review cold cases that” responsibilities. of evidence concerning it can could benefi t from new forensic When asked if prosecutors generate new leads and provide analysis and submit the neces- respond to the initial homicide resolution for those involved. sary paperwork to reanalyze scene, 60 percent of the de- The creation and use of cold evidence and reevaluate leads. partments said they rarely do; case squads (CCS) have become The objective of a CCS is to 18.2 percent do so only when more prevalent as investigative identify and arrest the offender, requested by the investigator; commanders realize the poten- removing a violent person and 16.4 percent advised that tial of such a unit.10 from the street and giving the prosecutors respond at their Of the departments in this victim’s family some closure. own discretion. Eleven percent study with clearance rates above There also is a distinct admin- reported that prosecutors some- the national average, over 80 istrative advantage for having times respond, and 9.1 percent percent had some type of CCS.11 a CCS: following UCR guide- stated that they almost always (This fi gure would be higher, lines, a department gets credit respond to the initial scene.12

February 2008 / 5 Departments that typically and more than 125 supervisors Homicide detectives commonly involved a prosecutor in the responded. When questioned report that to be successful, they early stages of an investigation about the biggest barrier to must have interview and inter- had a higher clearance rate on achieving higher homicide rogation skills to get someone average. The average clear- clearance rates, one common to utter the truth. Without this ance rate became progressively theme occurred among all ability, arrests and convictions lower when prosecutors became ranks: the lack of public/witness are diffi cult to achieve. While involved during the later stages cooperation. Personnel shortag- protection of civil and constitu- of an investigation. Conversely, es were second and legal/pros- tional rights is paramount, news departments that require detec- ecutor issues third. and entertainment programs that tives to consult prosecutors both depict suspects success- before issuing an arrest warrant fully eluding police questioning had a 6.6 percent lower clear- and educate viewers on forensic ance rate than those that did techniques challenge today’s not have such a requirement. Departments that use homicide detectives more than Perhaps, departments that allow “joint resources and ever before. detectives to use their judgment work together toward The individual surveys pertaining to prosecutor notifi - achieving a common examined a multitude of subject cation and prosecutors comfort- goal experience a areas. One common theme able enough to allow detectives multitude of benefi ts. continuously surfaced among that discretion have a better all levels in successful homicide working relationship. units: teamwork. All detectives, When asked whether pros- commanders, crime lab person- ecutors typically were able to nel, and prosecutors know that assist detectives in preparing for The individual surveys also it takes an extremely dedicated court testimony, an overwhelm- identifi ed the most valuable” group of individuals to work ing majority (83.6 percent) assets for a homicide detective. together in a genuine, fully stated that prosecutors fre- Supervisors listed communica- professional manner. Further, it quently help them. When asked tion skills fi rst, and detectives requires leadership, motivation, to describe their homicide unit’s ranked them second. Detectives and direction from the top to working relationship with pros- who listen more than they talk the bottom of the investigative ecutors, 78.2 percent rated it as can effi ciently use their com- chain, with managers setting either good or excellent. Those munication skills, which helps the tone. Most departments that characterized their relation- them to properly “read people.” have strong teamwork within ship this way had a 6.2 percent The ability to solicit and ana- their own squads and probably higher clearance rate than those lyze information provided by within their own shifts, but it that rated it as fair or poor. potential suspects, witnesses, proves diffi cult to get all enti- and family members results in a ties working in sync toward the Individual Surveys more competent detective. resolution of an arduous task. The departmental question- Detectives listed interview Genuine teamwork is required naire incorporated individual and interrogation skills as their for such simple duties as receiv- surveys for detectives, supervi- number one asset. Command- ing a phone message or request- sors, and each commanding ers and supervisors ranked them ing that someone transcribe offi cer. Over 400 detectives second and third, respectively. tapes to the more complex tasks

6 / FBI Law Enforcement Bulletin Detective Averages, all participating departments

Time in a homicide unit 6.2

Time in uniform patrol 6.46.4

Time in an 10.5 investigative unit 10.5

Years of formal 14.7 education 14.7

Time in department 18.0 18.0

Average age 42.8 42.8

Number of Years

involved in having the entire how many homicide detectives personnel involved, 58.2 per- unit help conduct interviews at respond to the initial crime cent reported a review within a 12-witness scene. The pres- scene. Results from this study the fi rst 24 hours and 70.9 per- ence or absence of professional indicate that over 60 percent of cent within 72 hours. Of those teamwork may have the biggest departments have at least three departments that experienced intangible impact on whether a or more detectives initially clearance rates higher than the homicide case is solved. responding. The fl exibility of national average, 65.2 percent a secondary detective indepen- had a case reviewed by all per- Additional Traits dently mobile proves benefi cial sonnel within 24 hours and 82.6 Departments that responded in the initial stages of an inves- percent within 72 hours. to the study mentioned addition- tigation. Based on the totality Almost all departments al traits of successful homicide of this study, a minimum of (89.1 percent) reported that units. Although they did not two, two-person detective teams they have at least one type of prove to signifi cantly increase should respond to the initial system in place to ensure that clearance rates, the author crime scene with a detective all follow-up investigations are shares them to help agencies supervisor. conducted in a timely man- better evaluate their practices. ner. Most (60 percent) simply Case Review were informally reviewed by Initial Detective Response and Follow-Ups the supervisor; others (23.6 The reality of personnel, lo- In examining how soon percent) were set up in a tickler gistics, and resources infl uence a case is reviewed by all fi le; 20 percent were left to the

February 2008 / 7 discretion of the detective; and antigang squads actively assist- fi nd themselves in the position 18.2 percent were automatically ed in homicide investigations. of having to share case-sensitive generated by a CCMS.13 information with persons out- Task Forces side their department. Politics, Antigang Squads The FBI’s National Cen- laws, and departmental policies Of the 55 departments that ter for the Analysis of Violent may inhibit multiagency coop- responded, 40 (72.7 percent) Crime (NCAVC) helps a vari- eration. Detectives and, more had an antigang squad. The ety of departments that do and important, managers should number of gang detectives do not work with task forces. recognize these issues and fi nd ranged on average from 7.7 Departments that use joint effective avenues of communi- detectives in the 25 to 49 HPY resources and work together cation and information sharing group, 16.7 detectives in the toward achieving a common long before a crisis occurs or 50 to 99 HPY group, and 23.6 goal experience a multitude of joint task force involvement detectives in the over 100 HPY benefi ts. Most police detectives becomes necessary. group. Of all of these groups, take ownership and pride in When asked if their de- 87.2 percent reported that their their cases and may suddenly partment participates in or has

Homicides Uniform Crime Report, all agencies reporting Percent 15,000 75

14,500 14,430 69.1% 70 14,000 13,561

13,500 64.0% 65

13,000 62.1% 60 12,500 12,266 12,000 55

11,500

11,000 50 1999 2002 2005 Number of Homicides Clearance Rate (%)

8 / FBI Law Enforcement Bulletin access to any state, federal, or When asked if detectives are Endnotes local task force squads that can provided with a detailed sketch 1 http://www.fbi.gov/ucr/05cius/ 2 Ibid. or do assist in homicide investi- and photos of the victim’s inju- 3 The questionnaire consisted of 103 gations, 83.6 percent responded ries, an overwhelming majority questions and a statistical sheet covering that they do, and another 10.9 (92.7 percent) responded that homicide data from 2000 through 2004. percent stated that they some- the ME/coroner’s offi ce pro- 4 The departments originally were times do. Of those, 69.1 percent vided them. When asked how identifi ed using Bureau of Justice Statistics information for all departments that submit noted that task forces are used they would rate their working data. either sometimes or frequently. relationship with the ME/coro- 5 These 55 departments represented More important, 80 percent of ner, almost 90 percent rated 27 states, covered jurisdictions ranging in the departments advised that their relationship as either good population from under 100,000 to over 3 task forces sometimes are effec- (29.1 percent) or excellent (60 million, and employed from 60 to 8,500 personnel. tive as an investigative tool. percent). 6 The clearance rate was determined by averaging the annual reported rates from Medical Examiners 2000 through 2004. The study also asked sev- 7 The author derived this fi gure by av- eral questions pertaining to eraging the reported current-year clearance departments’ medical examiner Investigators rate over the 5-year period of 2000 through should uncover 2004 and then examining departments (ME) or coroner systems: 65.5 “ above the mean. percent had an ME system; 29 and review cold 8 Some departments gave multiple percent, a coroner system; and cases that could responses, resulting in percentages totaling 5.5 percent, both. Sixty per- benefi t from more than 100. 9 cent stated that detectives are http://www.ppdonline.org new forensic 10 For additional information about cold required to attend the autopsy. analysis…. case homicide investigations, see Leonard A variety of reasons support G. Johns, Gerald F. Downes, and Camille the detective’s mandatory at- D. Bibles, “Resurrecting Cold Case Serial tendance at the autopsy of a Homicide Investigations,” FBI Law En- forcement Bulletin, August 2005, 1-7. homicide victim, such as allow- 11 CONCLUSION Supra note 7. ing the ME to ask the detective 12 Supra note 8. ” 13 pertinent questions that may Unfortunately, no single Supra note 8. arise from the examination and procedure will guarantee a enabling the detective to ask higher clearance rate for ho- The author extends his appreciation to Mrs. Yvonne Muirhead, NCAVC, the ME direct questions about micide units. But, by assessing Behavioral Research Group, for her information pertaining to the how successful ones operate, valuable assistance in formatting and victim’s injuries and abnormali- commanders and supervisors analyzing the analytical and statistical ties. This process also fosters a will have additional options to data provided and to Dr. John Jarvis, better chain of custody for evi- exercise that can maximize their Behavioral Science Unit, FBI Academy, for his support and advice in reviewing dence and decreases the chance departments’ performance. They both the questionnaire and article. of a communication breakdown can evaluate the best practices He also thanks all of the homicide de- on potentially critical issues that and implement what they be- tectives and commanders who offered may surface during the inves- lieve will work to improve their their time and effort to submit their tigation or trial, resulting in agency’s homicide clearance data. This study would not have been possible without them, and it is for tremendous negative effects. efforts. them that he conducted this study.

