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Key terms from the book Leadership, Ethics and Policing in the 21st Century. Ortmier 2nd Ed. Created by W. Hobbs

The nine Principles of Policing, proclaimed by Sir Robert Peel

1. The basic mission for which the police exist is to prevent crime and disorder.

2. The ability of the police to perform their duties is dependent upon public approval of police actions.

3. Police must secure the willing co-operation of the public in voluntary observance of the law to be able to secure and maintain the respect of the public."

4. The degree of co-operation of the public that can be secured diminishes proportionately to the necessity of the use of physical force.

5. Police seek and preserve public favour not by catering to the public opinion but by constantly demonstrating absolute impartial service to the law.

6. Police use physical force to the extent necessary to secure observance of the law or to restore order only when the exercise of persuasion, advice and warning is found to be insufficient."

7. Police, at all times, should maintain a relationship with the public that gives reality to the historic tradition that the police are the public and the public are the police; the police being only members of the public who are paid to give full-time attention to duties which are incumbent on every citizen in the interests of community welfare and existence.

8. Police should always direct their action strictly towards their functions and never appear to usurp the powers of the judiciary.

9. The test of police efficiency is the absence of crime and disorder, not the visible evidence of police action in dealing with it.

Sir Robert Peel

the founder of modern policing. He established the nine principles of policing.

Sir Robert Peel

Organized the London Metro Police in 1829.

Sir Robert Peel

Peel viewed the police mission as the prevention of crime and disorder. Success of
police agencies, therefore, should be measured in terms of safer communities, the
absence of crime and disorder, not merely the number of arrests made or traffic
citations issued, the visible evidence of police action.


Three major areas of change signify this potential for improvement: community
policing, technological progress, and professionalization and accountability.

Community Policing

a primary focus on community engagement and problem
solving; and a more effective use of line police officers, relying on their creativity
and expertise, and involving them more closely and directly with the public.

Advancement in Technology

Technological advancements in computers, communications, medicine, genetics, transportation, and numerous other areas related to policing has been so rapid and pervasive that it provides tremendous opportunities for improvement in virtually
every aspect of crime prevention, control, and investigation. All present new opportunities for criminals and new risks for society.

During the
1990s, initially due to the experience of New York City under the leadership of
Police Commissioner William J. Bratton.

Used computer technology to develop a multifaceted computer-driven crime statistics (CompStat) operations management
model, local precinct commanders were held accountable for crime conditions within the boundaries of their commands


After new officers are selected, they should undergo extensive formal and experiential training that emphasizes values, ethics, and diagnostic skills. Police organizations must redefine and redesign performance evaluation processes. As leaders, police officers are best evaluated by determining the appropriateness of the goals they set and the steps taken to achieve those goals. Police organizations must also change how line officers are supervised. Officers must possess the skills
necessary to lead and supervise themselves.


Legitimate exercise of authority and discretion necessitates an
ethical foundation upon which police behavior must be based lest the police abuse
their authority

Ethical Leadership continued...

Essential police leadership skills can
be categorized as motivational, communications and related interpersonal, problem
solving, planning and organizing, and actuation-implementation competencies.

Role of Values and Discretion

Valueled ethical leadership in policing maximizes effort by integrating prized community
values into an agency's mission, vision, strategy, operating plans, and services.

Five Means to Accomplish Goals

First, ethical leadership skills encompass a wide variety of behaviors that, when
exercised appropriately, allow the leader to employ numerous approaches to
accomplishing goals


Second, concepts of ethical leadership demand consideration
of values and ethics and provide a link between an officer's authority and power, and
the legitimacy of the officer's actions. T


Third, ethical leadership concepts and models
provide standards by which police officer actions can be evaluated.


Fourth, the
language of leadership and ethics present powerful and positive tools and address the
role of the police officer within the larger context of the community and society.


Fifth, leadership and ethics theories provide a useful framework for understanding
and directing the exercise of police discretion.

Who is an ethical leader? Ethical Leader Defined:

An ethical leader is one who possesses a philosophical moral foundation upon which
decisions and behavior are based. The morally correct way to proceed is not always
obvious in police work.


