JUSTICEAdministrationPolice, Courts,

and Corrections Management

Kenneth J. PeakDepartment of Criminal Justice

University of Nevada, Reno

Prentice HallEnglewood Cliffs, New Jersey 07632

Contents

PREFACE XXI

• PART I: JUSTICE ADMINISTRATION: AN INTRODUCTION

CHAPTER 1: THE STUDY AND SCOPE OF JUSTICE ADMINISTRATION 2

Why Study justice Administration? 2

Purpose of the Book 3Organization of the Book 4

Chapter Introduction 4

A True "System" of Justice? 5

A Criminal Justice "Process"? 5A Criminal Justice "Network"? 6A Criminal Justice "Nonsystem"? 8Or True Criminal Justice "System"? 11

The Foundations of justice and Administration: Legaland Historical Bases 12

The Consensus versus Conflict Debate 12Crime Control through Due Process 14

Public-versus-Private Sector Administration 14

Policymaking in Justice Administration 16

Summary 18

Questions for Review 18

For Further Reading 18

Notes 19

CHAPTER 2: ORGANIZATION AND ADMINISTRATION: PRINCIPLESAND PRACTICES 21

Introduction 21

Defining Organizations 22

Organizational Theory and Function 22Elements of an Organization 22Organizational Inputs/Outputs 23

Organizational Structure 25

Managing the Organization 27

What Is "Management"? 28Analects of Confucius and Machiavelli 29

Communication Within the Organization 30

Communication Defined 30Barriers to Effective Communication 31

Historical Approaches to Management 32

Scientific Management 32Human Relations Management 32Systems Management Approach 34

Primary Leadership Theories 34

Trait Theory 34Style Theory 35Situational Leadership 37

The Managerial Grid 38

Types of Leadership Skills 39

Management Fads 42

Motivating Employees 43

The Hawthorne Studies 44Maslow's Hierarchy of Needs 45McGregor's Theory X/Theory Y 47Herzberg's Motivation-Hygiene Theory 48Expectancy and Contingency Theories 49Extrinsic and Intrinsic Rewards 50

Summary 50

Questions for Review 51

For Further Reading 51

Notes 52

vi Contents

CHAPTER 3: THE REFORMERS: EVOLUTION OF JUSTICE ADMINISTRATION 55

Introduction 55

Professional Policing Comes to America 55

Leonhard F. Fuld 56August Vollmer 57Raymond B. Fosdick 58Bruce Smith 59O.W. Wilson 59

Development of Court Administration 60

Arthur T. Vanderbilt 61A. Leo Levin 63Edward C. McConnell 64Ernest Friesen 65

Development of Corrections Administration 66John Howard 66ElamLynds 67Zebulon Brockway 68Mary Belle Harris 69George Beto 70

Development of Probation and Parole 72John Augustus 72

Alexander Maconochie 73

Summary 74

Questions for Review 74

For Further Reading 74

Notes 75

• PART II: THE POLICE

CHAPTER 4: ORGANIZATION AND OPERATION 80

Introduction 80

Police Agencies as Organizations 81

Missions and Goals 81Specialization in Police Agencies 82

Contents vii

Contemporary Police Organization 83

The Traditional Bureaucratic Model 83Attempts to Reform the Traditional Model 84

A Basic Law Enforcement Structure 86

Policies, Procedures, Rules, and Regulations in Policing 89

The Influence of Research on Police Functions 91

The Mid-1970s: Crises Stimulate Progress 91Re-thinking "Sacred Cow" Traditions 93Other Major Findings 94

Innovation and Values in Police Organizations 95

Community-Oriented Policing and Problem-Solving 97

Why Return to Old Methods 97Defining the Concepts 97The "Devil's Advocate": Concerns with the Concept 100

Summary 101

Questions for Review 102

For Further Reading 102

Notes 102

CHAPTER 5: PERSONNEL ROLES A N D FUNCTIONS 7 06

Introduction 106

Roles of the Police Executive: A Model 107

Applying the Mintzberg Model of CEOs 107The Interpersonal Role 107The Informational Role 108The Decision-Maker Role 109Is There a "Dominant" Style? 110Observable Skills of Good Managers 110