February 2008 / 9 Leadership Spotlight

Was Hitler a Leader?

The architecture of leadership, all the theories and guidelines, falls apart without honesty and integrity. It is the keystone that holds an organization together. —Donald T. Phillips

e intuitively recognize the relation- leadership. If leadership simply involves ship between ethical behavior and infl uence, direction, and power, ethics can be W leadership. Indeed, in their exten- separated from it. Yet, this defi nition is not sive research over many years in many coun- complete. Leadership also implies infl uenc- tries, Kouzes and Posner found honesty as the ing others in an ethical manner toward an single most important ingredient in effective ethical end. As Donald Phillips asserted, “The leadership. “It’s clear that if people anywhere architecture of leadership, all the theories are to willingly follow someone…, they fi rst and guidelines, falls apart without honesty want to assure themselves that the person is and integrity. It is the keystone that holds an worthy of this trust. They want to know that organization together.”2 the person is truthful, ethical, and principled.”1 While such a discussion can be likened to Yet, is ethical conduct a requisite component a game in semantics, it does have real value of leadership? Do aspiring leaders have to with regard to the merit leaders and followers embrace a sense of morality and ethics to be place on ethical behavior. These debates actu- considered leaders? Was Hitler a leader? ally focus and frame the way we look at lead- I have asked this question in classes for ership. So, was Hitler a leader? As the revered years. The majority of the members will James MacGregor Burns replied to this very declare that Hitler was a leader, albeit an im- question, “Hitler ruled the German people, but moral one. However, a few will raise their he did not lead them.”3 hands in defi ance asserting that he should not be considered one. They will agree that Hitler Endnotes had many leadership qualities, such as great 1 J. Kouzes and B. Posner, The Leadership Challenge: planning and organizing skills, enthusiasm How to Get Extraordinary Things Done in Organizations and passion, and clearly an ability to mobilize (San Francisco, CA: Jossey-Bass Publishers, 1987). others to a cause. Yet, the quality that eluded 2 D. Phillips, Lincoln on Leadership: Executive Strate- gies for Tough Times (New York, NY: Warner Books, him was a moral foundation. Call him a tyrant, 1992), 52. a dictator, or even a supreme ruler, but do not 3 J. Burns, Transforming Leadership (New York, NY: call him a leader. Grove Press, 2003), 29. Most everyone recognizes the value

of ethics in leadership. The debate really Dr. Jeff Green, chief of the Leadership Development Institute revolves around the distinctive integration of at the FBI Academy, prepared Leadership Spotlight. these concepts—about how we actually defi ne

10 / FBI Law Enforcement Bulletin Program Evaluations Improving Operational Effectiveness and Organizational Effi ciency (Part Three) By W. DEAN LEE, Ph.D.

1 2 3 4 5 6 7

Determine Determine Determine Collect & Process Analyze & Publish & Audit Requirements Objectives Research Information Synthesize Disseminate Progress Design 1A Weeks 1 -2 Preparation: 5 3 Weeks 10 -11 Solicit Requests Week 6 Document: For Select Compose, Evaluations Research Critique, & Design Weeks 7- 9 Coordinate 4 Consolidate Facts: Evaluation 1B Derive Findings, Conclusions, 6 Week 3 Report 2 & Recommendations Record: Week 5 Collect Determine Merge Semi- & Review Evaluation Sort Annually All Requests Goals Extract Review: Corrective Action Sum Plans 1C Collate

Seven-Phase Evaluation Management Process

arts one and two of this Phase 5: Analyze and phase 3 in the second part of article discussed the Synthesize this article, a combination of availability of several Analysis entails the separa- two popular methods may be P 1 reference sources, the benefi ts tion and detailed examination used, along with related presen- of conducting program evalu- of all related information within tation formats. ations, timing considerations, each category to derive sup- • Qualitative analysis de- and the fi rst four phases of a portable fi ndings, conclusions, termines the program’s seven-stage evaluation manage- and recommendations. Specifi c fundamental nature in- ment process.2 This concluding analytical techniques will vary volving its characteristics article will focus on the remain- depending upon the program and structures; identifi es ing three steps. being evaluated. As detailed in unique challenges, such as

February 2008 / 11 diffi culties relating to con- In general, fi ndings and conclu- based on the past year’s cepts, personnel, training, sions may be based on a combi- record that 48 out of 56 operations, organization, nation of two basic logic received informant reports institution, culture, interac- methods. were completely erroneous.” tions, logistics, leadership, • Deductive reasoning infers Findings may be further and management; and uses from general principles or developed and critiqued based descriptive narratives to given standards, such as on certain criteria that can present subjective fi ndings. “the antigang task force’s highlight both the positive and • Quantitative analysis deter- informant program is less negative aspects of the program mines the program’s overall than fully effective based and focus on providing use- proportions involving rela- on the department’s own ful information to the program tionships and magnitude; standard for recruiting a managers. They also can be identifi es performance and minimum of two or more supported by facts and details reporting challenges, includ- reliable informants, un- and defended when challenged; ing dilemmas relating to known to each other but be void of the evaluators’ comparative performance with knowledge of the personal preferences, biases, measures, internal audit- same gang activity, to and animosities; and be free of ing, and external feedback provide independent col- the evaluators’ distortions and problems; and uses numbers, laboration of intelligence misinterpretation of facts. statistics, tables, fi gures, and reports.” Several related fi ndings are images to present objective • Inductive reasoning derives used to support one conclu- fi ndings. a general conclusion from sion. For example, one fi nding Synthesis involves the particular facts or incidents, may be that “the department merging of analyzed information such as “the antigang task recruited only one informant into meaningful fi ndings, con- force’s informant program from two separate gangs and no clusions, and recommendations. is less than fully effective informants for any of the fi ve remaining known street gangs,” whereas a second one may note that “last calendar year only 8 of the 56 received informant reports were accurate.” These two fi ndings supported the con- Specifi c analytical clusion that “the department’s “ techniques will antigang task force’s informant vary depending upon program is ineffective due to the program being the lack of suffi cient numbers evaluated. of reliable informants for each known local gang and the overall receipt of inaccurate informant reports.” Each con- clusion may be considered as Dr. Lee, originator of the FBI’s Blue Book for Program Evaluation, heads the” complete when four rudiments Organizational Program Evaluation and Analysis Unit at FBI Headquarters. are discussed.

12 / FBI Law Enforcement Bulletin 1) What decisive factors may be created. Recommenda- not confl ict with already or standards are peculiar tions should highlight proposed planned changes; and offers to the program? improvements and how detected maximum improvement us- 2) What unique circum- or reported problems may be ing minimum resources stances or environment are remedied. Each one should be • Vision: realistic toward involved with the program? uniquely crafted and thoroughly averting future problems; critiqued according to complete- projected benefi ts outweigh 3) What are the results or ness, acceptability, practicality, consequences of the plans, the assorted human and vision, exclusivity, and suit- economic costs; is appro- priorities, policies, proce- ability, known as the CAPVES dures, and performances? priate given present and criteria. future operating conditions; 4) What are the identifi ed • Completeness: suffi ciently and considers the beyond causes for specifi c dilemmas addresses who, what, where, the horizon second- and or obstructions? when, why, and how; pre- third-order effects of future Each conclusion should sented in an objective and implementation have its own associated tactful manner; and is brief, • Exclusivity: suffi ciently recommendations either for clear, and concise different from other rec- positive change or to maintain ommendations; combines the status quo. For example, several related suggestions using the previous scenario, to be more effective; and two recommendations may be does not confl ict with other 1) “task force, street patrol, and proposed recommendations school-assigned offi cers should Each conclusion “should have its increase their active recruitment • Suitability: appropriate for additional reliable gang own associated toward achieving the de- informants” and 2) “to provide recommendations.… sired end state; adequate in better incentives (e.g., legiti- offering effective and desir- mate job referrals and education able results; and possible opportunities for informants and to execute within projected their family members, reloca- resources tion assistance, or monetary support for essential expenses) • Acceptability: suitable Phase 6: Publish given available resources” and Disseminate to recruit and retain trustworthy informants.” and conditions; reasonable All fi ndings, conclusions, In some instances, recom- to the program managers and recommendations should be mending select types of changes and other stakeholders; and assembled into an evaluation re- may not be feasible: for ex- proposed by a creditable port that should contribute posi- ample, improvement costs that source or subject matter tively to decision making when would far exceed the overall expert the fi ndings are credible and benefi ts possibly gained, a lack • Practicality: feasible in informative, the conclusions are of supporting resources, or view of known facts; viable valid and convincing, and the other unnecessary second- and in effectively preventing recommendations are useful and third-order adverse effects that or mitigating risks; does feasible. Publication involves