The chief executive officer (CEO) of a police agency is probably the most important
strategic initiator

Upper and middle managers

are in an excellent position to act as
conduits, monitoring for and adjusting the pace of change

Line supervisors

It is the line officer who has the most direct role in serving the
mission of the agency. The line officer has the greatest contact with the citizenry and
is in the best position to directly impact the lives of the people who are served.


Police officers, particularly in a twenty-first-century policing environment, need to
develop leadership competencies to grasp a vision, transmit it, and help translate it
into constructive action.

During the 1990s, several studies were conducted to identify essential police
leadership competencies

1995, Ortmeier conducted a study to identify essential
frontline-officer leadership competencies. The study focused on the leadership
competencies perceived as essential for police practitioners in an environment that emphasizes community participation, engagement, and problem solving.

The leadership competencies identified as essential for line police officers in the
Ortmeier study are grouped into five major categories.

Communications and Related Interpersonal Competencies
Motivational Competencies
Problem-Solving Competencies
Planning and Organizing Competencies
Actuation-Implementation Competencies


Additionally, police recruitment efforts must focus on individuals who possess the
psychological profile as well as the background, educationally and experientially, to
develop leadership skills appropriate to policing.


Leadership is a difficult task and individuals are cautioned to expect some resistance
when assuming a leadership role.
Ethical leaders often face difficult challenges and are forced to make unpopular
decisions and choices that are personally costly.


a trait, characteristic or quality.
- the focus of group process.
- an art of inducing compliance.
- an ability to influence or motivate.
- a behavior or act.
- a form of persuasion.

An important breakthrough in understanding the concept of leadership occurred with
the publication of Leadership by James MacGregor Burns.

He characterized leaders
either as transactional, when one person takes the initiative, making contact with
others for the purpose of the exchange of valued things or transformational when
one or more persons engage with others in a way in which the leader and nonleader
raise one another to higher levels of motivation and morality.

James MacGregor Burns.

He defined leaders as characterized leaders
either as transactional and transformational.


As with leadership definitions, there are about as many leadership theories as there
are theorists to describe the leadership phenomenon.

Leadership theories can be broken down into 3 categories. Leader-Centered Theories, Follower- and Context- Centered Theories, Leader-Follower Interactions-Centered Theories.

These three theories can be broken down into sub theories.

Leader Centered Theories

Trait Theories, Behavior Theories, Personal-Situational Theory, Interaction-Expectation Theory

Follower- and Context- Centered Theories

Situational Theory, Contingency Theory, Path-Goal Theory

Leader-Follower Interactions-Centered Theories

Leader-Follower (Member) Exchange Theory, transformational Theory and The Psychodynamic Approach

Under the Leader Centered Theory we see Trait theory

According to trait theory, individual and, predominately psychological, inborn
characteristics in human beings form the ingredients for leadership ability.

Behavior Theories

Scholars and researchers who study the behavior approach to leadership focus on two
general types of behaviors: task (initiating structure) behaviors that facilitate goal
accomplishment and relationship (consideration) behaviors that assist others with the
development of comfortable feelings about themselves, other people, and the
situation they are in.

Personal-Situational Theory

The personal-situational leadership theory proposes that a complex combination of
intellectual, affective, and action characteristics, as well as specific conditions in the
leader's environment, operate to create successful leadership.

Interaction-Expectation Theory

According to the interaction-expectation orientation to leadership theory, leadership
involves the act of initiating a structure that is supported by group members.

Follower- and Context-Centered Theories we have Situational Theory

Situational theory operates on the premise that different situations demand different
styles of leadership.

Contingency Theory

The contingency theory of leadership supports the idea that leadership is situational
in nature. An attempt is made to match the leader to the situation.

Path-Goal Theory

path-goal approach emphasizes the
relationship between leader style and follower and environment characteristics.

Path Goal Theory Continued

According to path-goal theory, leaders should use a style that meets follower motivational needs. Path-goal theory focuses on directive-, supportive-, participative-
, and achievement-oriented behaviors in an effort to select a leadership style that is
appropriate to a follower's needs and situation.