Law Enforcement Executives 111

Promoting and Hiring the Best: The Assessment Center 111

Today's Police Manager 112

Chiefs of Police 114

Political and Community Expectations 114

viii Contents

Qualifications, Selection, and Tenure 116The Departure of Some Reform-Minded Chiefs 118

The Sheriff 119

Contemporary Nature and Functions 119Regional Role Differences 121

Rating Chief Executive Performance 122

Use of Inappropriate Criteria 122Appropriate Measures and Traits 123

Middle Management: Captains and Lieutenants 125

The Role of Patrol Sergeant 127

Seeking the "Gold Badge" 127Getting that First Promotion 127Assuming the Role 128

Distribution and Deployment of Patrol Forces 129

Evaluating Numbers of Officers Needed 129

Summary 130

Questions for Review 131

For Further Reading 131

Notes 131

CHAPTER 6: ISSUES AND PRACTICES 134

Introduction 134

"What Works": Community Policing and Problem-Solving in Action 135

Supervising the Legitimate Use of Force 138

Violence in Our Society 138Levels of Force 138Warning Shots, Weapons, and Pursuits: Policy and Procedure 139

Managing Special Operations: Strategies and Tactics 141Crowd and Riot Control 141Hostage Negotiation 141Special Weapons and Tactics 143Disaster Planning 144Unity of Command 144

Contents ix

Sanctioning and Enhancing Police Methods 145

An Agency "Report Card": Accreditation 145Technological Developments: The Camcorder Era 146Other Technological Progress 149

Measuring Patrol Officer Performance 14 9

A Not-To-Be-Overlooked Staple: Training 153Liability and Negligence 153

Contributions of the Recruit Academy 154

Administrative Responses to Stress and Burnout 155

Treatment for Police Officers 155

Summary 155

Questions for Review 156

For Further Reading 157

Notes 157

CASE STUDIES 160Intruding Ima and the Falsified Report 160"Racin' Ray," the Graveyard-Shift Gadabout 161Dismal City P.D.'s Command to "Do More with Less" 162

• PART III: THE COURTS

CHAPTER 7: ORGANIZATION AND OPERATION 7 66

Introduction 166

Courts as Organizations 167

Court Decor and Decorum 170

Justice Processors or "Seekers of Truth "? 171

The Influence of Courts in Policymaking 173

A Diversion: Our New National Pastime—"Hair-Trigger Suing" 174An Overwhelmed Legal System 174

Our Frivolous Tendencies 175

Contents

Effects on Business and the Economy 176Possible Solutions 177

Citizens in Court 178

Court Administration and Reform 179

Summary 181

Questions for Review 181

For Further Reading 182

Notes 182

CHAPTER 8: PERSONNEL ROLES A N D FUNCTIONS 185

Introduction 185

Defining Judicial and Court Administration 186

Judges As Administrators 187Socialization of Judges 187Judges As Court Managers 189Holding Judges Accountable 190

Court Clerks 191

Court Administrators 192Development and Training 192General Duties 194Successful or Merely Surviving? 194

Conflict Between Judicial Administrators 196A Difficult Dichotomy 196Sources of Disagreement 198

How Judges Evaluate Administrators 200

Court Administration Reform: A Model Program 202

Summary 204

Questions for Review 204

For Further Reading 205

Notes 205

Contents xi

CHAPTER 9: ISSUES AND PRACTICES 209

Introduction 209

Court Innovations That Succeed 210

Programs Involving New Technology 210Other Notable Programs 211Court Performance Standards 211Contributing Elements of Court Organization 212

The Dilemma of Delay 213

Consequences of Delay and Possible Solutions 214

Case Scheduling 216

Individual Calendar System 216

Master Calendar System 217

Which System is Best? 217

Managing Notorious Cases 218

A Historical Phenomenon 218Administrative Problems 218Changes Wrought by Notorious Cases 220