February 2008 / 13 Standards of Excellence for Evaluation Reports • Accuracy: All fi ndings are factual as best as can be determined and fully supportable by substantiating evidence. • Fairness: All information is presented in a direct and straightforward fashion without overemphasis or exaggeration of any positive or defi cient fi ndings. • Impartiality: All conclusions and recommendations are objective and free of the evaluators’ own personal preferences or animosities. • Thoroughness: All essential information needed to fulfi ll the research objective is provided. • Persuasiveness: The report is suffi ciently infl uential to meet the stakeholders’ expecta- tions and needs with valid fi ndings, reasonable conclusions, and benefi cial recommen- dations and all fl owing logically from the facts presented. • Clearness: All information is presented in straightforward and simple language easy to read and comprehend. • Briefness: The report will be only as long as needed to successfully fulfi ll the evaluation objectives and to present the required information. • Tactfulness: Overall professional and diplomatic tone of the report will stimulate readers to accept the fi ndings and conclusions and to take corrective actions toward implementing each recommendation.

multilevel quality control analysis and synthesis are free and most signifi cant fi nd- reviews, staffi ng of the coordi- of bias and faulty reasoning; ings, conclusions, and rec- nating draft for stakeholders’ fi ndings and conclusions are ommendations presented in input, and fi nal release of the impartial, explicit, and con- easy-to-understand language completed evaluation report for vincing; recommendations are with no technical terms; review and action. Evaluators, practical, timely, and actionable; • introduction: overview of writers, and supervisors should and substantiating material is evaluation process; author- ensure that fi ndings, conclu- correct and understandable. ity or request to conduct the sions, and recommendations are The format of the fi nal evaluation; linkage to public accurate and complete; analyzed report may vary depending accountability; demograph- and synthesized information upon the evaluated program and ics; locations visited; data makes technical and common specifi c reporting requirements. collected; and research sense and is mutually support- In general, most reports could methodology; contain such basic information able; contents are not confl ict- •fi ndings, conclusions, and categories and discussion as— ing or confusing, and style and recommendations: detailed substance are palatable and not • executive summary: gen- and concise discussion of overwhelming; assumptions and eral synopsis of the report’s each based on accurate, limitations are fully explained; overall purpose, contents, thorough, and robust

14 / FBI Law Enforcement Bulletin research and supported by and protection; accountabili- to its fi ndings, conclusions, fact-based evidence with no ty of progress and resources; and recommendations; anecdotal, unsubstantiated, responsiveness to changes; • lessons learned: recap of or inappropriate remarks; and exploitation of lessons signifi cant lessons learned • assumptions and limitations: learned; during the evaluation pro- discussion of any major • program results: evaluation cess; the program and its suppositions made about the of the program’s objective plans, policies, procedures, program or any constraints and performance measures; and performance; and in- encountered during the effectiveness of prevention formation useful for future evaluation; measures and support activi- evaluations, programs, and • program purpose and de- ties; integration of results follow-up actions; and sign: assessment of whether with strategic planning and • a glossary of abbreviations, the program’s mission and resource forecasting; effec- acronyms, and special implementation plans are tiveness of output products terms. clear and reasonable; pur- and services; users’ satis- pose of the program; rela- faction; and fulfi llment of Phase 7: Assess and tionship to other programs; desired outcomes; Document Resolutions operating environment; capabilities and limita- To assess and document tions; use of resources; and progress, the evaluators and achieving desired end states; applicable supervisors appraise Suffi cient time the program manager’s correc- • strategic planning: appraisal “should be given to tive action plans to ensure each of whether the program has develop, evaluate, action satisfi es the prescribed established valid annual and implement each recommendations and to bring and long-range objectives appropriate corrective closure to each recommendation and performance measures; action plan.... in the report. Suffi cient time risk-based assessments to should be given to develop, determine requirements, ob- evaluate, and implement each jectives, and needs; prioriti- appropriate corrective action zation and orchestration of plan, with the suspense require- efforts; planning and contin- • recommendations: list of ments adjusted accordingly to gency preparation; and use all opened recommenda-” meet any unusual circumstanc- of resources; tions that require program es, such as lack of resources or • program management: managers to develop and higher priority requirements. analysis of the program’s implement corrective action Supervisors of the evalua- management; oversight; plans; tion should retain authoritative improvement efforts; effec- • stakeholders’ comments: control for the closure of each tiveness of operations and summary of the primary recommendation, and the support infrastructure; use stakeholders’ feedback to program manager should not be of critical and limited re- the previous circulated draft allowed to provide self-closure sources; information sharing report, specifi cally any input to avoid possible confl icts of

February 2008 / 15 interest. Recommendations operational changes, or program initial fi ndings, conclusions, should stand as originally closures) have developed to ren- and recommendations. In es- presented in the evaluation der a recommendation invalid, sence, most evaluations will be report but may be modifi ed or impractical, or pointless. interactive throughout the data removed if substantial error As shown in the accompa- collection, analysis, synthesis, (e.g., receipt of erroneous infor- nying fi gure on time line mile- publication, and resolution mation, improper calculation of stones, each phase within the phases. data, or fl awed analysis), sub- evaluation management process stantial confusion (e.g., confl ict- will overlap as information dis- Conclusion ing or ambiguous language, covered during any phase may Establishing an integrated incorrect linkage between fi nd- necessitate a reassessment of evaluation management pro- ings and recommendations), or previous research and analysis, gram will serve both the law en- substantial changes (e.g., major specifi cally to determine any forcement organization and the organizational realignments, impacts and changes to other community it serves. The main

Evaluation Management Process – Based on 12 Week Timeline

Week Phase Activity B 12345678911 1 A 0 1 2 1 Determine requirements – Identifying major programs for evaluation.

2 Determine objectives – Identifying specific evaluation goals.

3 Determine research design – Selecting appropriate research techniques.

4 Collect & process information – Consolidating facts & details.

5 Analyze & synthesize – Deriving findings, conclusions, & recommendations. 6 Publish & disseminate – Composing, critiquing, & coordinating the report.

7 Track process – Assessing corrective action plans & providing closure.

Note: Actual completion time will vary depending upon resources available (e.g., evaluators, access to information, subject matter experts, time, distance, etc.) and other competing requirements. Most phases will overlap as one activity gradually transitions to the next, and some previously completed findings, conclusions, and recommendations may have to be reconsidered in light of new information.

16 / FBI Law Enforcement Bulletin pillars of any program should better satisfy the needs of the of Management and Budget, Program consist of core profi ciencies and greater community. Evalua- Assessment Rating Tool of 2002 (Wash- ington, DC, 2002); President’s Council on principles of professionalism to tions provide key leaders and Integrity and Effi ciency, Quality Standards guide all evaluations, a compre- program managers with the for Inspection of 2005 (Washington, DC, hensive evaluation management factual information and op- 2005); and U.S. Department of Justice, process, and an overarching tions to enhance their program’s Federal Bureau of Investigation, Blue Book professional development performance, plans, policies, for Program Evaluations (Washington, DC, 2007). program to further improve and procedures; to successfully 2 W.D. Lee, “Program Evaluations: each evaluator’s professional manage risks and priorities; and Improving Operation Effectiveness and credentials. to maximize the use of limited Organizational Effi ciency (Part One),” Conducting independent resources. FBI Law Enforcement Bulletin, November evaluations of major programs 2007, 1-6; and (Part Two), January 2008, 13-18. and implementing corrective ac- Endnotes tions will enhance a program’s 1 U.S. Government Accountability Please forward questions and com- operational effectiveness and Offi ce, Government Auditing Standards ments to Dr. Lee at [email protected]. organizational effi ciency to of 1994 (Washington, DC, 1994); Offi ce

Crime Data

Uniform Crime Reports Only Online Users of the FBI’s Uniform Crime Reports can access these publications only via the agency’s Web site at http://www.fbi.gov/ucr/ucr.htm. These reports include the annual Crime in the United States, Law Enforcement Offi cers Killed and Assaulted, and Hate Crime Statistics. The latest editions of these documents cover calendar year 2006 and contain the same type of information available in the printed versions for prior years. For example, the 2006 edition of Crime in the United States presents a statistical compilation of offense and arrest data voluntarily reported by more than 17,500 city, county, college and university, state, tribal, and federal law enforcement agencies throughout the country. The report also contains information on the staffi ng levels of more than 14,000 agencies. If users have questions, they can contact the FBI’s Criminal Justice Information Services Division in Clarksburg, West Virginia, at 304-625-4995.