Under the Leader-Follower Interactions-Centered Theories, we have the Leader-Follower (Member) Exchange Theory

Leader-follower exchange theory makes the relationship the focal point of a
leadership process in which effective communication is critical.

Transformational Theory

transformational leader focuses
effort and makes choices based on goals, values, and ideals that the leader determines
the group or organization wants or ought to advance . The leader strives to advance
shared values and needs.

The Psychodynamic Approach

Value is placed on the leader's and follower's awareness of
their own personality characteristics so they understand how and why they respond
the way they do to each other.


Leadership should not be confused with position or rank, although leaders often
occupy positions of authority. Nor should leadership be confused with management.


udy of the principles of good conduct and systems of moral values.
Ethical behavior relates to conduct that conforms to accepted principles of morality
and good conduct.


Ethical theories are derived from metaethics and normative ethics analysis.




Attempts to discover reasons for making moral judgments.


reasons for decision are unchangeable and based on what is believed to
be true.


Focuses on morality of actions


Morality, right vs. wrong, depends on group within which behavior
takes place.

Deontological theories or nonconsequentialism

duty driven; means count more than
ends (consequences)

Act-based deontologicalism:

focus on morality (right vs. wrong) of an

Under Act based Deontologicalism is Conscience (moral intuition) ethics

moral principles are uniform;
actions based on uniform set of moral intuitions human beings should

Situational ethics

situation determines behavior

Rule-based deontologicalism:

rules prescribe correct behavior

Under rule based is Kantianism:

correct action based on duty; what one must do

Divine command theory

actions are morally correct if they conform
to the will of a deity

Golden Rule:

treat others as one would treat self; based on concept of
equal treatment.

Teleological theories otherwise known as consequentialism

goal driven; ends (consequences) justify
the means used.


promotes the greatest good for the greatest number; actions
are ethical when good outcomes (consequences) outweigh bad outcomes.

Act utilitarianism

seeks to determine morality of specific acts

Rule utilitarianism

actions are morally correct if they conform to
rules that are morally right. Rules are morally right if they promote
the greatest good for the greatest number.

Ethical egoism

actor promotes greatest good, consequences, for self

Several basic ethics principles can be derived from the theories of ethics.

See next


Nonmaleficence, Beneficence, Fidelity, Veracity, Justice, Reparation, Gratitude, Confidentiality.


to refrain from harming oneself or another. It occurs when
an individual or group is in a position to cause harm but does not.


occurs when an individual or group
benefits others.


occurs when an individual or group is in a position to deceive
someone but communicates the truth.


occurs when an individual or organization distributes benefits among
individuals or groups in society who have legitimate claims to the benefits.


occurs when an individual or group wrongs another and makes
reparation for the wrong


occurs when an individual or group is the thankful beneficiary of
another's kindness.


occurs when an individual or group does not harm another
with inappropriate disclosure of information.

Two English
political writers, Thomas Hobbes (1588-1679) and John Locke (1632-1704)

envisioned government as the outcome of an agreement (social contract) among


Locke and Hobbes: hose who wrote the American Declaration of Independence and the U. S.
Constitution were greatly influenced by Locke's concept of a social contract through 16
which a limited government functioned as an agent of the citizens with their consent.
Some ethicists, called relativists, reject the idea of universal moral principles.


Communication is a process, rather than an event. Communication is a medium for the transmission of thought and meaning.


mobile data terminals


mobile data computers


Geographical Information Systems


is a predisposition to respond favorably or unfavorably to persons, places,
or objects in an environment.

Maslow's Hierarchy of Needs

Abraham Maslow identified five types of human needs: physiological (the most
basic), security, affiliation, esteem, and self-actualization (at the top of the needs

Alderfer's ERG Theory

Alderfer suggested three categories of need: existence, relatedness, and growth.
Alderfer named his formulation Existence, Relatedness, and Growth (ERG) Theory.
Alderfer's ERG theory recognized Maslow's satisfaction-progression hypothesis, but
the ERG theory also contains an additional dimension called the frustrationregression hypothesis. The frustration-regression hypothesis suggests that frustration
(obstacles) encountered when seeking to meet higher-level needs leads to a
reemergence of lower-level needs.