Interpreters in the Courtroom 221

The Legal Basis 221

The Court Administrator's Role 222Appeals Due to Error 222

Rural Courts: The Forgotten Majority 223

A World Apart from Urban Counterparts 223More Than a "Job at the Courthouse" 224

Courts' Struggles 225

Gender Bias 225The Struggle with Scientific Testimony 227The Practical Effects of Delay 228Courts "On the Precipice" 229

Stress on the Bench 229

Summary 230

Questions for Review 231

For Further Reading 231

Notes 232

xi i Contents

CASE STUDIES 235

The Court Administrator and the Prudent Police Chief 235Chief Judge Cortez's Embattled Court 236An Unmanageable Case-Management Quandary 237

• PART IV: CORRECTIONS

CHAPTER 10: ORGANIZATION AND OPERATION 240

Introduction 240

Correctional Organizations 241

Unique Features 241Open Systems 242

Levels of Correctional Administration 242

Prisons as Organizations 245

Managing the Prison Boom Bust 247

Administrative Approaches to the "Kept" 248

Jails as Organizations 251

A Profile 251Population Densities in U.S. Jails 251Spatial and Social Densities 253A Shift in Design and Philosophy: The "New Generation" Jail 253Making Jails Productive 255

Research in Corrections 256

Obstacles to Correctional Research 256Recent Research Findings 257

Summary 260

Questions for Review 261

For Further Reading 261

Notes 262

CHAPTER 11 : PERSONNEL ROLES AND FUNCTIONS 268

Introduction 268

Prison Administration for the 1990s 269

Wardens and the "New Old Penology" 269

Contents xiii

Governing Prisons 269Other Contemporary Challenges 271"Death Work": Carrying Out Executions 273Staff—Inmate Relationships 274Possible Approaches to Crowding 276Dealing with Prison Rule Violators 277Use of the Snitch System and Confidential Information 278Administrative Use of the Inmate Self-Help Movement 279

"Thy Brother's Keeper": Correctional Officers 280Stereotypes and Duties of the Job 280

What Makes an "Effective" Correctional Officer 281Professional Orientation 282

Jail Administration 283Prisoners and Philosophy 283Career Paths and Training 285

Administrative Strategies to Alleviate Jail Crowding 286

Summary 286

Questions for Review 287

For Further Reading 287

Notes 287

CHAPTER 12: ADMINISTERING COMMUNITY CORRECTIONS: PROBATIONAND PAROLE 293

Introduction 293

"Making a Case" for Alternatives to Imprisonment 294

Caseloads 295

Probation Administration 295Administrative Systems: Types and Related Issues 295Needs, Problems, and Concerns 298

Parole Administration 300Models for Providing Services 300The Demise of Federal Parole 302

Training for Probation and Parole Administrators 302

Intermediate Sanctions 303A Burdened Corrections Subsystem 303

xiv Contents

The Search for Alternative Methods 304Intensive Supervision 306Electronic Monitoring/House Arrest 308

Shock Probation 310

Summary 311

Questions for Review 311

For Further Reading 312

Notes 312

CHAPTER 13: ISSUES A N D PRACTICES 3 7 6

Introduction 316

"What Works": Institutional Programs 317Intermediate Sanctions 317Coed Prisons 317Smoke-free Jails 317

The "Pains" of Incarceration: Sex and Violence 319

Sexual Victimization 319Institutional Violence 321Administrative Approaches to Violence 323

Drug Interdiction and Treatment in Prisons 324

Trends in Inmate Civil Litigation 326

The Resurgence of the Hands-Off Doctrine 326The Litigation Explosion Continues 327The Due Deference Doctrine 328

Prison Gangs 328

Inmate Classification 329Implications for Institutional Management 330

Calculating Correctional Costs 331

The Move toward Privatization 333

Emergence of the Concept 333Arguments Pro and Con 334

Corrections Accreditation 335

Contents xv

Stress: Consequences and Coping Strategies 336

The Problem 336Probation and Parole Officers 337

Summary 338

Questions for Review 338

For Further Reading 339

Notes 339

CASE STUDIES 345

Prisons, Politics, Poverty, and the Rebellious Rurals 345The Prison Director versus the Irate Inmate 347"Out of Town Brown" and the Besieged Probation Supervisor 348"Cheerless Chuck" and the Parole Officer's Orientation Day 350The Wright Way 352