February 2008 / 17 Executive Coaching for Law Enforcement By STEVE GLADIS, Ph.D., and SUZI POMERANTZ, MT, MCC

© Photos.com

aw enforcement ex- While the law enforcement ONE CHIEF’S DILEMMA ecutives experience the profession periodically employs The chief of a police depart- L stress of a changing consultants, a systematic, active ment with approximately 500 world with demands for coun- use of executive coaches has sworn offi cers is well educated terterrorism, community- been minimal.1 The wave of and also well respected by his oriented policing, security, and baby boomers exiting from law peers inside the agency and a host of additional evolving enforcement will thrust many community residents.2 His issues. At the same time, they individuals into leadership posi- county police department has face the pressure of decreasing tions without giving them the the sophistication (technology, tax bases, spiraling costs, and benefi t of mentoring as agencies training, and organization) other emerging budget con- will have to cope with the loss similar to those in most large cerns. When private corpora- of highly experienced person- cities. The chief, other agency tions face similar challenges, nel. Executive coaching can leaders, and critical personnel they often turn to executive meet the unique needs of law are eligible to retire. The coun- coaches and consultants for enforcement leadership in such ty’s proximity to a competitive guidance. critical times. employment market of other

18 / FBI Law Enforcement Bulletin federal, state, and local law that people often might not During the conversation, the enforcement departments express the real reason for leav- chief learned that this valued concerned him regarding his ing a department in formal exit offi cer likely would have re- own recruitment, retention, interviews (currently used by mained in the department if an- and succession planning (R-R- this department and many oth- other option had been available. S), so he contacted Dr. Steve ers); therefore, personal contact The chief admitted that had he Gladis, an executive coach. by the chief might uncover any known these facts at the time, The chief, a progressive county unwritten retention issues. At he would have tried anything to administrator (the chief’s the same time, such interview- retain such a star employee. supervisor), and Dr. Gladis ees were carefully selected as worked together to determine potential rehires. DEFINITION the vision of the department in One interview with a highly Coaching is a $1 billion a year if it operated optimally regarded offi cer who left the industry, second in growth and focused on R-R-S. This department for advancement only to information technol- group determined the chief’s revealed that he actually had ogy worldwide. In fact, a recent strengths and challenges to resigned because he was not survey revealed that coaching optimize them in setting goals selected for a higher position contributes $1.5 billion annually and objectives, which also he temporarily had fi lled for 6 to the global economy.3 Con- included those of his depart- months. He recounted to the sulting differs from executive ment. For example, the chief chief that he was told, based on coachingconsultants enter chose to have preliminary R-R- the position description guide- organizations as experts to solve S reports completed by certain lines, that he was not qualifi ed, a specifi c problem. They have a dates and required the drafts even though he had operated particular area of expertise, such from his staff. Thus, the chief well in that position and, in fact, as fi nancial or strategic planning was the client for the engage- had to train his replacement. or personnel development. ment, but he did not personally execute every step himself. While he could have completed this entire project on his own, he readily admits that having an executive coach helped acceler- ate its accomplishment. However, the chief took complete responsibility for the plan and actively participated in its execution. For example, one task called for follow-up con- tact with key offi cers who had quit the department 6 months or longer ago to fi nd out why they Dr. Steve Gladis, a former Ms. Pomerantz is a master actually left and to ask them FBI agent, is president of an certifi ed coach and heads executive development fi rm a leadership coaching and if they wanted to return to the and an executive coach. executive development fi rm. department. It was hypothesized

February 2008 / 19 On the other hand, although no legally binding privilege as coaches are open to the next executive coaches may have a in law and medical professions. interview. Usually, clients and specialty area, they ask probing coaches quickly determine questions, rather than offer STEPS OF whether an immediate sense of expert judgment, and use a THE PROCESS chemistry exists between them systematic methodology (a fi ve- The coaching process begins based on the psychological step process) to lead organiza- when clients realize they want phenomenon known as “thin tions. Thus, the answers emerge help getting to the next level, slicing.”6 During this interview, from the executive or team solving an issue, or modifying a coaches ask a series of ques- coached, not from the coach. behavior that might be blocking tions centered around what The executive coach drives this their pursuit of success. Often, executives hope to gain from solution process through pre- the organization’s human re- coaching, what they perceive coaching, self-discovery and sources department or corporate it to be, how it works, and awareness, goal setting and ac- board will not only initiate the whether they are committed to countability, action learning and process but also pay for it. the entire process. If both meet- execution, and evaluation and ings go well, coaches typically revision.4 sign a 6-month contract with the Executive coaches often client and company. resemble psychologists be- cause they ask many questions …coaching… Step 2: Self-Discovery but give few specifi c solutions. “looks more at the and Awareness However, coaches are different present and future The second step begins with from psychologists, and execu- than the past. an initial session, which often tive coaching and counseling lasts 2 hours. The coach and should not be confused. Coun- client discuss what coaching is seling focuses on the past and and how it differs from consult- root causes of problems present- ing and counseling. Coaches ed by patients. Psychologists Step 1: Precoaching discuss several other factors. and psychiatrists have legally This fi rst step consists” of • Coaching takes time, mandated licenses and confi - precoaching interviews, often energy, and commitment dentiality rights and a theoreti- with the CEO or human re- from the client to work. cal research basis many years sources department, to identify • The coach-client relationship old.5 On the other hand, coach- the client. At this meeting, the is confi dential except where ing, which quickly has become coach listens carefully to rea- the law dictates otherwise. a powerhouse in the boardroom sons why the company wants and among leading executives, coaching for the executive. • The ebb and fl ow of energy looks more at the present and Most experienced coaches will in coaching potentially can future than the past. It is action refuse to assist organizations decrease in the fi rst few oriented and seeks accountabil- that use coaching as a last-ditch months as the work sets ity and effectiveness. A strong solution because the process is in and the initial burst of bond of confi dentiality exists about moving forward, rather excitement wanes. between the coach and client than pretermination. • Coaches help executives (the primary relationship in ex- If the organization wants identify their “inner voices” ecutive coaching), but there is the best for the client executive, that want to keep the safer,

20 / FBI Law Enforcement Bulletin more familiar status quo. researched, reliable, and data communicator this year” might Identifying these inhibit- driven. They can produce prodi- be “Internal communications: ing tendencies early in the gious reports and often propose After 3 months of improved coaching process helps specifi c remedies for the client. internal communications with both clients and coaches Other 360-degree evaluations my direct reports, I will be recognize them. are more qualitative 360-degree able to articulate in writing the • Coaches also discuss goals, interviews asking colleagues to strengths and challenges for time frames, intended assess the strengths and chal- each person reporting to me.” results, reporting, assign- lenges of the client. External communications ments, readings, personal © Photos.com objectives might include attend- likes and dislikes, and issues ing outside events and belong- related to preparing the ing to industry and community relationship for success. boards to increase outreach. During the next part of this Another such goal might focus step, which lasts for several on constituent communications. weeks, various instruments are With each of these communica- used as assessments for insight. tions subgoals, a discussion will For example, coaches might ask reveal the potential business clients to use the balance wheel, impact of each objective if ac- which reviews areas they do or complished during the 6-month do not feel content in their lives; coaching engagement. examine the strengths-fi nder Following interviews with indicator;7 write a short auto- Step 3: Goal Setting and clients and a comparison of cli- biography of themselves; and Accountability ents’ and stakeholders’ observa- complete several other exercises The common wisdom about tions, the goal-setting process to provide data for the coaching goal setting is that people get begins. Primarily, coaches ask engagement. what they aim for. According clients to examine their pro- Finally, if the client agrees, to most research, 90 percent of posed goals and objectives with some coaches offer the op- laboratory and fi eld studies that stakeholders who may have tion of a 360-degree review.8 involved specifi c, articulated, participated in the 360-degree Frequently, the CEO, human and demanding goals resulted in evaluation or informal inter- resources personnel, and client better performance than easy or views. Sharing goals and spe- agree up front on what behav- no goals.9 Typically, behavioral cifi c objectives with stakehold- ioral aspects they want covered objectives consist of the action ers before setting out to achieve in the coaching. This review, to take, standard of perfor- them accomplishes several which might be helpful, is un- mance, timing of the action, and worthwhile purposes. First, cli- necessary at this point. Rather, fi nally, results reporting (e.g., ents let stakeholders know that it could be relevant later in the being accountable for actions). they appreciate their input and process, depending on what For example, a behavioral value their opinions. Second, results the client and sponsor objective for improving inter- it places pressure on clients to desire as the relationship grows. nal relations within a company live up to publicly stated goals. Several instruments used as part of the overall goal “to And, fi nally, clients gain corpo- in these reviews are well become a more effective rate and moral support to reach