McClelland's Learned Needs Theory

suggested that people develop needs through interaction with the
surrounding environment. This theory contrasts with Maslow's theory

Expectancy Theory

s the belief that a
certain level of effort will result in a certain level of performance.


Behavioral assumptions about people and how to motivate them influence leader
behavior.....see next

Theories X, Y, and Z

Douglas McGregor explored theoretical assumptions about human nature and human
behavior as it relates to ethics, management, leadership, and motivation. He referred
to the traditional view of leadership and managerial direction and control as theory X
and the view that leadership and management should be based on the integration of
individual and organizational goals as theory Y.

Theory X

to the traditional view of leadership and managerial direction and control

Theory Y

iew that leadership and management should be based on the integration of
individual and organizational goals

Theory Z

Created by William Ouchi

Theory Z

leadership and management
style that advocates trusting followers and employees and creating an environment in
which followers and employees feel as though they are an integral part of the group
or organization

The Managerial (Leadership) Grid

developed by Robert Blake and Jane Mouton
identifies five leadership styles that integrate varying degrees of concern for people
with concern for production and goal achievement.

First, impoverished leadership style, known as 1,1

demonstrates low concern for people, production, and goal achievement.

country club style, known as 1,9

leaders demonstrate high concern for people but
low concern for production and goal achievement.

leadership style, known as 9,1

Low concern for people and high
concern for production and goal achievement

middle-of-the road style, known as 5,5

leaders strive to
balance follower personal needs with a concern for productivity and goal

team style 9,9

leaders demonstrate high concern for
people as well as productivity and goal achievement. The 9,9 approach is consistent
with McGregor's theory Y.

The Situational Leadership Model

Paul Hersey and Ken Blanchard

The Situational Leadership Model

upportive (people-centered) and directive (production and goal-centered)
leadership behaviors should be contingent on the readiness level of followers and

Vroom-Jago Time-Drive Leadership Model

l focuses on seven motivator contingency variables a leader should
consider when selecting a leadership style.

Vroom Jago Cont.

A five-point scale ranging from 5 (high
presence) through 3 (moderate presence) to 1 (low presence) is used to determine the
presence of the variables in a particular problem situation.

Vroom Jago Cont

Utilizing a matrix that
incorporates the seven contingency variables and five leadership styles, the leader
formulates a judgment on which leadership style is appropriate to the situation.

Path-Goal Motivational Leadership

enhance performance
and satisfaction by focusing on motivation as a primary ingredient of leadership

The theory suggests that each type of leader behavior
(directive, supportive, participative, or achievement-oriented) has a different impact
on the follower.

see next

R. J. House....Path Goal Motivational Leadership expanded his original concept of path-goal
leader behaviors to eight.

In addition to directive, supportive, participative, and
achievement-oriented behaviors, House's expanded classifications include work
facilitation, group-oriented decision processes, work-group representation and
networking, and value-based leadership behaviors.


through the discovery of fresh insight, ethical
leaders strive to observe or imagine what others may not.


success is often
the result of numerous failures that are confronted and overcome


leaders seize the moment when opportunity presents itself


thical leaders
temper ambition and motivation by gaining momentum without losing balance.


ethical leaders inspire others by creating a greater purpose for action.


ethical leaders never violate core values.


ethical leaders keep and maintain
control by sharing control with others.


ethical leaders embrace change

ethical leaders exit gracefully when their mission is complete.

moving on


Burnout involves a sense of exhaustion, cynicism, and ineffectiveness that results
from chronic stressors. As a motivator, the ethical leader should seek to fit the
individual (follower) to the environment.


Scanning, Analysis, Response, Assessment


involves problem identification. It refers to the identification of patterns or
persistent problems within a community.


analysis must address the underlying causes rather than the symptoms of the
problem. The problem analysis triangle (the three factors of offender, victim, and
location necessary for a crime to occur) offers a simple mechanism to visualize and
analyze crime, disorder, and harmful behavior problems.