• PART V SPANNING THE SYSTEM: ADMINISTRATIVEPROBLEMS AND PRACTICES

CHAPTER 14: RIGHTS OF CRIMINAL JUSTICE EMPLOYEES 356

Introduction 356

An Overview 357

The Employment Relationship 359

Recruitment and Hiring 359Disparate Treatment 359How Old Is "Too Old" in Criminal Justice? 361Criminal Justice and Affirmative Action 361Property Rights in Employment 363Discipline and Discharge 364Pay and Benefits 366Criminal Justice and a Safe Workplace 367

Constitutional Rights of Criminal Justice Employees 368

Free Speech 368Searches and Seizures 371Self-Incrimination 372Religious Practices 372

xvi Contents

Other Job-Related Problems 373Sexual Misconduct 373Residency Requirements 374Moonlighting 375Misuse of Firearms 375Alcohol and Drugs in the Workplace 376

Drug Testing 377

Summary 378

Questions for Review 379

For Further Reading 379

Notes 380

CHAPTER 15: SHARED ISSUES AND INFLUENCES 380

Introduction 384

Is the Justice System Racist? 385

Studies Pointing to a Nonracist System 385Research Intimating a Racist System 386Race and the Death Penalty 386Rand Corporation Findings 387Conclusions 388

Civil Liability in Justice Administration 389

Early Use of Section 1983 Legislation 389Liability of Police Supervisors 390Liability of Corrections Personnel 391

Politics and Justice 392

Criminal Justice and Politics, Generally 392Political Exploitation of the Police 393Politics and the Judiciary 393Juries and Politics 395Politics in Corrections 396

Unionization and Job Actions 396

The Movement Begins: Law Enforcement 397Corrections Follows the Precedent 398Unionization in the Courts 399

Contents xvii

Summary 400

Questions for Review 400

For Further Reading 400

Notes 401

CHAPTER 16: FINANCIAL ADMINISTRATION 405

Introduction 405

A Working Definition of Budget 406

A Diversion: Exigency and Politics 407

"Slashing to the Bone" 407Law Enforcement: Cutting Services, Altering Priorities 409User Fees in the Courts? 410

Elements of a Budget 410

The Budget Cycle 410Budget Formulation 411Budget Approval 414Budget Execution 414The Audit 416

Budget Formats 417

The Line-Item Budget 417The Performance Budget 423The Program Budget 425"PPBS" and "Zero-Based" Budgeting Formats 427

Potential Pitfalls of Budgeting 428

Flexibility in Budgeting 428Common Cost and Waste Problems 429

Strategies for Augmenting Criminal Justice Budgets 430

Summary 431

Questions for Review 431

For Further Reading 431

Notes 432

xviii Contents

• PART VI CHALLENGES OF THE FUTURE

CHAPTER 17: "PEEKING OVER THE RIM": WHAT LIES AHEAD 436

Introduction 436

How to Predict the Future 437

The Changing Face of America 437

A Changing Nature of Crime 438

Policing and Technology in the Future 439

Future Adaptations by the Courts 441

Major Modifications on the Horizon 441Suggestions for Reform 442How to Approach Reform 442

The Future and Corrections 443Continuing the "Boom Industry" 443Prisons: To Reform or Not to Reform 444Building More Prisons: Large, Small, or None at All? 446

Can Administrators "Reinvent" Criminal Justice? 448Casting Off Old Ways 448Some Success Stories 448A Shift in Governance 450

Computer Applications in Criminal Justice 450An Information Technology Revolution 450Harnessing Computers in Justice Agencies 451

AIDS and Related Problems 452

The Police: Handling Infected Persons and Evidence 454AIDS in Corrections 454

Summary 455

Questions for Review 456

For Further Reading 457

Notes 457

INDEX 461

Contents xix