February 2008 / 21 the goal. When supervisors and Step 5: Evaluation is diffi cult, especially in high peers know a person is work- and Revision achievers who believe their ing extra hard to improve, they How will clients know success results from certain want to support those efforts— success when they see it? If patterns of behavior (bullying, especially if, early on, they had coaches have done their job anger, tantrums), instead of in a hand in providing input to the well and clients have cooper- spite of them.11 Such behavior process. ated along the journey, clients might get short-term results but, will have a few successes and ultimately, become incredible Step 4: Action Learning even some breakthrough mo- derailers because such leaders and Execution ments. Sometimes, clients will affect greater numbers of people Action learning10 says that look at something clearly for in the organization.12 Thus, people can learn better if they the fi rst time in years. When this what might have worked before do so when they 1) need the happens, coaches typically con- becomes inoperative later. Suc- information, 2) learn it with the gratulate them to celebrate such cessful people become almost help of others, and 3) have ef- breakthrough “aha” moments superstitious about behavior fective questions drive the pro- (if it worked then, it will work cess. Action research (reading, now). These leaders adapt interviewing others, consulting the same sort of rituals every with experts) couples with the time they face a new issue. execution phase, where coaches …various Breaking this cycle may seem work clients through their stra- “ instruments minor at fi rst, but the long-term tegic plan toward their goals. In are used as results are substantial both to this step, clients research issues assessments executives and their organiza- and teach themselves in the for insight. tions. Therefore, even subtle process. changes in highly infl uential Executing the plan, goals, people mean major changes in and objectives (on a daily basis organizations. for 3 to 6 months) is the core of A powerful evaluation tool coaching. This phase is neither and recognize their clients’ hard is to simply ask stakehold- glamorous nor easy. There are work. Leaders will remember” ers, “Has [the client] made no immediate results nor is the moment they discover why, any progress on goal 1, which it as dramatic as the discov- for example, a particular advi- was to more clearly communi- ery or goal-setting phase. The sory board member clashes so cate a vision on this project to execution phase is slower and often with others, or how they employees?” Alternately, this more cumulative. However, can overcome procrastination at question can be open-ended, over time, this plan pays off in work, curb a temper outburst, “Describe just what [the client] large, breakthrough dividends, fi nd time to work on a strategic did to communicate her vision so clients routinely report on plan, take a stand on innovation, to employees….” their progress toward goals and or even decide when to move Providing a numeric scale objectives. Also, during this on. Such breakthrough moments gives the evaluation a degree of phase, clients must get informa- are the highlights of the coach- quantitative measure to a some- tion from stakeholders about the ing process. what qualitative evaluation. Us- progress they observe clients Making even a small but ing this technique, coaches can making. signifi cant change in any person provide clients with a specifi c

22 / FBI Law Enforcement Bulletin indicator about how far they executives who lead the heroes authors’ contact with the Police Executive have come. of law enforcement? Research Forum reinforced this fi nding. 2 One of the authors served as the At the point in the coaching While it probably occurs executive coach for this chief. While the process when either the coach in an ad hoc manner across the chief gave his permission to cite the coach- or client or both sense that the country, a more concerted effort ing work as an example to instruct other client is at an effective stopping to implement executive coach- departments, the authors have chosen not point, clients receive a fi nal re- ing should take place in major to use his name nor identify his depart- ment because of the original confi dential- port. Coaches use this occasion law enforcement training and ity agreement pledged to him as a client. to carefully recount the journey development institutions. It is Further, the chief has read and approved and then succinctly review all a powerful, cost-effective way this article prior to publication. of the steps they have taken to provide support for leaders, 3 International Coach Federation, together, from the precoach- leverage their strengths, and “Global Coaching Study,” February 5, 2007; retrieved from http://www.coachfed- ing meeting to self-discovery maximize their engagement for eration.org/ICF. and awareness, goal setting and the benefi t of the entire depart- 4 Richard Gauthier and David Giber, accountability, action learning ment or force. The return on “Coaching Business Leaders,” in Coaching and executing, and evaluation forf Leadership, ed. Marshall Goldsmith and revision. This review has a and Laurence Lyons (San Francisco, CA : Pfi effer, 2006), 116. remarkable effect; it allows cli- 5 Lynn Grodzki and Wendy Allen, The ents to recall every major twist, Business and Practice of Coaching (New turn, bump, and straightway York, NY: W.W. Norton, 2005), 24-42. encountered from start to fi nish. 6 Malcom Gladwell, Blink: The Power Acknowledgement and appreci- of Thinking Without Thinking (New York, NY: Little, Brown and Company, 2005). ation, or recognition of results, 7 Marcus Buckingham and Daniel Clif- are important to the completion ton, Now, Discover Your Strengths (New of the process. York, NY: The Free Press, 2001). 8 This review combines various CONCLUSION perspectives by using feedback from Coaching can meet the © Photos.com such sources as peers, subordinates, and unique needs of law enforce- stakeholders. ment by providing a framework, value for executive coaching 9 G. Lathem and Edwin Locke, “Build- has not been measured specifi - ing A Practically Useful Theory of Goal methodology, and system- Setting and Task Motivation,” American atic technology for furnishing cally for law enforcement, but Psychologist 57, no. 9 (2002): 705-717. much-needed support for lead- corporate leaders document a 10 R.W. Revans, ABC of Action Learn- ers facing daunting challenges. predictable 545 percent return ing (London, England: Lemos and Crane, on investment for executive 1998). In law enforcement, executives 11 and key leaders face intense coaching.13 Imagine the impact Marshall Goldsmith, “Helping Suc- on law enforcement if execu- cessful People Get Even Better,” Business demands, stressful situations, Strategy Review 14 (March 2003): 9-16. accountability, and isolation. tives increased their effective- 12 David Dotlich and Peter Cairo, Why Where do law enforcement ness by nearly 5.5 times. CEOs Fail (San Francisco, CA: Jossey- leaders fi nd a sounding board Bass, 2003). 13 and strategy partner? Where do Endnotes Joy McGovern, et al, “Maximizing the Impact of Executive Coaching: Behav- they go to confi de in a trusted 1 An extensive review of the literature ioral Change, Organizational Outcomes, advisor outside the politics of revealed little information linking law and Return on Investment,” The Manches- their fi eld? Who supports the enforcement and executive coaching. The ter Review 6, no. 1 (2001).

February 2008 / 23 ViCAP Alert

Unidentifi ed Recovered Body duct tape. The victim’s head hair and pubic hair had been closely cut. She died of asphyxia due to external neck compression (hyoid bone was broken). n March 18, Alert to Law O 2007, the nude Enforcement Agencies body of an unidentifi ed The Prairie View Police Department, Texas female, “Jane Doe,” was Department of Public Safety, and FBI ViCAP Unit found in Prairie View, request assistance in identifying the victim to de- Waller County, Texas, termine when and where she disappeared and fell near U.S. Highway 290. victim to this crime. The unique circumstances of her Prairie View is approxi- demise indicate the offender may have committed mately 50 miles northwest this type of crime in the past. of Houston, Texas. Law enforcement agencies should bring this The victim appears to information to the attention of all homicide, cold be white or Hispanic, ap- case, missing persons, and crime analysis units. proximately 30 years old, If any agency has a similar case (or cases), please 5 feet 4 inches tall, 151 pounds, with brown hair and contact Sergeant Brian Taylor (refer to case num- green eyes. Her teeth were decayed; a dental chart ber RA-2007-00126), Texas Department of Public is available for comparison purposes. She had been Safety at 979-865-3111 or [email protected]. dead approximately 2 hours. tx.us; Lieutenant Wilbert White (refer to case num- A plastic bag had been placed over the victim’s ber 07-0318-01), Prairie View Police Department head and secured with duct tape around her neck. at 936-857-3521 or [email protected]; or Crime In addition, her hands had been severed from the Analyst Rick Blankenship, (refer to case number body and have not been found. The ends of her arms 2007TX00009) of the FBI’s Violent Criminal Ap- were covered with the same type of plastic bag used prehension Program (ViCAP) Unit at 703-632-4191 to cover her head and were secured to her arms with or [email protected].

Unusual Weapon

Tool Card These pictures show an item the approximate size of a credit card. The plastic case con- tains a metal knife blade, magnifying glass, fl ashlight, and two screwdrivers. Law enforce- ment offi cers should be aware that offenders may have this tool card in their possession.