To be effective, responses (solutions) to a crime or disorder problem should impact
at least two sides of the problem analysis triangle. Standardized solutions (i.e.,
replicas of what was done in other areas) are rarely appropriate. More than one
solution can be created to respond to a problem. Each alternative solution should be
compared to the others. Effective solutions are measurable and verifiable.


Assessment is an ongoing process and should be considered during the other three
stages of the SARA problem-solving model.

The first step in the assessment and
control process is to measure performance based on the objectives established during 36
the response stage of the SARA problem-solving process.



Crime prevention through environmental design

Cost-Benefit Analysis

A cost-benefit analysis is a decision-making tool one can use to examine the
commitment of financial assets or other resources. The cost-benefit analysis can
assist with the calculation of the return on investment (ROI) from expenditures and
the value-added contribution (VAC) of the funded program


The financial impact of each alternative course of action must be determined. The
budget is a comprehensive plan, expressed in financial terms.

Action Plan Selection

Of course, a major consideration
will focus on available resources, financial and otherwise, to implement the action
plan selected. Other factors include the social, political, legal, and physical
environments as well as the educational and technological sophistication and support
of all stakeholders and participants.


Examples of contingency plans include operations continuity, disaster, and
emergency plans.


based on the theory that the environment can be protected and crime
prevented through the proper design of buildings, neighborhoods, and communities.

Why Organizations Fail

Police agencies as organizations experience a great deal of difficulty when: members
have no shared values, mission, or vision; they neglect planning; or they lack
leadership competence.

Leadership Organizations

A leadership organization is committed to leadership development for all personnel.
The leadership organization realizes that human leadership development maximizes
personnel and organizational performance.

Organizational Learning

based on information. As all available information related
to an issue is collectively interpreted, action is taken based on the interpretation.

Performance in Organizations

Productivity and performance are high in a group whose leader helps to provide a
clearly defined and articulated mission, focuses on the client, enables members with
avenues for input on decision making, and fully involves members in managing their


is the action phase of problem solving and program administration.


Personnel training falls into three broad categories: pre-service, in-service, and career
enhancement. Ethics instruction should be a part of any training program.


Personnel should be scheduled based on need and productivity requirements

Performance Appraisal

A performance appraisal involves the systematic assessment of how well people are


Promotion should serve as an incentive for people to perform better.


The purpose of disciplinary action is to improve performance and behavior rather
than to punish or seek revenge. If disciplinary action is warranted, it must be based
on an objective standard.

Act of 2001

designed to prevent and respond to terrorist activity.

The Homeland
Security Act of 2002

consolidated 22 scattered federal agencies into the U.S.
Department of Homeland Security (DHS).

Intelligence Reform and Terrorism Prevention
Act of 2004

was fashioned after the recommendations of the 9/11 Commission


law increased the criminal investigative authority of local, county, state, and federal
law enforcement agencies.

The Foreign Intelligence Surveillance Act of 1978

utlines procedures for
physical and electronic surveillance as well as the collection of foreign intelligence
information, between or among foreign powers, that are necessary to protect the
United States against

Fusion Centers

To facilitate the collation, analysis, and dissemination of information and intelligence

Joint Terrorism Taskforces

composed of federal, state, and local law
enforcement officers who collaborate to identify, investigate, and disrupt potential
terrorist actions by individuals or terror organizations.

Traditional Policing

most police officers are involved in random
patrol and response to calls for service or reports of crime. U

traditional policing, little is accomplished in the way of crime prevention, analysis of
the backgrounds of individuals possibly involved, or other factors that might increase
public safety

moving on

Problem-Oriented Policing

developing - preferably within the
police agency - the skills, procedures, and research techniques necessary to analyze
problems and evaluate police effectiveness as an integral and continuing part of the
management of a police agency.

Team Policing

focusing on specific
geographic areas and forming teams of officers who work together on a continuing
basis that involves close interaction among them.

See more

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