24 / FBI Law Enforcement Bulletin Legal Digest

throughout the United States on offi cial and unoffi cial business. According to the U.S. Depart- ment of State, more than 100,000 representatives of foreign governments are in the United States.2 Many of these individuals are afforded some degree of criminal immunity. Accordingly, it is important for all law enforcement offi cers to be familiar with the myths and realities of diplomatic immu- nity. This article provides a general overview and offers practical guidance regarding foreign-offi cial immunity from criminal jurisdiction3 as it relates to law enforcement offi cers in the United States.4 BACKGROUND Diplomatic Diplomatic immunity is one of the oldest principles of Immunity international law, which dates By JONATHAN L. RUDD, J.D. back to the ancient governments 5 © Photos.com of Greece and Rome. Until the 18th century, diplomatic oday, more than any possible for a police offi cer to immunity was generally ac- other time in this determine whether or not some- cepted as a fundamental part T nation’s history, police one is entitled to the immunity of foreign relations based on offi cers are required to handle they claim? If so, is the immu- international custom and prac- incidents involving foreign nity absolute? If not, what are tice. In 1708, England formally nationals. Such encounters are the limitations, if any, on police recognized diplomatic immu- generally routine; however, at with regard to searches and sei- nity, and, in 1790, the United times, they can become con- zures as it relates to the foreign States followed suit by passing voluted due to differences in offi cial? legislation that granted absolute custom, language, and law.1 Although many believe immunity to diplomats, their These incidents are complicated these issues are reserved for family members, and staff.6 further when the individual is large police departments in Most people in America today a foreign offi cial who claims Washington, D.C., New York, erroneously believe that foreign to be entitled to some form of and Los Angeles, the fact is that offi cials still are afforded abso- diplomatic immunity. When foreign government offi cials lute immunity from the law for faced with such a situation, is it and their families often travel any criminal conduct. In reality,

February 2008 / 25 As a general rule, persons with …law enforcement full immunity are not subject to “offi cers should remember the criminal jurisdiction of the that the individual is an United States and, therefore, offi cial representative of may not be arrested or signifi - the foreign government cantly detained. Their resi- and should be granted dences, property, papers, and the appropriate degree vehicles may not be entered, confi scated, or searched. More- of respect. over, they may not be forced to testify or otherwise provide Special Agent Rudd serves as a legal instructor at the FBI Academy. evidence in any criminal pro- ” ceeding and are free from all criminal prosecution.13 the extent of criminal immunity and regulations that detail the Although full immunity has been greatly reduced by specifi c types of immunity appears to be fairly absolute, modern treaties and laws. foreign offi cials enjoy while in there are some qualifi cations on In the 1960s, two impor- the United States. The effect of the actual extent of that im- tant conferences took place in these conventions, treaties, stat- munity. For example, stopping Vienna, Austria, where offi cials utes, and agreements has been foreign offi cials or dependents, from over 90 nations, including to reduce the degree of criminal even if they have full immunity, the United States, met to discuss immunity enjoyed by visiting to issue a traffi c citation for a and formalize international rela- foreign offi cials, their family moving violation is permissible tions, particularly with regard to members, and staff.11 and does not constitute an arrest the roles, rules, and regulations or signifi cant detention.14 Ad- of diplomatic and consular offi - LEVELS OF ditionally, the existence of full cials. These conferences result- IMMUNITY immunity does not bar police ed in the creation of two multi- Although the exact level of offi cers from attempting to lateral treaties: the 1961 Vienna immunity granted to any given interview the subject or obtain Convention on Diplomatic Re- foreign offi cial is not as easily consent to search, just as they lations (VCDR)7 and the 1963 discernable as law enforcement would in a regular situation. Vienna Convention on Consular offi cers would like, in general, And, of particular importance is Relations (VCCR).8 In addition there are three levels of immu- the well-established notion that to these treaties, the U.S. Con- nity from criminal jurisdiction when confronted with a subject gress enacted the Diplomatic that will serve to direct law en- entitled to full immunity, police Relations Act of 19789 and the forcement in appropriately deal- offi cers do not forfeit the right International Organizations Im- ing with issues of immunity.12 to defend the safety and welfare munities Act of 1945.10 These of the people they have been treaties and statutes, along with Full Immunity sworn to protect. “[I]n circum- additional bilateral agreements The fi rst level of immunity, stances where public safety between the United States and and the one most commonly as- is in imminent danger or it is various other countries, com- sociated with the term diplomat- apparent that a grave crime may prise the complex set of rules ic immunity, is full immunity. otherwise be committed, police

26 / FBI Law Enforcement Bulletin authorities may intervene to the offi cials, their family, and staff the different types of foreign extent necessary to halt such members who are U.S. citizens offi cials.20 activity.”15 or permanent resident aliens are not entitled to the privi- Diplomatic Offi cial Acts Immunity leges and immunities discussed “Diplomatic missions The second and more herein.19 are traditionally the principal restrictive level of immunity is communication link between known as offi cial acts immunity. the country that sends them and Individuals with offi cial acts the host country. Accordingly, immunity are generally subject the staffs of diplomatic missions to the regular demands of the …not everyone (embassies) are afforded the law—they may be arrested and affi liated with an highest level of privileges and detained (In some cases, judicial “ immunities.”21 Members of orders may be required).16 Their embassy, consulate, diplomatic missions who “per- residences, property, papers, or international form tasks critical to the inner and vehicles may be entered, organization is workings of the embassy” enjoy confi scated, and searched.17 entitled to immunity. full immunity.22 This includes However, they are not obli- diplomatic agents and their gated to testify or otherwise family members, as well as provide evidence in a criminal members of the administrative proceeding regarding matters and technical staff and their involving their offi cial duties. families.23 Members of the Additionally, they may not be TYPES OF ” service staff who perform less prosecuted for criminal acts FOREIGN OFFICIALS critical support tasks (e.g., arising from the performance The level of immunity, if guards, drivers, couriers) have of offi cial duties. Whether or any, afforded to an individual offi cial acts immunity from not an individual is deemed to is based on the place the per- criminal prosecution only, and have been acting in an offi cial son works and the nature of the their family members enjoy no capacity generally is considered position the person holds. Three immunity. Unless specifi cally an affi rmative defense that must general types of foreign offi cials agreed to by the United States, be raised by the defendant and are entitled to special privi- the private servants of diplo- determined by the U.S. court leges and immunities within matic offi cials (e.g., nannies, with subject-matter jurisdiction the United States—Diplomatic; cooks, maids) enjoy no over the alleged crime.18 Consular; and International Or- immunity.24 ganizations. The level of immu- No Immunity nity afforded individuals within Consular Third, not everyone affi liat- each of these groups depends “Consulate personnel ed with an embassy, consulate, on a number of factors, includ- perform a variety of func- or international organization is ing the relationship between the tions…. Countries have long entitled to immunity. In fact, foreign country and the United recognized the importance a number of such individuals States, the position and function of consular functions to their have no immunity whatso- of the individual granted im- overall relations, but consular ever. In particular, most foreign munity, and the laws governing personnel generally do not have

February 2008 / 27 the principal role of providing International offi cials of international orga- communication between the Organizations nizations are generally afforded two countries—that function The majority of members of no immunity unless the offi cial is performed by diplomatic international organizations that is afforded full immunity, in agents….”25 Accordingly, con- have offi ces in the United States which case the same immunity sular offi cials (whether they are afforded the more limited would be extended to their fam- be career consular offi cers,26 offi cial acts immunity. “In cer- ily. For a quick-reference guide honorary consular offi cers,27 or tain cases, however, the most regarding the privileges and consular employees) are gener- senior executives of such orga- immunities, see Figure A.30 ally granted only offi cial acts nizations have been accorded immunity.28 Moreover, consular privileges and immunities equal WAIVER OF IMMUNITY family members are afforded no to those afforded diplomatic Privileges and immuni- immunity. agents.”29 Family members of ties are extended from country Figure A

DIPLOMATIC AND CONSULAR PRIVILEGES & IMMUNITIES FROM CRIMINAL JURISDICTION LAW ENFORCEMENT ASPECTS SUMMARY

Enter Residence Issued Arrested Subpoenaed Recognized Category Subject to Ordinary Traffic Prosecuted? or Detained? as Witness? Family Member? Procedures? Citation?

No—for official acts. Official acts immunity. No immunity International Organization Staff3 Yes Yes Yes Yes, in all other cases. Consult Dept. of State. or inviolability.

Diplomatic-Level Staff of Missions Same as sponsor No1 No Yes No No to International Organizations (full immunity and inviolability). International Organizations Support Staff of Missions No—for official acts. Official acts immunity. Yes Yes Yes No immunity or inviolability. to International Organizations Yes, in all other cases. Consult Dept. of State.

Same as sponsor Diplomatic Agent No1 No Yes No No (full immunity and inviolability).

Member of Administrative Same as sponsor No1 No Yes No No and Technical Staff (full immunity and inviolability). Diplomatic Official acts immunity. Service Staff2 Yes Yes Yes Yes No immunity or inviolability. Consult Dept. of State.

No, except in the case of a No—for official acts. Official acts immunity. Career Consular Officers2 Yes4 Yes No immunity or inviolability. felony and pursuant to a warrant. Testimony may not be compelled in any case. Consult Dept. of State.

No—for official acts. Official acts immunity. Honorary Consular Officers Yes Yes Yes No immunity or inviolability. Yes, in all other cases. Consult Dept. of State. Consular No—for official acts. Official acts immunity. Consular Employees2 Yes Yes Yes No immunity or inviolability. Yes, in all other cases. Consult Dept. of State.

1 Reasonable constraints, however, may be applied in emergency circumstances involving self-defense, public safety, or the prevention of serious criminal acts. 2 This table presents general rules. The employees of certain foreign countries may enjoy higher levels of privileges and immunities on the basis of special bilateral agreements. 3 A small number of senior officers are entitled to be treated identically to “diplomatic agents.” 4 Note that consular residences are sometimes located within the official consular premises. In such cases, only the official office space is protected from police entry.

Direct questions or inquiries to the CONSULAR NOTIFICATION IMMUNITY ISSUES Diplomatic Security Command Center. Assistance with consular notification procedures Contact the Office of Protocol: Diplomatic Affairs Call 571-345-3146 or following the arrest or detention of a foreign national. Toll free to 1-866-217-2089 202–647–1727 Business hours: 202–647–4415 Available 24 hours daily After-hours: 202–647–1512 Publication 11353 Fax Number: 202–647–7559 Released August 2006 DEPARTMENT OF STATE BUREAU OF DIPLOMATIC SECURITY BUREAU OF DIPLOMATIC

28 / FBI Law Enforcement Bulletin to country—not from country claiming criminal immunity, it Department of State-issued ve- to foreign offi cial. Therefore, is imperative that they promptly hicle registration, license plates, the foreign government actu- and accurately determine the and driver’s licenses, may be ally holds the privilege, not the status of the individual.34 For- an indication that the bearer is foreign offi cial. As such, foreign eign offi cials, their family mem- entitled to some form of privi- governments can, and in some bers, and staff possess various leges and immunities; however, cases do, waive immunity.31 Of documents that may identify these are not conclusive proof particular importance to law them as a foreign offi cial; how- of immunity and should not enforcement, the Department of ever, only one is determinative be used to verify immunity.38 State has advised that “[p]olice © Photos.com Moreover, just because an indi- authorities should never ad- vidual claiming immunity does dress the alleged commission not have an identifi cation card of a crime by a person enjoying does not necessarily mean they full criminal immunity with do not have immunity. There the belief that there is no pos- are a number of temporary-duty sibility that a prosecution could personnelp and other short-term result. The U.S. Department of visitors who are afforded differ- State requests waivers of im- ing levels of immunity and may munity...where the prosecutor not have received an identifi ca- advises that, but for the immu- tion card.39 This fact highlights nity, charges would be pursued. the need to contact the Depart- In serious cases, if a waiver is ment of State when verifying refused, the offender will be immunity status.40 expelled from the United States of immunity status—the identi- “The U.S. Department of and the Department of State fi cation card issued by the De- State’s vehicle registration and will request that a warrant be partment of State or, when deal- driver license status records are issued and appropriate entries ing with members of the United available to law enforcement to the National Crime Informa- Nations, the U.S. Mission to the agencies through the National tion Center (NCIC) database United Nations.35 Currently, the Law Enforcement Telecommu- be made by the responsible cards have a blue (diplomatic), nications System (NLETS).”41 jurisdiction.”32 The Department green (offi cial), or red (con- Foreign offi cials are required of State further has emphasized sular) border.36 The front of the to display offi cial diplomatic that “effective and informed card displays the Department plates on their vehicles. Be- police work becomes the basis of State or United Nations seal, ginning in August 2007, the of the prosecutor’s decision and along with a photograph of the Department of State began the foundation for the Depart- foreign offi cial and their identi- issuing newly designed diplo- ment of State’s waiver requests fying information. A brief state- matic license plates. Old-style and any subsequent prosecu- ment of the bearer’s criminal plates will remain in use until tions or expulsions.”33 immunity is printed on the back December 31, 2008. The new of the card, along with a space diplomatic plates, like the old IDENTIFICATION OF for the bearer’s signature.37 ones, will begin with a designa- FOREIGN OFFICIALS Foreign diplomatic pass- tor of D (diplomat), C (consular When law enforcement of- ports, U.S. diplomatic visas, and offi cer), or S (technical and fi cers confront foreign offi cials tax exemption cards, as well as administrative staff) followed

February 2008 / 29 by a two-letter country scramble infractions (illegal parking, Department of State-issued code. United Nations plates speeding, reckless driving, and identifi cation card, police continue to follow a reverse for- DWI), shoplifting, and assault.42 offi cers should verify the mat, ending with the one letter When encountering suspects individual’s status by con- designator D or S and preceded who claim to have criminal tacting the Department of by a two-letter country scramble immunity, police offi cers can State or U.S. Mission to the code. See fi gure B for samples meet their duty to protect the United Nations, as the case of the old and new license public and their obligation to may be.43 “[R]epresentatives plates. uphold the law by following are available 24-hours daily some basic steps. to assist in emergency situ- PRACTICAL ations and when immediate APPLICATION 1) Proceed as usual in accor- dance with standard oper- confi rmation of a person’s As a practical matter, status is required.”44 See foreign offi cials, their family ating procedures and the law to ensure the safety of fi gure C for contact members, and staff are rarely information.45 involved in criminal activities. everyone involved. When they are, however, police 2) As soon as possible under 3) If the individual has full offi cers should know how to the circumstances, verify the immunity, he or she should respond and be familiar with subject’s status and respec- not be handcuffed unless the the legal and diplomatic proto- tive level of immunity. person poses an immediate cols. Most violations by foreign Whether or not the sus- threat to safety. Addition- offi cials involve traffi c pect is able to produce the ally, the individual may not be arrested or otherwise signifi cantly detained. Ac- cordingly, once all pertinent Figure B Old-v.-New Diplomatic and Consular information is obtained, the License Plate Comparison subject must be released. If, however, the subject is unable to drive safely, the person should obviously not be allowed to drive.46 4) Prepare a detailed report fully describing the incident and, thereafter, fax or mail a copy of the report to the U.S. Department of State in Washington, D.C., or to the U.S. Mission to the United Nations in New York. CONCLUSION It is important to note that “[d]iplomatic immunity is not intended to serve as a license

30 / FBI Law Enforcement Bulletin Figure C Immunity Issues: Telephone Numbers for persons to fl out the law and State Department representatives are available 24-hours daily to assist in emergency situations purposely avoid liability for and when immediate confirmation of a person's diplomatic or consular immunity status is required. For information on diplomatic and consular personnel and personnel of their actions. The purpose of International organizations other than the United Nations: these privileges and immuni- During Normal Business Hours: 202 895-3532 U.S. Department of State federal license tags, registrations, or other motor vehicle Fax 202 895-3646 ties is not to benefi t individuals information but to ensure the effi cient and U.S. Department of State drivers licenses and general licensing information 202 895-3521 effective performance of their For reporting traffic incidents or accidents, issuance of citations, etc., involving 202 895-3521 offi cial missions on behalf of foreign missions personnel their governments.”47 The over- Diplomatic agents and family members 202 647-1664 whelming majority of foreign Embassy administrative, technical, and service staff and families 202 647-1405 offi cials are mindful of the need Consular personnel and families 202 647-1404 to obey the law and are com- International Organizations 202 647-1402 Please send copies of incident reports and citations to: Diplomatic Security Fax 202 895-3613 mitted to maintaining healthy Service, Protective Liaison Division diplomatic relations with the After Normal Business Hours: 571 345-3146 All inquiries should be made to the Diplomatic Security Command Center, Department of 1-866-217-2089 United States. Likewise, when State (operates 24 hours daily) handling incidents involving For information on United Nations personnel only: During Normal Business Hours: foreign offi cials, law enforce- 212 415-4131 Diplomatic agents and family members ment offi cers should remember U.N. Mission staff and family members 212 415-4168 that the individual is an offi cial 212 415-4131 U.N. Secretariate employees representative of the foreign or 212 415-4168 U.S. Department of State license tags, registration, or other motor vehicle 212 826-4500 government and should be information granted the appropriate degree After Normal Business Hours: Information is available from the Communications Section of the U.S. United Nations 212 415-4444 of respect. Law enforcement (operates 24 hours daily) offi cers also should promptly Please send copies of police reports to: 212 415-4162 ascertain the level of immunity USUN Host Country afforded such individuals, if any, and understand its param- eters so that the offi cer can 3 The purpose of this article is to focus in 1972. For a comprehensive overview appropriately and effectively on the concept of immunity from criminal of the VCDR, see Eileen Denza, Diplo- enforce the law. jurisdiction, and, therefore, the issue of im- matic Law: A Commentary on the Vienna munity from civil jurisdiction, which has Convention on Diplomatic Relations, 2nd Endnotes many parallels but is a distinct and sepa- edition (1998). 1 As discussed in a previous article, rate matter, will not be addressed herein. 8 Vienna Convention on Consular Rela- special obligations regarding foreign 4 For a more detailed discussion of tions, Apr. 24, 1963, 21 U.S.T. 77; T.I.A.S. government notifi cation and access exist this topic, see Diplomatic and Consular No. 6820; 596 U.N.T.S. 261, which offi - when police offi cers arrest or otherwise Immunity. cially became U.S. law as a treaty in 1969. signifi cantly detain a foreign national in 5 For an extensive historical review of 9 22 U.S.C., § 254. the United States. See Jonathan L. Rudd, diplomatic immunity, see Linda S. Frey 10 22 U.S.C. § 288. While not steeped in “Consular Notifi cation and Access: The and Marsh L. Frey, Ohio State Univer- the same historical tradition of internation- ‘International Golden Rule,’” FBI Law En- sity, The History of Diplomatic Immunity al common law and practice as consular forcement Bulletin, January 2007, 22-32. (1999). and diplomatic immunity, a relatively 6 2 U.S. Department of State, Diplomatic Diplomatic and Consular Immunity, new phenomenon in the area of foreign and Consular Immunity: Guidance for at 2. offi cial immunity has been the emergence 7 Law Enforcement and Judicial Authorities, Vienna Convention on Diplomatic of international organizations like the (Revised May 1998), page 1 of a 26-page Relations, Apr. 18, 1961 23 U.S.T. 3227; United Nations. Members of international booklet, (hereafter Diplomatic and Con- T.I.A.S. 7502; 500 U.N.T.S. 95, which organizations receive privileges and im- sular Immunity). entered into force in the United States munities as directed by treaties and by the

February 2008 / 31 International Organizations Immunities Diplomatic and Consular Immunity, at 6, are not uniform and the State Department Act. See, Grant V. McClanahan, Diplo- 7. identifi cation cards issued to these persons matic Immunity: Principals, Practices, 19 “A member of a mission, other than a refl ect the appropriate level of immunity.” Problems (New York, NY: St. Martin’s diplomatic agent, permanently resident in, Diplomatic and Consular Immunity, at 8. Press, 1989). the United States for purposes of Article 29 “This is the case for the Secretary 11 Diplomatic and Consular Immunity, 38(2) of the VCDR and Article 71(2) of General of the United Nations and for all at 2. the VCCR enjoys no privileges and im- Assistant Secretaries-General of the United 12 See Eric Moore, Regional Orga- munities pursuant to the Vienna Conven- Nations, Principal Resident Representa- nized Crime Information Center (ROCIC) tions.” Id. at 5, at footnote 4. However, see tives of the International Monetary Fund Special Research Report, Diplomatic infra note 27. and the World Bank, as well as some Immunity: Rules of Engagement for Law 20 Members of diplomatic missions and senior offi cials of the Organization of Enforcement (2004), 3-4; and Clay Hays, their affi liates are granted varying levels American States secretariat.” Id. at 8. Diplomatic Motor Vehicle Offi ce, U.S. of privileges and immunities under the 30 Diplomatic and Consular Privileges Department of State, What Is Diplomatic VCDR and the Diplomatic Relations Act and Immunities from Criminal Jurisdic- Immunity? (March 2000); http://www. (22 U.S.C. § 254); members of consular tion: Summary of Law Enforcement As- calea.org. posts attain their privileges and immuni- pects. Diplomatic and Consular Immunity, 13 Diplomatic and Consular Immunity, ties from the VCCR; and members of at 26. at 4, 5. international organizations receive any 31 Diplomatic and Consular Immunity, 14 “A copy of the citation and any other privileges and immunities as directed by at 6. documentation regarding the incident the International Organizations Immunities 32 Id. should be forwarded to the U.S. De- Act. In addition to these laws and treaties, 33 Id. partment of State as soon as possible.” the United States has entered into bilateral 34 Id. at 10. Although someone with immunity may not treaties with certain countries, which 35 Id. be subject to the penalty, the U.S. Depart- provide for differing levels of immunity in 36 The State Department is beginning to ment of State issues driver licenses to all accordance with the individual treaties. issue new identifi cation cards that will dif- foreign offi cials and tracks driver histories 21 Diplomatic and Consular Immunity, fer from the traditional cards described. and, where necessary, suspends licenses, at 4. 37 Diplomatic and Consular Immunity issues points, and directs persons to leave 22 Id. at 5. at 10. the country. First-time offenders as well as 23 “The United States defi nes members 38 Id. at 13, 14. repeat offenders are subject to having their of the household to include: spouses, 39 Id. at 6, 8, 9. licenses suspended or revoked. However, children until the age of 21 (until the age 40 See Practical Applications section of this can occur only if police offi cers notify of 23 if they are full-time students at an this article, step 2. the State Department using the phone institution of higher learning), and such 41 Diplomatic and Consular Immunity, number on the back of the Department of other persons expressly agreed to by the at 12. State drivers license when there is a viola- U.S. Department of State in extraordinary 42 Id. at 16. tion. Diplomatic and Consular Immunity, circumstances.” Diplomatic and Consular 43 Id. at 17. See the Practical Applications sec- Immunity, at 5, footnote 3. 44 Id. at 12. tion of this article, step 4. 24 Diplomatic and Consular Immunity, 45 Id. at 13. 15 Diplomatic and Consular Immunity, at 4, footnote 2. 46 Standard fi eld sobriety tests may be at 14. 25 Id. at 6. offered to people who enjoy full immunity; 16 Career consular offi cers may be ar- 26 For a distinction regarding career however, they may not be compelled. Dip- rested only for felony offenses if the arrest consular offi cers, see supra note 16. lomatic and Consular Immunity, at 17. is based on a warrant issued by a judicial 27 Honorary consular offi cers are U.S. 47 Diplomatic and Consular Immunity, offi cer or similar judicial order. See Id. at citizens or permanent resident aliens who at 2. 6, 7. are granted offi cial acts immunity for acts 17 Provided these items are not within performed in their offi cial capacity only. Law enforcement officers of other than the embassy grounds. Diplomatic and Consular Immunity, at 7. federal jurisdiction who are interested in this 18 Law enforcement offi cers, Depart- 28 Some countries have special bilat- article should consult their legal advisors. Some police procedures ruled permissible ment of State offi cers, or diplomatic eral agreements with the United States under federal constitutional law are of ques- mission or consulate offi cers generally are granting greater immunity to consular tionable legality under state law or are not not authorized to determine whether a offi cials. “Law enforcement offi cers permitted at all. given set of facts constitutes an offi cial act. should be aware that these arrangements

32 / FBI Law Enforcement Bulletin The Bulletin Notes

Law enforcement officers are challenged daily in the performance of their duties; they face each challenge freely and unselfishly while answering the call to duty. In certain instances, their actions warrant special attention from their respective departments. The Bulletin also wants to recognize those situations that transcend the normal rigors of the law enforcement profession.

One night while investigating a report of armed prowlers, Offi cer De- wayne Griffi n of the Amarillo, Texas, Police Department noticed a nearby house on fi re. A man indicated that his elderly mother was trapped inside. Bars on all of the windows prevented entry or escape. Offi cer Griffi n entered the house through a door but was forced out by the heavy black smoke. After the son provided a better description of the woman’s exact location, Offi cer Griffi n entered and began crawling through the home, feeling his way along walls. Finally, he saw the victim’s legs; she was standing in a doorway. Immediately, Offi cer Griffi n stood up and carried her outside to safety. Offi cer Griffi n

During a violent thunderstorm with heavy rain- fall, three youths decided to enter a river to cool off, unaware that it had become a torrent because of the storm. After quickly being swept downstream and becoming trapped in a culvert adjacent to a local busi- ness, they began crying for help. Sergeant Paul Miffi tt and Offi cer James Grady of the Vernon, Connecticut, Police Department responded and located the three individuals in 4 feet of fl ood water; one of the youths was being pulled under the surface. Disregarding Sergeant Miffitt Officer Grady their own safety, Sergeant Miffi tt and Offi cer Grady jumped in and held the three individuals. Bystanders threw in ropes and helped rescue the youths before the offi cers became trapped themselves. Offi cer Grady was pulled out by ropes. After being struck by fl oating debris, Sergeant Miffi tt was carried downstream through a cov- ered culvert before department personnel rescued him. Nominations for the Bulletin Notes should be based on either the rescue of one or more citizens or arrest(s) made at unusual risk to an officer’s safety. Submissions should include a short write-up (maximum of 250 words), a separate photograph of each nominee, and a letter from the department’s ranking offi cer endorsing the nomination. Sub- missions should be sent to the Editor, FBI Law Enforcement Bulletin, FBI Academy, Law Enforcement Communication Unit, Hall of Honor, Quantico, VA 22135. U.S. Department of Justice Periodicals Federal Bureau of Investigation Postage and Fees Paid Federal Bureau of Investigation FBI Law Enforcement Bulletin ISSN 0014-5688 935 Pennsylvania Avenue, N.W. Washington, DC 20535-0001

Offi cial Business Penalty for Private Use $300

Subscribe Now

Order Processing Easy Secure Internet: Toll Free: 866 512–1800 Mail: US Government Printing O
ce Code: bookstore.gpo.gov DC Area: 202 512–1800 P. O. Box 979050 St. Louis, MO 63197–9000 3491 Fax: 202 512–2104 S YES, please send ______subscriptions to the FBI Law Enforcement Bulletin. (FBIEB) at $53.00 each ($74.20 foreign) per year. Price includes regular shipping and handling and is subject to change. The total cost of my order is $______.

Check method of payment:

Personal name (Please type or print) T Check payable to Superintendent of Documents

T SOD Deposit Account Company name T VISA T MasterCard T Discover/NOVUS T American Express

Street address (expiration date) Thank you for your order!

City, State, Zip code

Daytime phone including area code AUTHORIZING SIGNATURE 03/07